GW Undergraduate Review, Volume 3, Spring 2020

THE GEORGE WASHINGTON UNIVERSITY

Undergraduate Review VOLUME 3

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SPRING 2020

www.gwur.org

THE GEORGE WASHINGTON UNIVERSITY

Undergraduate Review VOLUME 3

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SPRING 2020

Thanks for the photos!

Front cover: David Mark Back cover: Alyssa Stark

ISSN (print): 2578-9171 ISSN (online): 2578-9201 ©2020 The GW Undergraduate Review, The George Washington University

STAFF AND ACKNOWLEDGEMENTS

ACKNOWLEDGEMENTS

The GW Undergraduate Review would like to thank Vice President for Research Dr. Robert Miller, Mr. Shane Seger, and the Office of the Vice President for Research for their continued support and guidance for our organization. We would also like to thank the Center for Undergraduate Fellowships and Research, the Center for Student Engagement, and Libraries and Academic Innovation for promoting the journal, engaging with the undergraduate research community at large, and advising over the course of publication. Thank you to Margaret Steiner, the founder of GWUR, for setting a standard of excellence. Finally, we would like to thank the tireless work of our authors, whose efforts were invaluable to our publication.

ABOUT US

Established in 2016, the GW Undergraduate Review (GWUR) is the premier publication of undergraduate research at the George Washington University. It features a multi-disciplinary series of peer-reviewed articles from GW’s undergraduates in its annual publication. Our mission is to engage undergraduate students in research on GW’s campus and to promote the research community at large through various events and workshops alongside our journal. Our editorial boards are staffed by editors representing over twenty of GW’s departments. Our organization also publishes the GW Scope, an ongoing research-focused news blog backed by a similarly robust board. GWUR is an entirely student-run organization that works closely with and is supported by the Office of the Vice President for Research.

E XE C UTIVE BOAR D Claire Houchen - President & Editor-in-Chief Camille Leoni - Managing Editor Emily Earls - Treasurer & Director of Internal Development Diana Vu - Director of Outreach Tena-Lesly Reid - Submission Recruitment Chair Richard Sear - Layout Manager Carolyne Im - Lead Editor for Social Sciences & GW Scope Maryam Gilanshah - Lead Editor for Humanities Veronika Kulik - Lead Editor for Natural Sciencs & Engineering

E D IT ORIAL B OAR D Ebunoluwa Akinbode Nammu Arumugasamy Eleanor Ball Jessica Bride Aldonza Chavez Janavi Kanagasundaram Sam LeLacheur Ruby Lunsford Esha Mukherjee Nicolette Santos Farene Shahid Trinady Maddock - Graduate Advisor

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FROM THE EDITOR

Dear Reader, Welcome to Volume 3 of the GW Undergraduate Review (GWUR)! Our Executive and Editorial Boards worked tirelessly to create this journal, and their efforts are rewarded with the production of this truly amazing publication. First and foremost, I would like to thank the hard-working members of GWUR for making this journal happen. The members of GWUR are undergraduate students with a full course-load and are often conducting research themselves. Despite their already busy schedules, they make time to work for GWUR without monetary or credit-hour compensation.

Time is a college student’s most precious commodity, and I thank the members of GWUR for their dedication. I would like to specifically recognize the irreplaceable Richard Sear, our Layout Manager, for his outstanding work on this journal.

Secondly, I would like to thank and congratulate undergraduate researchers at GW — both represented in this journal and not — for their commitment to their academic passions. I often hear undergraduate students wonder if they are capable of participating in academic research. This journal is proof that young investigators are capable not only of participating in academic research, but of producing exceptional work.

Lastly, I want to express deep gratitude to all who make time to mentor undergraduate researchers. Specifically, I would like to thank my mentors, Kate Blackmore and Colin Young, for their investment in my research and academic endeavors. Their guidance has been one of the most meaningful parts of my time at the George Washington University. Undergraduate students have the potential to do incredible research, but it takes mentors recognizing that potential and investing in it for it to come to fruition. What may be only two or three years of training to mentors is a catalyst for a career for many students.

It has been my pleasure to work with all of these people during my time as Editorin-Chief, and I could not be more proud to have contributed to this journal. I hope you enjoy reading it as much as we enjoyed creating it!

Sincerely, Claire J. Houchen President & Editor-in-Chief The GW Undergraduate Review

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CONTENTS Prevalence of Substantive Policy in American Presidential Inaugural Addresses

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ANDREW PARCO

“So What Are You?”: Nepali Third Gender Women’s Identities and Experiences Through the Lens of Human Rights Development Discourse

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AMIT GERSTEIN

The Effects of Probabilistic Forecasts and Policy Stakes on Electoral Participation in an Experimental Setting

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MARK MCKIBBIN

Understanding the Challenges Faced by Child-Focused Civil Society Organizations in Ho Chi Minh City

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ANNALISE MORRONE

Policy and Practice of Disability in Rural Zones of Southern Peru and Coastal Ecuador

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JULIA SCOLAPIO

“Das Vadanya” to the Multilateral Force: the Soviet Union’s Role in the Johnson Administration’s Decision to Abandon the MLF

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ALEXANDER CHANG

A Republican View of Rhee: The Chicago Tribune’s coverage of Syngman Rhee from 1945 to 1950

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MARK THOMAS-PATTERSON

Evolution of Konglish Based on the Current Prevalence and South Korean Public Attitude Towards Konglish

128

JENNIFER TSE

Harry Potter and the Stigma of Disability: Squibs as Outsiders to the Magical Universe

136

MEGAN RHODES

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Associated Risk Between Use of Oral Contraceptive Pills and Three Types of Breast Cancer: ER+, ER-, and TN

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ROSHNI RANGASWAMY

The Mediterranean Diet in Preventing Alzheimer’s Disease

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FATIMA TOURK

GW Scope Feature: Is it Love?

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BY JANAVI KANAGASUNDARAM

GW Scope Feature: Disgust and Political Ideology

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BY TENA-LESLY REID

Meet the Staff

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Editorial Research Features

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1 KEYWORDS: inaugural address, presidential rhetoric, American politics, State of the Union DOI: https://doi.org/10.4079/2578-9201.3(2020).04

Prevalence of Substantive Policy in American Presidential Inaugural Addresses ANDREW PARCO Political Communication, SMPA ‘20, andrewparco@gwu.edu

ABSTRACT The inaugural address is the starting line of a four-year marathon, a bold declaration of ambitions outlined on the campaign trail looking to be crystallized into concrete policy. Presidents streamline their own national visions into a single, cohesive address and distill their proposals into rallying cries for the American people. But how does the subject matter of inaugural addresses predict or indicate a presidential administration’s later priorities and accomplishments? This study seeks to investigate this question by performing a content analysis of a stratified random sample of presidents. It develops a coding scheme and creates 12 categories that presidents have and could discuss in their inaugural addresses. It analyzes each of the chosen presidents’ inaugural addresses and subsequent State of the Union addresses, identifying substantive policy issues and recording an approximate word count for each one. After calculating the word count for each category in all of the selected inaugural addresses and States of the Union, the categories and word counts will be ranked for each individual speech. The rankings will then be compared between the two with a one-ranking margin of error. All of this data seems to preliminarily indicate that issue replicability is increasing over time, but magnitude replicability is much more variable. Therefore, it can be concluded that inaugural addresses are not likely to contain substantive policy that will affect the priorities and accomplishments of a president’s administration.

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INTRODUCTION Arguably the most literal incarnation of the field of political communication, speech writing and delivering is one of the most visible examples of setting a political agenda (Zarefsky, 2004). Major addresses highlight a speaker’s priorities through what they discuss and also speak volumes through what they do not. Often, they are delivered directly to constituents, on different occasions to invigorate, placate, inspire, inform, unite, or reassure. In an age where much of communication has been digitized and truncated to 140 characters, speeches have remained resilient, a relic of a more oratorical past.

One such staple of any president is their inauguration policy.

These speeches are benchmarks in American history. Examples from Presidents Abraham Lincoln, John F. Kennedy, and Ronald Reagan defined their respective eras (Korzi, 2004). As well as a longstanding tradition, inaugural addresses are also among the most visible events of the presidency. Donald Trump’s inauguration ceremony brought 30.6 million viewers across six major networks; Barack Obama’s had 37.8 million, and Ronald Reagan brought in a record 41.8 million (Battaglio 2017). It is nearly guaranteed that an inaugural address will be a landmark speech of any

given administration. But each one consists of a great deal of patriotic filler, uplifting rhetoric that translates well into sound bites but conspicuously lacks policy and substance.

This begs the question: How does the subject matter of presidential inaugural addresses align with an administration’s eventual executive and legislative accomplishments? Both political elites and the public at large heavily weigh the newly inaugurated, or newly reelected, president’s words, but it is very possible that the speech lacks real meaning as it pertains to presidential priorities.

Inaugural addresses are often characterized by idealistic rhetoric, especially following a major electoral victory (Mahoney et al., 1984). The issues itemized are too many and too complex to realistically be accomplished in one administration.

In addition, unforeseen situations and crises inevitably arise and take precedence, derailing previous priorities and proposals. It could be better regarded as a final campaign stop on the way to the White House or simply a tradition quadrennially recurring for tradition’s sake.

The speech may serve little more than to unify a country and introduce the world to the new American leader. Yes, Thomas Jefferson sought to mend the union when he declared, “We are all

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Republicans, we are all Federalists.” FDR comforted a distraught people when he remarked, “The only thing we have to fear is fear itself.” But what did either statement accomplish in hard policy? In more than one sense, it is supposed to be a roadmap (Ericson, 1997). It should indicate what the president cares about and where the executive branch will be spending its time. This question could better reveal the impact of presidential rhetoric on public policy and decision-making.

LITERATURE REVIEW Background In this section, I will merely provide a working understanding of the typical presidential speech and how inaugural addresses fit into a president’s legacy (Coe & Neumann, 2011). Coe and Neumann acknowledge that the president is the most important figure in the study of political communication, and as such, the president’s words are closely scrutinized within academic circles.

Regardless of whether or not it is true, presidents act as if the public at large is responsive to their words; the actual efficacy is not the debate at hand for this paper.

The authors seek to recognize a definitive set of criteria to establish the major addresses of presidents.

For this purpose, they only take the modern presidency into account. Within political communication, there are four existing approaches to study presidential rhetoric: Researchers sometimes use inaugurals to study patterns in presidents’ political rhetoric, but they are largely ceremonial and unlikely to be representative of most presidential communication (Coe & Neuman, 2011); state of the union addresses, occasionally combined with inaugurals, is the most popular option, but it is difficult to compare between written documents and verbal speeches; a broad analysis of all public presidential communications has been employed more recently, but it proves very difficult to manually code and is time intensive with the unfortunate inclusion of trivial communications; finally, the most effective choice is that of the “middle ground” where it enjoys the benefits of all the previous approaches.

But still, how are researchers to decide what qualifies as a major address? The authors provide a working definition of “a president’s spoken communication that is addressed to the American people, broadcast to the nation, and controlled by the president.” Using that criteria, the authors narrowed down every speech from Franklin Delano Roosevelt to Barack Obama’s second year and uncovered some early patterns. They were largely consistent in length and frequency with a higher emphasis on domestic affairs. Coe and Neuman’s research is vital, if slightly delayed, in standardizing a widely variable topic.

Presidential communication is one cog in the concept of the rhetorical presidency, and the previous authors’ work would have been vital to Stuckey and Antczak (1998), had

it existed at the time. The authors explain the rhetorical presidency and its evolution into the modern presidency.

They are careful to make distinctions between analyzing a speech’s persuasion and its rhetorical instruments, and they point to a similar distinct separation between the individual (the president) and the institution (the presidency) (Stuckey & Antczak, 1998). The presidency can inherently be weakened by the president’s personal relationship with the public. While the president’s personality has played an increasingly large role in polls, the presidency also wields the ability to affect public opinion. For example, the well-documented rally effect is a powerful phenomenon in times of national crisis. The authors end with a brief discussion on media framing as well as the president’s position in putting pressure on Congress to advance an agenda.

Ericson (1997) attempts to distill the permanent ideals of American politics from the presidential inaugural addresses that line its history with an ambitious content analysis. The author seeks to discover which cyclical patterns in inaugural rhetoric have resulted in distinct, long-lasting pillars representative of political culture and, in at least some respects, American society at large. The article identifies and discusses at length 11 such features, some mentioned in almost half of inaugural addresses and at least one included in all of them (Ericson, 1997).

The article claims inaugural addresses primarily serve to reiterate and ingratiate the incoming president with any number of the 11 themes. Not unlike Coe and Neuman, Ericson outright rejects the notion that an inaugural address is meant to inform the American public of imminent policy proposals and substantive legislative ambitions. While it is certainly a bold and popular position to take, little is offered to substantiate that claim.

Ericson’s early research provided key foundational work off of which to build for political communication academics. Prior to Ericson, Mahoney et al. sought to understand the core values that undergird every presidential inaugural address. They believe that the many “concrete belief systems reflect the interaction of only a few abstract values” (Mahoney et al., 1984). That is, a few pieces of ideological divide can create boundless partisanship. Eight main values were identified that are present in each inaugural address between George Washington and Ronald Reagan. Each was rated according to the frequency with which it appears in inaugural addresses. Even though the paper insufficiently defined its methods and classified its values, the authors found that the values of “freedom” and “equality” were clearly the frontrunners, leading religion, economy, power, justice, peace, and morality (Mahoney et al., 1984).

Building off of core values, this section will close with some specifics about the language of inaugurals and where they generally cross paths with each other. Mahoney et al. discussed “freedom” as an underlying belief, but Coe (2007) delves even further into the idea. He examines the

THE GW UNDERGRADUATE REVIEW • VOLUME 3 use of the word “freedom” and its derivations in executive rhetoric, noting differences between a president’s ideology and the time period’s context through qualitative textual analysis as well as quantitative content analysis.

For this work, Coe studies every inaugural and State of the Union address. In any given speech, he identifies three ways that presidents use the language of freedom, two methods of defining America, and five categories to define freedom (Coe 2007).

Coe concluded that “freedom” was used more often as a universal right in contexts regarding foreign affairs, while it was more likely to align with the idea of national identity concerning domestic affairs. It would have been beneficial to segregate the data on inaugural addresses and State of the Union addresses, but Coe is probably correct in that it may have proved unnecessarily complicated and burdensome. His connections to newspapers and other speeches were a productive detour and provided helpful contextual information outside of the presidential addresses themselves. He supplied constructive analysis as he commented on the potential perspective of marginalized groups and their reaction to the idea that “freedom” was no longer a universal right in the domestic sphere.

Coleman and Manna (2007) takes all this previous research, sees where it can be woven together, and tackles partisanship comparatively. In the symbolic but vain effort of George Washington, past presidents have sometimes attempted to maintain an air of nonpartisanship, “a statesman above the fray” of party politics. But the authors perform content analyses of the rhetoric of four recent presidents to find the truth in this widely believed sentiment. In fact, they find that presidents often directly align themselves with parties, even when tested against divided government, elections, and other common features of federal government (Coleman & Manna, 2007). The authors prove that presidents are politicians above all else, deploying regular partisan tactics at key points in an administration. With the current president, the article feels especially outdated. It would be shocking to spend this time on research when there is a man so unabashedly partisan in the White House. Nonetheless, their work joins the others in laying a solid foundation from which to launch toward a better understanding of inaugural addresses within the context of presidential communication and the rhetorical presidency.

Evolution Transitioning from a background on inaugurals to their growth and evolution over time, I plan to use the bulk of this section discussing how presidents address national issues and making distinctions between presidents of differing parties and time periods. To start, HernándezGuerra (2011) uses presidential inaugural addresses to determine the most pressing global problems and

3 identifies how both political parties address them.

Although she conducts a thorough and helpful overview of the presidents, she chooses to only analyze John F. Kennedy to Barack Obama, an unusual and seemingly arbitrary time frame. Even with two-term presidents, the author chooses to only factor in the first inaugural. She divides up common threads and discussion topics into seven different categories: background, foreign policy, American values, goals, cooperation, progress, reference to previous presidents, or the Bible.

In her results, Hernández-Guerra finds that recent presidents are battling the same issues that presidents always have. However, presidents have rhetorically lashed out less viciously against enemies since the end of the Cold War. Almost every president has asked the American people or some category of providential being for help.

Finally, the author determines that foreign policy is raised more often under recent inaugural addresses, and it is also more likely to be successful than other issues by the incumbent’s own metrics.

Taking a step back from the specific policy arenas, Kinnier, Dannenbaum, Lee, Aasen, and Kernes (2004) instead choose to spotlight the conceptual evolution throughout presidential inaugural addresses. The authors hope to uncover what values Americans hold in high regard and how that has changed over time, and to understand this, they look to presidential inaugural addresses. It wields a different objective than HernándezGuerra; rather than using inaugural addresses for their own sake, the authors want to uncover a truth about America. But it is important to mention that the authors themselves admit a glaring limitation in their research: Inaugural addresses are not necessarily indicative of the actual values of Americans.

Nonetheless, they analyze every inaugural address throughout the nineteenth and twentieth centuries, specifically mentioning that they are forced to omit five presidents because they never gave an inaugural. The study codes for identifying specific values and measures the degree to which those values were present. The authors conclude that “truth/honesty” was a larger topic in inaugurals throughout the nineteenth century, and addresses of the twentieth century are more likely to discuss “courage” (Kinnier et al., 2004). The authors attribute this to the rise and prevalence of global conflicts throughout the 1900s, and it is worth noting that Republican presidents mention “lowering taxes” more often than Democrats. In a slightly different angle than Kinnier et al., Sigelman (1996) compares and contrasts the change in veneration of traditional values as well as the use of unifying language.

Sigelman (1996) seeks to understand how inaugural addresses unify the American people while upholding traditional values, two widely accepted objectives of every inaugural address. He wants to know how these quadrennial speeches have served these objectives over

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time. The author uses the commonly accepted Flesch score to analyze the “readability” of a speech. The Flesch score assigns a value to factors such as vocabulary and sentence structure to rate how complicated the language is. At the time of publication in 1996, he finds that George Washington had the highest score and George H.W. Bush had the lowest (Sigelman, 1996). This means that Washington had the least accessible language and Bush had the most, indicating that the speeches became clearer to the American people over time.

He also tracks unity words, such as “us” and “our,” and he discovers that once again Washington had the least unifying language. Bill Clinton adopted the most unifying rhetoric. When it comes to traditional values, the content analysis reveals that inclusion in inaugurals has increased over time. Because of his role as a Founding Father, Washington did not need to establish his ethos by glorifying basic American beliefs. With the few major exceptions of Franklin Delano Roosevelt and Kennedy, the trend of mentioning traditional values has almost been a linear progression upwards. Finding these two patterns through careful research, Sigelman confirms that inaugural addresses have “increasingly been appropriated into service as a tool of presidential governance.” His research is thorough but precise, exactly completing the job that he set out to accomplish. Departing from Sigelman’s focus on unifying language, Teten (2003) looks to the use of personal pronouns and overall word length.

Even though his work utilizes State of the Union addresses instead of inaugurals unlike Hernández-Guerra, Kinnier et al., and Sigelman, his research and areas of focus are of importance to presidential rhetoric.

Though Teten’s goals seem to border on ambitious with two separate metrics and analyses, he efficiently compartmentalizes his work, and he successfully avoids confusing or overwhelming his reader. At the same time, he synthesizes the data and distinctly underlines the collective relevance. Teten laments the results from past studies that utilize incomplete and unrepresentative data; he notes that while inaugural addresses are welldocumented and held at regular intervals, they are more ceremonial and inherently contain less partisanship and substance. He uses two metrics, total length, and the use of personal pronouns to understand how the speakers identified with their audiences.

He uses a random sample of 50 State of the Union addresses, but he purposefully oversamples speeches between Theodore Roosevelt to Woodrow Wilson because of its known significance as a period of rhetorical change. The paper finds that word length started low with Washington and Adams, but it skyrocketed throughout the rest of the nineteenth and the early twentieth centuries (Teten, 2003). But, perhaps due to Wilsonian innovation or because of the logistical concerns of actually reading a speech rather than delivering a report, the word count fell after 1914. Personal pronouns have

become more common over time, and these two metrics combined demarcates three periods of State of the Union addresses: modern, traditional, and founding.

In the same vein as Teten’s final conclusions, Korzi (2004) categorizes inaugural addresses into three imperfect eras. Korzi specifically states that he is not analyzing what is enduring but instead examines the substance that is changing between inaugurals. He makes an interesting but not unique choice to use newspapers to supplement his arguments, and he raises the concept of media framing: Do the newspapers reflect public opinion, or is public opinion molded by the newspapers?

By Korzi’s research, almost all early presidents mention the Constitution, and George Washington starts a trend for the first six presidents by emphasizing the primacy of the Constitution. John Qunicy Adams used a constitutional approach, but it is widely known that he lost touch with the American people (Korzi, 2004). Therefore, beginning with Andrew Jackson — Adams’ successor — the Constitution was still emphasized, but it was marginalized by the ideas of populism and public sentiment. From Jackson to William McKinley (18 inaugural addresses), only three do not mention campaign pledges, and party presidents still vow their deep respect for Congress. The party model extols the belief that people choose not just the president as a person but as a collection of ideals and principles.

Woodrow Wilson began a new era by claiming an individual link between himself and the American people, and since then, inaugurals have positioned the executive as the leader of government. In this current plebiscitary model, parties, Congress, and the Constitution are secondary to the executive’s primary role in political affairs.

Briefly, I will admit the limitations of discussing inaugurals at large while within a specific time period and the effect this can have on research and analysis.

Harnett and Mercieca (2007) make stunning accusations against George W. Bush’s administration, accusing him of effectively converting mass media into a means of mass confusion. Combined with imperial recklessness, the authors claim that presidential rhetoric is “dead.” Not only does the language noticeably veer from academic norms, but it appears steeped in turbulent partisan bias.

Writing from the early 2000s, they assert that mass communication overwhelms the public, and people are inhibited from exercising independent and critical thinking. “Imperial” policies propagated by the executive are supposedly masked and hidden from the American people, stonewalling prying eyes and crippling democracy at the knees.

Though a current perusal of the literature benefits from 20/20 hindsight, the paper nonetheless appears alarmist even for its era. It presents academic language that is more biting than informative. The authors make patently false comments about President Thomas Jefferson; they claim that he sought grandeur in his administration and his presence. Exactly the opposite, Jefferson is known

THE GW UNDERGRADUATE REVIEW • VOLUME 3 for his egalitarian demeanor, and he was even criticized at the time for appearing too pedestrian (Wilkins, 1991).

The paper’s scaremonger tactics are reminiscent of the media’s typical knee-jerk reaction to original research.

It takes a little information then leaps and bounds to conclusions. It overanalyzes tangential details of the Bush administration communications strategy, such as simple images projected in the background during a speech (Hartnett & Mercieca, 2007). The authors utilize unconvincing stats that do not actually illuminate the full picture, and their extended reference to Brave New World Revisited seemed unnecessary at the least. In short, the paper was dramatic and uninformative as to the actual state of rhetoric under President George W. Bush. It provides an unfortunate but helpful case study, a lesson to temper both one’s writing and one’s claims.

Moralism and Civil Religion Inaugurals have a recurring tendency to invoke the divine, and even though it does not directly relate to frequency of policy substance, I believe it is vital in characterizing the mood of inaugural addresses and how they have shifted over several generations (Pitney, 1997; Ritter, 2009; Schonhardt-Bailey, Yager, & Lahlou, 2012; Shogan, 2003). This discussion will begin broad, juxtaposing the difference between Democrats and Republicans. Then it will narrow to a smaller discussion of presidents before addressing a small comparative case study.

Ritter (2009) embarks on one of the most comprehensive studies to identify religious language in presidential rhetoric and mark its change over time. Anecdotally and in the public mind, many presidents are tied to religion.

The author uses a content analysis of State of the Union addresses, inaugural addresses, and historically significant speeches to measure the impact, frequency, and trend of this language. Ritter finds that Republicans invoke divine power more often than Democrats, but generally speaking, religious language has increased for everyone over time, growing more specific and more Christian. In an interesting but unsurprising takeaway, the author discovers that this rhetoric and language skyrockets during times of conflict.

In a narrower topic of study, Shogan (2003) seeks to understand how nineteenth century conservative presidents differed from Woodrow Wilson’s distinctive rhetorical style and how they shaped the modern presidency. She uses a content analysis trained on inaugural addresses since George Washington, and she codes to identify moral or religious language classified in policy or nonpolicy contexts. In her research, she finds a surprising number of nonpolicy moral remarks after Wilson’s administration, but from there, she further divvies up the speeches into a forward-thinking visionary or a traditionalist/retrospective perspective.

5 Throughout his career, Wilson believed in combining public sentiment and the collective future with societal values, rather than simply drawing on traditional principles. Other presidents who have built off of his legacy include Kennedy, Lyndon B. Johnson, and Jimmy Carter. In contrast, Calvin Coolidge and Herbert Hoover believed in “individual moral responsibility and constancy” (Shogan, 2003). Following this counter-Wilson stance, Richard Nixon and Ronald Reagan modernized the model of individual responsibility and prepared it for a postWorld War II era. Shogan discovers that Wilson redefined liberalism, and in response, Republicans had to redefine conservatism as well.

Building off of previous research, Pitney (1997) and Schonhardt-Bailey et al. (2012) each conduct an analysis of a modern Democrat and a modern Republican’s use of “civil religion.” Civil religion has no universal definition, but for the purposes of this study, it is the common practice where some political elites inject a nondenominational, nondescript invocation of God into public discourse.

To begin, Pitney takes the inaugural address of a young president ready to enact change but inexperienced at the federal level, and he dissects the speech. He underlines recurring themes and main motifs that can be found throughout its text. He identifies three main sources of inspiration for William “Bill” Clinton’s first inaugural: the Bible, his education at Georgetown University, and other inaugural addresses from his predecessors.

As for the Bible, he clearly reserves no qualms toward invoking civil religion, and Pitney comments how words like “covenant” and “season” manage to communicate well with religious citizens as well as secular ones. He writes about the significance of Clinton’s Jesuit education at Georgetown University, and it once again signals the importance of faith in America, even when it is not your own faith (Clinton is Baptist, but Georgetown is Catholic). From a professional working note, Senator William Fulbright led Clinton to adopt much of the same internationalist rhetoric as his collegiate role model.

Even though paying homage to previous incumbents of his same party is not uncommon, Clinton took it a step further and drew inspiration from Reagan and Nixon’s inaugural addresses. Pitney notes that the combination of these influences was carried into the writing process and, not long after, the delivery of Clinton’s first presidential inaugural address.

For a conservative inversion of the same topic, Schonhardt-Bailey et al. (2012) begin their discussion of Ronald Reagan’s rhetorical remarkability by admitting that although religion was ignored by and large in the political science community for far too long, the idea of civil religion has been revived and popularized. The idea of civil religion existed far before Reagan, but he was particularly adept at weaponizing its rhetoric. The authors employed “automated textual analysis software” to analyze Reagan’s civil religion rhetoric in his “seminal”

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speeches, State of the Union addresses, and every state of the union address from Wilson to Obama. (The concept of seminal speeches is never formally defined and appears, at least in part, subject to the authors’ personal discretion.)

The texts of speeches are drawn from the Ronald Reagan Presidential Foundation’s list of his major speeches, a move that appeared informed but inherently biased. The other presidents are included to provide a backdrop by which to judge the supposedly unique rhetoric of Reagan.

State of the Unions are partially chosen because they are primarily policy-driven with less room for civil religion (Schonhardt-Bailey et al., 2012). The authors make the decision to test whether a difference in audience matters, proving to be a valuable insight in the delivery and content of his rhetoric. Additionally, the authors succeed in admitting the limitations of their work; it is not a perfect or comprehensive study, but it starts the conversation. Each of these studies on moralism and civil religion offer a new and helpful perspective to better understand the context of inaugural addresses.

Framing The final section will begin a discussion of the influence that a president’s rhetoric has on the general public, especially concerning hard policy topics. While there are few studies specifically targeted at inaugural addresses through this particular lens (Rush, 2017), there has been more research into the influence of presidential language and its effect on a macro scale (Zarefsky, 2004). While it may inevitably backtrack to the evolution of inaugurals at times, I want to understand how a president attempts to shape the narrative throughout his or her administration (Cohen, 1995; Rhodes, 2013).

Rush (2017) is one of few to specifically analyze a president’s power to sway through an inaugural. He researches whether inaugural addresses impact the perception of the newly sworn in president and, at a larger scale, whether they impact a person’s opinion of the state of the nation. He also specifically looks for differences between voters and non-voters. To do this, the author conducts a test with Donald Trump’s inaugural address.

He exposes the experimental group to the address before surveying both the experimental and the control group on the competence, reliability, leadership ability, positive personality traits, and trust of the president. To measure how people thought about the state of the nation, the groups give their general opinions followed by specific policy polls.

Between the control and experimental group, people are largely unaffected by the inaugural address. There is no statistically significant difference between the viewer versus non-viewer’s perception of Trump or the state of the nation. The only thing that set them apart is that someone who already voted for Trump felt positively about the direction of the country, while someone who

did not vote for him did not feel that way (Rush, 2017).

Overall, the inaugural address is mainly inconsequential.

Rush gives a few potential reasons why. For one, social media could have transformed the landscape. Perhaps, it is less likely that someone’s perception of a president will change because their personality is so brazenly on exhibit and accessible through social media throughout the campaign, as is the case of Trump. The author also cites the uniqueness of the 2016 presidential election as a potential factor. Rush acknowledges his limitations: The sample group comprised a disproportionate amount of liberal and liberal-leaning citizens. Additionally, multiple weeks passed between the live inaugural and the experiment, so the subjects may have had time to digest reviews and political commentary prior to being surveyed. All the same, the research is a helpful view into an intriguing, if likely unrepresentative, microcosm.

Conversely, Zarefsky (2004) looks at the larger historical picture. The author brings the spotlight onto the idea of rhetoric itself and how it should be understood. There are many different dynamics at play. It can be seen from the perspective of a speech to an audience, a speaker to his or her own text, or a speaker to a responding critic.

No matter the viewpoint, the author makes a claim about the effect executive language has: “[Presidential rhetoric] defines political reality.” To support his claim, he cites several historical examples, including George Washington and the Whiskey Rebellion, Abraham Lincoln and the Civil War, Lyndon B. Johnson and the War on Poverty, and George W. Bush and the terrorist attacks on September 11, 2001 (Zarefsky, 2004). Each is a case study where the words of the president helped draw the parameters of the political reality. Zarefsky closes with some concrete examples as to how reality can be defined.

In one in particular, he describes setting the narrative.

The president’s language is used and repeated, and in that basic sense, the issue is framed how the president originally wanted it framed. This concept of framing and agenda-setting is not at all unfamiliar in the arena of political communication, but this number and detail of examples is illuminating, nonetheless.

Cohen (1995) and Rhodes (2013) both delve into a president’s framing abilities over the course of his or her administration. Cohen gives an overview of the research, while Rhodes expands on those findings by examining one case study in depth. Cohen begins his work by acknowledging a few standard principles in political science. Presidential rhetoric allows the president to manipulate his or her own popularity, and additionally, it encourages the president to cater to public opinion.

But Cohen seeks to understand this further by analyzing the extent to which presidents influence the public. As he notes, wide-ranging access to the public does not directly correlate to a receptive audience.

For a baseline of what represents significant issues to the public, the author utilizes Gallup’s Most-Important

THE GW UNDERGRADUATE REVIEW • VOLUME 3 Problem series. As for the president, Cohen hypothesizes that he or she sets the agenda with State of the Union addresses and that the amount of time spent on a topic in the address relates to how much the public cares about it. He chooses a peculiar presidential window: State of the Union addresses from 1953 to 1989, and because first-year presidents do not give a State of the Union, he substitutes a different “major national address” that would be around the same time period. This is never directly defined, and as such, the description appears subjective. To control for cross contamination of influence, Cohen uses a pretest and post-test with the Gallup polls. He finds that economy, foreign policy, and civil rights are without a doubt the most frequent topics in State of the Union addresses, and that correlates with public priorities as well (Cohen, 1995). According to this research, the popularity of a president does not factor into the salience of their message. A potential limitation that he recognizes is that mass media may be a clear intervening variable.

Media framing could affect both public opinion and the topics that a president chooses to highlight. Often, the media presents a tricky roadblock, and his admission of such was prudent. Finally, stemming from Cohen and others’ pertinent research, Rhodes narrowed the focus to a single president and his legacy: Franklin Delano Roosevelt.

Roosevelt talks about rights in a unique fashion, unlike the way anyone in his office talked about them before.

He describes economic, social, and human rights that he believes should be extended to every citizen, which include the famous Four Freedoms: freedom of speech, freedom of religion, freedom from want, and freedom from fear. These four fundamental human rights were outlined in his 1941 State of the Union address. Because of the vast rhetorical legacy left behind by the only president elected for more than two terms, Rhodes seeks to understand whether or not people envision and discuss rights differently or more often than they once did. The author hypothesizes that Democrats are more invested in laying out these same rights than Republicans, and to analyze this, Rhodes uses inaugural addresses, State of the Union addresses, and primetime radio and television speeches.

The study divides each section of speeches by president before picking out keywords to narrow whether the speech made a claim about rights. If it does make a claim, the list is divided twice more into substantive claim or general American rhetoric, and then it is classified into economic, social, civil, human, constitutional, democratic, or other. Together with this quantitative study, the author completes a qualitative analysis of the

7 20 inaugural addresses between 1933 and 2009. The only criticism would be that the author’s definition of “right” seems to have a bias toward a liberal interpretation. In the results, the paper concludes that language about economic and social rights declined since Roosevelt, but civil rights peaked under Lyndon Johnson. Apart from all the rest, rhetoric about human rights has remained just as popular over time. In closing, Rhodes and Cohen’s work on an administration’s framing legacy dovetails cleanly with Zarefsky’s large-scale agenda-setting research, and they all culminate in Rush’s most recent findings. All of their work sets the stage for a new question for inaugural addresses and their association with American culture and politics.

HYPOTHESIS Taken as a whole, the current literature on the topic discusses at length an inaugural address’s relationship to American tradition, providing a sturdy launchpad into the question of a speech’s substantive rhetoric. This paper will test the colloquial theory that speeches inform the public of policy proposals working from the following hypothesis: Half or less of the issues mentioned in a presidential inaugural address (1789-present) materialize again with the same magnitude in the following State of the Union address.1

METHOD The study performs a content analysis of a stratified random sample of presidents. To begin, it develops the coding scheme and creates 12 total categories that presidents have and could discuss in their inaugural addresses. These categories split between domestic issues and international issues. Domestic issues include civil rights, crime, economy, expansion, First Nations, government, immigration, infrastructure, and science and education. International issues are comprised of diplomacy, trade, and national security (see Appendices A and B for the operationalization of each category).

Next, the presidents are neatly divided into Korzi’s eras: constitutional, party, and plebiscitary. However, because the eras are so wide and the number of eras are so few, it is important to remove the exceptions that could muddle the research. Six presidents — Lincoln, Ulysses S. Grant, Grover Cleveland, William McKinley, T. Roosevelt, and Wilson — were systematically excluded due to inaugural irregularities. They all fall within the party model, and they all are exceptions to the norms of that era. For example, Lincoln’s second inaugural address and both of Grant’s are exceptions to the party model, but Lincoln

1 State of the Union addresses were the solution to the ambiguity of a president’s priorities and accomplishments. Even though a “priority” is not an easy concept to concretely measure, States of the Union are the most accessible correlative. As was mentioned in the literature review, they are similarly delivered at fixed intervals, they are widely believed to contain more substantive content, and they can be measured by the same metrics as inaugurals.

8

SPRING 2020 • THE GEORGE WASHINGTON UNIVERSITY State of the Union (Jan. 1790)

Inaugural (Jan. 1789)

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FIGURE 1. George Washington (1789 - 97) Comparative Word Count

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FIGURE 2. Martin Van Buren (1837 - 41) Comparative Word Count

THE GW UNDERGRADUATE REVIEW • VOLUME 3

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State of the Union (Dec. 1909)

Inaugural (Mar. 1909)

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FIGURE 3. William Howard Taft (1909 - 13) Comparative Word Count

State of the Union (Jan. 1982)

Inaugural (Jan. 1981)

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FIGURE 4. Ronald Reagan (1981 - 89) Comparative Word Count

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SPRING 2020 • THE GEORGE WASHINGTON UNIVERSITY State of the Union (Feb. 1997)

Inaugural (Jan. 1997)

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FIGURE 5. Bill Clinton (1993 - 2001) Comparative Word Count is more plebiscitary while Grant is more constitutional.

In other words, Lincoln connects more directly with the people, bypassing Congress, the party, and the Constitution, whereas Grant emphasizes the importance and direct responsibilities outlined in the Constitution.

Five more are removed because they entered office according to the presidential line of succession and thus never delivered an inaugural address. John Tyler, Millard Fillmore, Andrew Johnson, and Chester Arthur are in the era of party model presidents, and Gerald Ford is under plebiscitary.

Each inaugural address is assigned a number, and a random number generator is used to select one presidential inaugural from the constitutional model and two from the party and plebiscitary eras. Only one is chosen from the first 11 addresses because it is such a small era compared to the latter two. Washington, Martin Van Buren, William Howard Taft, Reagan, and Clinton are randomly selected, and the random number generator is used again to determine the order in which they are analyzed.

For each of the chosen presidents, the study performs a content analysis of their inaugural address as well as the closest subsequent State of the Union address, identifying substantive policy issues and recording an approximate word count for each one. Unfortunately, the space between each president’s inaugural and their State of the Union varies widely between administrations. But for the sake of consistency, the study continues with the closest subsequent State of the Union. The word count is

intended to calculate the intended magnitude of the topic, the importance that the president is trying to assign to it.

One measure the study implements is recognizing a 10word margin of error for every word count. The margin of error is meant to control for stuttering, filler words, and small improvisations in spoken States of the Union as well as titles and headers for written speeches.

After calculating the word count for each category in all of the selected inaugural addresses and States of the Union, the categories and word counts will be ranked for each individual speech. The rankings will then be compared between the two with a one-ranking margin of error. The word count is used to determine the ranking; it is not compatible with comparability between speeches. For example, if diplomacy ranks as the second most important issue in the inaugural, it can rank first, second, or third in the State of the Union to be within the same magnitude, regardless of the difference in word count between the two. After studying the number of issue categories that are repeated across both types of speeches and their respective magnitudes, then it will be clear if American presidential inaugural addresses regularly include substantive policy.

DISCUSSION After Washington’s first year, the singular issue from his inaugural addresses did not resurface in his State of the Union. Therefore, his issue replicability is zero out of one, and his magnitude replicability is again zero out of one. For Van Buren, one of the two issues from his

THE GW UNDERGRADUATE REVIEW • VOLUME 3 inaugural appeared again in his State of the Union within the same magnitude, giving him a one out of two issue replicability rating and another one out of two magnitude replicability. For Taft, six of the seven issues reappear, albeit in widely varying orders of magnitude. Only one of those original seven is presented in the State of the Union within one ranking of his inaugural.

Reagan is far and away the most consistent president the author studied in terms of inaugural to State of the Union. The four substantive issues that appear in his inaugural address all resurface in his first State of the Union a year later, almost in exactly the same order of importance according to word count. Therefore, Reagan has a four out of four issue and magnitude replicability.

Finally, five of Clinton’s six issues are consistent from speech to speech, but they are not in exactly the same order. Four out of six are within one ranking. (See Appendix C to view a detailed list of issues and the respective word counts for each speech).

All of this data seems to preliminarily indicate that issue replicability is increasing over time, but magnitude replicability is much more variable. On average, 63.8 percent of the policy issues a president highlights in their inaugural address reappear in their following State of the Union address (issue replicability). However, on average, 46.2 percent of the policy issues a president highlights in their inaugural address reappear in their following State of the Union address at or closely near the same magnitude of importance. Therefore, the author fails to reject the hypothesis, and from the early results of the study, it can be concluded that inaugural addresses are not likely to contain substantive policy that will affect the priorities and accomplishments of a president’s administration.

At this point, it is prudent to acknowledge multiple shortcomings of the research. Firstly, broad policy topics are used. Science and education includes healthcare, environmental concerns and climate change, and elementary through university education. Next, an organizational model that makes sense for inaugural addresses may not make sense for States of the Union.

Eleven exceptions in the Korzi model makes you question the quality and reliability of the model, especially when ten of the eleven are concentrated in a single era.

Furthermore, even though the author divided up the presidents according to the type of inaugural (the Korzi model), the author also analyzed presidential States of the Union as the correlative. But the State of the Union has changed over time; some were written, some were spoken.

A large concern is the measure of word count versus studying an issue’s placement in the speech. Issues earlier in the speech might matter more than ones in the middle, but many issues are peppered throughout.

Reagan and Taft in particular related everything back to the economy, so it is untrue to say that the economy is less important just because it may not be the very first

11 issue. Instead, it is everywhere, and word count helped account for that. Going hand-in-hand with placing an issue throughout a speech, many policies overlapped within the same paragraph or even the same sentence.

When a president talked about the macroeconomic cost of education for example, the author needed to code for whichever presented itself as the predominant issue. So because it was coded the way it was, the author removed the gray area and attempted to make it black and white.

This alteration forces speeches to lose necessary nuance.

In closing, despite a number of limitations, this research fills a hole in the current literature, providing a valuable answer to the oft assumed but never confirmed notion that an inaugural address lacks substance. It is not drastically devoid of policy, as proven by the 46.2 percent average magnitude replicability. However, more often than not, a listener cannot expect an issue in the inaugural address to resurface in a meaningful way down the road.

If the number was much lower, an inaugural would be a useless indicator of where the president will spend his or her time and energy. For all intents and purposes, policy wonks, think tanks, and Washington elites would have no need to look toward an inaugural address for its predictive abilities. Conversely, if the average magnitude replicability far exceeded 50 percent, then it would be an indispensable bellwether for the incoming administration’s prime concerns. This research puts to rest the debate on an inaugural address’s importance in terms of substantive policy.

Further research with greater time and resources should expand on these findings. It would be fascinating to see whether these results are consistent after a census content analysis, rather than a sample. In addition, it would be important to know whether the issue or magnitude replicability have changed over time. With that knowledge, inaugurals could perhaps again be divided into more apt eras of policy substance. Is there a difference between Democrats and Republicans, young and old, incoming presidents and reelected incumbents? There is only one way to find out, and needless to say, political communication surely has bright and consequential research ahead in the near future.

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SPRING 2020 • THE GEORGE WASHINGTON UNIVERSITY

APPENDIX A: OPERATIONALIZATION OF DOMESTIC CATEGORIES •

Civil Rights: This category refers to race, racial specifics (including slurs), the Thirteenth, Fourteenth, Fifteenth, and Nineteenth Amendments, voting, suffrage, prejudice, slavery, and civil rights. It includes discrimination on the basis of sex and race, and it is comprised of the American civil rights movement and the campaign for women’s suffrage.

•

Crime: This category refers to civil unrest, safety, security, illegal drug use, and gang activity. It is primarily invoked when the president discusses his authority and responsibility to protect citizens from internal threats.

•

Economy: This is a broad category referring to income, inflation, prices, employment, taxes, spending, deficits, the national debt, mortgages, the cost of living, productivity, industry, capital, commerce, business, bonds, stocks, revenue, expenditures, fiscal and monetary policies, and banking. Most topics that involve money within the domestic sphere fall under “economy.”

•

Expansion: This category is primarily concerned with the outdated concept of “Manifest Destiny.” Though slavery is inevitably intertwined with American expansion, it is listed under “civil rights” instead. This is because slavery is euphemistically associated with expansion for political reasons, but it is literally the act of unlawfully stripping persons of their rights. Expansion only was tied to slavery because of the social and geopolitical concerns of the time period. When expansion was at various points “completed,” that did not immediately eliminate the evils, effects, or condition of slavery. Therefore, the category of “expansion” is by necessity limited to the literal augmentation of the United States’ territory.

•

First Nations: This category refers to Native Americans, American Indians, and the assorted specific tribes. It includes the peoples themselves, their relationships and interactions with the United States government, political agreements or treaties, and explicit communications, orders, or apologies.

•

Government: This category refers to the growth, influence, size, power, and levels of government. It includes corruption, states’ rights, the federal apparatus nationwide, and specific names of departments and agencies.

For elections, refer to the “civil rights” category.

•

Immigration: This category refers to foreign persons in the United States, various nationalities and identities (such as Italian American or German American), and permanent aliens. It includes immigrant rights as well as their arrival, presence, and deportation.

•

Infrastructure: This refers to roads, bridges, and structural stability of public utilities generally speaking.

•

Science and education: This broad category refers to the domains of science, all levels of education, and healthcare. This includes experiments, innovation, technology, conservation, climate change, natural resources, forests, waterways, land, the Atomic Age and Information Age, medicine, schools, students, classrooms, and libraries.

APPENDIX B: OPERATIONALIZATION OF INTERNATIONAL CATEGORIES •

Diplomacy: This category refers to allies, international relationships, sovereignty, neighbors, and treaties. It includes efforts to expand democracy and extoll American values abroad.

•

National Security: This category refers to enemies, conflict, wartime, terrorism, weapons, threats, adversaries, the branches of the Armed Forces, the militia, defense, tyranny, and aggression. Diplomacy and national security are closely related but distinctly different. Putting it simply, diplomacy is between friends, allies, partners whereas national security has to do with threats to the country and to democracy, wars, defense, and so on.

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Trade: This category broadly refers to the global economy, and trade with partners around the world.

THE GW UNDERGRADUATE REVIEW • VOLUME 3

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APPENDIX C: ISSUES AND WORD COUNTS PER SPEECH PER PRESIDENT Table C1: George Washington INAUGURAL

1.

Government (153 words)

STATE OF THE UNION

1.

2.

3.

4.

5.

Science/education (305 words) National security (212) Economy (116) Diplomacy (88) Immigration (30)

Table C2: Martin Van Buren INAUGURAL

1. Civil rights (473 words) 2. Diplomacy (177)

STATE OF THE UNION

1.

2.

3.

4.

5.

6.

7.

Economy (5302 words) Diplomacy (2524) National security (1249) First Nations (652) Government (400) Expansion (349) Infrastructure (81)

INAUGURAL

1.

2.

3.

4.

5.

6.

7.

Economy (1263 words) International trade (967) Civil rights (953) National security (828) Government (277) Science/education (218) Immigration (109)

STATE OF THE UNION

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

Diplomacy (4067 words) Government (4038) Economy (2063) International trade (1640) Science/education (486) National security (466) Expansion (382) Infrastructure (175) Civil rights (173) Crime (139)

Table C3: William Howard Taft

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SPRING 2020 • THE GEORGE WASHINGTON UNIVERSITY

Table C4: Ronald Reagan INAUGURAL

1.

2.

3.

4.

Economy (430 words) Government (232) National security (168) Diplomacy (56)

STATE OF THE UNION

1.

2.

3.

4.

5.

6.

7.

8.

Economy (1962 words) Government (834) Diplomacy (298) National security (252) International trade (110) Civil rights (101) Crime (46) Science/education (45)

INAUGURAL

1.

2.

3.

4.

5.

6.

Civil rights (171 words) Science/education (163) Government (121) Economy (72) National security (57) Crime (24)

STATE OF THE UNION

1.

2.

3.

4.

5.

6.

7.

8.

Science/education (2610 words) Economy (914) Diplomacy (400) International trade (367) National security (285) Crime (261) Government (142) Immigration (59)

Table C5: Bill Clinton

REFERENCES 1. Battaglio, S. (2017) Trump’s inauguration is watched by 30.6 million viewers. [Web log post]. Retrieved from https://www.latimes.com/business/ hollywood/la-fi-ct-inauguration-ratings-20170119story.html 2. Coe, K., & Neumann, R. (2011). The major addresses of modern presidents: Parameters of a data set.

Presidential Studies Quarterly, 41(4), 727-751. doi:http://dx.doi.org/10.1111/j.1741-5705.2011.03912.x 3. Coe, K. (2007). The language of freedom in the American presidency, 1933-2006. Presidential Studies Quarterly, 37(3), 375-398. doi:http://dx.doi. org/10.1111/j.1741-5705.2007.02603.x 4. Cohen, J. (1995). Presidential Rhetoric and the Public Agenda. American Journal of Political Science, 39(1),

87–107. https://doi.org/10.2307/2111759 5. Coleman, J. J., & Manna, P. (2007). Above the fray? the use of party system references in presidential rhetoric. Presidential Studies Quarterly, 37(3), 399-426. doi:http://dx.doi.org/10.1111/j.17415705.2007.02604.x 6. Ericson, D. F. (1997). Presidential inaugural addresses and American political culture. Presidential Studies Quarterly, 27(4), 727-744. Retrieved from https:// www.jstor.org/stable/27551797. No DOI available.

7. Hartnett, S. J., & Mercieca, J. R. (2007). “A discovered dissembler can achieve nothing great”; or, four theses on the death of presidential rhetoric in an age of empire. Presidential Studies Quarterly, 37(4), 599-621. doi:http://dx.doi.org/10.1111/j.1741-

THE GW UNDERGRADUATE REVIEW • VOLUME 3 5705.2007.02616.x 8. Hernández-Guerra, C. (2011). Political disclosure in recent decades in the united states: From Kennedy to Obama. International Journal of Arts & Sciences, 4(13), 217-224. Retrieved from http://proxygw. wrlc.org/login?url=https://search.proquest.com/ docview/927581538?accountid=11243.

9. Kinnier, R. T., Dannenbaum, S., Lee, D., Aasen, P., & Kernes, J. L. (2004). Values extolled in U.S. presidential inaugural addresses. Counseling and Values, 48(2), 5-126. https://doi.org/10.1002/j.2161007X.2004.tb00239.x 10. Korzi, M. J. (2004). The president and the public: Inaugural addresses in American history. Congress & the Presidency, 31(1), 21-52. doi:http://dx.doi. org/10.1080/07343460409507709 11. Mahoney, J., Coogle, C. L., & Banks, P. D. (1984).

Values in presidential inaugural addresses: a test of Rokeach’s two-factor theory of political ideology.

Psychological Reports, 55(3), 683–686. https://doi. org/10.2466/pr0.1984.55.3.683 12. Pitney, J. J., Jr. (1997). President Clinton’s 1993 inaugural address. Presidential Studies Quarterly, 27(1), 91-103. Retrieved from https://www.jstor.org/ stable/27551702 13. Rhodes, J. H. (2013). The evolution of Roosevelt’s rhetorical legacy: Presidential rhetoric about rights in domestic and foreign affairs, 1933-2011.

Presidential Studies Quarterly, 43(3), 562-591. doi:http://dx.doi.org/10.1111/psq.12046 14. Ritter, T. L. (2009). Sacred ground: The use of religious rhetoric in inaugural addresses and state of the union messages. Available from ProQuest Dissertations & Theses Global.

(304975249). Retrieved from https://hdl.handle. net/11244/320308

15 15. Rush, K. A. (2017). Influence of the presidential inaugural address on audience perceptions of candidate image and the state of the nation.

Dissertations and Theses. doi:http://dx.doi. org/10.15760/etd.5690 16. Schonhardt-Bailey, C., Yager, E., & Lahlou, S. (2012). Yes, Ronald Reagan’s rhetoric was uniquebut statistically, how unique? Presidential Studies Quarterly, 42(3), 482-513. doi:http://dx.doi. org/10.1111/j.1741-5705.2012.03990.x 17. Shogan, C. (2003). Rhetorical moralism in the plebisctary presidency: New speech forms and their ideological entailments. Studies in American Political Development, 17(2), 149-167. https://doi.org/10.1017/ S0898588X03000105 18. Sigelman, L. (1996). Presidential inaugurals: The modernization of a genre. Political Communication, 13(1), 81–92. https://doi.org/10.1080/10584609.1996.

9963096 19. Stuckey, M. E. & Antczak F. J. (1998). The rhetorical presidency: Deepening vision, widening exchange.

Communication Yearbook, 21, 405‐41. Retrieved from https://doi.org/10.1080/23808985.1998.11678956 20. Teten, R. (2003). Evolution of the modern rhetorical presidency: Presidential presentation and development of the State of the Union address.

Presidential Studies Quarterly, 33(2), 333-346. doi:http://dx.doi.org/10.1111/j.1741-5705.2003. tb00033.x 21. Wilkins, L. (1991). Madison and Jefferson: The making of a friendship. Political Psychology, 12(4), 593–608. https://doi.org/10.2307/3791548 22. Zarefsky, D. (2004), Presidential rhetoric and the power of definition. Presidential Studies Quarterly, 34: 607-619. doi:10.1111/j.1741-5705.2004.00214.x

About the Author Hailing from Orange County, California, Andrew Parco is a senior pursuing a B.A. with a major in Political Communication. He took part freshman year in the Politics and Values living-learning community, and over his academic career, he developed interest in speechwriting and graphic design.

Throughout his undergraduate study, he interned at the Department of the Interior, Grapevine Health, and the National Aeronautics and Space Administration. He will be graduating magna cum laude having earned the recognition of a Presidential Scholarship, the Dean’s List, and the President’s Volunteer Service Award at the Gold Level.

Mentor Details

This article was prepared with mentorship from Dr. Sean Aday. Sean Aday joined the George Washington University’s School of Media and Public Affairs in 2000, after completing his Ph.D. and a postdoctoral fellowship at the Annenberg School for Communication at the University of Pennsylvania. Dr. Aday has published on subjects ranging from the effects of watching local television news, to coverage of American politics and media coverage of the wars in Iraq and Afghanistan. His work focuses on the intersection of the press, politics and public opinion, especially in relation to foreign policy, public diplomacy and the role of digital media in democracy movements and countering violent extremism.

16 KEYWORDS: third gender, transgender, development DOI: https://doi.org/10.4079/2578-9201.3(2020).02

“So What Are You?”: Nepali Third Gender Women’s Identities and Experiences Through the Lens of Human Rights Development Discourse AMIT GERSTEIN International Affairs, ESIA ‘20, amit.gerstein@gwu.edu

ABSTRACT Nepal is the site of many national and international human rights development measures focused on the country’s gender and sexual minorities (SGM). Given the significant impact those development efforts have on SGM and Nepali society, national and international development actors need to understand the identities and experiences of the populations they attempt to help. Performed in Kathmandu and Bharatpur, this study attempts to understand the identities used by third gender women and if those identities are reflected in development discourse. Over the course of this research, self-identified third gender women and members of organizations that work with SGM were interviewed. Observations were also conducted in a Bharatpur SGM-advocacy organization. This research questions the homogeneity of SGM described by some development organizations and their critics. Identity should be understood as context-specific, and SGM identities as intertwined and mutually-informing. Understanding the framework for gender and sexuality that underlies Nepali sexual and gender identity terms is important in order to supplement and contextualize the identities that, otherwise, may be misrepresented and misunderstood. Furthermore, development organizations should be cognizant of the impacts donor sources may have on development projects and on sexual and gender minorities. The national government should focus on successful implementation of measures already executed, and interested parties should hold the government accountable for following through with these SGM-focused human rights measures.

•

INTRODUCTION Over the past fifteen years, Nepali legislation and judicial decisions earned Nepal the informal distinction of being one of the most progressive South Asian countries for gender and sexual rights.

In a landmark 2007 Supreme Court decision, discrimination against gender/sexual minorities was forbidden, and a “third gender” category was established for citizenship papers and other official documents (Knight 2014). This among other national human rights measures are supplemented by international development efforts that fund Nepali non-governmental organizations (NGOs) that support sexual and gender minorities (SGM) and generate reports and other forms of discourse on the topic. One significant organization, the Blue Diamond Society (BDS), is the largest Nepali organization supporting Nepal’s gender and sexual minorities, providing services that range from sexual health to human rights advocacy.

Human rights development measures must understand the identities and experiences of the populations they aim to help in order to be effective.

Regarding identity, projects that aim to help a

certain population must be able to identify those within it. Furthermore, identities in development discourse have tangible effects. If third gender, for instance, was defined as transgender men and women exclusively rather than all sexual and gender minorities, only a small population is represented with the use of this term and has access to allocated development resources. Identity also makes certain populations visible and able to participate in society. Many social functions require identity documentation (IDs), and those whose identities are not reflected by such documentation may be excluded from those spaces (Boyce & Coyle 2013).

Regarding life experiences, development measures should understand the realities of sexual and gender minorities to evaluate the effectiveness of enacted measures.

Through interviews with SGM organizations, third gender women in Kathmandu and Bharatpur, and observations, this study aims to understand how third gender women identify themselves and if those identities are reflected in development discourse.

Furthermore, this research seeks to understand the experiences of these women, the discriminations

THE GW UNDERGRADUATE REVIEW • VOLUME 3 they face, and if national measures address these issues.

Since all participants identified as third gender, they will be identified as such rather than with other identity terms.

When contextually appropriate, terms like transgender and meti will be used as well. These terms should not be understood as reflective of participants’ only or primary sexual/gender identities, but rather useful categories for discussion.

LITERATURE REVIEW Gender and Sexuality in Nepal Many locate Nepali gender and sexual minorities within a long history of gender and sexual variance in South Asia. Some gender/sexual non-normative personalities in the Mahabharata epic, for instance, demonstrate a historical understanding of such people among ancient Hindus. Activists and organizations like the Blue Diamond Society point to characters like the feared intersex prince Shikhandi and Arjun, an exiled Pandava brother who disguised himself as a eunuch, in claiming precedent for Hindu acceptance of sexual and gender minorities.

The Ardhanarisha, Lord Shiva’s half man half woman manifestation is also used to make tolerance of gender and sexual diversity palatable to contemporary Nepali people (Chhetri 2017; Knight 2014; Bakshi 2004). Furthermore, India and Pakistan’s hijras1 have historically participated in Hindu birth and wedding ceremonies. The legal protection of certain hijra rights under colonial powers in the nineteenth century demonstrates that cultural sanction and historical recognition of the legitimacy of certain alternate gender/sexual constructions existed (Bakshi 2004). However, the influence of hijras on the Nepali cultural landscape is questionable given the tendency of Nepali people to view them as an Indian phenomenon, peripheral to Nepali cultural consciousness (Boyce & Coyle 2013). Overall, while there are hints to SGM history in Nepal and South Asia, there is little accurate history of non-normative sexuality in Nepal nor literature connecting ancient examples to contemporary SGM identities (Tamang 2003; Chhetri 2017).

However, while Nepali sexual and gender identities exist, they demonstrate constructions of gender and sexuality that differ from the West. While gender and sexuality tend to be conceived as separate but related identities, Nepali sexual and gender identities are capable of conveying sex, gender, sexual orientation, and preferred role in intimacy simultaneously (Knight

17 2014). A meti person, for example, is biologically male, female presenting, attracted to masculine men, and the penetrated partner during sex (Boyce & Coyle 2013).

Yet, the weights Nepali people assign to these various elements of a gender/sexual identity term vary and do not necessarily align with those typical in the West (similar to the discussion of nadleehi in Epple 1998). While typical meti identity may contain the above criteria, some are more important than others. Being a receptive role in intercourse is an important component of meti identity, for example, while gender expression varies greatly (UNDP 2014).

According to a Blue Diamond Society Report, Nepali gender and sexual identities include: meti, Ta, dohori, singaru, maruni, strain, kothi, fulumulu, hijra, lesbian, gay, bisexual, transgender man, transgender women, among others2 (as quoted in Lau 2013: 487). Once again, these terms are not weighted equally, and many SGM adopt more than one (Boyce & Pant 2001; UNDP 2014). Some are geographically based, some align with class divisions, and many are fluid categories (Bochenek & Knight 2012; Tamang 2003). In one study, a third of self-identified gay men reported attraction to females, and a quarter of Tas reported attraction to panthis even though, definitionally, the latter two terms describe masculine men who are the penetrating sexual partners of metis and kothis (UNDP 2014).

Moreover, these Nepali identities exist in a context where same-sex sexual activity and masculinity are structured in ways that allow for uniquely non-Western same-sex interactions. Sexual activity between two men, for example, does not necessarily imply the sexual identities of either partner. Research performed by development anthropologist Paul Boyce and activist and BDS founder Sunil Babu Pant indicates that it is not uncommon for teenage boys to be coerced into sex by older male peers or family members (2001). Political scientist Siera Tamang distinguishes between two types of sex: sex performed as a duty within the confines of marriage and maasti, sex performed out of sexual playfulness or to relieve “body tension” (2003: 250). Moreover, men will patronize dance bars and hire the dancers for sex, perceiving them as women. Upon realizing that they are biologically male, the customers will still have sex with them, once again demonstrating that same-sex sexual activity does not inherently imply the sexual identities of its participants (Boyce & Pant 2001). Tas, the sexual counterparts of metis, do not necessarily claim SGM status. Ta means

1 Hijras are a marginalized third gender SGM with a prominent presence in India. They are born male, view themselves as neither man nor woman, and most undergo castration or penectomy to align with their sexual and gender identities. Hijras perform at Hindu births and weddings dressed like women (Bakshi 2004).

2 While far from comprehensive, presumably because the report was from 2005 (two years before the 2007 Pant v. Nepal Supreme Court case), it does not include “third gender” or “tesro lingi.” Other noteworthy missing terms are intersex/antarlingi, panthi (Ta-synonymous counterpart of kothi), and the Nepali terms for gay and bisexual, samalingi and duilingi, respectively.

Meti and kothi are synonyms.

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“man” and Tas engage in sexual relationships with both men and women (Tamang 2003). They may engage in sex with metis for reasons as diverse as enjoyment of anal and/or oral sex (which female sexual partners may be less inclined to perform), cheaper cost for hiring and greater availability of meti, rather than female, sex workers, and immediate sexual satisfaction (regardless of the sexual partner’s sex/gender) (Tamang 2003).

The reason a Ta’s sexuality and masculinity are not threatened by sex with a meti is twofold. As mentioned prior, same-sex sexual activity can exist within the Nepali heteronormative social framework. According to Tamang, the normalcy of homoerotic behavior in Nepal is a result of patriarchal control over Nepali women’s sexualities. Women’s sexualities are regulated through sexual reputation, ijjat. Patriarchal society encourages unmarried women to keep their virginities, otherwise threatening their personal reputations and families’ honors. Both this regulation and the commonness of sexsegregation facilitates homoeroticism among Nepali men (2003).

Moreover, male-male intercourse operates along gendered dimensions that protect a Tas masculinity from being tarnished. SGM identities like meti and Ta fit into a framework of binary gender roles, where the former acts as the receptive partner during intercourse and the latter the penetrative partner. These identities, while fluid, are accompanied by social pressures to conform to certain sexual roles (Boyce & Pant 2001). Kothis, to name one sexual/gender minority, may understand their sexual desires through the lens of binary gender roles, therefore feminizing their appearances and acting as the penetrated partners in sex (Bochenek & Knight 2012).

Given the gendered dimensions of sex between men, manhood is constructed around penetration (Tamang 2003). Tas are not threatened by sex with males simply because they play the “man’s role,” i.e. the penetrative partner. Similarly, metis tend not to have sex with other metis because doing so would contradict the binary gender constructions of sexuality they understand their identities through (Boyce & Pant 2001).

However, while Nepali gender/sexual identities are inherently tied to Nepali constructions of gender and sexuality, the relationship between the latter and Western identity terms used in Nepal is unclear. Lesbian, gay, bisexual, transgender, and intersex (LGBTI) terms are increasingly being used by Nepali people, especially activists, the urban middle class, and Western-educated people (Boyce & Coyle 2013; Boyce & Pant 2001). Yet, Western identity terms, as used in Nepal, may be influenced by the Nepali gender/sexual landscape rather than synonymous with their meanings in the West.

Furthermore, Boyce and Pant theorize that the use of

“gay” as a noun rather an adjective (“a gay” as opposed to “gay”) indicates that Western identity terms in Nepal are used to express a unique conception of selfhood, one that is “somatically entwined within the social, the bodily, and the emotional”rather than a result of Western acculturation (p.19).

SGM and National Actors Ever since 2000, Nepali gender and sexual minorities have achieved great strides in social and legal recognition.

The Blue Diamond Society was established in 2001, initially registered as an organization supporting sexual health given taboos that made registering as a sexual and gender advocacy organization impossible (Knight 2014). The birth of BDS laid the groundwork for SGM advocacy in Nepal and began a network that facilitated other outreach and advocacy projects. Perhaps the most significant achievement of BDS and SGM rights in Nepal was winning the 2007 Supreme Court case Sunil Babu Pant and Others v. Nepal Government and Others. The Court decision forbade discrimination against gender and sexual minorities, recognized a third gender that was defined on the basis of “self feeling” rather than medical certification, and created an “other” gender category on state documents. As per the Court decision, a committee was formed to look into the possibility of legalizing samesex marriage (Knight 2014).

Furthermore, the Supreme Court decision from Rajani Shahi v. The National Women Commission and Others suggested that laws describing marriage as between a man and woman are “inadequate or mute” and should be replaced by those allowing for relations between non-heterosexual people (Shahi v. the National Women Commission et al.). Third gender identity was once again affirmed with the inclusion of a third gender option on the 2011 census.3 Yet, while these inclusive laws and procedures exist, the government does not adequately ensure their implementation. Regarding the census, while a third gender option was available, the census underestimated the number of third gender people for a number of reasons: many census workers did not understand what the “third gender” category meant and did not receive adequate training about the identity term, the family member speaking with the census worker may have been reluctant to identify a family member as third gender or unaware that a family member identified as such, reluctance to self-identify as third gender to the census worker, harassment by census takers, fraud, and a computer software that could not adequately compute the third gender census option (Bochenek & Knight 2012; UNDP 2014).

Moreover, while existing laws work towards gender

3 Censuses in Nepal consist of the household registry, where census takers go house to house to complete the census, and the full census, where census takers go to every eighth home. While the third gender category was an option on the former, it was

THE GW UNDERGRADUATE REVIEW • VOLUME 3 and sexual equality, there still are legal gaps that fail to take the needs of Nepali SGM into account and, at times, leave them vulnerable. For example, the term third gender is not adequately defined in government instructions, enabling officials to deny anya citizenships to those they do not consider third gender, like married metis (Knight 2014). Nepali law further demonstrates inadequacies in relation to SGM by classifying rape as non-consensual vaginal penetration, making recourse for the rape of biological males difficult to pursue. Furthermore, many SGM complain that their basic rights are insufficiently protected by the law, like those guaranteeing the rights to education, inheriting property, and protection from employment discrimination (Singh, Pant, Dhakal, Pokhrel, & Mullany 2012).

International Actors and Nepal’s SGM International organizations play significant roles in the lives of sexual and gender minorities in Nepal, from providing funding for development projects to generating and influencing discourse about Nepal’s SGM. Funding for national HIV/AIDS response, which disproportionately affects SGM, for example, is primarily from international NGOs and intergovernmental organizations like the United Nations (NCASC 2015). SGM AIDS funding helped build social and organizational frameworks that were later used for advocacy work, as was the case with BDS performing projects promoting sexual and gender equality (Boyce & Coyle 2013).

International presence within SGM advocacy exists indirectly as well. Progressive Nepali legislation is influenced by international human rights discourse.

Legal decisions draw heavily from transgender rights cases internationally, and LGBTI terms are favored (Bochenek & Knight 2012; Sunil Babu Pant et al. v. Nepal Government et al.). The Nepali government may even face incentives to adopt these progressive stances, since doing so could secure a place within the progressive international community and generate opportunities for aid and trade (Boyce & Coyle 2013). That is not to say that Nepal is solely a recipient of such ideas regarding gender and sexuality; Nepali SGM advocacy is informed by an international discourse it, too, influences. For example, the Yogyakarta Principles, a document outlining human rights principles regarding sex, sexual orientation, gender identity, and gender expression, was created by a group of international human rights experts including activist and BDS-founder Sunil Babu Pant (Boyce & Coyle 2013; ICJ 2007). Yet, despite these intellectual contributions, Nepal’s SGM development work heavily relies on international donors, and SGM visibility and understanding relies on international development discourse.

not on the latter (Bochenek & Knight 2012).

19 National/International Development and Identity Discourse has the potential to construct and dismantle, legitimize and deny identities. It can provide a platform for marginalized populations to be heard or it can quell those voices. It can include or exclude people from accessing resources and systems of power. Therefore, the way that discourse characterizes sexual and gender minorities can have implications on those minorities and their abilities to actualize their potentials.

However, international development discourse consistently misunderstands and simplifies the identities of those it aims to aid. Some reports use LGBTI identity terms in describing sexual and gender minorities in Nepal.

Yet those terms operate on a Western construction of gender and sexuality that cannot accurately represent the identities of gender and sexual minorities in Nepal (Boyce & Coyle 2013). Furthermore, Nepali gender and sexual identities tend to be understood through the lenses of HIV and advocacy work. Because funding for HIV/ AIDS research and projects tends to be more available than for other fields related to SGM, sexual and gender identities become associated with narratives relating to sexual health. For example, terms like “MSM” (men who have sex with men) in HIV-related research simplifies the identities and sexual behaviors of Nepali SGM and, therefore, overlook the needs of certain populations that are hidden or excluded from that umbrella term (Dickson & Sanders 2014). These terms, while considered useful in public health discourse, do not reflect the ways that identified populations understand themselves and their communities (Pigg 2002). Meti, for example, while culturally grounded, become fixed in the HIV development paradigm, thereby establishing a discursive meaning that veers from that experienced by meti people.

Another consequence of understanding SGM identities through an HIV lens is that those who are classified as having a high risk of contracting and transmitting HIV are prioritized over those who do not. Research and funding tend to ignore those who are female-bodied or penetrative partners in male-male intercourse since they are statistically less likely to contract HIV than other SGM populations (Boyce & Coyle 2013). HIV colors donors’ understandings of SGM identities with implications on other aspects of those minorities’ lives.

National human rights measures, and BDS activists in particular, use the third gender identity term rather than Western terms like transgender or the myriad of indigenous Nepali terms. However, its usefulness and accuracy are debated. Sunil Babu Pant argues that the third gender label is strategic given the lack of understanding of gender and sexuality identity distinctions in Nepal (quoted in Boyce & Coyle 2013). By favoring a singular, overarching term to the plethora of other identities that fall under the third gender umbrella,

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all of these minorities have a platform to speak from.

A person must be visible before she can advocate for herself. However, as employed in the context of Native American identity, anthropologist Lynn M. Morgan and Evan B. Towle assert that “third gender” groups together diverse peoples, misrepresenting the unique issues that different subpopulations face. Furthermore, it reinforces a gender binary by categorizing SGM as third gender, as if outside the binary system, and it can limit the alternatives that exist to that dichotomy (2002). Spoken in these terms, third gender relies on fixed conceptions of masculinity and femininity in order to be a valid category, rather than allowing for a more fluid understanding of gender/sexuality to exist (Epple 1998). However, some scholars argue that the term should not be taken literally, rather demonstrative of the possibility for identities that transcend dimorphism (Towle & Morgan 2002). Whether or not the term is problematic, it may be a temporary necessity to advance the rights of certain sexual and gender minority populations.

In order to understand and characterize these identities accurately, Boyce and Coyle (2013) recommend viewing sexual and gender identities as contextual rather than essentialized. A sexual category cannot hope to describe the totality of life experiences that their bearers undergo. Therefore, in order to understand a certain identity, one must understand the context in which it was formed and continues to evolve. While the 2007 Supreme Court decision may consider sexuality and gender as natural, it does not acknowledge that two are constructed within the context of a person’s life, by factors like socioeconomic position or life circumstances. Furthermore, sexual subjectivities and language do not exist independently. The way a person describes himself should be understood within the context of that identification and the communicative choice of the subject rather indicative of a fixed identity that he wholeheartedly adopts (Boyce & Coyle, 2013). For example, a woman may identify herself as transgender to a Western researcher, meti to her peers, and have tesro lingi marked on official documentation. She may express or even understand her own identity differently in different contexts, and the relational nature of identity formation should be understood along with the personal and cultural meanings attached to such terminology.

When these identities are then understood within larger contexts of life experiences, a clearer image of Nepali gender and sexual identities is revealed.

Discrimination and Exclusion Despite Nepal’s progressive legislation regarding its sexual and gender minorities, Nepali society is overwhelmingly conservative. Legal measures often do not translate into concrete protection, and Nepal’s SGM face discrimination in a variety of spaces in their

day-to-day lives. Incidences of discrimination are compounded for metis, who tend to be more visible in society than other gender and sexual minorities (Boyce & Coyle, 2013). Examples include hospitals refusing service to transgender women (BDS, 2013), familial rejection, exclusion from cultural and religious activities, harassment in public spaces, unequal treatment by public services, harassment from peers in school and coworkers in the workplace, unequal treatment when applying for visas (Singh et al., 2012), and exclusion from educational opportunities (BDS, 2013). In interactions with police, many transgender women face brutal violence and are raped and wrongfully imprisoned (Wilson, Pant, Comfort, & Ekstrand, 2011; Singh et al., 2012).

Societal taboos further restrict the lives of third gender women. Many meti and kothi marry women because of social pressures, one statistic calculating 25% of Kathmandu’s MSM married (Dickson & Sanders 2014; FHI 2009). Otherwise, due to the shame an unmarried status brings to their families and subsequent familial pressures to marry, many leave their families or villages in order to pursue lives where they can express their gender/sexual identities (Wilson et al. 2011). From a health perspective, these stigmas manifest in few long-term monogamous relationships and a high number of sexual encounters among metis (Tamang 2003). Metis have a hard time finding men interested in long-term relationships, having a high number of sexual partners instead (Wilson et al.

2011), and married men prefer “one night stands” (Tamang 2003). These findings are significant from an HIV/AIDS perspective since increased sexual partners create a higher risk for HIV contraction and transmission.

Many third gender women also face difficulties finding employment. Many employers refuse to hire third gender women, and some fire metis upon realizing this identity (Wilson et al. 2011; Boyce & Coyle 2013). Outside of the beauty and entertainment industries, metis have few opportunities in the formal sector. Because of these employment discriminations, many are forced to become sex workers in order to make money. This, in turn, puts them at risk of further altercations with the police since sex work is illegal in Nepal. Moreover, many take out loans to pay bail, which they may only be able to pay off with sex work (Boyce & Coyle 2013).

Already at a high risk for contracting STIs, meti and transgender women become more at risk by working as sex workers (FHI 2009). Not all clients are willing to use condoms, and meti sex workers are less willing to carry them because, if a police officer stops them, the condom could be enough to warrant the carrier’s arrest.

Furthermore, given the taboos around sex with meti and transgender women, clients often choose to have sex outdoors rather than in their own homes. Therefore, since intercourse is rushed, condom use is less frequent (Wilson et al. 2011).

These discriminations may be less visible because

THE GW UNDERGRADUATE REVIEW • VOLUME 3 third gender women often face consequences for reporting harassment and abuse. According to Honey, a meti person described in journalist Kyle Knight’s report, after enduring sexual assault, she was afraid to report the incident because doing so would expose her as meti (2014), an identity that could marginalize her and make her more vulnerable to future acts of discrimination and assault. According to Sunil Babu Pant, when transgender people go to the police for help, they risk being raped by the officers they seek help from (Knight 2014). When they kidnap, imprison, and rape transgender and third gender women (Singh et al. 2012), police officers no longer become trusted authority figures for those victims’ communities.

For these reasons, the plight of third gender women in Nepal may be hidden from the public eye and from the government.

The Dynamic Nepal The status of Nepali SGM is far from ubiquitous.

Their life experiences depend on a multitude of factors.

For one, geography plays a role in the opportunities SGM face. Those who live near the Indian border, for example, may be able to express their gender and sexual identities in India while suppressing outward expressions of those identities in Nepal (Tamang 2003). Moreover, the terms SGM use to identify themselves differ from region to region. Kothis dominate Nepal’s Terai, metis central Nepal, and fulumulus the mountains. The middleclass Kathmandu “Thamel gays” that Tamang describes differentiate themselves from the “BDS crowd,” with class and education leading SGM to seek sexual partners in different areas (2003).

Nepali society is also changing. Traditional values are changing with changing demographics and the rise of education and middle-class aspirations. Nepal is becoming increasingly globalized and is undergoing a changing economic landscape. Urban youth have more choice as to when and to whom they marry, giving many time to discover and understand their own genders and sexualities before marrying (Boyce & Coyle 2013).

Furthermore, the internet is increasingly being used

by Nepali SGM to find partners (Tamang 2003) and may change the way SGM interact with each other. The internet allows for increased anonymity and availability of romantic/sexual partners. It can undermine social divisions; “Thamel gays” may no longer know who belongs to their social circles, and caste divisions may become meaningless when dating and hookup apps list only first names. The internet gives access to a network of people and resources that can influence how a person understands herself and the social context in which she defines herself.

21 THEORETICAL FOUNDATIONS This research is informed by both the fields of international development and feminist studies, specifically the concept of “enrolment” discussed by development anthropologist David Mosse (2005) and that of essentialism as discussed by feminist theorist Chandra Talpade Mohanty (2003). Mosse describes development project creation as a “coalition building” of various international interests and donors. The goals of these actors are negotiated in forming a project that satisfies their interests and expectations. In order for a project to be successful, it requires the enrolment, or participation and support, of these groups. Project designs employ models of change, theories of cause and effect that demonstrate how project actions accomplish larger goals. In order to ensure the continued support of the projects’ various interest groups, project designers must frame these models of change in ways that are sensible to them and appeals to their varying interests. Therefore, while development projects may yield results that fit into an established model of change, they may not produce results that are genuinely effective (Mosse, 2005).

As it applies to Nepal’s sexual and gender minorities, the interests of international donors and interest groups who fund projects supporting Nepali SGM along with national human rights measures to protect sexual and gender minorities are informed by models of change.

These models of change may be accurate or biased, but understanding what they are can help illuminate whether the needs of Nepali sexual and gender minorities, and, for the purposes of this paper, third gender women, are adequately met by these national and international human rights development measures.

This research is further grounded in feminist discourse on essentialism. In Feminism Without Borders, Mohanty critiques much Western feminist writing about women in the Global South for creating a monolithic “Third World woman,” a fixed category that overlooks the complex intersectional identities, needs, and desires of the women it attempts to represent. This act of essentialism assumes that women from countries throughout the Third World face the same oppression and reduces the diverse experiences of these women to a singular, stable category (Mohanty, 2003). Postcolonial theorist Gayatri Chakravorty Spivak adds to this discourse with the concept of strategic essentialism. Members of a cultural group, for instance, while diverse, may essentialize themselves in order to achieve a certain goal (Ashcroft, Griffiths, & Tiffin, 1998). For example, while American women are incredibly diverse, it may be useful to refer to American women as a homogenous category (e.g. “women in America earn less than men”) in order to further a certain political aim.

As it relates to non-Western sexual and gender minorities, essentialism may manifest in the discursive

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production of a “global gay rights” narrative and the assumption that Western SGM identity terms are universally applicable. However, this narrative should not be nonchalantly applied to non-Western people. For one, gender and sexuality are constructed differently in different cultures. Some Native Americans, for example, recognize four genders, rendering the term “gay,” which depends on a Western, binary conception of gender, meaningless (Epple 1998). Western identity terms operate on a set of culturally rooted meanings rather than describe universal categories of sexual and gender difference (Towle & Morgan 2002). While people in different cultural contexts may express similar behaviors (e.g. biological males with outward feminine appearances), those behaviors may not be defined in the same way across cultural and historical lines, and those behaviors may be differently weighted in different cultural contexts (Epple 1998).

The transcultural LGBTQ narrative overlooks the unique issues of non-Western populations it describes and, therefore, may propose solutions that are not desired by those misrepresented populations. While much LGBTQ activism in the West, for instance, focuses on a “similarity narrative” that pushes for queer inclusion in heteronormative spaces, in India, hijras desire societal tolerance for their identities and lifestyles rather than assimilation (Dickson & Sanders 2014).

This is not to say that Western and non-Western societies have fixed and mutually-exclusive understandings of gender and sexuality. For example, as anthropologist Don Kulick observed in Brazil, longstanding conceptions of sexuality and masculinity are changing with the West’s increasing social influence, as seen through popular backlash to soccer player Ronaldo Luis Nazário de Lima’s sexual encounter with a homosexual male, yet femaleappearing, prostitute (Kulick 2009).

Through the lens of essentialism, Western terms like transgender and terms like third gender used in national human rights legislation can be viewed more critically. Their adoption does not necessarily indicate the essentialization of those it labels, but an essentialist (and strategic essentialist) lens can help illuminate how sexual and gender identity terms are used in Nepal and the functions they serve in the relationship between third gender Nepali women and human rights efforts.

METHODS This study involved three elements: (1) interviews with members of organizations that work to further gender and sexual rights, (2) interviews with third gender women, and (3) observations conducted during Human Conscious Society (HCS) activities. The Human Conscious Society is a Bharatpur LBGTI advocacy organization that is affiliated with BDS but operates independently. A total of eight interviews were performed, and all research was

undertaken over a one month period between November and December 2018.

(1) High ranking members of three organizations were interviewed: Blue Diamond Society, Mitini Nepal, and Sankalpa. The organizations were chosen since they are the leading advocacy organizations for women and sexual and gender minorities in Nepal. The purpose of these interviews was to understand different perspectives on sexual and gender advocacy in Nepal. Two members of the Blue Diamond Society were interviewed regarding BDS’s advocacy work and current issues facing third gender women, along with the personal experiences of those interviewed. One employee at Mitini Nepal, an advocacy organization for lesbians, bisexuals, and transgender men, was interviewed to shed light on the unique issues that the organization tackles and other issues regarding Nepal’s SGM’s identities and experiences. Two members of Sankalpa, an alliance of women’s organizations for gender equality, were interviewed to gain an understanding of gender dynamics in Nepal.

Between these three organizations, four interviews were conducted. Interviews were approximately an hour to an hour and a half long and, given the English fluency of all interviewees, were conducted in English. Interviews were held in the organizations’ offices, recorded with the consent of those interviewed, and subsequently analyzed.

(2) Interviews were conducted with four additional self-identified third gender women (including two of the women interviewed from the organizations above, a total of six third gender women were interviewed). Additional participants from both Kathmandu (one) and Bharatpur (three) were interviewed.

Participants were recruited using convenience and chain-referral sampling. Three of the participants were constituents of the HCS office. After visiting the Bharatpur office on multiple occasions and spending time with office staff and HCS constituents, I set up interviews with three women whom I had built rapport with. One other participant was recruited through a referral from another interviewee.

Interviews were semi-structured with open-ended questions that encouraged participants to describe certain events and experiences in depth and with little guidance.

Interviews were held in locations mutually agreed upon by the interviewer, translator, and participant. They were conducted either in the HCS office or in the neighborhood of the interviewee. One of the interviews was conducted in English, two in Nepali with the help of a translator, and a third in Nepali without the use of a translator. The questions for the final, Nepali interview were adjusted to accommodate my Nepali language ability.

(3) While in Bharatpur, observations were conducted of activities run by the Human Conscious Society. The purpose was twofold: to understand how the organization carried out certain projects (e.g. condom distribution, HIV testing, etc.) and to see how topics regarding gender

THE GW UNDERGRADUATE REVIEW • VOLUME 3 and sexuality were discussed among employees and constituents in casual settings. HCS operates within national and international development networks, and this research interprets its projects through the frame of larger development efforts.

Location and Population While this research discusses the relationship between development discourse and the issues Nepali sexual and gender minorities face at-large, it gives greater weight to issues and identities surrounding third gender women.

This choice was made, in part, because of the limited time frame for the research, and a more thorough investigation of third gender women’s experiences was preferred to a more cursory analysis of all Nepali SGM. This research focuses on third gender/transgender women despite the ambiguity of those categories. Part of the research seeks to understand the limits of those terms and their use within individual identity and national/ international development contexts. Furthermore, members of this population tend to be more visible among sexual and gender minorities and therefore tend to face discrimination more often than members of other minorities (Boyce & Coyle 2013). Therefore, understanding the issues facing this population can more clearly demonstrate the flaws and/or strengths of national and international efforts to protect the human rights of SGM. Given this population’s increased visibility in public and private life, the contrast between the lived experiences and legal protections regarding third gender women is more pronounced.

Interviews of third gender women were conducted in Kathmandu and Bharatpur. Since third gender women in Kathmandu tend to receive more national and international attention than those in other cities, Bharatpur was chosen as a secondary interview location, in part, to understand differences that may exist between Kathmandu and another urban population within the same region of Nepal. Bharatpur was chosen because it is a city where sexual and gender minorities tend to congregate; it hosts HCS, which could be used as a location to meet third gender women; and it is relatively progressive, so third gender women would be more willing to share their experiences in this study.

Ethics Given the sensitive nature of the research topic, ethical considerations were important throughout the research process. Interviews covered sensitive topics like sexual and gender identities and discrimination, at times entering the domains of sex work, sexual harassment, and sexual assault. Therefore, while obtaining consent, I emphasized the voluntary nature of participation, and the interview questions were relatively-open ended

23 in order to allow participants to share as much as they were comfortable sharing. Anonymity was provided to all participants who chose to remain anonymous, and this paper uses pseudonyms to identify those who remain anonymous. Some participants also requested certain statements to remain anonymous, which this paper leaves unattributed and without identifying information.

The two recruitment methods for third gender women participants were chosen to ensure that participants felt comfortable and not pressured to participate. With chain referral sampling, since participants would be recruited through friends, there would be less pressure to accept and discomfort to refuse. Regarding convenience sampling, I only began conducting interviews after building rapport with members of the Bharatpur HCS office and some of its constituents, spending time in the office and participating in its activities. Only after multiple interactions did I ask certain prospective participants if they would be willing to be interviewed. This method, too, aimed to decrease the pressure and discomfort of participation and negate potential power dynamics that may exist between myself and potential interviewees.

Similar dynamics may exist with a translator, so participants who were interviewed with a translator were asked first if they felt comfortable doing so. Moreover, the translator was briefed regarding issues and identities related to Nepali gender and sexual identities prior to the interviews. The translator also signed a confidentiality agreement that described the sensitivity of the issues discussed during interviews and ensured that all information disclosed during interviews would remain confidential.

Ethical approval for the study was provided by World Learning Inc. local review board in Kathmandu, Nepal.

Limitations This research is limited by factors related to research participants and methodology. In reference to organizations spoken to, interviews were conducted with members of only two LGBTI advocacy organizations and one women’s advocacy organization. While the organizations are relatively large and significant within their fields, they represent only certain populations and opinions. Furthermore, observations at the Human Conscious Society were limited by my understanding of Nepali and ability to communicate with office staff and visitors. While some observations were based on casual conversations in Nepali within the Human Conscious Society office, many were based on visual observations of the office and participation in some of those operations.

In terms of participant demographics, there was a small sample size of third gender participants. While there was some diversity in caste, there was less in age. Participants ranged from their mid-20s to 40s. Participants lived in cities, and all had connections to BDS or HCS, the latter

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by which half were convenience sampled. Many had been interviewed before, which may have influenced the way they behaved and spoke during these interviews.

Given participant demographics, limited extrapolations can be made based on interviews with these women, and extrapolations made should be accepted with caution. As a result, this study does not attempt to provide a comprehensive characterization of Nepali SGM identities, but rather uses individual narratives to challenge the stable, monolithic identities common in human rights development discourse in Nepal. Future studies with larger and more diverse samples need to be performed in order to better understand these identities and ensure their accurate presentation in laws, research, and reports. This study focuses on some fundamental problems with the discursive characterization of SGM, but further research can ensure that these populations are more accurately reflected and included.

Regarding methodology, data is limited by the information translated by the Nepali-English translator along with his understanding and interpretation of participants’ interviews.

Furthermore, questions regarding discrimination inquired about settings for discrimination discussed in past research rather than trying to identify other avenues in which discrimination occurs.

Furthermore, while the theoretical foundations are used as a lens for analyzing data, they may unintentionally act as biases, influencing the process of data collection and analysis.

FINDINGS The six participants were self-identified third gender women. All were born biological males, were feminine presenting and characterized themselves as women.

They lived in Kathmandu (Pinky, Manisha, Nilam) and Bharatpur (Mangala, Yogita, Jal) and represented a range of caste: two were Brahmin/Chhetri, one Gurung, two Newar, and one Tamang. Selected representative quotes are presented below to supplement explanations.4

Third Gender and SGM Identities First Exposures Respondents used a variety of terms to identify themselves. Among the gender and sexual terms used were third gender/tesro lingi, transgender, meti, and hijra. Some of the participants described a lack of context for understanding their gender/sexual identities when they were young. According to Mangala, before terms like tesro lingi were used, people had no frame of reference

for their attractions. “It was pretty difficult,” she explains. “[Transgender women] knew themselves as male, and their desires they suppressed within themselves.”

Similarly, Nilam remembers understanding her sexuality for the first time after reading a newspaper article in eighth grade. The article discussed transgender people in Bangkok, and she said, “And I came to know I also belong to them LGBTI community…[before] I feel people maybe some disease I have something wrong or I did something wrong.” Prior, Nilam knew only derogatory terms like hijara and chakka. Only after reading the article, did Nilam learn about lesbian, gay, bisexual, and transgender (LGBT) gender and sexual identities and was able to frame her own gender and sexual feelings. Sarita, General Secretary of Mitini Nepal, a Nepali advocacy organization for lesbians, bisexuals, and transgender men, describes a similar experience in understanding her bisexuality. Only after meeting Mitini’s founder did Sarita learn about the LGBTI community and locate her own identity within the LGBTI framework.

Some participants, however, identified Nepali terms as their primary exposure to their sexual/gender identities.

Yogita learned to define her feelings for men through the community of sexual and gender minorities that used to congregate in Kathmandu’s Ratna Park. As Yogita recounts, “When I went to Ratna Park, I used to see others like me. They used to put on powder and makeup. I was scared at first, but then I slowly realized that those are people like me, and they became friends with me. They were having sex in the field, and I realized that I should also do the same.” The primary term Yogita now uses to identify herself is meti. Before joining BDS, Pinky, too, was exposed to identity terms like gay, meti, and kothi, but began using third gender and LGBTI terms after joining.

Self-Identification All participants were asked to define a series of gender and sexual identity terms, as were SGM in casual conversation during observation periods. Three identities, representative and most applicable to third gender women, are discussed below: Meti was described in a variety of ways by participants and Human Conscious Society members in conversation.

According to one, meti refers to those “who are feminine, who are gay, who prefer for the man.” According to another, metis are “men who dress up.” To a third, meti is a “guy born as male and dancing like girl sometimes in occasion, they are meti. They are behave like a girl and the way a girl dress and dancing.” However, according to five participants, meti is synonymous with other sexual/ gender identity terms. One straightforwardly defined

4 When quoted from interviews conducted in English, quotes are written verbatim. In interviews conducted with the help of the translator, quotes are translations with first-person, rather than third-person, pronouns. In question and answer quotations, the first initial of the interviewer and participant (or their pseudonym) are used.

THE GW UNDERGRADUATE REVIEW • VOLUME 3 meti as “third gender,” and four participants defined meti as synonymous with “transgender” or “transgender woman.” As one participant explains, “Transgender and meti are the same word. One is English and one is district language.” However, when asked if there are gay meti who are not transgender, the participant replied, “Yes there are meti samalingi purush” [gay meti].

Transgender was similarly described. Two participants defined transgender through biological and behavioral lenses: “The trans woman is to male to female and female to male… Transgender is more about the gender identity/ gender expression and…lesbian/gay sexual orientation things.” According to another, a transgender person was “born as either male or female but the activities resemble the opposite sex. So, if they are born as female and they like dressing up as men and performing tasks that men work on then they are transgender.” Four participants described transgender as synonymous with third gender/tesro lingi. There was less consensus, however, regarding the term third gender. Many used it to define identity terms like transgender, meti, kothi, and panthi.

According to Mangala, for example, third gender means “cross dresssers.” She explains, “tesro lingi refers to males who dress as females or females dressing as males, but gays and lesbians are not third gender.”

However, while participants used third gender/ tesro lingi within contexts of individual sexual/gender identities, employees at Mitini and Sankalpa understood the term within a national conversation on gender and sexuality. As described by Sarita, the “Nepali Constitution has declared there is a word for sexual and gender minorities is third gender. Because first gender is male and second gender is female and third gender is LGBTI community…The government just provide the name which is easily to mark the community.” Sankalpa’s Program Manager also understands the term as referring to multiple gender and sexual minorities, all part of a gender distinct from man and woman.

In discussing various gender and sexual identities, participants described the boundaries of transgender, transsexual, and women/female identities. Some participants represent transgender identity in relation to biology. According to one participant, “I am a transgender because I changed myself, transformed myself, but I will not make [sex reassignment surgery].

I have a breast, but I still walk like a girl and look like a girl, so I am a transgender.” However, she believes that those who undergo sex reassignment surgery should be able to classify themselves as female on government documentation. Mangala also perceives the difference between herself and a woman as biological. As she explains, “Women give birth to baby, so we are not women. We are not women, we are third gender or transgender.” Along these lines, according to another participant, if sex reassignment surgery was cheaper and more available, many transgender women would do

25 it. “Some [transgender women who underwent surgery] want to forget past and say are women,” she explains.

However, several participants describe their third gender/transgender identities as independent of biology.

They assert that their gender/sexual identities inherently distinguish them from women, whether or not they undergo gender reassignment surgery. As BDS President Pinky Gurung explains, “If we included in female groups, then what is our real identity?” More than reflecting personal identity, BDS Executive Director Manisha Dhakal describes her transgender identity as political.

Using the term challenges normative social systems and empowers herself and her community to assert their rights to equality. In her words, “It’s very important. First of all, we should be proud on who we are, and then after that only we can challenge the discrimination…after that only can raise our issues, and we need to break the gender binary system, male and female, that there is another gender also. We need to sensitize society… If we are proud on our identity and then empowered on ourselves, we can talk with government, we can talk with the police, we can debate.”

Yet, this conception of third gender identity as independent of the gender binary is not always understood, as in the following conversation between a SGM man (A) and a third gender woman (B): A: For you there was no cutting [referring to sex reassignment surgery]. So you’re a ladyboy.

B: Hoina [No] A: Are you a woman?

B: No A: Are you a boy?

B: No A: So what are you?

For some of these third gender women, third gender, transgender, and similar terms denote an identity separate from man and woman. However, not all agree. As described prior, some consider third gender and similar identities as dependent on sex reassignment surgery, and one prefers identity documentation to describe her gender as “woman” rather than “third gender” or anya.

Identity Terms in Practice While participants used a variety of sexual/gender identity terms to identify themselves, they tended to be consistent in how they used them. The differences in usage could be understood as contextual. As Mangala explains, she uses different terms when communicating with different people. With foreigners she uses third gender, when speaking Nepali she uses tesro lingi, and when among her peers, and, especially when quarreling with her friends, she uses meti. In other words, Mangala and Yogita describe tesro lingi as a formal term, but they would not use meti outside of conversations with friends

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because it is “not civilized.”

Furthermore, terms identifying gender and sexual minorities were, at times, used by participants in contextspecific manners in order to convey certain ideas.

Consider one participant and her use of “third gender” and “LGBTI.” She connected the former to the history of gender and sexual minorities in Nepal. In explaining the usefulness of “third gender,” she described how the term was rooted in Hinduism and Nepali cultural history, locating third gender identity within a culturally specific context. However, when comparing qualities of life of Nepali gender and sexual minorities and those around the globe, she used the term LGBTI instead. In her words, “Each and everywhere [homophobic] people there is and this kind of peoples was before…and also in future this kind of peoples are born. LGBTI people should unite and raise their collective voice.” Here, she uses LGBTI to connote the global nature of SGM identity, rather than their cultural specificities.

Implementing Third Gender Identity Advantages and Disadvantages of Tesro Lingi Term Participants identified multiple reasons they liked and used the third gender identity term. Some participants appreciated the term’s cultural history. In the words of one, “It’s our own culture/religious term. It exists in our South Asia and most of the people blame sometimes these LGBTI terminologies from the Western culture and Western things and they blame so many times like that. And this third gender is ours in South Asia.

And that is a good thing about a different identity for transgender people, but, in my view, if people don’t like that terminology, it should be their choice, we should not make the compulsion for the transgender should be third gender.”

Some participants described the term’s practical function. Nepali people tend not to know much about SGM identities but understand the term third gender.

Pinky Gurung explains, “If some activist use word the transgender community they can use easily tesro lingi.

It is very popular in policy level, in political parties, in government officer. Each and everywhere tesro lingi word is very popular and established. A lot of Nepali people feel comfort to pronounce as the tesro lingi community.” Nepali society understands “third gender” rather than other gender and sexual identities, and Nepali SGM can more effectively make themselves visible using it. Furthermore, identifying with the third gender term can give certain SGM access to privileges they could not access otherwise. Yogita, for example, described that she could have received a tax deduction when selling a plot of land had her citizenship document listed her as anya.

Implementing Third Gender However, while participants liked the third gender term for its function as an identity term, they did find issues with its implementation. Despite identifying as third gender, three participants related that they did not want to change their gender on their identity documents because government officials would not let them also change their names. They expressed wanting an ID with the names they currently identify with rather than those given at birth, along with a photo that represents their current gender expressions. Furthermore, some participants described how an anya category on identity documentation limits their ability to participate in society. Among the examples they included, an anya/ other category on citizenship papers excludes one from opening a bank account, acquiring a driver’s license, getting a visa to certain countries, and getting many jobs.

Of the five participants who were asked, four had identity documents marking them as male and/or documents that did not list a gender but contained old photos that depicted them as men. Only one had anya listed on her citizenship papers.

Yet, many of those who want to identify as such on state-issued documentation face difficulty exercising this right. According to Pinky, this identity right was granted in 2007 but was only implemented in 2013. Since then, only 200 transgender people got citizenship IDs with their third gender identities listed. According to Manisha Dhakal, government workers often interpret these ID guidelines as applicable only to new IDs. People who already have citizenships that list them as male or female struggle to get citizenships that list them as anya, and many do not succeed in getting one. Pinky and Sarita both described government workers requiring medical forms “proving” that a person is transgender in order to grant them a third gender citizenship document. According to Sarita, some officials require a transgender person to get sex reassignment surgery and then documentation certifying they underwent that surgery in order to receive the anya label. As described by these BDS and Mitini representatives, while the third gender identity right exists, faulty implementation prevents many from accessing this right.

Organizational Issues and Operations BDS & HCS Operations The Blue Diamond Society is Nepal’s largest organization advocating for sexual and gender minorities with affiliates throughout the country. The Human Conscious Society is BDS’s only current affiliate in Bharatpur. Blue Diamond Society helped establish this office, trained HCS staff on effective organizing and fundraising, and aided in creating its constitution. While distinct organizations, BDS does, at times, give funding for projects and programming to

THE GW UNDERGRADUATE REVIEW • VOLUME 3 HCS and other district offices (Pinky Gurung).

Participants and research observations indicated two important functions the Blue Diamond Society and its affiliate offices play in the daily lives of gender and sexual minorities. The first is access to resources. Some participants described seeking BDS help to file complaints regarding police abuses. BDS works as an intermediary for SGM, filling out documentation and advocating on their behalf to the Nepali police or Human Rights Commission (Manisha Dhakal). Tangible resources include condoms and lubricant. In Bharatpur, HCS employees distribute condoms and lubricant and take people to HIV testing centers on weekly/bi-weekly bases. While distributing condoms and lubricant in Bharatpur, HCS employees went from home to home of people they characterized as “MSM and transgender women.” At each stop, they stayed and chatted with the homeowners before asking if they needed any condoms or packets of lubricant, at times discreetly. As these HCS employees described to me later, the people they visited were their friends.

Otherwise, participants described BDS and its affiliates as bringing together the local SGM community.

One participant moved to her current home because it is near the Bharatpur Human Conscious Society office, and therefore, her friends. Others claimed they went to BDS events to see friends. According to Nilam, she goes to BDS and Mitini events because “This is my family, like a family. If I go that event I can meet all over Nepal LGBT people, that’s why.”

In both cases, the Blue Diamond Society was maintaining a network of sexual and gender minority people. As a site for resources, BDS attracts those who need it, and with its events, BDS brings together local communities and SGM from throughout Nepal.

Funding Funding is critical for Nepali NGOs advocating for sexual and gender minorities. Of the three SGM advocacy organizations in Bharatpur, two, Saino Nepal and Rainbow Plus, recently closed due to lack of funding. The third organization, the Human Conscious Society, is funded by organizations like USAID and PEPFAR through projects like LINKAGES Nepal (funded and carried out by USAID, PEPFAR, and FHI 360). Much of the work I observed at the Bharatpur office was related to HIV safety and prevention, and many of the employees described their positions as focused on creating awareness about HIV/ AIDS or themselves as community resources for SGM regarding HIV/AIDS. However, the Human Conscious Society’s mission statement places less emphasis on HIV and STI prevention, one of five goals alongside reducing discrimination against SGM, increasing the educational status of SGM, increasing the income level of SGM, and increasing the representation of SGM in politics.

As Mitini Nepal’s General Secretary Sarita K.C.

27 explains, since most of the funds for Nepali gender and sexual minorities focus on HIV/AIDS, donors tend to favor organizations that work with gay men and transgender women who are classified as “high risk” for HIV. Mitini Nepal, which focuses on lesbians, bisexuals, and transgender men (shortened below as LBT) faces difficulty finding funding for their projects and operations. Their primary donors are international women’s organizations like the Global Fund for Women and the South Asia Women’s Fund. According to Sarita, Mitini Nepal wants to perform projects related to LBT health but is unable to get funding because of a lack of research on the topic. However, they are having difficulty finding funds for research about Nepali LBTs and LBT health, another example of the lack of funding available for SGM who are not “high risk.”

DISCUSSION Identity Indigenous vs. Global Identities Third gender participants described their identity formation within contexts of both Western identities and exposure to people who adopted indigenous identity terms. Among participants, these were the two frameworks for understanding their gender and sexual identities. Nepali identity terms operate on a conception of gender and sexuality that differs from that typical of the West, the latter with relatively discrete notions of gender and sexuality and terms that indicate one or the other.

In comparison, as discussed prior, Nepali gender and sexual identity terms are able to describe a combination of sex, gender, sexual orientation, gender expression, and preferred role in sexual intercourse.

Along the lines of Mohanty’s discussion of essentialism, development discourse should aim not to overwrite indigenous gender and sexual identity identities with a “global gay narrative.” LGBTI should not replace terms like meti and kothi. Western terms operate on certain assumptions of gender and sexuality, along with connotations that do not accurately translate crossculturally, especially not to the Nepali context. However, perhaps there are Nepali people who understand their own genders and sexualities through the framework of Western conceptions of gender and sexuality. In these cases, terms like meti, when adopted, may act as secondary identifiers, just like meti people may also identify as third gender or transgender. These people may see themselves as part of the global gay narrative, describing their own roles within a global LGBTI movement and comparing their own situations to those of sexual and gender minorities in other countries.

This research may indicate the need for human rights measures to acknowledge the legitimacy of various

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gender and sexual identity constructions. Just as referring to all Nepali gender and sexual minorities as part of the LGBTI community would overlook how some SGM understand their own identities, using only indigenous Nepali gender/sexual identity terms may also overlook the ways that some SGM self-conceptualize. Essentialism can work both ways.

Contextualizing Identities These different frameworks for understanding sexual and gender identities also indicate the contextual nature of gender/sexual identity formation. Rather than fixed categories abstracted from people’s lived experiences, identities can be understood as fluid notions which are informed by those experiences. The context in which this research’s participants learned to conceptualize their own identities informed their continued understanding of their sexual and gender identities.

Furthermore, participants described conscious reasons for adopting their identities. For some, sexual/ gender identity was a choice rooted in personal feeling.

When asked if they would identify as female on identity documents given the choice, several participants expressed that their third gender identity was distinct from that of a woman. They did not feel like women; they felt like third gender women. Otherwise, some participants described the political nature of choosing identity terms. As Manisha eloquently expressed, she uses the term transgender in order to give visibility to her and others’ gender/sexual identities. She challenges the binary system by asserting her transgender identity and empowers herself to challenge injustices against transgender women like herself. Identity here is not assigned, rather a conscious choice by its adopters.

Identity formation is a continual process. While participants may understand their own identities based on first exposures to gender/sexual minority identity or adopt some identities as conscious choices, identity is dynamic and relational, described and expressed differently in different contexts. Nepali SGM tend to identify with multiple gender/sexual identity terms, and this study’s participants used a variety of gender/ sexual identities in describing themselves, each serving a different function within its context. As Mangala explained, she uses third gender with foreigners, tesro lingi with Nepali people, and meti among peers, especially in quarrels with friends. Mangala recognizes that the terms are not synonymous, and, based on the connotations she associates with each, she decides in which contexts to employ them. Third gender is “civilized.” It describes one aspect of her sexual/gender identity, the one she feels appropriate to represent in formal contexts. Meti describes an aspect of her identity appropriate to use when teasing or talking with friends. Third gender and meti are terms Mangala uses to identify herself, although

neither fully encapsulates her identity in all contexts.

In a more abstract conversation about identity, another participant demonstrated the context-specific functions of certain terms. She discussed two different narratives about Nepali sexual and gender minorities. At one point, she used the term third gender in locating certain SGM identities within a long cultural and religious history. At another, she used LGBTI when comparing Nepali SGM to those across the globe. LGBTI is a Western term, and its use within a Nepali context connotes similarity in those identified as LGBTI and LBGTI people in the West. The term itself places sexual and gender minorities within a larger context by connecting them to others, whether or not the term accurately describes the identities of members of either group. Third gender, on the other hand, is described as a uniquely Nepali term. Its roots are traced to the Mahabharata and Ramayana epics, and it belongs to a narrative that asserts the indigeneity of Nepali gender and sexual identities. Each term is laden with connotations and therefore serves a function within certain contexts. Using LGBTI when discussing a narrative of historical legitimacy of Nepali SGM identity challenges the premise of that theory, just as using third gender in discussing global sexual and gender minorities undermines the relationship that exists. Identities are complex, and, while they may have competing connotations, they may also coexist. Identity is not fixed nor can one identity term fully describe the identity of a person. Rather, people express aspects of their identities in different contexts, using identity terms in each that best represent them for that situation.

Lost in Translation When asked to define a number of Nepali gender and sexual identity terms, participants translated them in a variety of ways. Some characterized meti, for example, as transgender women, others as men who like to dress in drag. The variety in answers may be due to a number of reasons. Participants may not use gender/sexual identity terms in uniform manners, and a language barrier may have caused mistranslations and misunderstandings.

However, perhaps the variety of answers could be explained as the result of describing Nepali identity terms, which are rooted in a uniquely Nepali conception of gender and sexuality, in English, using Western identity terms that operate on different notions of gender and sexuality.

Consider the following conversation: Participant: “Transgender and meti are the same word. One is English and one is district language.”

A: Aren’t there gay men who are meti who are not transgender?

P: Yes there are meti samalingi purush [meti gay men] Other participants also translated meti as transgender.

“Gay man” and “transgender woman” are distinct identities

THE GW UNDERGRADUATE REVIEW • VOLUME 3 in Western vocabularies, their mutual exclusivity rooted in the different genders that each connotes. However, such distinctions may not be as significant within Nepali gender/sexual frameworks. Gender may not be an important aspect of meti identity, while sex and preferred sexual role may be. Since transgender women and gay men may both be male-bodied, either could be meti, but this complexity is lost when translated into a vocabulary that places primary focus on gender identity or sexual orientation. Similarly, some participants distinguished between sex and gender when asked, but in conversation used the terms interchangeably. Once again, participants and translators’ imperfect English fluency can explain this terminological confusion. However, translating concepts from a language that does not emphasize distinctions in sex and gender to one that does may also be a compelling explanation. Nepali people tend to use linga to denote both.

Implementing Identity Identity and Access to Power Third gender not only acts a term for self-identification but gives its adoptees access to certain resources and representation not available with other terms. As described by some participants, third gender carries weight in society, while other identity terms do not. Third gender appears in legislation and Supreme Court cases and is the only non-Western identity term that is visible in Nepali society.

On one hand, the third gender label may assist SGM in attaining rights. Nepali people tend to know little about gender and sexual identities, and unifying these identities under the third gender category may be of practical necessity, a form of strategic essentialism that can forward the interests of SGM at large. However, the consequence is that people must identify as third gender in order to access certain systems of power and representation. The 2011 census asked about the number of men, women, and third gender people in each household. If a person does not identify with any of these categories, they will not be represented and continue to be invisible to society and the government. An incentive, therefore, exists for sexual and gender minorities to identify as third gender in order to have some sort of representation for their gender/ sexual minority identities. Nepali SGM use a variety of identity terms, many with differing nuances of identity construction. While third gender is privileged, other SGM identities may be sidelined and the nuances of identity that they represent overlooked.

Identifying as third gender also gives identifiers certain tangible resources not available to others. As described by Yogita, she did not qualify for a tax subsidy since she had not changed her citizenship document to anya. Even if this is the only example, adopting a third gender identity

29 gives access to a deduction not available to those who do not identify as such. Third gender identity is an important avenue for representation and resources, and further research should explore the benefits and consequences of making access to systems of power available through the third gender term while inaccessible through others.

This tentative conclusion, however, should be qualified by the disincentives and limitations that a third gender identity simultaneously imposes.

Problems in Implementation Many SGM are further prevented from accessing benefits associated with a third gender identity due to bureaucratic roadblocks. Three participants described not wanting to change their IDs to reflect their third gender identities because government officials would not also let them change their names and/or photographs.

Many who still seek the anya category are unable to attain an ID because of government officials who do not understand third gender identity or interpret their instructions in ways that do not require them to issue these documents.

Third gender identity also limits its bearer’s ability to participate in society. Participants explained that the third gender category can exclude those who hold it from opening bank accounts, traveling, and finding jobs, among other activities. Just because a third gender category exists does not mean that it is accessible or functional in society. Until these implementation issues are fixed, there may exist disincentives to identifying as third gender, and the lack of acceptance of a third gender category may work to further marginalize Nepali gender and sexual minorities.

Organizational Issues and Operations The Social Network The Blue Diamond Society plays an important role in the lives of participants. More than a place for resources, BDS and its affiliates bring together local SGM communities. These create a social network through which it can provide resources. Members of the Human Conscious Society network, for example, by being part of this network, have access to condoms and lubricant and support in getting regular HIV tests. The relationship between BDS as a supplier of resources and BDS as a social network is significant and demonstrates a successful model for effective distribution of resources and services.

Funding and Enrollment As seen through the Human Conscious Society and Mitini Nepal, funding sources have significant impacts on the projects that organizations do and are capable of

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doing. While HCS’s mission statement includes a variety of goals related to empowerment of SGM, many of the operations I observed were related to the statement’s final point: “Reduce the HIV and STI transmission among SGM people.” As seen through the lens of David Mosse and “enrolment,” the sources of money may alter the focuses of development projects in ways that do not best serve those they try to help. HCS’s focus on HIV/AIDS prevention may stem from the funding that they receive. Funding is limited and competitive; two other organizations in the same city recently closed due to a lack of funding.

As discussed in literature on AIDS funding in Nepal and echoed by Mitini’s General Secretary, HIV/AIDS funding prioritizes those it identifies as “high risk” (i.e. gay men and transgender women) over those it classifies as “low risk” (i.e. lesbian women and transgender men; those who tend to be female-bodied). Therefore, organizations that support the sexual health of “high risk” individuals tend to receive more funding and can support other projects for those populations. Organizations that do not represent these populations struggle to find funding for any of their projects, health-related or otherwise. The HCS can, therefore, act as a case study of this phenomenon detailed in HIV/AIDS implementation literature. To clarify, the work of HCS and its donors do not reflect those of the Blue Diamond Society, and, given the considerable limitations of the observation portion of this research, conclusions should be accepted with circumspection. Furthermore, this theory of operations does not indicate flaws with the Human Conscious Society, which pursues valuable goals for the local SGM community, but rather demonstrates flaws with the global system of donor aid.

CONCLUSION Development measures can have incredible impacts on the societies in which they operate and especially on the populations that they intend to help. Understanding the identities of these populations is critical to the success of development; however, development in Nepal often misrepresents the identities of sexual and gender minorities. This research questions the homogeneity of SGM described by some development organizations and their critics. SGM’s identity construction is not uniform and neither are their identities fixed. Identity should be understood as context-specific, and SGM identities as intertwined and mutually-informing. Furthermore, these identities carry meanings and connotations that may be lost with translation. Understanding the framework for gender and sexuality that underlies Nepali sexual and gender identity terms is important in order to supplement and contextualize the identities that, otherwise, may be misrepresented and misunderstood.

To address these issues, development organizations should: (1) Use inclusive language, favoring neither language

that implies a global gay narrative nor indigenous identities exclusively. Given the potential exclusions either set of vocabulary allows for, both should be used when describing Nepali SGM as a whole and in identifying members of the SGM community.

(2) Avoid translating indigenous SGM terms given their nuanced, context-dependent meanings.

(3) Understand the impacts donor sources may have on development projects and on sexual and gender minorities. In developing priorities and evaluating successes, development organizations must consider (a) the populations they target and unintentionally ignore (b) their focus areas, other organizations’ focus areas, and which SGM needs may be overlooked.

The Nepali government should: (1) Use inclusive language in its legal protections for sexual and gender minorities. By legally defining third gender to include the various identities subsumed under the identity, for example, the exclusions in the current exclusive use of “third gender” language may be avoided.

(2) Enforce existing legislation protecting Nepali SGM. (3) Ensure the transmission of protections for SGM listed in the Constitution to other government documents (e.g. policies of various government bodies).

Ultimately, national and international pressure are likely necessary to ensure that the latter measures are implemented. As recently demonstrated in India, protests and grassroots activism succesfully pressured government officials to decriminalize homosexuality (Misra, 2009).

Nepal can be among other South and Southeast countries like Myanmar, Malaysia, and Singapore, whose activists movements are changing public opinion towards sexual and gender minorities and are emerging as important players in domestic social issues despite prevalent social stigma (Chua & Gilbert, 2015; Ng, 2018). Through social activism, minority groups can hold the government accountable for its actions along with its chronic inaction.

Looking Forward The gaps in this research suggest directions for further investigation. As described above, awareness campaigns are important parts of national NGOs’ repertoire of advocacy programming, and future research should evaluate the efficacy of such programs in influencing their participants and decreasing discrimination.

Otherwise, queer theory tends to construct a fixed and uniform conception of heteronormativity (Hall 2013). Gender and sexual minority identities are not stable, and neither are normative understandings of gender, heterosexuality, and masculinity. SGM identity operates within a heteronormative context, and studying the changing dynamics of the latter is important to

THE GW UNDERGRADUATE REVIEW • VOLUME 3 understanding the former. How do those changing norms affect gender and sexual minorities? How is the presence of SGM in traditionally heteronormative spaces like the family unit, coupledom, marriage, and child-rearing affecting those spaces? Further research should explore changes (if any) in heteronormative conceptions of topics like gender, sexuality, and gender expression and the implications of those changes on sexual and gender minorities.

Finally, there exists a dearth of research on the intersectional experiences of Nepali gender and sexual minorities. Some research indicates that sexual minorities who belong to certain castes face unique challenges (Singh et al. 2012). However, it is unclear how those interlocking systems of oppression manifest and how they can best be combatted. Further research should seek to understand how intersectional identities play roles in the lives of Nepali gender and sexual minorities, and how those identities contribute to SGM’s self-conceptions and life experiences.

31 ACKNOWLEDGMENTS First and foremost, I would like to thank the rays of light who were this study’s participants. Their stories were inspiring, and I am grateful that such beautiful and self-determined people exist and are speaking out to advocate for sexual and gender minorities. I am thankful for the Blue Diamond Society and the Human Conscious Society for all of their help in the research process and for their persevering efforts to make the world a better place.

An additional thank you to my project advisor Amina Singh for her advice and direction and to Danny Coyle for his insight.

I am grateful for the opportunity to be able to perform this project, all those who helped me in the process, and everything I learned along the way.

APPENDIX Glossary of Terms BDS Blue Diamond Society HCS Human Conscious Society ID Identity document LBT lesbians, bisexuals, and transgender men LGBT lesbian, gay, bisexual, and transgender LGBTI lesbian, gay, bisexual, transgender, and intersex LGBTQ lesbian, gay, bisexual, transgender, and queer MSM men who have sex with men NGO non-governmental organization SGM sexual and gender minority/minorities List of Interviews Kathmandu Pinky Gurung, Blue Diamond Society; November 7, 2018 Manisha Dhakal, Blue Diamond Society; November 13, 2018 Sarita K.C., Mitini Nepal; November 14, 2018 Chanda Shrestha Rai & Bijaya K.C., Sankalpa; November 14, 2018 Nilam; November 12, 2018 Bharatpur Yogita; November 20, 2018 Mangala; November 20, 2018 Jal; November 28, 2018

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REFERENCES 1. Ashcroft, B., Griffiths, G., & Tiffin, H. (1998). Key Concepts in Post-Colonial Studies. London: Psychology Press.

2. Bakshi, S. (2004). A Comparative Analysis of Hijras and Drag Queens. Journal of Homosexuality, 46(3-4), 211-223. doi.org/10.1300/j082v46n03_13 .

3. Blue Diamond Society (BDS). (2013). The Violations of the Rights of Lesbian, Gay, Bisexual, Transgender, and Intersex Persons in Nepal. Geneva: Blue Diamond Society, Heartland Alliance for Human Needs & Human Rights.

4. Bochenek, M., & Knight, K. (2012). Establishing a Third Gender in Nepal: Process and Prognosis. 26, 11-41.

5. Boyce, P., & Coyle, D. (2013). Development, Discourse and Law: Transgender and Same-Sex Sexualities in Nepal Paul Boyce and Daniel Coyle. Sussex: Institute of Development Studies.

6. Boyce, P., & Pant, S. B. (2001). Rapid Ethnography of Male to Male Sexuality and Sexual Health. Kathmandu: Family Health International.

7. Chua, L. J., & Gilbert, D. (2015). Sexual orientation and gender identity minorities in transition: LGBT rights and activism in Myanmar. Hum. Rts. Q., 37, 1. doi.org/10.1353/hrq.2015.0016 8. Chhetri, G. (2017). Perceptions About The “Third Gender” In Nepal. Dhaulagiri Journal of Sociology and Anthropology, 11, 96–114. doi.org/10.3126/dsaj. v11i0.18824 9. Dickson, S., & Sanders, S. (2014). India, Nepal, and Pakistan: A Unique South Asian Constitutional Discourse on Sexual Orientation and Gender Identity. In S. H. Williams, Social Difference and Constitutionalism in Pan-Asia (pp. 316-347). Cambridge: Cambridge University Press. doi.org/10.1017/ cbo9781139567312.017 10. Epple, C. (1998). Coming to Terms with Navajo “nádleehí”: A Critique of “berdache,” “Gay,” “Alternate Gender,” and “Two-Spirit”. American Ethnologist, 25(2), 267-290. doi.org/10.1525/ae.1998.25.2.267 11. Family Health International (FHI). (2009). Integrated Biological and Behavioral Surveillance Survey (IBBS) among Men who have Sex with Men (MSM)) in the Kathmandu Valley. Kathmandu: Family Health International.

12. Hall, K. (2013). ‘It’s a hijra!:’ Queer linguistics revisited. Discourse & Society, 24(5), 634-642. doi. org/10.1177/0957926513490321

13. International Commission of Jurists (ICJ). (2007). Yogyakarta Principles - Principles on the application of international human rights law in relation to sexual orientation and gender identity. Yogyakarta.

14. Knight, K. (2014). Outliers: Sunil Babu Pant, the Blue Diamond Society, and Queer Organizing in Nepal.

Studies in Nepali History and Society, 19(1), 113-176.

15. Kulick, D. (2009). Soccer, Sex and Scandal in Brazil.

Anthropology Now, 1(3), 267-290.

16. Lau, H. (2013). Law, Sexuality, and Transnational Perspectives. Drexel Law Review, 5, 479-495.

17. Misra, G. (2009). Decriminalising homosexuality in India. Reproductive health matters, 17(34), 20-28. doi. org/10.1016/s0968-8080(09)34478-x 18. Mohanty, C. T. (2003). Feminism without Borders: Decolonizing Theory, Practicing Solidarity. Durham & London: Duke University Press Books. doi. org/10.1215/9780822384649 19. Mosse, D. (2005). Cultivating Development: An Ethnography of Aid Policy and Practice. London: Pluto Press. doi.org/10.2307/j.ctt18fs4st 20. National Centre for AIDS and STD Control (NCASC).

(2015). Country Progress Report Nepal. Kathmandu: Ministry of Helath and Population.

21. Ng, E. (2018). LGBT Advocacy and Transnational Funding in Singapore and Malaysia. Development and Change, 49(4), 1093-1114. doi.org/10.1111/dech.12406 22. Pigg, S. L. (2002). Expecting the Epidemic: A Social History of the Representation of Sexual Risk in Nepal. Feminist Media Studies, 2(1), 97-125. doi. org/10.1080/14680770220122891 23. Rajani Shah v. National Women Commission et al: Supreme Court Verdict, Writ No. 069-WH-0030 24. Singh, S., Pant, S. B., Dhakal, S., Pokhrel, S., & Mullany, L. C. (2012). Human rights violations among sexual and gender minorities in Kathmandu, Nepal: a qualitative investigation. BMC International Health and Human Rights, 12(7), 1-9. doi.org/10.1186/1472698x-12-7 25. Sunil Babu Pant and Others v. Nepal Government and Others: Supreme Court Verdict, Writ No. 17 of 2064 BS/2007 AD. Translated by Yadav Pokharel.

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nal of Lesbian and Gay Studies, 8(4), 469-497. doi. org/10.1215/10642684-8-4-469 28. United Nations Development Programme (UNDP), Williams Institute. (2014). Surveying Nepal’s Sexual and Gender Minorities: An Inclusive Approach. Bangkok: UNDP. 29. Wilson, E., Pant, S. B., Comfort, M., & Ekstrand, M. (2011). Stigma and HIV risk among Metis in Nepal.

Culture, Health & Sexuality, 13(3), 253-266. doi.org/1 0.1080/13691058.2010.524247

About the Author Amit Gerstein is a senior at the George Washington University studying International Affairs with a concentration in International Development. He is particularly interested in sociocultural anthropology and the role in can play in informing development practice. Amit enjoys volunteering as an Emergency Medical Technician (EMT) in Washington D.C. and working as a CPR instructor and research assistant. Outside of the U.S., Amit has lived in Israel, Nepal, and Mexico and hopes to continue traveling and broadening his understanding of the world.

Mentor Details This paper was written with mentorship from Amina Singh.

Amina Singh is an independent researcher who focuses on adult education and gender and feminist theory. Her research argues for reconceptualizing the subject, body, and knowing by understanding learning as a process of becoming in life. She currently lectures at the Kathmandu University School of Education and School of Management on courses in Gender, Ethnicity, and Social Inclusion and qualitative research methodology.

34 KEYWORDS: probability forecasts, stakes, policy stakes, media, elections, candidate favorability DOI: https://doi.org/10.4079/2578-9201.3(2020).03

The Effects of Probabilistic Forecasts and Policy Stakes on Electoral Participation in an Experimental Setting MARK MCKIBBIN Political Communication, SMPA ‘20, markmckibbin12@gwu.edu

ABSTRACT This study looks at the effect of probabilistic forecasts and policy stakes on vote intention in an experimental setting. This study examined stakes and forecasts through exposing subjects to mock newspaper articles in two experiments: a fictitious mayoral election and the 2018 U.S. Senate race in Arizona. The study found that varying the policy stakes of an election had a significant impact on intention to vote, while varying the probabilistic forecasts did not have a significant effect on intention to vote. In the mayoral experiment, when the mock article said that the candidates disagreed on a major policy (high stakes treatment), subjects were significantly more likely to indicate that they would vote in that election in comparison to the article where subjects were told that the two candidates agreed on that same policy issue (low stakes treatment).

In the Arizona experiment, I found that low stakes made subjects significantly less likely to say they would vote in comparison to the control treatment. Both stakes and probability had some effects on candidate favorability and candidate preference in my mayoral experiment. My results lead me to conclude that the media has the potential to influence political participation levels through the way they cover elections.

• INTRODUCTION The United States has one of the lowest voter turnout rates in the developed world (DeSilver, 2018). Low voter turnout is problematic because it discourages elected officials from acting in the interests of the majority of the public and encourages them to cater to special interest groups and large donors instead (Rauch, 2016). To make elected officials more responsive to the needs of the larger populace, the United States must increase its voter participation levels.

The purpose of this study is to understand how media messaging affects voter intention and can be altered to potentially increase voter turnout levels.

Past research has shown that public opinion polls and probabilistic forecasts1 can affect an individual’s inclination to vote. Previous studies have also shown that raising the stakes2 of an election through emphasizing the election’s consequences can increase individual intention to vote. I build on previous research through using two quantitative experiments to examine the simultaneous causal effects of probabilistic forecasts and stakes messaging on intention to vote in a fictitious local

mayoral race and the effects of stakes messaging alone on intention to vote in the 2018 Arizona U.S. Senate race between Kirsten Sinema and Martha McSally. In my first experiment, the mayoral race, I decided to use a fictitious race to test my key dependent variables to avoid interference from confounding variables that may have come into play with a real election. Potential confounding variables include the possibility that some subjects had heard of and developed opinions about the city or one of the candidates, which could have influenced their answers. In my experiments, higher stakes indicate more significant consequences of a particular election outcome, while lower stakes indicate less dramatic consequences. In my second experiment, I tested the effects of stakes messaging in a reallife upcoming political election — all subjects in my second experiment took my survey before the Arizona U.S. Senate race took place on election day 2018.

The results from my study indicate that exposure to varying information about policy stakes has a causal effect on intention to vote, but probabilistic forecasts did not. My results lead me to make two

1 Probabilistic forecasts make projections about how likely a political candidate is to win an election based on an average of polls about the race 2 Policy stakes look at whether the election outcome is likely to affect the fate of a particular law or policy

THE GW UNDERGRADUATE REVIEW • VOLUME 3 conclusions. First, my results highlight how journalists may be able to help the United States deal with its issue of low voter turnout and encourage electoral engagement through emphasizing policy differences between candidates and the potential consequences of an election outcome. Second, my results suggest that contrasting media information about probabilistic forecasts may not have any major effect on the decision to vote. This study provides insight to journalists who want to positively influence the democratic process through their coverage of political campaigns.

PREVIOUS TURNOUT AND VOTE CHOICE RESEARCH Limits to rationality in voting While my specific study focuses on voter intention, an understanding of previous voter turnout literature is essential to my experimental design.

Early political science literature primarily examined voter turnout through the rational choice model, which Blais (2000) describes as the theory where a citizen “decides to vote if, in her view, the benefits of voting are greater than the costs.” According to Downs (1957), voting goes against the rational choice model because even though it benefits democratic society, when more people vote, the costs of voting outweigh the benefits for individuals. It takes time to cast one’s vote, and it is highly unlikely that a single vote will influence the outcome of an election. Still, in the United States, tens of millions of people choose to vote in elections. Therefore, most modern turnout literature has concluded that the rational choice model is limited in that it cannot explain why millions of people choose to cast their votes in elections. What motivates people to turn out to vote has become one of the most compelling problems to study in political science research.

Two of the scholars who attempted to understand the conundrum of voter turnout was Riker and Ordeshook (1968). Riker and Ordeshook agree with Downs’ conclusions when they assert that “voting, the fundamental political act, is typically irrational” (p. 25). Riker and Ordeshook expand on Downs’ work by explaining why people choose to vote even though voting is irrational. The authors developed a helpful formula for assessing the decision process that individuals undergo when deciding whether or not they will vote: R = (PB) - C + D (p. 28). In this formula, (R) equals the reward that comes from casting one’s vote.

This reward must be greater than 0 for one to vote in an election.

Riker and Ordeshook include (PB) in their voting formula, where (P) is the probability that one’s vote will be consequential in achieving the benefit (B) they desire.

While this probability is extremely small, the value of (P) in this context may be raised for an individual if they perceive that an election is highly competitive and believe

35 their vote is more likely to be consequential. Though this perception is mostly a fallacy, rational choice theory tells us it may help motivate an individual to turn out to vote because it fulfills their desire to be “influential” regarding an election outcome (p. 25-28).

Riker and Ordeshook define (B) as the benefit that comes from voting. If an individual’s candidate wins, that candidate will be able to enact policies that benefit the individual. For example, a candidate may promise to implement a single-payer system, so an individual who cannot afford health care or is not provided it by their employer will have a high reward (R) if that candidate wins and successfully enacts a single-payer plan. When people feel that they will benefit from a particular election outcome, the “stakes” of an election are high for them (p.

25-28). Riker and Ordeshook use (C) to define the costs of voting. The costs of voting include the time it takes to learn about the candidates, fill out a ballot, take off work to go to a polling place or pay postage for a mail-in ballot.

Most of the time, the product (PB) is incredibly small.

The likelihood that a single vote will be consequential in altering the election results and bringing about the benefit of a particular election outcome is close to zero. For this reason, the quantity of (C) usually outweighs the quantity of (B) and (P). This is why Riker and Ordeshook and other scholars acknowledge that voting is irrational. Riker and Ordeshook’s major contribution to voter turnout studies is their introduction of (D), which represents citizen duty or civic duty. Due to civic duty, citizens feel grateful that they have a right to choose the leaders that make decisions about their lives and feel a duty to engage in the voting process as a result. Additionally, exercising one’s civic duty can make an individual feel good. Even if someone recognizes that their single vote will likely not affect the outcome of the race, they may benefit from voting through the satisfaction they receive when expressing their support for a candidate. For this reason, Riker and Ordeshook suggest that (D) probably has a larger impact on whether one decides to vote than either (P) or (B) (p. 36).

According to Kahneman (2011), one way that individuals make decisions in their lives is through heuristics.

Heuristics are mental shortcuts that make decision making less of an arduous process. One heuristic Kahneman discusses is the availability heuristic, where individuals make decisions based on information that immediately comes to mind. Kahneman uses the example of people being more afraid to fly when they hear about a dramatic plane crash or more afraid to drive when they see a car in flames. These fears may not be well-founded or rational, but they are immediately available in an individual’s mind and, therefore, may be used as a criterion that the individual uses in deciding how often to fly or drive. Individuals may also use the availability heuristic when making decisions about voting. A recently seen poll or probabilistic forecast can serve as the basis for a

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decision about whether or not the election is competitive enough for their vote to make a difference. Alternatively, an individual may look at the stances of the candidates on a particular policy issue to evaluate whether they would significantly benefit from a particular election outcome, and therefore whether it is worth it for them to cast a vote. Individuals can use heuristics to raise and lower the values of both (P) and (B) in Riker and Ordeshook’s formula.

Simon (1955) says that individuals are limited by alternatives in their ability to behave rationally. Simon writes that “in most global models of rational choice, all alternatives are evaluated before a choice is made.

In actual human decision-making, alternatives are often examined sequentially… when alternatives are examined sequentially, we may regard the first satisfactory alternative that is evaluated as such as the one actually selected” (p. 110). Simon’s research can apply to voting.

When individuals are making decisions about whether to vote in an election or which candidate they want to vote for, they will likely select only a few criteria to base their decision on rather than evaluating all possible criteria. A poll about how close the election between two candidates is may drive individuals to cast their vote or stay home. When picking a candidate, individuals may use party affiliation to decide who to vote for. Individuals may assume that those who share their party share their policy views. This assumption can serve as a mental shortcut that an individual uses to select a candidate without learning everything about that candidate. In terms of mental shortcuts, heuristics and sequential alternatives act in a somewhat synonymous fashion.

Other voters may use a candidate’s position on a single policy issue (such as gun violence prevention, climate change, or abortion) as their litmus test for candidate selection without knowing much else about a candidate.

These are not the only criteria that individuals can evaluate in the voting process, but they may be the first satisfying alternatives an individual comes across in an election. Once individuals have settled on their criteria, they will usually not search for alternative criteria that could change their mind. Simon’s research illustrates why individuals are limited in their ability to make “rational” decisions about casting their vote and selecting a candidate.

How social pressure and stakes can motivate people to vote Political science researchers have found that it is possible to use various tactics to increase the number of people who vote or intend to vote. Gerber, Green, and Larimer (2008) found that they could use social pressure to incentivize people to vote. In their study of 180,000 Michigan households during the 2006 election, the researchers found that households who received a “social

pressure” treatment, a letter from the researchers saying that the researchers would mail the person’s voting records to their neighbors after the election, had an eight percent higher turnout rate than those in the control group who received no letter from the researchers. This effect was stronger than effects yielded by letters sent to other treatment groups that characterized voting as a civic duty, informed subjects that researchers were studying their voting records, or explained that voting records were public information (p. 38).

Gerber, Green, and Larimer’s research illustrates a potential negative side to the express benefit of voting as a civic duty. Just as one casts a vote to feel good about having expressed their support for a candidate, people also turn out to avoid the perceived shame of being publicly shown to be people who did not vote. By using social pressure to raise the stakes of the election, the researchers made the benefit (B) of doing one’s civic duty (D) much higher than the cost (C) of voting.

Social pressure can raise the stakes of an election.

Accordingly, the stakes of an election may also be raised if the personal benefits of an election outcome are clearer or made more salient. Andersen, Fiva, and Natvik (2013) found in their analysis of a local election in Norway that when citizens in a particular locality were primed to think about how a particular election outcome could lead to hydropower production income and more tax revenue for the locality, they believed the election was more important (i.e. had higher stakes). As a result, local citizens actively sought more information about the election.

Because those citizens gathered more information, they feel more inclined to participate in the election (p. 15666). Matsusaka (1995) found a direct relationship between how informed someone was about politics and policy and how likely they were to vote (p. 97). The results of these studies imply that giving voters more information about the stakes of an election can make it more clear to voters what the benefit of a certain election outcome (B) will be.

When voters have a concrete idea of the benefit they will receive, they feel more inclined to play a role in bringing about that benefit through casting a vote.

Certain types of policy stakes may matter more than others. Smith and De Mesquita (2011) found in their metaanalysis of the literature on voter turnout that voters are more motivated to vote by promises of spoils that they will receive in the form of “pork,” or local public goods, than they are by more general promises of policy reform, where the personal benefit of an election outcome is not as clear. The authors write that sometimes people vote for candidates who they disagree with on policy because they believe that they will reap greater personal benefits from that candidate winning the election (p.

374). An example of this could be someone who votes for their incumbent congressperson of the opposite party because they believe that the incumbent’s seniority gives that incumbent a greater ability to bring political pork,

THE GW UNDERGRADUATE REVIEW • VOLUME 3 or government spending for local projects such as dams or bridges, to the congressional district. The authors also found in their review that stronger partisans are more heavily influenced by promises of political pork.

Alternatively, weaker partisans are more inclined to look at how competitive the election is when deciding to vote and are “more likely to turn out when the election is expected to be close,” (p. 387). The research of these authors indicates that both the stakes of an election and how competitive the election is can affect turnout for different subgroups of voters.

How the media can influence turnout and candidate preference Research has demonstrated that exposure to general media coverage can increase voter turnout and affect candidate preference. Using data taken from the 2008 American National Election Study, Hyun and Moon (2014) found that “news attention predicts issue importance, issue knowledge, and perception of closeness on issue positions for one presidential candidate over another, which relates to vote choice” (p. 687). When the media covered an issue more extensively, voters placed more importance on that issue. This was especially true for voters who identified as independents. These voters relied on the news media more than traditional partisans, and in turn, made their voting choices based on the way the media covered issues. This study shows that the media coverage of issues can have an impact on candidate favorability and vote preference.

While Hyun and Moon’s study focused primarily on the way the media framed campaign issues, other studies have looked at the effect of more general media exposure on voter turnout and preference. In Gerber, Karlan, and Bergan’s (2009) field experiment, the authors provided two treatment groups with ten-week subscriptions to The New York Times or The Washington Post during the 2005 Virginia gubernatorial election. Although being exposed to either the Times or the Post did not have a significant effect on voter turnout in 2005, they did find “some evidence of increased voter turnout in the 2006 election” for those subjected to the 10-week newspaper subscription treatment in comparison to the control group that did not receive a free newspaper subscription (p. 37). Based on their findings, the authors conclude that “even short exposure to a daily newspaper appears to influence voting behavior and may affect turnout behavior,” (p. 47). Knowing more about an election can have positive long-term effects on voter turnout (p. 48).

Gerber and his co-authors also found that media exposure can affect candidate preference. They discovered that exposure to the Times and Post increased support for the Democratic gubernatorial candidate in Virginia (p. 37).

However, the authors are careful to note that the topics the two papers were covering at the time could have

37 shifted support away from the Republican candidate due to negative coverage about the Iraq War and President George W. Bush’s controversial Supreme Court nominee Harriet Miers (p. 47).

How perceptions about level of competition affect turnout Media campaign coverage can influence an individual’s conclusions about how competitive an election is, which, in turn, affects turnout. Current academic literature is consistent in its findings that there is a direct relationship between how competitive voters perceive a political race to be and their incentive to turn out to vote. Even though it is highly improbable that one vote will be pivotal to the election outcome, putting more weight on (P) through emphasizing how competitive an election is can still motivate people to vote.

In their examinations of the effect of previous elections on voter turnout, Nicholson and Miller (1997) discovered that living in an area where a landslide election victory had occurred made an individual less likely to vote than if they lived in an area where a candidate won by a smaller margin (p. 204). According to Sudman (1986), looking at the margins of exit polls from previous elections in an experimental setting could affect an individual’s expressed intention to vote based on how close the margins between the two candidates were (p. 338). Blais (2000) writes that in his analysis of election studies that “closeness has been found to increase turnout in 27 out of 32 different studies that have tested the relationship, in many different settings and with diverse methodologies.

There is good reason to believe that, as predicted by rational choice theory, more people vote when the election is close,” (p. 60).

The relationship between competition and turnout has been consistent throughout United States history. One meta-analysis of United States House of Representatives elections from 1840 to 1940 by Engstrom (2012) demonstrates that there is a direct relationship between the level of perceived political competition and voter turnout in particular House districts (p. 373). Engstrom discovered a negative correlation between margin of victory and turnout in the races he studied: for every one-point increase in a candidate’s margin of victory, there was a 0.27% decline in district-level turnout. “To put this in context,” Engstrom writes, “all else being equal, a 15-point decrease in competition—roughly equal to the average decline between 1870 and 1920—would have reduced turnout by 4.1%” (p. 382-83). One reason for this negative correlation could be that people in less competitive elections thought that their votes would matter less. Additionally, when people felt their vote could be decisive in determining House control, they were more inclined to turn out and vote (p. 337-38).

People were incentivized to vote both when they thought

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their vote could be decisive in that particular election and if they believed that the congressional election as a whole could determine control of the House.

Grober and Schram (2010) make similar claims and provide insight into what kinds of voters might be particularly affected by the perceptions that an election is more or less competitive. Grober and Schram discuss the role of competition in electoral turnout as “level of disagreement” in polls. Polls depicting a close race indicate high levels of disagreement because more people disagree on which candidate they prefer. Polls showing one candidate with a formidable advantage indicate a low level of disagreement because fewer people disagree about which candidate they prefer. Highly competitive elections draw in more voters. As a result, some of the voters in the highly competitive election are classified by the authors as “floating voters:” those who do not feel strongly attached to a particular political party and have more lukewarm attitudes about the importance of voting in comparison to strong partisans. Floating voters are less committed to voting as a matter of civic duty and therefore may not choose to vote in what they believe are less competitive or less consequential elections (p. 700711).

One reason floating voters may not vote in less competitive elections is because they fall victim to a “false consensus effect,” whereby these voters “overestimate the number of other ‘floaters’ supporting the same candidate. This increases the incentive to free ride, causing a depressed turnout by this voter type,” (p.

715). These floating voters often support a candidate not because they strongly prefer that candidate, but because they believe that others also support that candidate. This tendency to support a candidate because one believes others are supporting that candidate is an example of the “bandwagon effect,” which Psychology Today defines as “a psychological phenomenon whereby people do something primarily because other people are doing it, regardless of their own beliefs, which they may ignore or override,” (Bloom & Bloom, 2017). However, if a candidate has a formidable advantage, this could also discourage floating voters from turning out to vote for that candidate because they believe the candidate will easily win without their vote.

The media can affect how people think about elections through the amount of “horse-race” coverage they engage in. “Horse-race” coverage includes media coverage of how candidates are faring compared to their competition. This might include news stories about poll numbers, stories about why one candidate has an advantage over the other in the election and reporting on probabilistic forecasts that give one candidate a greater chance of winning than the other candidate. Banducci and Hanretty (2014) examined the horse-race coverage of 160 newspaper and TV outlets in 27 European countries and discovered

a positive association between close elections and the amount of horse-race coverage the media engaged in (p.

622).

Broh (1980) analyzed horse-race coverage in the 1976 election between Jimmy Carter and Gerald Ford. Broh found election reporters often emphasized uncertainty and competitiveness in an election, writing that “journalists will report the resulting differences in candidate support as attitude change, and thus make a campaign appear much more volatile than it really is,” (p. 523). Emphasizing high levels of competition drums up political intrigue, but can also prevent voters from evaluating candidates based on their policy positions (p. 524). However, Broh argues that there are also potential positive effects of horse-race coverage. Horse-race coverage can make elections more sports-like, and therefore more exciting to voters, which may increase electoral engagement (p. 527).

Mutz (2012) found in her analysis of presidential primaries that horse-race coverage in the form of “the extent of media coverage suggesting a candidate is gaining or losing political support - helps determine the frequency of campaign contributions,” (p. 1015). In a political election, individuals can engage in “strategic contributions,” donating to a candidate who they like and who they think is viable. Perceptions of viability can be determined by the frequency and tone of media coverage about the candidate (p. 1024). Mutz’s data showed that the number of donations to a particular candidate increased “when the candidate’s popularity was perceived to be on the upswing,” (p. 1032). Mutz’s analysis led her to conclude that “news about changes in candidate status may draw potential donors’ attention to the campaign and act as an important motivating force fueling a campaign’s progress,” (p. 1039). In the same way that media coverage affects the number of donations a candidate receives, it may also influence the number of votes a candidate receives come election day.

Patterson (1993) found that there is a positive association between a candidate’s poll numbers and the degree of favorable media coverage the candidate receives, especially when the candidate is perceived to be gaining momentum (p. 117-19). However, media coverage of “frontrunner” candidates who have a substantial polling advantage and “likely loser” candidates who poll significantly behind other candidates becomes increasingly negative over time. Patterson found that both types of candidates experienced about a 10 percent decline in positive coverage as time went on (p. 122-23).

Patterson also writes that a candidate’s level of support can depend on their perceived chances of victory, writing that “my study of the 1976 campaign found that half or more of [Jimmy] Carter’s support [in the primary] came from voters who knew he was leading the pack and had a vague notion he could be trusted but not much else,” (p. 133). Patterson’s work shows that horse-race coverage

THE GW UNDERGRADUATE REVIEW • VOLUME 3 may trigger the bandwagon effect in that people feel more inclined to support a candidate who they believe most other people are supporting as well.

Probability and voting behavior Probability forecasts of an election can be considered a type of horse-race election coverage. Probability forecasters average polls and use this average to give candidates a probability percentage of winning an election. One of the most prominent probability forecasts used in American politics today is Nate Silver’s website, FiveThirtyEight, where he conducts forecasts for congressional, gubernatorial, and presidential races.

Graefe (2014) writes that “in the week prior to the 2012 election, almost three out of four politics visits at The New York Times website included a stop at FiveThirtyEight. The day before the election, one in five nytimes.com visitors looked at Silver’s site,” (p. 224). However, Silver himself has noted that members of the public and journalists often confuse probabilistic forecasts and polls and do not give enough consideration to the role that uncertainty plays in any kind of probabilistic forecast, whether it be weather or politics (Silver, 2017). Because of the increasing prominence of probability forecasts, various studies analyze how probability forecasts affect voting behavior, including how voting behavior is affected when individuals misinterpret probabilistic forecasts.

Forecasts have found diverse audiences in the political realm. Rothschild (2009) argues that election forecasts have become crucial for three groups of people: researchers looking for a more systematic way of looking at campaigns, journalists engaging in horse-race coverage, and “practitioners” looking for which races are worthy of investing in (p. 897). Additionally, the public looks to forecasts for assessments and assurances about how their preferred candidate is doing, articulated by the Wired article titled “I Just Want Nate Silver to Tell Me That Everything’s Going to Be Fine” (Wohlsen, 2017).

Rothschild details multiple cases where the probabilistic forecast advantage that FiveThirtyEight assigned a certain candidate was both higher or lower than that candidate’s margin of victory on election day, even if the website correctly predicted the outcome of the race. Rothschild (2009) emphasizes that probabilistic forecasts are not the same things as vote share estimates, which is what polls display (p. 907). However, Rothschild notes that in the 2008 FiveThirtyEight “offered to the general public a more accurate forecast than raw poll numbers or raw prediction market prices,” (p. 913), which helps explain why various audiences rely on probabilistic forecasts to provide them with information about the state of the election.

Some people who use probability forecasts may put too much stake in their ability to provide definitive

39 answers about an election. Westwood, Messing, and Lelkes (2018) conducted a controlled experiment on the effects of probabilistic forecasts and found that when looking at varying probabilistic forecasts, “participants are less likely to vote as the probability their team will win increases,” (p. 19). Saying that one’s preferred candidate had a high chance of winning lowered intention to vote when compared to those who were told that their preferred candidate was in a highly competitive race with their opponent. Forecasts can exacerbate one’s sense of whether their candidate can win or lose, and their voting behavior may be affected as a result.

The Westwood, Messing, and Lelkes study also highlighted several other important findings relating to viewership and the effects of forecasts. First, the authors found that forecasts were more likely to be shared on social media than other types of polling (p. 8). Second, they point out that probabilistic forecasts are more likely to appear on blogs and news websites that lean left (p.

8-9) and get seen by those who lean left ideologically (p.

11), meaning that most of the effects of these probability forecasts on voter turnout probably affect those inclined to vote for Democratic candidates. Third, the authors find that probabilistic forecasts can be fundamentally misunderstood. The experiment that they conducted found that approximately 10 percent of those that saw probabilistic forecasts confused them with a vote share estimate (p. 14), thinking that, for example, a forecast saying that a candidate had an 80 percent chance of winning meant that the forecast was predicting the candidate would receive 80 percent of votes cast. Partially because of these forecasts, left-leaning voters were highly confident their candidate would win by a healthy margin, which made them feel like their votes were less needed (p. 11).

Westwood and his co-authors write that “it is unclear how these results map out in the real world,” though they note that “in some states the 2016 election was extremely close- Clinton ultimately lost by 0.7% in Pennsylvania, 0.2% in Michigan, 0.8% in Wisconsin, and 1.2% in Florida,” (p. 19). This study could lead to a reasonable inference that Hillary Clinton’s disproportionate probability advantage on websites like FiveThirtyEight (FiveThirtyEight, 2016) made some voters who preferred her over Donald Trump less likely to vote in the 2016 election in the same way it did in the experiment. This may have had some effect on the election results. Riker and Ordeshook (1968) substantiate these claims in their research when they write that “for many people the subjective estimate of P [the probability that your vote will make a difference] is higher than is reasonable, given the objective circumstances,” (p.

38). Forecasting models could potentially distort one’s estimate of (P) as much as or more than vote share models could, which could then affect an individual’s decision to vote.

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SPRING 2020 • THE GEORGE WASHINGTON UNIVERSITY

METHODS: THE MAYORAL EXPERIMENT Building on previous research about voter turnout, I used an experiment to test the effects of media messaging about election probability forecasts, a form of horse-race journalism, and the “stakes” of a given election outcome on intention to vote and candidate preference. I used a 2 (close or lopsided election as conveyed through a probability forecast) x 2 (high or low stakes election) experimental design along with a control condition. The design of my study is similar to that of Smith and De Mesquita (2011), who looked at the effect of the distribution of prizes or rewards both as it related to what the prize of an election outcome was and whether an individual’s vote choice could impact the distribution of that prize. Although previous literature, such as Smith and De Mesquita (2011), examined the effects of polls on voting, I chose to limit my study to examining the effect of probability forecasts on vote intention, as previous data has shown that probabilistic forecasts have become an increasingly more accurate and trusted way of examining the horse-race of an election than polls are (Rothschild, 2009, p. 913).

TREATMENT 1 – HIGH STAKES, CLOSE RACE

I used Amazon’s Mechanical Turk, a crowdsourcing platform that allows individuals to perform tasks such as surveys virtually, to recruit approximately 2,900 subjects (N = 2,842) to participate in my study. These individuals were randomly assigned to one of five mock newspaper articles (a control article or one of the four experimental treatments) about a fictitious special election for mayor in the town of Kenosha, Wisconsin in December of 2019 and then asked various questions about the article.

These questions included how likely subjects would be to vote in the election, how warmly they felt about each candidate, and which candidate they would vote for. The premise of these articles was that the current mayor of Kenosha was stepping down from his post due to health reasons, and two city councilmembers named James Jones and Tom Smith were running to replace him.

The control article simply announced that the mayoral election would be taking place and the two candidates who would be running. The experimental treatments varied the probability forecast for the leading candidate James Jones (he has either a 51 percent chance of winning or an 85 percent chance of winning) and the stakes of the election (the candidates agree on nearly all issues or

High Stakes: James Jones wants to spend the sales tax revenue on infrastructure repairs, while Tom Smith wants to forgo infrastructure repairs and put the sales tax revenue into a rainy day fund Close Race: Jones has a 51 percent chance of winning, Smith has a 49 percent chance of winning

TREATMENT 2 – HIGH STAKES, LOPSIDED RACE

High Stakes: Same as Treatment 1

TREATMENT 3 – LOW STAKES, CLOSE RACE

Low Stakes: Jones and Smith largely agree on all major issues, including infrastructure repairs

Lopsided Race: Jones has an 85 percent chance of winning, Smith has a 15 percent chance of winning

Close Race: Same as Treatment 1 (51-49 percent probabilistic forecast) TREATMENT 4 – LOW STAKES, LOPSIDED RACE

Low Stakes: Same as Treatment 3 (candidates largely agree on all policy issues) Lopsided Race: Same as Treatment 2 (85-15 percent probabilistic forecast)

CONTROL

Announcement of the candidacies of Jones and Smith Generic statements from both candidates No information about stakes or probability forecasts is given

TABLE 1. Description of treatments

THE GW UNDERGRADUATE REVIEW • VOLUME 3

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DEMOGRAPHIC

MY STUDY

CENSUS BUREAU NATIONAL DATA

Ethnicity

White: 71.2% Black or African-American: 13.1% Native American: 0.6% Asian: 6.5% Latino: 5.3% Hawaiian or Pacific Islander: 0.2% Two or more: 2.7% Other/Unknown: 0.4%

White alone: 76.5% Black or African-American alone: 13.4% American Indian and Alaska Native alone: 1.3% Asian alone: 5.9% Hispanic or Latino: 18.3% Hawaiian and Other Pacific Islander alone: 0.2% Two or more: 2.7% Other/Unknown: N/A White alone, not Hispanic or Latino: 60.4%

Income

Less than $25,000: $25,000-$49,000: $50,000-$99,000: $100,000-$200,000:

Median Income: $57,652

420 (14.9%) 842 (29.8%) 1114 (39.4%) 350 (12.4%)

(My survey median income was $50,000$99,000)

Age

Age 18-29: 726 (25.5%) Age 30-49: 1607 (56.5%) Age 50-64: 401 (14.1%) Age 65+: 89 (3.1%)

Data not applicable (no one under 18 allowed to take the Census survey)

Political Party Affiliation

Democrat: Republican: Independent: Other:

From ANES study 1952-2016: - Democratic: 46% - Republican: 39% - Independent: 15%

Education Level

No high school: 6 (0.2%) Some high school: 33 (1.2%) High school graduate: 295 (10.5%) Some college: 861 (30.6%) Bachelor’s degree: 1219 (43.2%) Post-graduate education: 404 (14.3%)

High School Graduate or Higher: Bachelor’s Degree or Higher (25+):

Gender

Male: Female: Other:

Females:

1326 (47%) 678 (24%) 749 (26.5%) 69 (24.4%)

1481 (52.5%) 1331 (47.2%) 10 (0.3%)

87.3% 30.9%

50.8%

TABLE 2. Demographic data the candidates disagree over whether to spend sales tax revenue on infrastructure repairs). In my survey, I used probability forecasts to distinguish how competitive the race between the two candidates was.

To vary the stakes of the election, I provided certain subjects with a low stakes treatment, where the two candidates agreed on policy matters and therefore the policy consequences of a given candidate winning were not significant, or a high stakes treatment, where the two candidates sharply disagreed on a policy issue, making the consequences of a given candidate winning more significant. Specifically, I presented the two candidates as disagreeing over how to spend the tax revenue from an infrastructure bond, Measure P, passed by Kenosha voters in 2017, that raised sales taxes to fund the infrastructure repairs in Kenosha. The money from the bond would not be eligible to be spent until 2020 - after the new mayor had already been elected. Those in a high stakes condition

were told that James Jones wanted to spend the money on the infrastructure repairs, whereas Tom Smith wanted to put the money into a rainy day fund rather than repairing the city’s infrastructure. The disagreement between the candidates on infrastructure spending “raised the stakes” of the Kenosha mayoral election, because it made it so that there would be a significant consequence to voters if Smith won – no repaired infrastructure. As noted above, I vary the probability forecast to suggest a close race or a lopsided race, though Jones is always ahead. Table 1 summarizes the experimental treatments. The full text of the articles can be found in Appendix A. I articulated two research questions before distributing my survey: Research Question 1: What is the effect of differing probabilistic forecast messaging on intention to vote?

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SPRING 2020 • THE GEORGE WASHINGTON UNIVERSITY Research Question 2: What is the effect of reminding people about the stakes of an election on intention to vote?

I formulated the following hypotheses before distributing my survey: Hypothesis 1 (probability hypothesis): Subjects exposed to probability forecasts that show an election between the two candidates to be close (Treatments 1 and 3) will be significantly more likely to express intention to vote than subjects exposed to probability forecasts that show the race as lopsided (Treatments 2 and 4) or an article including no information about how close a race is (Control).

Hypothesis 2 (stakes hypothesis): Subjects exposed to the article that frames the Kenosha election as having high stakes (Treatments 1 and 2) will be significantly more likely to express intention to vote than subjects exposed to an article that frames the election as having low stakes (Treatments 3 and 4) or an article including no information about stakes (Control).

Subjects were asked a series of pre- and posttreatment questions along with their assigned article. All survey questions for this study can be found in Appendix A. Before reading the article, subjects answered relevant demographic questions, the results of which can be seen in Table 2. Table 2 compares my demographic data with demographic data from the Census Bureau. The distribution of income levels, ethnicity, income level, and gender distribution in my study was similar to that of the Census Bureau. The biggest differences between my demographic data and the national demographic data is that Whites, Latinos, and Republicans were underrepresented in my survey in comparison with the Census data. Additionally, people with a bachelor’s degree or higher were slightly overrepresented in my survey

compared to that of the American National Election Studies.

After answering the demographic questions, subjects read their assigned treatment article and were then asked how likely they would be to vote in the election (1 = “extremely unlikely”, 2 = “somewhat unlikely”, 3 = “neither likely nor unlikely”, 4 = “somewhat likely”, 5 = “extremely likely”). They were then asked to use a feeling thermometer to rank how warmly they felt about each candidate on a scale of 1-100, with “1” meaning you felt very cold and negatively towards the candidate, “100” meaning you felt very warm and positively towards the candidate, and “50” meaning you felt neither warmly nor coldly. Finally, subjects were also asked to pick the candidate they would vote for – subjects were given the option to pick James Jones, Tom Smith, or neither. These three questions were the key dependent variables in my survey, and they were asked in the order described. After answering my key dependent variables, subjects were asked about their trust in media and their evaluation of the articles. The study was run on November 6, 2019, using Amazon’s Mechanical Turk platform. Subjects were paid $1.25 each to take the survey. I conducted a randomization check and verified that randomization had been successful across conditions. This study was approved by The George Washington Internal Review Board before it was distributed to participants.

To understand the effect of probability forecast messages portraying a close or very lopsided race and the effects of messages suggesting a higher or lower stakes election, I look at the means by condition on my three key dependent variables. All significance tests were two-tail tests.3 I also ran Ordinary Least Squares Regression (OLS) models for all of my key dependent variables, which can be found in Appendix C.

3 The analysis discussed in the text was also estimated using a Bonferroni adjustment for multiple comparisons. In almost all cases the results are not changed when using this more stringent test. The only difference I found was in the favorability of James Jones and Tom Smith. For both the favorability of Jones and Smith, the significant difference between the low stakes, lopsided race treatment (treatment 4) and the control treatment noted below was no longer significant when I applied the Bonfer-

CONDITION

LIKELIHOOD OF VOTING

Treatment 1 (High Stakes, Close Race)

4.29*

Treatment 2 (High Stakes, Lopsided Race)

4.27*

Treatment 3 (Low Stakes, Close Race)

4.06

Treatment 4 (Low Stakes, Lopsided Race)

4.01

Control

4.02

TABLE 3. Likelihood of voting across conditions

Mean likelihood of voting across conditions – 1-5 Scale * Significant compared to Treatments 3,4, and the Control at p<.05

THE GW UNDERGRADUATE REVIEW • VOLUME 3 RESULTS: THE MAYORAL EXPERIMENT I found that learning about a high stakes election significantly increased intention to vote relative to the control condition and relative to the low stakes treatments (p < 0.05 in all cases, see Table 3). On the other hand, the two articles that framed the election as having low stakes did not significantly differ from the Control (low stakes, close race treatment p = 0.48; low stakes, lopsided race condition p = 0.92). These results confirmed my stakes hypothesis (hypothesis 2). My probability hypothesis (hypothesis 1) was not confirmed. Subjects in the high stakes, close race condition were slightly more likely to vote than subjects in high stakes, lopsided race conditions and subjects in low stakes, close race condition were slightly more likely to vote than subjects in the low stakes, lopsided race condition, but these differences in likelihood of voting were not significant. Therefore, based on these results, I can conclude that stakes mattered more than probability in affecting intention to vote in my experiment.

My second dependent variable examined how

43 exposure to different treatments would affect candidate favorability. I found that subjects viewed Tom Smith significantly more favorably when he was portrayed in a more neutral light in the low stakes treatments than in the high stakes treatments, where subjects learned that Smith would halt the city’s planned infrastructure repairs.

Subjects ranked James Jones significantly more favorably in the high stakes conditions than in the low stakes conditions and the control. This was likely because they felt more favorable towards Jones’s view on infrastructure than Smith’s in the high stakes conditions, whereas in the low stakes and control conditions, subjects felt similarly about both candidates. In all experimental treatments, subjects ranked Jones more favorably on average than Smith.

When Smith had an unpopular stance on the city’s infrastructure spending in the high stakes conditions, he was viewed significantly more favorably by subjects when he was in a dead heat with Jones in the high stakes, close race conditions than when he trailed Jones in the probabilistic forecast in high stakes, lopsided race

roni adjustment.

CONDITION

JAMES JONES FAVORABILITY

TOM SMITH FAVORABILITY

71.7*

45.5**

71.98***

36.8*

62.5

60.99

63.8****

58.9****

60.7

62.2

1 (High Stakes, Close Race) 2 (High Stakes, Lopsided Race) 3 (Low Stakes, Close Race) 4 (Low Stakes, Lopsided Race) 5 (Control)

TABLE 4. Candidate favorability by position

Mean Candidate Favorability By Condition – James Jones and Tom Smith * Significant compared to Treatments 3, 4, and Control at p<.05 ** Significant compared to Treatments 2, 3, 4, and Control at p<.05 *** Significant compared to Treatments 3 and 4 at p<.05 **** Significant compared to Control at p<.05

CONDITION

MEAN ACROSS CONDITIONS

Treatment 1 (High Stakes, Close Race)

.780*

Treatment 2 (High Stakes, Lopsided Race)

.829*

Treatment 3 (Low Stakes, Close Race)

.535**

Treatment 4 (Low Stakes, Lopsided Race)

.660

Control

.374

TABLE 5. Likelihood of voting across conditions

Mean likelihood of voting across conditions – 1-5 Scale * Significant compared to Treatments 3,4, and the Control at p<.05 ** Significant compared to Treatments 1, 2, 4, and Control at p<.05

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SPRING 2020 • THE GEORGE WASHINGTON UNIVERSITY

conditions. However, when the stakes were low, Smith and Jones did not have significantly different favorability ratings between treatments. Electoral competition only had a significant influence on favorability in my study when the stakes of the election were high.

In addition to candidate favorability, I also examined candidate preference across conditions to see whether subjects would be more likely to express support for a certain candidate based on the treatment they were exposed to. In analyzing candidate preference, I coded Tom Smith as “0,” and James Jones as “1.” The results in Table 5 represents the average of how likely subjects were to vote for James Jones in comparison to Tom Smith. If the mean of a condition exceeds 0.5, subjects exposed to that condition were more likely to support James Jones than Tom Smith on average. In every experimental treatment, subjects were more likely to express an intention to vote for James Jones than Tom Smith. Subjects exposed to the high stakes, lopsided race treatment were the most likely to vote for Jones over Smith on average. The high stakes treatments were significantly different from the low stakes and control treatments, although the high stakes treatments were not significantly different from each other. This indicates that raising the stakes of the election influenced candidate choice in favor of James Jones both in comparison to the Control and the low stakes treatments.

The level of competition in the race did not have an effect on candidate choice when the stakes were high.

However, when the stakes of the election were low and the candidates were presented as having the same views, subjects were significantly more likely to support James Jones when he had an 85 percent chance of winning the election than when he only had a 51 percent chance of winning the election.

METHODS: THE 2018 U.S. SENATE RACE EXPERIMENT During the fall 2018 election, I tested the effects of stakes on subjects exposed to mock newspaper articles about the United States Senate race in Arizona between Martha McSally and Kyrsten Sinema. This survey was distributed to 393 subjects via Mechanical Turk on November 5, 2018, one day before the election on November 6. Unlike my mayoral experiment, which tested the effects of stakes in CONDITION

a fictitious local race, this stakes experiment was intended to be more realistic because it was administered in the context of an actual upcoming election. In this study, I conducted a randomization check and found that with the exception of gender, the treatments are balanced. In my analysis, I included a control for gender. This study was approved by The George Washington Internal Review Board before it was distributed to participants.

In my Arizona experiment, subjects were exposed to one of three mock newspaper articles, one control and two experimental. The articles had varying messages about the consequences of a particular outcome in the Arizona U.S. Senate election: a high stakes treatment (Treatment 1), a low stakes treatment (Treatment 2), and a control article. Subjects were then asked how likely they would be to vote in the election between McSally and Sinema if they were a voter in Arizona. I used the same likelihood scale that I did for the Kenosha experiment (1 = “extremely unlikely,” 2 = “somewhat unlikely,” 3 = “neither likely nor unlikely,” 4 = “somewhat likely,” 5 = “extremely likely”).

The “stakes” issue I used in my Arizona experiment was a potential Supreme Court nomination after the 2018 election and before the 2020 election. In the high stakes treatment, the headline of the article stated that the outcome of the U.S. Senate race “could decide the swing Supreme Court Justice seat.” Subjects were told that Arizona could decide which party controlled the U.S. Senate. If Democrats controlled the Senate and had the power to confirm President Trump’s nominee, President Trump would have to nominate a much more moderate justice who would be more likely to uphold precedents that Democrats value on issues such as abortion. In the low stakes treatment, the headline of the article stated that the Arizona U.S. Senate race was “unlikely to have impact on next Supreme Court Justice.” In this article, subjects were told that it was unlikely that President Trump would have the opportunity to appoint another justice before his first term ends. In the control article, subjects were told that McSally and Sinema were facing off, but did not include a discussion of a potential Supreme Court pick. My entire survey for the Arizona experiment can be found in Appendix B. In this experiment, I proposed the following hypotheses: Hypothesis 1: Raising the stakes of the Arizona election in the high stakes treatment will have a significant MEAN ACROSS CONDITIONS

Treatment 1 (High Stakes)

4.29

Treatment 2 (Low Stakes)

4.03*

Control

4.39

TABLE 6. Mean Likelihood of Voting Across Conditions

* Statistically significant in comparison to control at p<.05

THE GW UNDERGRADUATE REVIEW • VOLUME 3 positive effect on intention to vote in comparison to control.

Hypothesis 2: Lowering the stakes of the Arizona election in the low stakes treatment will have a significant negative effect on intention to vote in comparison to control.

RESULTS: THE 2018 U.S. SENATE RACE EXPERIMENT I found in my Arizona experiment that exposing subjects to the low stakes treatment had a marginally significant negative effect (p = 0.051) on intention to vote in comparison to the Control treatment, corroborating my second hypothesis. When subjects were told that the stakes of the race were not as high (i.e. there was unlikely to be another Supreme Court nominee before the end of Trump’s first term), subjects felt less inclined to participate in the election. However, raising the stakes of the Arizona election did not increase intention to vote in comparison to Control, meaning that my first hypothesis was not confirmed. In fact, subjects in the high stakes condition were slightly less likely to vote than subjects exposed to the control article, although this difference was not significant. While I did not find exactly what I was expecting for both of my hypotheses, the results of this experiment demonstrate that stakes affect intention to vote in articles about a real U.S. Senate race as well as a fictitious local race. The OLSR for the Arizona survey can be found in Appendix C.

LIMITATIONS There are several limitations to my study that I want to underscore. First, in both my mayoral and U.S. Senate experiments, I tested intention to vote, not whether someone casts a vote in an election. Taking a five-minute survey is much less of a time commitment than filling out a ballot and taking the other necessary steps that come with casting one’s vote. Therefore, it is likely that some people who indicated in my surveys that they would be somewhat or extremely likely to vote would not actually take the time to vote in these elections if they lived in these communities. As a result of this limitation, I am unable to draw any conclusions about whether my news articles compelled people to vote, only whether it made them feel more inclined to cast their vote.

I am also limited in my ability to make generalizable conclusions from my mayoral experiment. Because I exposed subjects to articles about a fictitious, local, and non-partisan race, I cannot conclude that my results would also apply to non-local or partisan races.

DISCUSSION Previous studies have looked at what metrics factor into an individual’s decision about whether or not to vote.

45 Riker and Ordeshook (1968) asserted that an individual would decide to vote if they weighted their civic duty (D), the probability that their vote would make a difference in the election (P), and the benefit of casting a vote (B) more heavily than the costs that come with voting (p.

25). Other studies looked at the effect of varying (P), (B), and (D) when applying social pressure or priming people to think about policy stakes, polls, and probabilistic forecasts. I sought to expand on previous research by looking at the effects of probabilistic forecasts and stakes to see how these factors would affect intention to vote and candidate preference when presented together with varying messages. My work specifically focuses on the ways in which media coverage of elections have the potential to alter individual perceptions of stakes (B) and probability (P) when citizens are considering whether to vote.

In the high stakes treatments, I raised the stakes and thereby made the election more relevant to subjects by introducing the potential for the implementation of “political pork” in the form of the building of new infrastructure. I decided to use political pork stakes because of the findings of Smith and De Mesquita (2011) that political pork stakes had a larger positive impact on intention to vote in comparison to other kinds of policy stakes where the direct benefit to the individual is not as obvious (p. 374). The research design of Smith and De Mesquita was similar to mine, in that they tested the effects of stakes and level of electoral competition together. I found the research of Andersen, Fiva, and Natvik (2013) on the effect of stakes on turnout to be useful when deciding what issue I wanted to vary the stakes about. These researchers examined the effect of making subjects think about the potential for hydropower tax revenue if a particular outcome occurred (p. 156-166).

I had subjects consider how their tax revenue would be spent depending on which mayoral candidate was elected.

I found that the high stakes articles had a positive causal effect on intention to vote in comparison to the control and low stakes treatments in my mayoral experiment. The significant difference between my high stakes and control treatments indicates that the nature of media coverage of “political pork” can influence intention to vote. In my high stakes treatments, I primed subjects to think about their potential to benefit from an election outcome by discussing “political pork” in the form of infrastructure repairs. In the high stakes treatments, it is likely that Tom Smith’s proposal to divert the Measure P sales tax revenue away from infrastructure repairs and into a rainy day fund angered subjects because they believed that Smith’s proposal was breaking the city’s promise to voters. As a result, subjects in the high stakes treatments had a stronger incentive to vote in the election: making sure that Smith would not have the power to stop the city’s infrastructure repairs.

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SPRING 2020 • THE GEORGE WASHINGTON UNIVERSITY

My results suggest that journalists can help encourage democratic participation among their readership by emphasizing contrasting policy positions between candidates and discussing the implications of a particular election outcome. This kind of coverage will help individuals think about how they might benefit from or be harmed by a certain election outcome and may increase their motivation to cast a ballot. Through discussing policy differences and electoral consequences, journalists may be able to prime emotions such as anger and make casting one’s vote a more emotionally compelling course of action. Downs (1957) asserted that voting is irrational because the costs of voting exceed the benefits. However, my results show that raising the stakes of an election plays a role in convincing an individual that the benefits of voting exceed the costs. When the stakes of an election are higher, individuals are more likely to see casting a vote as a rational course of action.

In my Arizona experiment covering the U.S. Senate race between Kyrsten Sinema and Martha McSally, the low stakes treatment voters exposed to the low stakes treatment were significantly less likely to express intention to vote in the Arizona election than voters exposed to the control. When the low stakes article implied that an election was likely not going to be as consequential as it could have been, it deterred subjects from wanting to vote in the election. My Arizona experiment was also conducted in the context of an actual election, one day before the 2018 midterm election. In this context, individuals were more likely to be engaged in the process, and therefore my experiment was more realistic.

My results show that the high stakes treatments raised vote intention by 0.27 (high stakes, close race treatment) and 0.25 (high stakes, lopsided race treatment) on a scale of five, an approximately five percent increase in intention to vote compared to subjects exposed to control. Gerber, Green, and Larimer (2008) saw an approximately eight percent increase in voter turnout in comparison to control for their social pressure treatment. Percentagewise, raising the stakes of the election had a smaller effect on increasing vote intention than applying social pressure had on increasing voter turnout levels. While stakes may raise the perceived benefit of voting (B), my results indicate that stakes do not increase (B) as much as applying social pressure increases (B).

While increasing the stakes of an election had significant effects on vote intention, varying the probabilistic forecasts of an election did not. The low stakes, close race condition was not significantly different from low stakes, lopsided race condition. The high stakes, close race condition was not significantly different than the high stakes, lopsided race condition in terms of vote intention.

Before I had conducted the study, I hypothesized that subjects would be significantly more likely to vote when the race was close, with the candidates having a 51-49 percent respective probability of winning, than when the

candidates had a respective 85-15 percent probability of winning.

Before conducting my experiment, I thought that making the election more competitive would raise the value of (P) in Riker and Ordeshook’s (1968) formula because subjects would feel that there was a greater probability that their vote would be pivotal in a close election than in an election where one candidate had a wide probabilistic lead over the other. I based my hypothesis largely on the research of Westwood, Messing, and Lelkes (2018), who found that simulated races with a small probability margin between two candidates made subjects more motivated to vote in comparison to races that were probabilistically lopsided in favor of one candidate (p. 19).

In my treatments, I modeled the language depicting the race as close or as lopsided after real-life news articles from recent U.S. elections. The language used in both of the lopsided race conditions, which described James Jones as continuing to “press his advantage over Smith” when he was far ahead probabilistically, was taken from a New York Times story about Hillary Clinton’s perceived lead over Donald Trump (Burns & Chozick 2016). One of my motivations for conducting this experiment was my worry that after the 2016 election, Hillary Clinton’s heavy lead over Donald Trump in Nate Silver’s FiveThirtyEight forecast may have had a demobilizing effect on some of her supporters.

My results, which demonstrate that probabilistic forecasts did not have a significant effect on intention to vote, suggests that my fear about the demobilizing effects of probabilistic forecasts may have been misplaced. My results indicate that the nature of media coverage about probabilistic forecasts has minimal effects on raising or lowering (P) in Riker and Ordeshook’s formula, contrary to what I assumed before conducting my experiment.

Probabilistic forecasts such as Silver’s will likely be used in U.S. national elections for years to come, and my data provides some evidence that exposure to these forecasts is unlikely to exacerbate the problem of low voter turnout in the U.S. My results about probabilistic forecasts and stakes on intention to vote may be instructive to campaign strategists. My results indicate campaigns may be more successful in motivating voters to turn out if they focus their Get Out the Vote and mobilization efforts on the policy consequences of the election rather than whether an election between two candidates is more or less competitive.

While probabilistic forecasts did not have a significant impact on likelihood of voting, probabilistic forecasts had an impact on candidate favorability when the stakes of the election were high. In both of the high stakes treatments, voters were told that Smith would break the city’s promise to voters and forego using the collected sales tax revenue to repair the city’s infrastructure.

However, Smith’s favorability increased significantly

THE GW UNDERGRADUATE REVIEW • VOLUME 3 in the high stakes, close race condition, when he was framed as having a 49 percent chance of winning in comparison to Jones’s 51 percent, in contrast to the high stakes, lopsided race condition, when Smith was framed as only having a 15 percent chance of winning. James Jones saw a significant decline in favorability in the low stakes and control conditions, where the two candidates were portrayed as having largely the same views, in contrast to the high stakes conditions, where subjects were told that Jones would administer the infrastructure repairs as promised. This is because subjects in the low stakes and control conditions felt more equally favorable towards both candidates and gave the candidates similar favorability numbers, causing Smith’s favorability to go up and Jones’s favorability to go down. My results indicate that being exposed to news about an election can impact candidate favorability, especially if that coverage portrays a candidate in a negative light.

I saw similar results for candidate preference/vote choice that I saw for candidate favorability. Overall, subjects were significantly more likely to vote for James Jones in the high stakes conditions than in the low stakes and control conditions, indicating that subjects wanted to vote for the candidate who would provide them with their promised “political pork.” However, there was a distinction between my results for candidate favorability and candidate preference. For candidate favorability, there was not a significant difference between favorability for either James Jones or Tom Smith when the stakes were low. For candidate choice, there was a significant difference in who subjects chose when the stakes of the election were low. In the two low stakes treatments, subjects were significantly more likely to select Smith as their candidate when Smith was more viable (49 percent chance of winning) than when Smith was less viable (15 percent). When the stakes were low, subjects were significantly more likely to vote for James Jones than Tom Smith when James Jones had a formidable lead over Tom Smith than when the treatment framed the candidates as neck-in-neck.

Even though viability mattered in different settings for candidate favorability and candidate choice, my results still indicate that viability had some effect on subjects’ views of the candidates. Smith’s increase in favorability and vote share when he was more viable probabilistically may have to do with the bandwagon effect illustrated in the work of Grober and Schram (2010, p. 700-711) and Patterson (1993, p. 133), where people feel inclined to support someone or something because others are also supporting that person or thing.

Subjects felt more favorably towards Smith and his controversial views when they thought he had a better chance of winning. Participants liked a viable candidate with controversial views better than a controversial candidate who looked like a loser, which reflects current literature on the effect of social pressure on voting.

47 Subjects exposed to the high stakes, close race treatment also may have hypothesized that since Smith had practically the same support as Jones according to the probabilistic forecast, he may have had a justifiable reason for his controversial view on infrastructure spending.

My results indicate that “horse-race” media coverage of elections may influence how favorably individuals feel about a particular candidate and how inclined they are to support a certain candidate in an election.

CONCLUSION This study reveals that the way journalists write about an election and the information they provide voters concerning an election can impact an individual’s likelihood of voting and how they feel about the respective candidates running for political office.

Through emphasizing policy disagreements and electoral consequences, journalists may be able to motivate people to vote and help increase democratic participation rates in the United States.

Probabilistic forecasts had insignificant effects on vote intention in my experiment, providing some counterevidence to the notion that viewing these forecasts can dissuade an individual from voting.

However, probabilistic forecasts did have some effects on candidate favorability. Political messages have power, and my results provide guidance for journalists who want to use their messaging power to raise voter turnout levels and improve the health of democracy in the United States.

ACKNOWLEDGEMENTS This study was submitted as my special honors thesis in the School of Media and Public Affairs (SMPA), done under the supervision of Professor Kim Gross. I want to thank Professor Gross for the many hours she spent helping me design my study, secure funding for my research, analyze my data, and write up my thesis project. Additionally, thank you to SMPA Professors Ethan Porter and Dave Karpf for serving on my thesis defense committee and providing me with helpful feedback throughout my thesis project. I want to thank my classmate in my special honors research seminar, Lily Werlinich, for reading drafts of my thesis and providing me with helpful feedback. I want to thank The George Washington University and the Center for Undergraduate Fellowships and Research for funding for my thesis research through the Luther Rice Fellowship and the Sigelman Undergraduate Research Enhancement Award, without which this project would not have been possible. I would like to thank God for continually protecting and providing for me throughout my undergraduate career. Finally, I want to thank my mom, my dad, and my family for supporting me in this and all my other collegiate ventures.

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APPENDIX A: MAYORAL EXPERIMENT FULL SURVEY Welcome Message Thank you for agreeing to participate in this study. Please read the questions carefully. First we would like to ask some questions about you.

Demographic Questions In which of the following elections did you vote? (Please check all that apply):

Yes I voted

No I did not vote

Not sure

2018 midterm congressional elections 2016 presidential general election in November 2016 presidential primary election Your state’s last gubernatorial race Your most recent local elections What is your age?

• 18-29 • 40-49 • 50-64 • 65+ In the year of 2018, what was your total family income?

• Less than $25,000 • $25,000-$49,000 • $50,000-$99,000 • $100,000-$200,000 • More than $200,000 • Unsure • Prefer not to answer What is your gender?

• Male • Female • Prefer Not To Say

What is your ethnicity?

• White • Black or African-American • Native American • Asian • Latino • Native Hawaiian or Pacific Islander • Two or more races • Other/Unknown Generally speaking, do you think of yourself as a ____?

• Democrat - Strong Democrat - Weak Democrat • Independent - Lean toward the Democratic Party - Lean toward the Republican Party - Neither • Republican - Strong Republican - Weak Republican • Other

THE GW UNDERGRADUATE REVIEW • VOLUME 3 Who did you vote for in the 2016 presidential election?

• Hillary Clinton • Donald Trump • Gary Johnson • Jill Stein • Other • I did not vote in the 2016 election • I was not able to vote in the 2016 election

49 What is the highest level of education you have completed?

• No high school • Some high school • High school graduate • Some college • Bachelor’s degree • Post-graduate education

Treatment Message Next, we would like you to read an article about an upcoming local mayoral race in Kenosha, Wisconsin.

Treatments Treatment 1: High Stakes, Close Race Mayoral Race Between Smith and Jones Too Close To Call. Candidates At Odds Over Proposed Infrastructure Spending.

By Jamie Weiss Two city councilmembers, Tom Smith and James Jones, will face off in the December race to replace Bob Kerrigan as Kenosha mayor. Kerrigan announced he stepping down as mayor due to health concerns.

One of the issues that has come to define the race is the spending of the city’s tax revenue. In 2017, voters overwhelmingly approved Measure P, a ballot initiative that raised sales taxes to fund repairs for the city’s crumbling infrastructure. The sales taxes the city has collected are not authorized to be spent until 2020, after the mayoral election has already taken place.

The two mayoral candidates are at odds about whether to spend the allocated tax revenue on the city infrastructure repairs. Smith has said that as mayor he would forego the infrastructure project and divert the revenues into a rainy day fund. Jones has blasted Smith’s proposal as breaking the city’s promise to voters. He said that as mayor he would spend the tax revenue on the infrastructure repairs as promised.

The candidates have similar positions on other major issues, including bringing more high-tech job opportunities to Kenosha, accelerating the city’s transition to renewable energy, and addressing the city’s homelessness crisis.

The race between the two candidates is too close to call. The University of Wisconsin projects that Jones has a 51 percent chance of winning the election compared to Smith, who has a 49 percent chance of victory, based on an average of polls conducted on the race. Both candidates continue to vigorously campaign across the city, hoping to edge out the other in the race.

“This is going to be a very interesting race to watch,” political analyst Dan Anderson said. “Both Smith and Jones are excellent candidates, and I am looking forward to hearing them both make their case for why they want to be our next Mayor.”

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SPRING 2020 • THE GEORGE WASHINGTON UNIVERSITY Treatment 2: High Stakes, Lopsided Race Jones Has Solid Lead Over Opponent Smith In Mayoral Election. Candidates At Odds Over Proposed Infrastructure Spending.

By Jamie Weiss Two city councilmembers, Tom Smith and James Jones, will face off in the December race to replace Bob Kerrigan as Kenosha mayor. Kerrigan announced he stepping down as mayor due to health concerns.

One of the issues that has come to define the race is the spending of the city’s tax revenue. In 2017, voters overwhelmingly approved Measure P, a ballot initiative that raised sales taxes to fund repairs for the city’s crumbling infrastructure. The sales taxes the city has collected are not authorized to be spent until 2020, after the mayoral election has already taken place.

The two mayoral candidates are at odds about whether to spend the allocated tax revenue on the city infrastructure repairs. Smith has said that as mayor he would forego the infrastructure project and divert the revenues into a rainy day fund. Jones has blasted Smith’s proposal as breaking the city’s promise to voters He said that as mayor he would spend the tax revenue on the infrastructure repairs as promised.

The candidates have similar positions on other major issues, including bringing more high-tech job opportunities to Kenosha, accelerating the city’s transition to renewable energy, and addressing the city’s homelessness crisis.

Jones is in a formidable position to win the mayoral race. The University of Wisconsin projects that Jones has an 85 percent chance of winning the election compared to Smith, who only has a 15 percent chance of victory, based on an average of polls conducted on the race. Jones continues to press his advantage over Smith as he makes campaign stops throughout Kenosha to talk about the policies he would implement as mayor.

“This is going to be a very interesting race to watch,” political analyst Dan Anderson said. “Both Smith and Jones are excellent candidates, and I am looking forward to hearing them both make their case for why they want to be our next Mayor.”

Treatment 3: Low Stakes, Close Race Mayoral Race Between Smith And Jones Too Close To Call. Candidates’ Views Are Largely The Same.

By Jamie Weiss Two city councilmembers, Tom Smith and James Jones, will face off in the December race to replace Bob Kerrigan as Kenosha mayor. Kerrigan announced he stepping down as mayor due to health concerns.

The two candidates share similarities in their policy positions. Both candidates support using the tax revenue from Measure P as intended by the voters. Measure P was a sales tax increase overwhelmingly approved by voters in the city’s 2017 election to repair the city’s infrastructure. The two candidates also have similar positions on other major issues, including bringing more high-tech job opportunities to Kenosha, accelerating the city’s transition to renewable energy, and addressing the city’s homelessness crisis.

The race between the two candidates is too close to call. The University of Wisconsin projects that Jones has a 51 percent chance of winning the election compared to Smith, who has a 49 percent chance of victory, based on an average of polls conducted on the race. Both candidates continue to vigorously campaign across the city, hoping to edge out the other in the race.

“This is going to be a very interesting race to watch,” political analyst Dan Anderson said. “Both Smith and Jones are excellent candidates, and I am looking forward to hearing them both make their case for why they want to be our next Mayor.”

THE GW UNDERGRADUATE REVIEW • VOLUME 3 Treatment 4: Low Stakes, Lopsided Race Jones Has Solid Lead Over Opponent Smith In Mayoral Election. Candidates’ Views Are Largely The Same.

By Jamie Weiss Two city councilmembers, Tom Smith and James Jones, will face off in the December race to replace Bob Kerrigan as Kenosha mayor. Kerrigan announced he stepping down as mayor due to health concerns.

The two candidates share similarities in their policy positions. Both candidates support using the tax revenue from Measure P as intended by the voters. Measure P was a sales tax increase overwhelmingly approved by voters in the city’s 2017 election to repair the city’s infrastructure. The two candidates also have similar positions on other major issues, including bringing more high-tech job opportunities to Kenosha, accelerating the city’s transition to renewable energy, and addressing the city’s homelessness crisis.

Jones is in a formidable position to win the mayoral race. The University of Wisconsin projects that Jones has a 85 percent chance of winning the election compared to Smith, who only has a 15 percent chance of victory, based on an average of polls conducted on the race. Jones continues to press his advantage over Smith as he makes campaign stops throughout Kenosha to talk about the policies he would implement as mayor.

“This is going to be a very interesting race to watch,” political analyst Dan Anderson said. “Both Smith and Jones are excellent candidates, and I am looking forward to hearing them both make their case for why they want to be our next Mayor.”

Control Kenosha City Council Members Tom Smith And James Jones to Face Off In The Winter Mayoral Election

By Jamie Weiss Two city councilmembers, Tom Smith and James Jones, will face off in the December race to replace Bob Kerrigan as Kenosha mayor. Kerrigan announced he stepping down as mayor due to health concerns.

Smith says his lifelong commitment to Kenosha make him the clear choice for mayor. “I grew up in Kenosha, and I have tirelessly worked to improve the city on the city council,” said Smith. “I would be honored to continue serving Kenosha residents as Mayor.”

Jones says that his service on the city council and commitment to constituents make him the best choice for mayor. “I want to bring the same energy, enthusiasm, and skill that I have brought to the City Council to the Mayor’s Office.”

“This is going to be a very interesting race to watch,” political analyst Dan Anderson said. “Both Smith and Jones are excellent candidates, and I am looking forward to hearing them both make their case for why they want to be our next Mayor.”

Post-Treatment Message Now we would like to ask you some questions about the article you read.

Post-Treatment Questions What was the name of the analyst who was quoted in the article you just read?

• Brad Thompson • Bob West • Dan Anderson • Do not remember If you were a voter in Kenosha, how likely is it that you would vote in this election?

• Extremely likely • Somewhat likely • Neither likely nor unlikely • Somewhat unlikely • Extremely unlikely

51

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SPRING 2020 • THE GEORGE WASHINGTON UNIVERSITY

How do you feel about each candidate running for mayor? Please tell us how you feel about the candidates using a “feeling thermometer” where a rating of 0 means you feel very cold and negatively about the candidate, a rating of 100 means you feel very warm and positive about the candidate, and a rating of 50 meaning you feel neither warmly nor coldly (subjects could move dial with their mouse):

If you a voter in Kenosha and the election were held today, which one of these candidates would you vote for?

• Tom Smith • James Jones • Neither

How much, if at all, do you trust information that you receive from national news sources?

• A great deal • A moderate amount • A little • Not at all

How likely do you think it is that your preferred candidate will win the election?

• Extremely likely • Moderately likely • Neither likely nor unlikely • Moderately unlikely • Extremely unlikely

How much, if at all, do you trust information that you receive from local news sources?

• A great deal • A moderate amount • A little • Not at all

Did you find the article about the Kenosha mayoral race informative?

• Yes • No Did you think that the article represented the views of both candidates fairly?

• Yes • No

Debriefing Statement The purpose of this study is to learn about how media coverage of elections affects an individual’s intention to vote.

You were randomly assigned to read an article about a local election which varied 1) how close the race was between the two mayoral candidates (e.g. vary information on the probability of a given election outcome) and 2) whether the candidates agreed or disagreed about spending sales tax revenue on infrastructure repairs (e.g. vary the policy consequences of the election outcome). The article that you read was adapted for the purposes of the experiment but is based on how local news organizations cover campaigns and may be similar to stories you may have read in the news.

Please note that there are no correct responses to this study. To reiterate, your responses will remain confidential and will only be analyzed as part of group responses. No identifying information was collected.

Should you have any questions about the study, you may contact Mark McKibbin at markmckibbin12@gwu.edu or you may contact Professor Kimberly Gross at kimgross@gwu.edu.

Thank you for participating in this study. Please copy the completion code below and return to MTurk and enter this in the HIT. ${e://Field/random}

THE GW UNDERGRADUATE REVIEW • VOLUME 3

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APPENDIX B: U.S. SENATE EXPERIMENT FULL SURVEY Welcome Message Thank you for agreeing to participate in this survey. On the next page, you will be asked to read a newspaper article about the upcoming Arizona Senate election and answer a series of questions about that article.

Treatments Control Republican Martha McSally To Face Democrat Kyrsten Sinema In This Fall’s Arizona U.S. Senate Election Republican Congresswoman Martha McSally will face Democratic Congresswoman Kyrsten Sinema in this fall’s Arizona U.S. Senate race to replace retiring Republican Senator Jeff Flake. Sinema was a heavy favorite to win the Democratic nomination, and McSally bested her two challengers, former Sheriff Joe Arpaio and former Arizona State Senate Kelli Ward, to secure the Republican nomination.

“This is one of the most closely watched Senate races in this election,” said David Brooks on PBS NewsHour.

“It is going to be interesting to see what happens.”

Sinema claims that the voters of her state need someone who will go to Washington, D.C. as an independent voice. “Martha McSally will be a rubber stamp for Donald Trump and the Republicans. I won’t let anyone in Washington tell me how to cast my vote. The only voices that matter to me are those of the people of Arizona,” said Sinema.

The general election will be held on Tuesday, November 6.

Treatment 1: High Stakes U.S. Senate Race Between Democrat Kyrsten Sinema And Republican Martha McSally Could Decide The Swing Supreme Court Justice Seat.

Whoever wins the U.S. Senate race in Arizona between Democratic Congresswoman Kyrsten Sinema and Republican Congressman Martha McSally could be a deciding vote in which party controls the U.S. Senate and has control over confirming Supreme Court Justices that President Trump could appoint in the next two years.

“Make no mistake, Arizona could be the race that decides if Democrats take back the Senate or not,” said David Brooks on PBS NewsHour. “The stakes could not be higher.”

Whoever the next Supreme Court Justice is could be a swing vote on incredibly important cases, such as abortion and gun violence prevention. If President Trump is able to nominate another justice under a Republican-held Senate, or a 50-50 Senate with Mike Pence casting the tie-breaking vote, he has a better chance of appointing a justice who will fulfill his campaign promise to overturn Roe vs. Wade. However, if Democrats take control of the U.S. Senate, the President’s pick will likely have to be a much more moderate nominee to pass muster with Senate Democrats and who would be more likely to uphold crucial precedents that Democrats cherish.

The general election will be held on Tuesday, November 6.

54

SPRING 2020 • THE GEORGE WASHINGTON UNIVERSITY Treatment 2: Low Stakes U.S. Senate Race Between Democrat Kyrsten Sinema And Republican Martha McSally Unlikely To Have Impact On Next Supreme Court Justice One of the selling points that both candidates for U.S. Senate in Arizona made for their election was that their election could decide which party controlled the Senate after the midterm elections and had the power to confirm a potential Supreme Court nomination by President Trump. However, with the retirement of Justice Anthony Kennedy in July and confirmation of Brett Kavanaugh to the Supreme Court, it seems unlikely that President Trump will be appointing another Supreme Court Justice before the end of his first term, stealing the talking point from both McSally and Sinema.

“The lack of a likely impending Supreme Court Battle certainly takes the wind out of both of their sails,” said David Brooks on PBS NewsHour. “Neither of the candidates will be able to continue using this talking point as a reason for voters to vote for them.”

If President Trump is able to nominate another justice under a Republican held Senate, or a 50-50 Senate with Mike Pence casting the tie breaking vote, he has a better chance of appointing a justice who will fulfill his campaign promise to overturn Roe vs. Wade. However, if Democrats take control of the U.S. Senate, the President pick will likely have to be a much more moderate nominee to pass muster with Senate Democrats and who would be more likely to uphold crucial precedents that Democrats cherish.

Post-Treatment Questions

What was the name of the political commentator who was quoted in the article you just read?

• David Brooks • Bret Stephens • Mark Shields • Do not remember If you were a voter in Arizona, how likely is it that you would vote in this election?

• Extremely likely • Somewhat likely • Neither likely nor unlikely • Somewhat unlikely • Extremely unlikely If the election were held today, which one of these candidates would you vote for?

• Martha McSally (Republican) • Kyrsten Sinema (Democrat) • Neither

How likely do you think it is that your preferred candidate will win the election?

• Extremely unlikely • Somewhat unlikely • Neither likely nor unlikely • Somewhat likely • Extremely likely How likely do you think it is that President Trump will nominate another Supreme Court Justice before the end of his first term in 2020?

• Extremely likely • Somewhat likely • Neither likely nor unlikely • Somewhat unlikely • Extremely unlikely

THE GW UNDERGRADUATE REVIEW • VOLUME 3

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Demographic Message Now we would like to know a little bit about your background for demographic purposes.

Please select all the elections you have voted in: • 2016 Presidential General Election • 2016 Presidential Primary • 2014 Congressional Elections What is your age? (subjects fill in age) What is your sex?

• Male • Female • Other What is your political party affiliation?

• Democratic • Republican • Libertarian • Green • Other

Who did you vote for in the 2016 presidential election?

• Hillary Clinton • Donald Trump • Jill Stein • Gary Johnson • Other • I did not vote in the 2016 election • I was not able to vote in the 2016 election What is your education level?

• No High School • Some High School • High School Graduate • Some College • Bachelor’s Degree • Post-Graduate Education

Debriefing Statement Thank you for participating in this survey.

Please copy the completion code below. After pressing the arrow to submit your responses please return to Mechanical Turk and enter the completion code so that you can be compensated for your participation in the study.

157992

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SPRING 2020 â&#x20AC;¢ THE GEORGE WASHINGTON UNIVERSITY

APPENDIX C: ORDINARY LEAST SQUARES REGRESSION MODELS Table entries are unstandardized regression coefficients with standard errors in parentheses. Control is excluded comparison condition. * indicates p<.01 ** indicates p<.05

Table C1: Likelihood of voting regression, mayoral experiment VARIABLE

REGRESSION B VALUE (WITH STANDARD ERROR)

Condition 1 (High Stakes, Close Race)

.265 (.063) *

Condition 2 (High Stakes, Lopsided Race)

.260 (.063) *

Condition 3 (Low Stakes, Close Race)

.053 (.064)

Condition 4 (Low Stakes, Lopsided Race)

-.004 (.064)

Race1

.072 (.045)

Age2

.153 (.028) *

Party ID

-.067 (.024) *

3

Gender4

.096 (.040) **

Family Income

.065 (.019) *

Education Level6

.136 (.023) *

5

1 2 3 4 5 6

White coded as 1, nonwhite coded as 0 Coded on an ascending scale of young to old Democratic coded as 1, Independent coded as 2, Republican coded as 3 Males coded as 1, Females Coded as 2 Coded on an ascending scale of lowest to highest income Coded on an ascending scale of least to most educational attainment

Table C2: Favorability regression for James Jones VARIABLE Condition 1 (High Stakes, Close Race) Condition 2 (High Stakes, Lopsided Race) Condition 3 (Low Stakes, Close Race) Condition 4 (Low Stakes, Lopsided Race)

REGRESSION B VALUE (WITH STANDARD ERROR) 10.696 (1.158) * 11.268 (1.161) * 1.747 (1.164) 3.056 (1.167) **

Race

-1.018 (.818)

Age

2.829 (.510) *

Party ID

-.303 (.445)

Gender

1.585 (.730) **

Family Income

.218 (.350)

Education Level

.721 (.416)

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Table C3: Favorability regression for Tom Smith VARIABLE

REGRESSION B VALUE (WITH STANDARD ERROR)

Condition 1 (High Stakes, Close Race)

-16.433 (1.288) *

Condition 2 (High Stakes, Lopsided Race)

-25.347 (1.292) *

Condition 3 (Low Stakes, Close Race) Condition 4 (Low Stakes, Lopsided Race)

-1.136 (1.295) -3.044 (1.298) **

Race

-3.432 (.910) *

Age

-.230 (.568)

Party ID

1.157 (.496) **

Gender

-.222 (.812)

Family Income

.080 (.350)

Education Level

1.145 (.462) **

Table C4: Candidate choice regression – James Jones coded as “1”, Tom Smith coded as “0” VARIABLE

REGRESSION VALUE (WITH STANDARD ERROR)

Condition 1 (High Stakes, Close Race)

.400 (.029) *

Condition 2 (High Stakes, Lopsided Race)

.456 (.029) *

Condition 3 (Low Stakes, Close Race)

.160 (.030) *

Condition 4 (Low Stakes, Lopsided Race)

.285 (.030) *

Race

.051 (.021) **

Age

.037 (.013) *

Party ID

-.028 (.011) **

Gender

.028 (.018)

Family Income

-.001 (.009)

Education Level

-.030 (.011) *

Table C5: Likelihood of voting regression, U.S. Senate experiment VARIABLE

REGRESSION VALUE (WITH STANDARD ERROR)

Condition 1 (High Stakes)

.087 (.146)

Condition 2 (Low Stakes)

-.331 (.147) **

Gender

-.015 (.124)

Party ID

-.347 (.135) *

Education Level

.233 (.071) **

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REFERENCES 1. Andersen, J., Fiva, J., & Natvik G. (2014). Voting When the Stakes are High. Journal of Public Economics 110, 157-166. https://doi.org/10.1016/j. jpubeco.2013.10.003 2. Banducci, S., & Hanretty, C. (2014). Comparative determinants of horse-race coverage. European Political Science Review 6(4), 621-640. https://doi. org/10.1017/S1755773913000271 3. Blais, A. (2000). To Vote or Not to Vote: The Merits and Limits of Rational Choice Theory. Pittsburgh, PA: University of Pittsburgh Press.

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8. Downs, A. (1957). An Economic Theory of Democracy.

New York, NY: Harper & Row. 9. Engstrom, E. (2012). The Rise and Decline of Turnout in Congressional Elections: Electoral Institutions, Competition, and Strategic Mobilization. American Journal of Political Science 56(2), 373-386. https:// doi.org/10.1111/j.1540-5907.2011.00556.x 10. Polls-only forecast (2016, November 8).

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Applied Economics 1(2), 35-52. https://doi. org/10.1257/rct.1128 13. Graefe, A. (2014). Accuracy of Vote Expectation Surveys In Forecasting Elections. Public Opinion Quarterly 78(1), 204-232. https://doi.org/10.1093/ poq/nfu008 14. Großer, J., & Schram, A. (2010). Public Opinion Polls, Voter Turnout, and Welfare: An Experimental Study.

American Journal of Political Science 54(3) 700717. https://doi.org/10.1111/j.1540-5907.2010.00455.x 15. Deuk Hyun, K. & Jung Moon, S. (2014). News Media’s Role in the Issue-Voting Process: News Attention, Issue Proximity, and Vote Choice. Journalism & Mass Communication Quarterly 91(4), 687-705. https://doi. org/10.1111/j.1540-5907.2010.00455.x 16. Kahneman, D. (2011). Thinking, Fast and Slow. New York, NY: FSG. 17. Mutz, D. (1995). Effects of Horse-Race Coverage on Campaign Coffers: Strategic Contributing in Presidential Primaries. The Journal of Politics 57(4), 1015-1042. https://doi.org/10.2307/2960400 18. Nicholson, S., & Miller, R. (1997). Prior Beliefs and Voter Turnout in the 1986 and 1988 Congressional Elections. Political Research Quarterly 50(1), 199213. https://doi.org/10.2307/449035 19. Pacek, A., Pop-Eleches, G., & Tucker, J. (2009).

Disenchanted or discerning: Voter turnout in postcommunist countries. Journal of Politics 71(2), 473491. https://doi.org/10.1017/s0022381609090409 20. Rauch, J. (2016, July/August). How American Politics Went Insane. The Atlantic. Retrieved from https:// www.theatlantic.com/magazine/archive/2016/07/ how-american-politics-went-insane/485570/ 21. Riker, W., & Ordeshook, P. (1968). A Theory of the Calculus of Voting. The American Political Science Review 62(1), 25-42. https://doi.org/10.2307/1953324 22. Rothschild D. (2009). Forecasting Elections: Comparing Prediction Markets, Polls, and Their Biases. Public Opinion Quarterly 73(5), 895916. https://doi.org/10.1093/poq/nfp082 23. Silver, N. (2017, September 21). The Media Has a Probability Problem. FiveThirtyEight. Retrieved from https://fivethirtyeight.com/features/the-mediahas-a-probability-problem/ 24. Simon, H. (1955). A Behavioral Model of Rational Choice. Quarterly Journal of Economics 69(1), 99-118. https://doi.org/10.2307/1884852 25. Smith, A., & De Mesquita, B (2012). Contingent Prize Allocation and Pivotal Voting. British Journal of

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26. https://doi.org/10.1017/S0007123411000342 27. Sudman, S. (1986). Do Exit Polls Influence Behavior?

The Public Opinion Quarterly 50(3), 331-339. https:// doi.org/10.1086/268987 28. Westwood, S., Messing, S., & Lelkes, Y. (2018).

Projecting Confidence: How the Probabilistic Horserace Confuses and Demobilizes the Public. SSRN, 1-38. http://dx.doi.org/10.2139/ssrn.3117054 29. Wohlsen, M. (2016, October 16). I Just Want Nate Silver to Tell Me That Everything’s Going to Be Fine. Wired. Retrieved from https://www. wired.com/2016/10/just-want-nate-silver-telleverythings-going-fine/

About the Author Mark McKibbin is a senior at The George Washington University (GW) majoring in Political Communication at the School of Media and Public Affairs. In college, Mark has served as an intern for the Mayor of Sacramento, the Attorney General of California, the Democratic National Committee, and the Brookings Institution. Mark is a prolific writer whose work has appeared in the GW Undergraduate Law Review and the Digital Encyclopedia of George Washington. Mark is originally from Sacramento, California and has been actively involved in California Democratic party politics since the age of 10.

Mentor Details This paper was written with mentorship from Professor Kim Gross.

Kim Gross is an Associate Professor in the School of Media of Public Affairs at The George Washington University. Gross studies public opinion, media framing, and the impact of race and racial appeals on political behavior. She has received the Russell Sage Foundation and National Science Foundation grants for her work on trust in government after the 9/11 terrorist attacks. She has also served as a fellow at the Kennedy School of Government at Harvard University. Gross received her bachelor’s degree in political science from the University of Wisconsin and her Ph.D. from the University of Michigan.

60 KEYWORDS: CSO (civil society organization), community development, disadvantaged children, capacity building DOI: https://doi.org/10.4079/2578-9201.3(2020).11

Understanding the Challenges Faced by ChildFocused Civil Society Organizations in Ho Chi Minh City ANNALISE MORRONE International Affairs, ESIA ‘21, amorrone4@gwu.edu

ABSTRACT The presence of an active civil society is one of the most integral parts of progressive and productive community development. Within the past two decades civil society organizations have grown in size and scope throughout Viet Nam. This has been in an attempt to offset the divestment of international aid networks and match the rapid economic development occurring in urban centers like Ha Noi and Ho Chi Minh City (HCMC). The prospect of high paying jobs resulting from increased domestic and foreign investment in urban areas has encouraged rapid rural-urban migration within HCMC. As a result, urban poverty is on the rise in HCMC and the children of these vulnerable populations face unfavorable odds in educational, emotional, and legal support. The civil society organizations discussed in this paper aim to fill these gaps by supporting children in need in HCMC. However, this research finds that organizations lack sustainable funding networks, autonomy, and human resources. To ensure that their practices persist, government policy must be implemented to encourage a culture of domestic charity from individuals and businesses, as well as assist these organization’s capacity building measures.

•

INTRODUCTION Since the implementation of Đổi mới (‘Renovation’) policies in 1986, a formal civil society has grown exponentially. In the early 1990s, international development organizations and charities entered Viet Nam to act as a catalyst for economic and social development. The government began introducing not-for-profit science and technology research organizations to work alongside existing mass, state-sponsored organizations such as the Farmers Association. As the economy expanded and the advent of internet and market economics brought greater civilian independence, the demand for a comprehensive civil society grew. Community members began generating ideas for communitybased organizations that would champion human rights and partner with better endowed international organizations (IOs). Over the years, civil society organizations (CSOs) achieved greater autonomy and reach in their communities. Unfortunately, the recent increase in rural to urban migration and the withdrawal of international aid has put stress on the sustainability of these organizations, begging the question: what challenges do CSOs currently face?

There has been little in-depth research conducted that details the evolution of civil society in Viet Nam that also highlights first-hand accounts

of their successes and challenges. This report was produced to analyze a series of in-depth, qualitative accounts from a sector of civil society that works with disadvantaged children in Ho Chi Minh City (HCMC). Findings from this research highlight the growing importance of local community based organizations (CBOs) that work with disadvantaged children in HCMC as well as the challenges they face in an undefined space. Conversations with leaders of local CSOs emphasize valuable information concerning the demographics of their clientele, network of funding, disposal of human resources, programmatic focus, structure of governance, and relationship with the community, donors, and government. The conclusions reached in this paper will illustrate that in order to ensure the longevity and strength of these organizations, there must be changes made to government policy that encourage charity from individuals and businesses, and improve their organizational capacity. These accounts are not representative of the entire network of CSOs in HCMC but they do provide an important sociopolitical context.

BACKGROUND Defining Civil Society in Viet Nam Civil society organizations are entities that

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LIST OF ABBREVIATIONS CBO CSR

CPV

CSO

DOLISA FDI

HCMC

IDA

INGO

IO

MDG

MOLISA NGO

ODA

OECD

SDG

USD

UNICEF VUSTA WB

Community Based Organization Corporate Social Responsibility Communist Party of Vietnam Civil Society Organization Department of Labour, Invalids, and Social Affairs Foreign Direct Investment Ho Chi Minh City International Development Association International Non-governmental Agency International Organization Millenium Development Goal Ministry of Labour, Invalids, and Social Affairs Non-governmental Organization Official Development Assistance Organization for Economic Co-operation and Development Sustainable Development Goal United States Dollar United Nations International Children’s Emergency Fund Vietnamese Union of Science and Technology Associations World Bank

inhabit a space between the citizen and the state with the goal of extending pluralism and social benefit. In Viet Nam, this term encompasses a wide spectrum of actors from charities and faith groups to research institutes and mass socio-political organizations (see Table 1 for a detailed typology of CSOs in Vietnamese society). Since the inception of the National Congress of the Communist Party of Viet Nam in 1935, the party has supported mass social organizations such as the Farmers’ Association and Women’s Union. Đổi Mới reforms created space for ‘independent’ civil society organizations to generate and grow alongside the needs of a rapidly developing society.

Today, there are an estimated 1,700 to 2,000 CSOs in Viet Nam. These numbers are estimated due to the extensive number of unregistered CSOs (Taylor, Nguyễn, Phạm, & Huỳnh, 2012, p.7). Nevertheless, these organizations support research interests of the state, cater to disadvantaged populations in rural and urban areas, empower marginalized populations, support educational pursuits of students, etc. Many CSOs tend to mobilize in urban centers as there are larger concentrations of people and economic migrants looking for social support.

CSOs and the Law The political organization of the Communist Party of Vietnam (CPV) allowed and promoted the expansion of an independent civil society only within the past 20 years.

Up until the mid-1990s the CPV was not particularly supportive of organizations developing outside of the party’s development framework for fear of political opposition. In 1992, the Ministry of Science, Technology,

and the Environment introduced state sponsored research under the Vietnamese Union of Science and Technology Associations (VUSTA) (Le, Nguyen, Pham, & Phuong, 2018, p.7). Shortly after, the state began welcoming outside development actors. Grassroots organizations began developing partnerships with well-endowed international organizations to carry out social protection programming and wealth generation. The government welcomed the presence of international organizations to compensate for state neglect caused by liberal economic retrenchment policies. While these organizations existed to support those in need, they did not engage in public debate about government policy.

The Socio-Economic Development Strategy, developed in 2000, formally recognized the presence and importance of civil society organizations in Vietnamese Society. As a result, the government challenged CSOs to: 1. “Strengthen the decentralization process through the Grassroots Democracy Decree i.e. enhancing accountability of governments at the provincial, district and commune level.

2. Enhance the participation of poorer communities in the development planning, implementation and monitoring- i.e. strengthening the voice of poorer citizens in policy making and implementation.

3. Support service delivery for poverty elimination with particular focus on HIV/AIDS and social safety nets i.e. improving access to the hard to reach” (Sabharwal & Than, 2005, p.1).

Despite this plan, there was no defined legal framework that would allow civil society organizations to

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TYPES OF ORGANIZATIONS INCLUDED IN CATEGORY

Mass Organizations

1.

2.

3.

4.

5.

Professional Associations and Umbrella Organizations

Women’s Union Farmers’ Association Youth Organization War Veterans Association Worker’s Organization (VGCL)

RELATION TO THE STATE

VIETNAMESE DEFINITION

Fatherland Front

Socio-Political Organizations

1.

Umbrella organizations like Red Cross, VUSTA, VUAL, Cooperative Alliance, etc.

2. Professional Associations

1. Fatherland Front 2. Registered with an umbrella organization, Center, or provincial organization

1.

VNGOs

Charity, Research NGOs, Consultancy NGOs, Educational NGOs, Health NGOs

VUSTA, Line Ministries, Provincial or District People’s Committees

Social Organizations, NGOs

Community-based Organizations

Service and development or livelihoods-oriented, faith-based organizations, neighborhood groups, family clans, recreative groups

Indirect affiliation to other organizations or Civil Code

Rural collaborative groups, faith-based organizations, neighborhood groups, family clans

Many are not registered

Socio-Professional Associations 2. Social and professional associations; some belong to the NGOs

TABLE 1. Typology of Civil Society Organizations in Viet Nam

(Taken from Civil Society in Vietnam: A Comparative Study of Civil Society Organizations in Hanoi and Ho Chi Minh City, 2012, p.8)

easily register with the government. Instead, depending on an organization’s mission, they were approved and overseen by different agencies, ministries, departments, or associations. The first set of CSOs were science and technology based, so many thereafter were registered under VUSTA. The lack of clear procedures and extensive line of authority poses ongoing obstacles for CSOs in the formalization of their organizations, therefore limiting their ability to grow and raise capital (Taylor, Nguyễn, Phạm, & Huỳnh, 2012, p.6).

The Vietnamese government has consistently amended the law to establish control over the autonomy of the growing non-profit sector. The most recent issuance of Decree 45 confirms these motivations, making certain provisions stricter, especially those pertaining to policy criticisms. In the end, state agencies and CSOs have an ‘ask-give’ relationship. The state decides if an organization can become a CSO and implement their projects. While organizations may be classified as non-governmental, local officials intently monitor the activities of NGOs. The government is not often involved in the planning, funding, or execution of many of these organizations.

However, it wields the power to suspend organizations or activities it does not condone. In recent years, a Law of Associations was proposed to the National Assembly to formalize and simplify the registration process. However,

this proposal was turned down in 2016 because it included unconstitutional provisions and restricted international aid (Viet Nam News, 2016).

The Business Sector and CSOs The business sector has the weakest relationship with CSOs. A survey given to 115 members of civil society groups in Viet Nam cited a weak relationship between their organizations and the business sector; see Figure 1 (Le, Nguyen, Pham, & Phuong, 2018, p.55). This lack of cooperation stems from the close connection between business and the state that is reminiscent of Viet Nam’s former command economy. Many Vietnamese businesses dedicate significant capital to sustain ties with government officials, who in turn vouch for businesses. Businesses protect these relationships by refraining from donating to organizations the government may not condone.

There are also very few initiatives in written law that encourage businesses to donate to a charitable organization. PricewaterhouseCoopers found that “donations are generally non-deductible, except certain donations for education, health care, natural disasters, building charitable homes for the poor, or scientific research” (Pricewaterhouse Cooper, 2019). Recognized CSOs for tax deductions are ultimately decided by the

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FIGURE 1. Assessment Distribution of Civil Society Capacity

(Taken from Benchmark Assessment of Civil Society Space in Vietnam, 2012, p.55)

government, creating systemic inequity. Due to the state’s influence on business and its lacking policies, there is little development of corporate responsibility as there are no incentives to have financial relationships with CSOs. This lack of tax incentives or deductions also discourages charity from individuals (Pricewaterhouse Cooper, 2019).

History of International Aid in Viet Nam Since opening to global involvement, Viet Nam has been a major recipient of development aid from bilateral and multilateral donors. IOs like the World Bank and UNICEF and international non-governmental organizations like World Relief and Save the Children became drivers of a capitalist market economy in adherence to the UN’s Millennium Development Goals (MDGs). By 2015, all of Viet Nam’s MDGs had been met and it remains one of the strongest of the World Bank’s borrowers. Within 30 years, Viet Nam’s poverty rate experienced a sharp decline, from 70% to 6% (World Bank, 2019). Investment remained relatively strong, even as Viet Nam took the spot as the fastest growing economy in Southeast Asia (“Vietnam fastest-growing economy”, 2019). Decades after the first round of foreign aid crossed its borders, the OECD found that Viet Nam was the fourth largest recipient of development assistance- receiving 2.308 billion USD in 2017 (Bony-Cisternes, 2019, p.2).

While international aid remains a robust part of civil society, investment numbers have begun to decline.

The classification of Viet Nam as a middle-income country in 2012 was monumental, implying that adequate economic strength, independence, and capacity building was achieved. As a result, international donors like the International Development Association -an arm of the World Bank- began withdrawing. Not only has aid been dwindling, but the aid that enters Viet Nam is starting to be allocated towards a new set of global interests.

For example, the EU decided to allocate its 2014-2020 allowance (400 million EUR) to the protection of the environment and climate change (Bony-Cisternes, 2019, p.4). As climate change is addressed, funding for existing non-environmental pursuits is abandoned. Consequently, CSOs are forced to explore alternative, sustainable funding methods often within the domestic private sector. However, CSOs face a major obstacle in a lack of financial and human capital necessary for building their organization’s capacity. Accounts from the non-profits leaders discussed in this research mention that in the past NGOs did not have to focus time, energy, and staff to generate funds for their organizations. Today, innovative forms of fundraising need to be generated, such as crowdfunding, corporate responsibility, public events, and grant writing; otherwise, civil society will recede.

Importance of Child-Focused CSOs in HCMC Ho Chi Minh City has attracted rural migrants in large credence to weak rural development initiatives within the Mekong Delta and Central Viet Nam. Climate change

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has threatened the present and future profitability and sustainability of agricultural production and tourism.

Therefore, residents seek out higher-paying positions in factories or the informal sector in hopes of delivering remittances to families left behind in rural communities.

As a result, HCMC is among the world’s fastest growing cities, expanding from a population of 5 million in 1999, to about 13 million in 2019 (World Bank, 2019). In 2015 UNICEF found that 36% of HCMC’s population were temporary residents, suggesting that there is a great proportion of inter-provincial migrants (2017, p.35).

Many migrants with families choose to bring their children along during the move to keep their families united and provide better educational opportunities for their children. UNICEF, in collaboration with the HCMC People’s Committee, created a report titled the Situation Analysis of Children in HCMC in 2017 in response to the influx of migrant children in HCMC. This report outlined the city’s goal of establishing a Child Friendly City (CFC) with the aim of protecting children’s rights as outlined by the Convention on the Rights of the Child (CRC). The city’s planning and budgeting focused on the CRC’s four pillars: “every child survives and thrives, every child learns, every child is protected, and every child participates” (Kurukulasuriya, Nguyen, Phan, & Tran, 2017, p.16). This report found that while the city is making progress in these areas, disparities continue to grow, particularly for disadvantaged groups, such as: children with disabilities, impoverished children, and the children of migrants.

A lack of birth documentation, temporary housing, and migrant status creates barriers to entry in primary and secondary education. This can influence a child’s physical and emotional health, as well as their access to adequate and sustainable shelter. In the 1990s, international and local CSOs began pop-up around the city to support disadvantaged children such as: street children, child laborers, migrants, and those living with HIV/AIDS. These organizations provide educational, physical, and emotional support to disadvantaged populations in urban areas, funded by predominantly international networks.

Understanding the history of civil society in Viet Nam and how it is situated within the law is important in comprehending many of the hierarchical and structural challenges that CSO leaders currently face. Just as well, understanding the role that international investment has played in response to the adoption of a market economy and growing demand for child-focused support services highlights the motivation behind this research.

METHODOLOGY Research Methods and Sampling This study was designed to answer the question: what financial and organizational challenges do child-focused civil society organizations currently face and where do they derive from? To help answer this question, research

was gathered from primary and secondary sources over the course of a month in HCMC. Because it is an urban center that receives a high number of economic migrants, there is a large network of CSOs that exist to support these populations. As a result, HCMC was the most pragmatic place of study. CSOs in HCMC tend to be comprised of smaller-scale community organizations focused on services for disadvantaged groups like children and migrants, whereas CSOs in Hanoi tend to be institutes and centers that are more closely linked with the government. Through the advisor the interviewer was connected to a series of leaders within various local civil society organizations in HCMC that work with vulnerable populations of children. A variety of large civil society organizations, such as UNICEF and Save the Children, were also contacted but no response was received. To gain various perspectives on the issue, the interviewer conducted five semi-structured interviews guided by a set of questions tailored to the professional positionality of the interviewee (see Appendix A for a full list of interviewees and Appendix B for a sample of interview questions).

Interviews were determined to be the best form of data collection given that each organization had a unique story that would best be told in an informal dialogue. The interviewer would be able to ask follow-up questions that offered more detail about the organization, it’s history, and present day challenges. All of the interviewees were the primary leaders of their respective organizations, so they were able to speak extensively on the history, mission, financials, challenges, etc, of their organizations.

The interview questions prompted discussions on the importance of their organization; the structure and administrative hierarchies that exist; their financial histories; and the challenges they are currently facing.

These questions helped guide the qualitative research affording the interviewer a better understanding of the challenges non-governmental support networks face in today’s climate. Interviews were conducted in-person and tailored to the availability of the interviewee. Most of the interviews were conducted in English, however one required the use of a local translator. Due to the limited time and in-country connections, convenience and snowball sampling were used to garner interviewees.

A short description of the organizations successfully visited are located in the section below.

Collaborating Organizations The civil society organizations spoken with all exist as non-profit social protection services for disadvantaged children in HCMC. They provide educational opportunities, case work, shelter, food, legal aid, job skill building, counseling, family reintegration, etc. The details of each of the CSOs structure and mission are stated below.

THE GW UNDERGRADUATE REVIEW • VOLUME 3 Children’s House, District 8 The Children’s House was started by the Department and Ministry of Labour, Invalids, and Social Affairs in 1993 to support orphans and street children in District 8 in HCMC. Their mission is to care for and educate disadvantaged boys under the age of 14 so they may reunite with their families or build a successful and independent life with the skills they’ve built at the Children’s House.

They currently house, feed, educate, and emotionally support 14 boys, while also giving them the necessary legal support to obtain personal identity papers. While the CSO was initiated by the Vietnamese government, they do not financially support the organization; they must rely on a variety of international and local donors, such as Chayra (Germany) and AtDta Foundation (Switzerland).

Thao Đàn Social Protection Center Thảo Đàn is a social protection center that was founded in 1992 to support street children, ages 6-18, in HCMC. At its inception, it supported a few dozen children; today they help an average of 160 children per year. Currently, children experiencing homelessness, those that are economically disadvantaged, or child laborers are referred to this organization for support. The mission of Thảo Đàn work is to provide opportunities for children to grow up happily in a safe and healthy environment.

They have created a safe space for children to share their experiences and offer emotional support through social workers; provide legal assistance to aid educational and housing pursuits; and offer lunch and a space to play.

They rely on a system of volunteers to help carry out programming and case work. Financial support comes from large international donors like UNICEF, to help maintain programming and a small staff.

Cau Hàn Project Cầu Hàn Project is one branch of the HCMC Child Welfare Association. The mission of the Cầu Hàn Project is to provide education to disadvantaged children in District 7. This represents those who cannot enter the public-school system because they lack proper identification papers. The organization provides students 5-grade levels of free education, partial scholarships to attend public or private schools, social support services like counseling, and legal services. Their organization is supported by the government, but they must rely on international donors like Terre des Hommes (Germany) to carry out their programming.

Green Bamboo The Green Bamboo project is another branch of the HCMC Child Welfare Association. A group of social workers opened Green Bamboo in 1994 to support street

65 children in District one. In 1998 they began housing, providing meals, educating, and providing counseling/ legal support for disadvantaged boys in the community.

In the past they relied on international organizations to support their programming and staff, however international divestment has posed financial challenges for the sustainability of the organization.

Ethics The topic in question was not inherently exploitative or invasive in nature. However, several precautions were taken to ensure the research was conducted in an ethical manner. The main concern was protecting the identity and emotions of the interviewees. The interviewer explicitly asked for verbal and written consent for permission to use names, titles, and organization names before conducting interviews. The interviewer would also state who they were and the purpose of the research prior to the conversation. Interviewees were invited to ask for clarification at any point and reminded of their ability to abstain from answering any questions. All interviews were conducted with the convenience of the interviewee in mind. At the conclusion of the interview the interviewer provided interviewees with their contact information to ensure the interviewer could be reached at any point with questions, comments, and concerns.

Empathy and gratitude were also maintained throughout the interview. While the interviewees were not compensated monetarily, they and translators were given a small gift to thank them for the time they spent aiding the research.

Limitations There are several limitations that affected the authority and breadth of this research. First and foremost, the language barrier was a significant roadblock in research.

Though interviews had primarily been conducted in English, the language barrier was still posed as a burden.

This limited the breadth of the research because there were not as detailed, in-depth conversations as would have been ideal. Rewording or discarding certain questions were also necessary because of the language gap. Just as well, interviewees often gave answers that were only tangentially related or completely unrelated to the question asked which furthered the disconnect in understanding. The language barrier may also have affected data collection as inaccurate interpretations of verbal responses, even after repetition, may have been recorded. With more resources and/or time, this barrier could have been reduced.

The second consequence of the language barrier was the inability to gather and interpret data conducted in Vietnamese. The advisor and several interviewees had suggested several relevant studies written in Vietnamese

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that would have helped guide the research. As these could not be translated due to time constraints, reliance was placed on research conducted by international aid organizations like the World Bank, UNICEF, the United Nations, and other foreign research. This ultimately affected the thoroughness and bias of the research.

The limited amount of time dedicated to conducting research was also a significant barrier. While the advisor offered suggestions on several potential interviewees, a significant amount of time was spent waiting for replies to interview inquiries rather than on interviews themselves.

This limited the scope and depth of the research.

The fact that the interviewer was not from Viet Nam also affected the course of the research. Heavier reliance was placed on the advisors to offer connections to different interviewees. As a result, snowball and convenience sampling was used to establish connections across HCMC. This meant that options were limited to the ability of the advisor to establish connections and for those contacts to recruit more interviewees. Random sampling would have had more legitimate and generalizable data.

There was also difficulty in gaining the perspective of each relevant stakeholder. A more in-depth analysis of the challenges CSOs face would have included the perspective of the government, large INGOs, businesses, and/or the children who use CSO services. In an effort to not exploit children in these vulnerable situations that population was not surveyed. However, there was an attempt to get the government’s (DOLISA) perspective on child support services and the role of CSOs. However, given the foereign status of the researcher, there were a series of unexpected red tape necessary to get an interview. This process could not be afforded given scarce time and resources. In all, conducting research as a foreigner requires careful attention towards language and cultural barriers, as well as local knowledge.

FINDINGS AND DISCUSSION Chronic Need Rural-urban Migration An inevitable challenge for many Vietnamese citizens is the ominous threat posed by climate change. In agricultural areas such as central Viet Nam and the Mekong Delta, climate change is affecting the salinity of the water and soil, making it harder for farmers to raise these crops. Just as well, homes and businesses are being destroyed in Central Viet Nam because of flooding and storms. The consequences of climate change are approaching too fast for communities and the government to instill resiliency measures. Representatives from Thảo Đàn and Cầu Hàn confirmed that many children come to their organizations because their families are victims of poor agricultural yields in the Mekong Delta.

Struggling families look towards big cities like HCMC for

opportunity, hearing stories of wealth and prosperity.

When asked if migration and the need for their services will slow in the coming years, all my interviewees stated, ‘no’, noting that any future in coastal/agricultural areas in Viet Nam is bleak.

Even provinces outside of HCMC that may not be impacted by climate change look to the city to achieve financial freedom. Dr. Nguyen from the University of Economics argued that the population increase in the city can be attested to growing inequality among regions/provinces. People only think of metropolitan areas to obtain economic mobility, causing economic migrants to flood to areas in and around HCMC. He also argued that land policy, such as tenure and quantity capacity, has forced families to relocate. A representative at Thảo Đàn confirmed this migrant profile, stating that many parents of the children who use their services were economic migrants, many of which now work long hours in Viet Nam’s developing industrial sector. This changing economic system explains why their organization opened in the mid-1990s. Not only was this the period that the government opened to CSOs, but migration networks increased because of increased opportunity that resulted from foreign direct investment and a competitive market economy. More migrants mean more children that face challenging odds regarding educational and emotional support, requiring CSOs to build a larger capacity to serve these populations.

Lack of Documentation One of the greatest challenges for children who utilize these CSOs is a lack of personal documentation. Many of the children that use these services do so because they lack the appropriate identification papers to attend public school. In speaking with Mr. Linh at the Children’s House, he says that because the boys are orphaned or have migrated from other provinces, they lack birth documentation that is necessary to register for public school. Instead these boys must attend school sessions for undocumented children that are shorter in length and less developed. Chị Huong from Cầu Hàn discussed why so many children are undocumented in the provinces; over the years they found that families that give birth in hospitals leave before obtaining their child’s birth certificate in order to avoid hospital costs. Families may also not be aware of the implications of not registering their children, and don’t have the time or resources to pursue it later on. Many CSOs in HCMC, including the four I spoke with, devote considerable resources and time to help children obtain identification papers. These papers are critical for a child trying to attend school or receive basic healthcare services.

THE GW UNDERGRADUATE REVIEW • VOLUME 3 Housing Policy One of the policy measures that disproportionately affects migrant populations in HCMC is hộ khẩu, the housing registration policy. The 50-year-old system was created in 1964 when the state had larger control of citizens’ lives. It was instituted as a control mechanism for economic planning and as a security tool for controlling government opposition and migration, declaring temporary or permanent resident status.

Dr. Doan said that in recent years the government has allowed temporary residents to go to public schools, but those with temporary status are placed on the bottom of admissions lists. If they do not get accepted into public schools these students might have to enroll in private institutions, most of which have higher tuition costs that families cannot support. Organizations like Thảo Đàn and Cầu Hàn try to provide partial scholarships so children can attend school, but these funds are very limited for both organizations. This year, the government has begun a transition out of hộ khẩu and move to an ID card system. Because it is in transition, the impact of this change cannot be measured but would theoretically eliminate some barriers for migrant children to enter public school. However, Chị Huong stated that this will have no impact on school registration if students lack personal identification papers.

Financial Capacity International Divestment Most CSOs do not get any monetary support from the government and instead rely on grant writing and international donors like UNICEF and/or foreign government aid programming. During my interview at Thảo Đàn, she explained that in the 1990s foreign investment flooded into CSO projects. Since being classified as a middle-income country, funding has left in droves. The Green Bamboo Project was directly affected by this status, losing their major international donor in 2012. Since then, the organization has tried to source money by opening a small restaurant and recruiting local donors. The contrast was also apparent when looking at Cầu Hàn’s funding history. Organizations like CARE, World Vision, UNICEF, and the World Bank had monetarily supported the efforts at Cầu Hàn from the mid-1990s to the mid-2000s. Since then, those partners have dropped, without being equally replaced. Today, the organization relies on grants generated by local organizations like the LIN Center and long-term sponsors like Terre des Hommes, a German international children’s rights charitable organization.

Not only does relying on a smaller set of sponsors, especially international sponsors, create a rocky foundation, it diminishes their autonomy. Sponsors have

67 different motivations that may not align with the needs of the community. One example of this is apparent at Cầu Hàn. The organization that they rely on to sponsor most of their programming is Terre des Hommes. Up until this year, the sponsor had not earmarked money or required any special programming. They just announced that Cầu Hàn was going to have to stop HIV programming for children and instead promote climate change education in local schools. While the mission is not inherently vicious, HIV programs are still a service that is needed in the community. Cầu Hàn is now trying to find another sponsor that will support them so their HIV programming can continue.

Contrastingly, relationships may be beneficial to the organization. UNICEF’s partnership with Thảo Đàn is much more empowering. They do not earmark any donations to Thảo Đàn, giving them the freedom to decide the programming of their organization. They even sponsor conferences that work to improve the capacity building of organizations like Thảo Đàn. The interviewee at Thảo Đàn was going to Cambodia the week after the interview to attend a conference sponsored by UNICEF. Retreating Human Resources Limited funding does not only impact the extent of the programming that can occur, it affects staff numbers and retention. The Green Bamboo Project cited that when their major international donor left, their staff decreased from 5 to 3 employees. As a result, the organization went from supporting 50 to 15 boys. Chị Ngân explained that it has been getting increasingly hard to find good managers and directors with time to dedicate to the organization because they are often unpaid or low-paid positions. She explained that it took about two years to find a director for their center because of the time commitment and lack of benefits. Many individuals that run these organizations spend countless hours, outside the normal work schedule, meeting with families and working on-behalf of the children. This leaves leaders exhausted mentally and physically, with little monetary compensation.

Chị Huong also stated that many organizations are under threat of consolidation because funding from high-impact international donors has declined. Chị Huong expects her organization’s administration to be eliminated in the near future because they can no longer afford to be paid. She argues that this would be a loss to their organization because there is already so little staff that wear many hats. Getting rid of critical staff and relying on a more hierarchical system would hurt the sustainability of these organizations in areas like funding and disrupt the professional support available to vulnerable children. For these reasons, more emphasis will have to be put on volunteers.

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Weak Fundraising Capacity One of the most striking findings from conversations with CSOs was realizing the lacking capacity for fundraising. For over two decades these organizations have had large, stable international donors to rely on.

Now these networks are fading away, and organizations are left without the capacity to independently seek out funds. The capacity to fundraise was not built into the staffing or programming of these organizations, therefore strong networks of domestic donors do not exist. Chị Liễu commented on this sentiment, stating that before, “[her] organization just used money, now [they] have to get money.” She furthered stated that her skills are in social work, not fundraising. The decline of human capital in these small CSOs makes it almost impossible to dedicate the appropriate amount of time to find grants and sustainable donors to build a local network of financial support. Organizations like the LIN Center have entered the space to aid capacity building within these organizations through grant opportunities and consulting. Unfortunately, LIN does not have the human and financial capital necessary to aid such a large list of non-profit organizations in need of capacity building in HCMC. Chị Huong said the future of financial freedom starts with emphasizing corporate social responsibility. As discussed earlier in the report, corporations have no responsibility to CSOs that support community development. She cited that the government has not instituted any policy to encourage or incentivize this behavior. One of the policies that she thinks could encourage this growth is tax incentives and advocacy work. The rise of internet mediums has improved transparency, inspiring a new relationship of trust between donors and CSOs. Chị Ngân said that local people were willing to contribute to the welfare of others through philanthropy but find distaste in the lack of transparency. Through sites like Facebook, organizations can post about their donations and activities, improving the transparency and reactivity of donations. Grand scale change will not be possible without policy to back it. This begins with a better relationship developing between CSOs and the government.

Government Policy Autonomy As previously discussed, the current laws governing civil society limit the autonomy of organizations. The government can cancel programming that doesn’t align with their beliefs, or prevent the launch of certain CSOs altogether. For most of the organizations I spoke with it has not presented a major problem because their work is less controversial, however Cầu Hàn does have

experience with government intervention. The inaugural project at Cầu Hàn in 1997, sexual safety programming, had to change gears after three years and provide job skill training because the government had not wanted to promote prostitution. In the future, policy broadening the autonomy and rights of organizations should be proposed to ensure that the needs of the community are being met.

Non-profit Law & Tax Incentives In places like the United States, CSOs often benefit from 501(c)3 status. This status, as defined in tax law, allows those who donate to the registered non-profit to write off any of those donations on their taxes. This encourages donations from people with smaller personal wealth, as well as businesses. No such status exists in Vietnamese law. Chị Ngân explained that people within the community or neighborhood donate to their efforts through in-kind donations, such as notebooks, food, or clothing; Chú Linh told a similar narrative. There is not one reason for this decision, however people are not incentivized to even give the smallest of monetary donations because there is no government policy incentivizing action. She also noted that people who donate to organizations like to see the immediate impact or trajectory of their donation. By donating in-kind, such as notebooks or clothing, you can control the destiny of your investment. By streamlining the registration process for CSOs and restructuring CSO law, a system for tax-deductible donations could theoretically be built.

Attitude Towards Migrants Chị Ngân also explained her frustration with the government’s inattention towards migrants. She says that the government has sponsored reports citing a significant decrease in the population of street children/ families in HCMC over the past decade. These studies were conducted by research institutions that must operate within the framework of the government. Her organization conducted research of their own, finding a higher number of disadvantaged peoples in HCMC. She said that the government lacks local knowledge of migrant settlement patterns, and therefore conducts inaccurate research. The consequences of inaccurate data are that it signals to international donors that their investment in CSOs might not be needed. Dr. Doan discussed that the city is constantly trying to paint HCMC as a rich and prosperous city; it would not be in the government’s interest to publish data that would challenge those goals.

They are in the business to encourage investment and tourism to places like HCMC. In the future, independent research institutions that utilize local knowledge will have a greater role to play in development policy and CSO strength.

THE GW UNDERGRADUATE REVIEW • VOLUME 3 CONCLUSION Over the course of a month, I conversed with a series of changemakers that have dedicated their lives to advocate on behalf of and improve the lives of disadvantaged children in HCMC. Twenty years ago, these local civil society organizations arose out of a need to support vulnerable children affected by the retrenchment period post Đổi Mới. While Viet Nam has achieved relative economic prosperity over the past twenty years, the need for these services remains robust. Climate change, growing income inequalities, and a rapidly changing economy have urged a new wave of rural-urban migration.

The capacity to support these vulnerable populations is being challenged by the divestment of international aid; government policy; and a lacking financial capacity.

The sustainability of this vital sub-sector of civil society is contingent on the active role of government policy change that would encourage domestic charity; demand CSR from the business sector; and aid capacity building measures for CSOs. The testimonies that this research has compiled hope to inspire and be utilized by community members in Viet Nam to demand action from the government. Just as well, this country’s history is not unique. Communities with similar histories plagued by imperialism and colonization have often received streams of international aid that have provided momentary relief, while undermining the sustainability and capacity of the organizations they are trying to aid.

Further Research Over the course of my research period I came across ideas that were beyond the scale of this research but would be interesting extensions on the topic. First and foremost, it would have been beneficial to meet with more local CSOs to obtain a larger sample size of the support networks available to disadvantaged children in HCMC. With a greater sample size, I would have gained a broader perspective of the challenges, successes, and ideas for the future of sustainable civil society capacity building.

Next, I would have liked to speak with larger INGOs in the area, such as UNICEF and Save the Children, to understand their reach and relationships in HCMC. What is the future of IOs in Viet Nam, given Viet Nam’s increased economic status and growing civil society? Are IOs trying to aid the capacity building of these organizations or are they merely providing short-term solutions? Are there elements of Vietnamese law that limit the reach or breadth of their programming?

Finally, as I met with interviewees and did more research on the role of corporate responsibility, I realized the growing importance of the business sector in the sustainability of civil society organizations. Speaking with large businesses in HCMC would uncover why they would

69 or would not donate to different CSOs. Are businesses looking to be incentivized by government policy? What kind of CSOs would they be willing to donate to?

ACKNOWLEDGEMENTS This research project would not have been possible without the guidance and support of my advisors: Duong Van Thanh and Nguyen Thi Minh Chau. I am extremely grateful for their unwavering support and dedication to help me pursue this research.

I would also like to thank all of the individuals that graciously agreed to take the time out of their busy schedules to share their stories, thoughts, and opinions: Lê Thị Ngân, Nguyen Doan, Nguyen Tri Linh, Tong Thi Huong, and Nguyễn Thị Bich Liễu. Gaining these perspectives was a critical part of the research and afforded me a new outlook on community development that I plan to carry with me into my academic and professional pursuits. The complete index of organizations and individuals can be found in Appendix A. I would also like to thank the network of local students for their eagerness and willingness to aid our translation needs during the research process.

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APPENDIX A: TABLE OF INTERVIEWEES ORGANIZATION

CLASSIFICATION

CONTACT(S)

TRANSLATOR

DATE

Children’s House, D. 8

Civil Society Organization

Nguyen Tri Linh

N/A

2019, October 22

Thao Dan Social Protection Center

Civil Society Organization

Lê Thi Ngân

N/A

2019, November 22

University of Economics

Academic

Nguyen Doan

N/A

2019, December 2

Cau Hàn Project

Civil Society Organization

Tong Thi Huong

Nguyen Trong

2019, December 4

Green Bamboo

Civil Society Organization

Nguyen Thi Bich Lieu

N/A

2019, December 12

APPENDIX B: GENERAL INTERVIEW QUESTIONS 1.

What is the mission/purpose of your organization?

a.

When and why was it created?

2.

What is your role at the organization?

3.

How many full/part-time employees and/or volunteers are involved?

4.

What services are provided to clients?

5.

What are the demographics of the children? (ie. age, gender, residency status, migrant status, household make-up, etc.)

a.

Has rapid rural-urban migration affected the population in need?

6.

How has the organization changed over the years? (ie. staff size, mission, clientele)

7.

Where does the organization get financial support?

a. How has that changed over time?

b. What is more important, international or domestic financial support?

8.

What is your relationship with the government?

9.

What are the current needs of your organization?

10.

What are the biggest challenges that the children and/or your organization face?

THE GW UNDERGRADUATE REVIEW • VOLUME 3

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REFERENCES 1. Bony-Cisternes, R. (2019). Changes in official development assistance in Vietnam as seen through the prism of governance. Revue Internationale De Politique De Développement, 11(1). doi: 10.4000/ poldev.3204 2. Coxhead, I., Nguyen, V. C., & Vu, H. L. (2019). Internal Migration in Vietnam, 2002–2012. Rural-Urban Migration in Vietnam Population Economics, 67–96. doi: 10.1007/978-3-319-94574-3_3 3. Experts slam Draft Law on Association. (2016, November 26). Vietnam News. Retrieved December 4, 2019 from https://vietnamnews.vn/politicslaws/344927/experts-slam-draft-law-onassociation.html#QuKdhuPH7pMHhlJS.97.

4. Kurukulasuriya, S., Nguyen, P., Phan , H., & Tran , M. G. (2017). Situation analysis of children: in Ho Chi Minh city - Viet Nam 2017. UNICEF. Retrieved December 4, 2019 from https://www.unicef.org/ vietnam/media/1516/file/Situation analysis of children: in Ho Chi Minh city - Viet Nam 2017.pdf 5. Le, B. Q., Nguyen , N. T. T., Pham , T. T., & Phuong , P. Q. (2018). Benchmark Assessment of Civil Society Space in Vietnam. Research Institute for Society, Economics and Environment. Retrieved December 4, 2019 from http://isee.org.vn/wp-content/ uploads/2018/11/benchmark-assessment-of-civilsociety-space-in-vietnam..pdf 6. Lê, N. T. (2019, November 22). Semi-structured interview.

7. Nguyen, D. (2019, December 2). Semi-structured interview.

8. Nguyễn, T. B. L. (2019, December 12). Semistructured interview.

9. Nguyen, T. L. (2019, October 22). Semi-structured interview.

10. World Bank Group. (2019). Vietnam Overview. World Bank. https://www.worldbank.org/en/country/ vietnam/overview.

Vietnam-Country Overview. Price Water house Coopers. http://taxsummaries.pwc.com/ID/ Vietnam-Overview 12. Sabharwal , G., & Than , T. T. H. (2005, July). Civil Society in Vietnam. CIVICUS. Retrieved December 4, 2019 from https://www.globalpolicy.org/ component/content/article/176-general/32074. html.

13. Sidel, M. (2010). Maintaining Firm Control: Recent Developments in Nonprofit Law and Regulation in Vietnam. The International Journal of Not-forProfit Law, 12(3). Received December 4, 2019 from https://www.icnl.org/resources/research/ijnl/ maintaining-firm-control-recent-developments-innonprofit-law-and-regulation-in-vietnam 14. Taylor , W., Nguyễn, T. H., Phạm, Q. T., & Huỳnh, T. N. T. (2012). Civil Society in Vietnam: A Comparative Study of Civil Society Organizations in Hanoi and Ho Chi Minh City. The Asia Foundation, 1–36. Retrieved December 4, 2019 from http://klfcdsp.huecity.vn/ UploadFiles/ThuVienTaiLieu/civil_society_in_ vietnam.pdf 15. Tong, T. H. (2019, December 4) Semi-structured interview.

16. Le, H. (2019, July 19). Vietnam fastest-growing economy in Southeast Asia: ABD. VnExpress International.https://e.vnexpress.net/news/ business/economy/vietnam-fastest-growingeconomy-in-southeast-asia-adb-3954579.html.

17. World Bank Group. (2016, June). Vietnam’s Household Registration System. World Bank Retrieved December 4, 2019 from http://documents. worldbank.org/curated/en/158711468188364218/ pdf/106381-PUB-P132640-ADD-ISBN-ON-BACKCOVER-PUBLIC.pdf 18. World Bank Group. (2019, October 18). Overview.

World Bank. https://www.worldbank.org/en/ country/vietnam/overview

11. Price Water house Coopers. (2019, November 30).

About the Author Annalise is a junior from Addison, Illinois majoring in International Affairs with a concentration in International Development and minoring in Sustainability. Annalise spent the fall of her junior year studying abroad in Ho Chi Minh City, Viet Nam. During that time she developed an interest in the history of international aid and rural-urban migration in Viet Nam and its relationship to the capacity of civil society organizations in urban areas. Annalise is currently serving as a communications and outreach intern for Immigrant Food, with previous experience at World Central Kitchen and FreshFarm.

Mentor Details

This article was prepared with mentorship from Nguyen Thi Minh Chau. Nguyen Thi Minh Chau is the head of the Research Center on Development and Consultancy at The Southern Institute of Social Sciences based in Ho Chi Minh City in Viet Nam.

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KEYWORDS: disability, disability studies, inequity, rural zones DOI: https://doi.org/10.4079/2578-9201.3(2020).07

Policy and Practice of Disability in Rural Zones of Southern Peru and Coastal Ecuador JULIA SCOLAPIO Dance/International Affairs, ESIA ‘19, julia_scolap@gwu.edu

ABSTRACT This study investigates the sociopolitical realities for individuals with disabilities in rural zones of Ecuador and Peru. Chapter One defines disability within global, national, and local contexts with regards to La Ley Orgánica de Discapacidades of Ecuador and Law No. 29973 of Peru, laws enacted to protect individuals with disabilities in each respective country. Chapter Two describes two case studies based on short term ethnographic fieldwork in 2017 and 2018 among disabled populations in San Migos, Ecuador. These narratives contribute to a general understanding of how access to medical professionals and quality diagnoses are determined by geographic situation, economic ability, and familial situation. This inequitable system contributes to the lack of political support for individuals in rural zones, such as San Migos, Ecuador. Chapter Three focuses on case studies taken in 2018 from Rio Mar, Peru and discusses structural limitations, such as education, familial support, and economic abilities, that make it difficult for individuals with disabilities to claim rights and recognition by the Peruvian government. Chapter Four compares case studies in Ecuador and Peru and makes suggestions for disability practices in each respective country.

The situation for people with disabilities in rural areas of ​​Rio Mar, Peru and San Migos, Ecuador is neither equitable nor efficient. We must increase research in this area to improve the system.

•

CHAPTER I: INTRODUCTION

HISTORICAL TIES

DEFINING AND EXPERIENCING PHYSICAL DISABILITY: CASE STUDIES OF RURAL ECUADOR AND PERU

As bordering neighbors, Ecuador and Peru have historical ties that date back to the Inca empire of the 15th century. The Inca empire was well known for advanced agriculture, government structure, and military (Burkholder & Johnson, 1990).

Both countries were dominated by Spain from the 16th century until the beginning of the 19th century.

Historical records show years of oppression of the native people of Ecuador and Peru. The Spanish conquerors used indigenous peoples as indentured servants and generally treated them more like animals than people. There were striking contrasts among power dynamics of Europeans, mestizos, creoles, and natives.

After Ecuador and Peru achieved independence from Spain, in 1822 and 1821 respectively, territorial disputes between the two countries persisted until the late 20th century. On May 13, 1999, Ecuador and Peru agreed to the Brasilia Presidential Act which formally demarcated borders after nearly a century of dispute. This agreement also rejects the use of war and violence against each other (Witt & Fujimori, 1998).

Physical disability may seem apparent and easy to define. It is not. At the global level, institutions such as the World Health Organization seek to define physical disability. At the country level and around the world, policy makers do the same. At the local level, care providers have to consider policy guidelines handed down to them from above and manage scarce resources to address needs.

At the most personal level, people with physical disabilities and their families and friends experience everyday living and its challenges within different socioeconomic contexts.

In this paper, I first describe my findings from fieldwork experiences in Ecuador (Chapter II) followed by those from Peru (Chapter III). I then offer comparative comments from the two case studies, followed by some conclusions and thoughts for future research on the subject of physical disability, particularly people’s lived experiences, specifically in low income contexts (Chapter IV).

THE GW UNDERGRADUATE REVIEW • VOLUME 3 CONTEMPORARY SOCIO-POLITICAL CONTEXT IN ECUADOR AND PERU Ecuador’s politics are marked by many years of unfulfilled presidential terms. Rafael Correa, President of Ecuador from 2007-2017, was the first president since the 1990’s to complete his entire term. Correa led Ecuador into a new phase of politics and leadership as a more liberal leader who was praised for decreasing poverty rates, increasing GDP, and increasing overall equality within Ecuador (Monitoring, 2017). While in office, his vice president, Lenin Moreno, did much work advocating for individuals with disabilities. The Guardian claimed that Ecuador became one of the “most progressive nations in Latin America” during Correa’s presidency in terms of assisting those with disabilities (Watts, 2013, para. 10).

Lenin Moreno assumed the office of presidency in 2017. He was nominated for a Nobel Peace Prize in 2012 for the stark increase in registrations for disabled individuals. In only 4 years, over 50,000 people have been able to access a disability registration (Astudillo, 2017, para. 4). He created a system of “guaranteed medical and social care” for individuals with disabilities through the Manuela Espejo Program (Astudillo, 2017, para. 4). At the time of his nomination for the Nobel Peace Prize, he said that he had only accomplished 20% of what he wanted because he realizes the necessity of “structural change” (Watts, 2013, para. 14).

Peru, conversely, has a long history of political corruption and instability. Many of Peru’s presidents have either been impeached or imprisoned due to their involvement in various political schemes. This political disruption contributes to a larger system of unenforced laws in Peru. There are laws in place to protect disabled people and the land of indigenous communities, yet the individuals in power have not done their part to ensure these laws are fulfilled within communities in Peru.

It was not until President Ollanta Humala in 2011 that rhetoric for the social inclusion of vulnerable populations became apparent. Humala established the Ministry of Development and Social Inclusion (MIES) in Peru (RPP Noticias, 2011) and was president during the passing of Law 29973. While I was in Peru, Humala was impeached and later arrested as a recipient of a bribe from a Brazilian construction company (Post, 2016).

DEFINING PHYSICAL DISABILITY AT THE NATIONAL LEVEL Ecuador In Ecuador, La Ley Orgánica de Discapacidades, Natural Law of Disabled Individuals, promotes the inclusion and security of individuals with disabilities in Ecuador.

According to an October 2018 report by the Ministry of Public Health, 449,169 Ecuadorians were registered as having a disability. This excludes the number of individuals

73 who have yet to register their disability (Ministerio de Salud Publico Ecuador, 2018).

The purpose of this Law is to ensure the prevention, timely detection, habilitation and rehabilitation of disability and guarantee the full validity, dissemination and exercise of the rights of persons with disabilities, established in the Constitution of the Republic, treaties and international instruments; as well as those that derive from related laws, with a gender, generational and intercultural focus... This Law protects Ecuadorian or foreign persons with disabilities who are in the Ecuadorian territory; as well as, to Ecuadorians abroad; his relatives within the fourth degree of consanguinity and second of affinity, his spouse, partner in de facto union and/or legal representative and public, semi-public and private non-profit legal persons, dedicated to the care, protection and care of the People with disabilities...The scope of application of this Law covers the public and private sectors.

Persons with disabilities or disabling conditions are covered by this Law, as pertinent (Ley General de la Persona con Discapacidad, 2012, p. 6).

In Ecuador, a person with a disability is considered: any person who, as a result of one or more physical, mental, intellectual or sensory deficiencies, independent of the cause, is permanently restricted in its biological, psychological and associative to exercise one or more essential activities of daily life, in the proportion established by the Regulation (Ley Orgánica de Discapacidades, 2012, p. 8).

Ecuador maintains el Registro Nacional de Personas con Discapacidad (a National Registry of Disabled Persons).

La autoridad sanitaria (the National Health Authority), is responsible for maintaining the National Registry of Persons with Disabilities and Deficiency or Disabling Conditions. Additionally, public, semi-public, and private legal entities that are dedicated to providing care to individuals with disabilities or living conditions that are disabling, are legally bound to maintain a registry that will become part of the National Public Data System. These public, semi-public, and private entities must “maintain proper interconnection with the agencies of the public administration and private institution” in order to ensure that information is streamlined and transmitted in a timely manner (Ley Orgánica de Discapacidades, 2010, p. 25). Individuals are also administered a disability card that is transmitted through el Consejo Nacional para la Igualdad de Discapacidades (The National Council for the Equality of Disabled Individuals), CONADIS (Ley Orgánica de Discapacidades, 2010, p. 25) .

In Ecuador, patients must find a doctor who is certified in evaluating disability. These doctors go through extra

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courses and exams to be deemed eligible to evaluate disability. These certified medical officials work directly with el Ministerio de Salud Publico (the Ministry of Public Health) and are placed in varying cantons at local medical facilities and larger hospitals. Medical officials have a codified way of diagnosing disability - or they all follow the same book, “Valoraciòn de las Situaciones de Menusvalía.” This book has charts and instructions detailing how medical officials should evaluate disability.

Disabilities are categorized as: Físico (Physical), Motriz (Motor Skills), Auditiva (Ability to speak), Visual (Visual), and Intelectual o Mental (Intellectual or Mental). Once the doctor has made their assessment, they assign a percentage that is reflective of how disabled a patient is.

The doctor will then register the disability through an online system monitored by The Ministry of Economic and Social Inclusion (MIES). MIES is directly connected with CONADIS, an agency responsible for processing disability cards. If patients are at a hospital with printing capabilities, patients will receive their card the same day as their appointment. If not, their card usually takes two days to process.

Peru The situation is quite similar in Peru. In 2017, the National Institute of Statistics and Information conducted a census in which 1,637,407 people were identified with a disability in Peru (Instituto Nacional de Estadistica e Informatica, 2017). According to Law No. 29973 of Peru, individuals with disabilities have the same rights as the rest of the population. People with disabilities have protection against discrimination in employment and in public spaces. They can also receive benefits from the Ministry of Health that guarantees and promotes the entry of the disabled person into a system of universal insurance. In addition, Social Health Insurance (ESSALUD) guarantees and promotes access of people with disabilities to ensure affordable health benefits, rehabilitation and support mechanisms, including home care, assistance staff, intermediate care facilities and residential centers, according to the needs of the insured (Ley General de la Persona con Discapacidad, 2012, p. 6).

The law states that the State of Peru is obliged to have specialized services and perform preventive actions according to the types of disabilities (Ley General de la Persona con Discapacidad, 2012, p. 7).

El Registro Nacional de la Personas con Discapacidad (National Registry of Disabled Persons), is a nationwide instrument used in Peru to register individuals who have a disability. This registration grants individuals the right to be recognized as having a disability, a recognition that makes individuals qualified to receive government

aid. Individuals may also receive a disability card from a certified medical official. This card documents an individual’s disability and may be presented at public and private institutions as recognition that the individual is protected under the law. More officially, an un certificado de discapacidad (Disability Certificate), is a legal medical document that certifies the condition of a person with a disability. It is granted by the health establishments of the Ministry of Health, Ministry of Defense, Ministry of the Interior, Social Health Insurance - EsSalud, INPE and authorized private entities (Ministerio De Salud Peru, 2016).

People with disabilities can be protected under the disability law if they have a disability certificate.

Certification is in the form of a card. The process for obtaining the card is free, and includes evaluation, qualification, and certification (RESOLUCIÓN MINISTERIAL, 2009). If people do not register their disability with the Ministry of Health, then they can not receive social protection, be considered for social health insurance, or apply for other benefits that the law promotes. In 2014, the National Council for the Integration of Persons with Disabilities (CONADIS) in Peru, a sector of the Ministry of Women and Vulnerable Populations, published a national survey that said of the 45,067 people with disabilities in Cusco, only 11.8% had a certified disability. 74.9% of individuals were not registered with CONADIS (Departmento de Cusco, 2014, p. 171). It was not until 2017 that the question was included in the census. This leaves the question, how many people have a disability but have not yet had it registered?

According to the Ministry of Health Peru, a person with disability is: one who has one or more deficiencies evidenced by the significant loss of some of their physical, mental or sensory functions, which imply the decrease or absence of the ability to perform an activity within forms or margins considered normal limiting it in the performance of a role, function or exercise of activities and opportunities to participate equitably within society (RESOLUCIÓN MINISTERIAL , 2009).

In Peru, individuals need to coordinate with the Municipal Office of Attention to Persons with Disabilities (OMAPED) to find a Traveling Disability Qualifying Brigade (BICAD) or a group of specialists who travel to evaluate, qualify, and certify their disability (Resolución Ministerial, 2009). The evaluation process is a codified method where the doctor analyzes the capacity of the person. Doctors must submit their evaluations, through means of an online form that is more than 50 pages long, to the Ministry of Health. Individuals will be assigned a percentage that represents the gravity of their disability.

THE GW UNDERGRADUATE REVIEW • VOLUME 3 Disabilities are divided in three levels, low, moderate, and severe. Classifications are divided as follows: Física (Physical), Auditiva (Ability to Speak), Visual (Visual), Intelectual (Intellectual), and Psíquica (Psychological).

The Ministry of Health then transmits the information to CONADIS, where the process of transmitting a disability card begins. This process usually takes two to three months.

METHODOLOGY AND ETHICS Methodology Ecuador My methodology differed somewhat between my work in Ecuador and Peru. In Ecuador, I had already conducted previous field research with Florida Atlantic University’s Ethnographic Field School in a town I will refer to as San Migos. My fieldwork location was predetermined prior to the start of my field research. My pre-established contacts in the area, which included local government officials, medical professionals, leaders of non-governmental organizations, educators, and disabled individuals, were helpful in connecting me with local individuals to interview.

My research population was men and women of differing age groups who are currently living with a physical disability. For five weeks I investigated three age groups of adults as determined by the Ministry of Health in Ecuador.

75 My fieldwork also included interviews with local professionals working in various fields related to disability.

In San Migos, this includes the doctor responsible for diagnosing disability in the canton of San Migos and four individuals working for organizations in support of disabled persons. I interviewed two educators from Ana Sol, a local public school for children with disabilities, as well as the directors of the local primary school, high school, and private school in San Migos.

In San Migos, a tape recorder was used to document interviews. This information was guarded by password on my computer and was analyzed in a field journal with pseudonyms used to protect the identity of interviewees.

All interviews were conducted in Spanish and later transcribed into English.

Peru In Peru I was bound by the requirement of my study abroad program, SIT Peru: Indigenous Peoples and Globalization. I utilized the help of my research advisor in Peru, Deisy Moscoso, to locate an appropriate location to carry out my field work.

I was connected with Asociación ARARIWA, a local nonprofit organization with development projects across Peru. ARARIWA has an ongoing project aiding children with disabilities in a community three hours outside of Cusco. Already having pre-established contacts in the area, ARARIWA suggested that I conduct my research in an indigenous community that has a large population of

GROUP ACCORDING TO THE MINISTRY OF HEALTH

AGE

WOMEN

MEN

Young Adults

18-29

3

3

Adults

30-59

3

3

Elders

above 60

3

3

TABLE 1. Research Population Ecuador GROUP ACCORDING TO AGE THE MINISTRY OF HEALTH

WOMEN

MEN

Young Adults

18-29

1

1

Adults

30-59

1

1

Elders

above 60

1

1

TABLE 2. Research Population Peru

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disabled persons and has a local OMPAED office. I will refer to this location under the pseudonym Rio Mar. ARARIWA and OMAPED scheduled my interviews with local individuals with physical disabilities. These interviews were mainly done in Quechua, a language native to Ecuador. Jaime Huaman from ARAIWA and Carlos Garcia from OMAPED assisted my efforts in Rio Mar by acting as translators between myself and research participants. The initial translation was done from Quechua to Spanish and the interviews were later transcribed into English. In Rio Mar, a video camera was used to record interviews. This footage was taken with formal, written consent to produce a video documentary.

Due to the amount of time spent in each communitySan Migos for 5 weeks, and Rio Mar for 4 days- the size of my research population in Ecuador greatly outnumbered my research population in Peru.

As in Ecuador, my research population in Peru were men and women of differing age groups who are currently living with a physical disability. I investigated three age groups of adults as determined by the Ministry of Health Peru.

Furthermore, I conducted research with two public school educators in Rio Mar who work specifically with children with disabilities. I also interviewed one doctor from the local clinic, or Centro de Salud de Rio Mar, who is qualified to diagnose disability, and two authorities working with organizations fighting for the rights of individuals with disabilities.

Ethics All research was conducted under the advisement and approval of the George Washington University Institutional Review Board, 051841 “Diagnosing Physical Disability in Coastal Ecuador: The Policy and Practice of Disability.” Research conducted in Ecuador was approved prior to entrance in the field. In Peru, research was approved by SIT Peru’s internal Institutional Review Board by means equivalent to the George Washington University Institutional Review Board. The research conducted in Peru was later retroactively approved by the GW Institutional Review Board through a modification request.

Necessary precautions were taken to ensure the privacy of all individuals participating in my study.

Working directly with a vulnerable population, individuals with physical disabilities, I have no written record of the names of individuals participating in my study, except for individuals who chose to be identified for my documentary in Rio Mar, Peru.

Verbal consent was acquired before the start of all interviews and was preceded by a detailed explanation of my project. A copy of the project description was provided to each participant. Interviews were taken in private spaces, the majority being in the homes of the

interviewees, upon their invitation.

RELEVANCE OF THE STUDY The findings presented in this study draw from and contribute to the social science literature on physical disability, particularly related to definitions and policies, services, and most importantly disabled peoples’ lived experiences, with specific reference to two case studies in rural, low-income communities.

Some studies, such as Mont (2007), have addressed cross-cultural patterns of physical disabilities. Mont has found inconsistencies in identifying disability on the global scale, as many countries rely on individuals to report their disability through census or surveys (Mont, 2007, pp. 1-35). Trotter et al. (2001) presents a model that attempts to create an international classification for disability that accounts for cross-cultural interpretations.

However, this model tends to be a problem for some, due to the ever evolving nature of the rhetoric surrounding disability (Trotter II, Rehm, Chatterji, Room, & Ustun, 2001, p. 37).

Without a codified method for identifying disability, there is great variation in what functional limitations constitutes a disability, which leads to inaccurate data at the global scale. A related study by Prince et al. (2011), examined the relationship between physical impairments and dementia in low and middle income countries such as Peru. Chronic physical comorbidity is common in dementia. While some countries may denote this as a disability, others may record this physical impairment as a result of malnutrition and lack of treatment for dementia, and would not consider the individual to have a disability (Prince, et al., 2011, pp. 511-519). Imrie (2004) describes the shortcomings of the International Classification of Functioning, Disability and Health (ICF), as created by the World Health Organization, in failing to specify the nature of a disability. The paper argues for further clarification and development in defining the nature of an impairment and clarifying the implications of universalization as a principle for guiding disability policies (Imrie, 2004, pp.

287-305).

Several scholars have addressed the question of whether disability law and policy should be universally defined and applied. For example, Zola (1989) suggests that universal policy towards disability is in the best interest of an entire society. Zola states that recognizing individuals with disabilities as a minority pits them against the rest of the population in terms of their needs, wants, and rights. Further, social, medical, economic, and political impairments are not exclusive, but universal to individuals with disability. Therefore, an exclusive special needs approach to disability is a short-run approach (Zola, 1989, pp. 401-428).

Kanter (2003) acknowledges that more than 10% of the world’s population has a disability, and this number

THE GW UNDERGRADUATE REVIEW • VOLUME 3 continues to grow as a result of war and violence, inadequate medical care, and natural and other disasters.

A 1991 UN Report found that people with disabilities live a marginal life, deprived of their rights due to the deplorable conditions in which they live and the segregation they face from the rest of the world. Kanter continues to note how conditions of poverty have the potential to add to the risk of disability. The World Bank thereby called for the integration and economic participation of disabled individuals within society (Kanter, 2003, pp. 241-269).

Unfortunately, this integration has been overshadowed by the stigmas associated with disability. Zola reviews the universal stigmatization of disability, citing Disability Rag (1984), which expresses that individuals avoid using wheelchairs, even temporarily, because of its perceived stigma and association to frail individuals.

A study of college students in Manabí Province, Ecuador, (Macias, et al., 2018) found that while individuals may differ in social support and in how they contracted their disability, whether by birth or in an accident, the lack of resilience in an individual to cope and make due of their life serves as a potential obstacle in obtaining proper attention, care, and/or treatment (Díaz, Macías, Tarazona Meza, Bumnila Garcia, and Tóala Bozada, 2018, pp. 1-8). Stuecher et al. (2000), analyzes how economic challenges can negatively impact the health, education, and welfare of individuals with disabilities in Ecuador.

Often, children with disabilities are only identified with regard to their educational needs and not formally recognized as disabled. Special education centers have opened to provide opportunities for physical and intellectual growth as well as general education. However, these models may not prove to be sustainable due to the economic challenges faced by families with a disabled person (Stuecher & Suarez, 2000, pp. 289-298).

Exploring the lived experience of physical disability and stigma are key to this paper. Stigma and social exclusion emerge as prevalent themes. In their cross-country study of Ecuador, Ethiopia, and Kenya, DeBoer et al. (2008) found that disabled persons with epilepsy are disadvantaged in their ability to maintain relationships and participate in society as students and part of the workforce. In Peru, less than 25% of adults with disabilities are gainfully employed, and 51.4% of disabled children do not attend school (Campoverde, 2003, p. 5; Redko & Hunt, 2015, p.

24).

Given their tendency to focus on local populations, several sociocultural anthropologists have provided insights into the lived experiences of those with various physical disabilities, including blindness. Insgtad and Whyte offer some of the earliest studies in sociocultural anthropology of disability in their 1995 book (Ingstad & Whyte, 1995). Staples et al. (2016) confirms that there are relatively few ethnographic studies on disability. Disability studies tend to document and analyze disability, but fail to configure disability cross-culturally. Across several

77 decades, many anthropologists have shifted away from engaging with this topic due to disinterest or finding it irrelevant. Staples criticizes Ingstad and Whyte for failing to reference the works related to disability studies.

The capacity of anthropology to understand disability cross-culturally and the “deep hanging out” (Staples & Mehrotra, 2016, pp. 35-50) of participant observation allows us to situate a complex web of identities, social relations, and historical circumstances of individuals with disability. I should note that “deep hanging out”, or rather, increased time spent within a given community, can lead to emotional participation that begins to blur the lines of research and personal connection or relationships to the given community in which you are living. Fabos (1999) recalls her dilemma in delineating boundaries between research and personal life (Fabos, 1999, pp. 98-118).

Shuttleworth (2004) credits Joan Ablon to the establishment of an anthropological focus on social stigma. Shuttleworth says that Ablon’s research contributed to, if not established, the notion of stigma in an attempt to understand community despite physical differences (Shuttleworth, 2004, pp. 139-161). MiranaGalarza (2015) underpins this stigma as a result of the lack of understanding of disability among Ecuadorian families and calls for more ethnographic research to understand the impact of global definitions on disabled families (Miranda-Galarza, 2016, pp. 260-288).

I have found few studies about the lived experiences of those with physical disabilities in Ecuador and Peru that would be more closely related to this paper. Rattray (2013), however, conducted an ethnographic field project in the highlands of Ecuador where he attempted to understand how cultural differences of bodily difference and spatial forms of exclusion shape the marginalization of people with disabilities. His work was informative and the most relevant to mine in terms of portraying lived experiences of people with physical disabilities.

Within the Ecuadorian social system, individuals with disabilities struggle with their ability to access medical care, jobs, and an education because of the spatial order of an urban neighborhood, such as Cuenca (Rattray, 2013). More often than not, individuals in Ecuador and Peru encounter difficulties with public transportation in urban areas where they must seek alternative ways of entering and maneuvering through inaccessible spaces.

As I will explore later, this inaccessibility is an enormous barrier in individuals’ ability to register their disability and receive protection from the government.

Rojas (2012) published an article about the inclusion of people with disabilities in Peru. However, terminology associated with disability is constantly evolving. During my field work both in Ecuador and Peru, I was told that the term discapacitado/a (disabled person) is offensive and outdated, and that instead individuals are personas con discapacidades (people with disabilities). It is important to note that, although published in 2012, “La

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situación de los discapacitados en el Perú: Exclusión/ inclusión de las personas con discapacidad,” repeatedly uses outdated references when addressing people with disabilities (Rojas, 2012, pp. 242-259). This shows how quickly terminology and knowledge fluctuates among these groups of individuals.

According to Rojas, vulnerable populations in Peru, such as young children, women, older populations, and individuals with disability, are highly excluded in the Peruvian social system. There are economic incentives that the government offers that allow vulnerable populations to live a life more closely related to non-vulnerable populations, but unfortunately these incentives have not been implemented fairly. According to Rojas, 43% of people with disabilities live with less than $1 per day. Keeping this in mind, individuals’ access to medical and political protection may largely be based on economic ability to access resources (Rojas, 2012, pp.

242-259).

In summary, the social science literature on physical disability provides some insights into the topics of the worldwide distribution of physical disabilities, the laws and policies addressing it, and the lived experiences of people with physical disabilities. However, there is little research on disability in low-income countries, and especially on the lived experiences of people with physical disabilities in those countries. This study therefore provides a comprehensive, cross-cultural approach to understanding disability in such populations.

This literature will contribute by identifying policy gaps for those with disabilities, stigmas surrounding individuals with disabilities, and the ability of those in rural communities to apply for disability support.

It is important to raise awareness for marginalized communities, as they are often those who most need support, yet are not receiving it. The paper recognizes the needs of people with disabilities in both political and cultural contexts and the additional difficulties they face in two rural communities, one in Ecuador and one in Peru.

PURPOSE OF THE STUDY Given the scarce sociocultural academic research on the lived experiences of people with physical disabilities in low-income countries, I have yet to find studies that address state processes in labeling individuals as disabled.

Individuals are marginalized in rural zones due to their inability to register their disability. This marginalization contributes to larger forms of systemic oppression.

Without the registration, individuals are not entitled to receive protection under certain disability laws, because this law only applies to individuals who are registered as having a disability. The principle question I will address is: What types of barriers are present in rural zones of Ecuador and Peru that limit disabled people from receiving protection under their given laws?

By living and conducting anthropological fieldwork within two communities, whose names will be protected based on recommendations of the George Washington University Institutional Review Board, I will be able to: • Identify systemic limitations in receiving political recognition for disabled individuals • Analyze how geographic location, economic situation, familial support, and societal norms affect the ability to live as an individual with a recognized disability • Analyze how cultural beliefs affect the lives of individuals with disabilities My research will be presented in the way I conducted my fieldwork. I will first present my findings on Ecuador to determine the barriers that limit individuals from receiving protection under given Ecuadorian laws. I will then explore the situation in Peru to understand how they have come to practice disability policies and how they are working towards the inclusion of disabled individuals in mainstream society. Finally, I will conclude with a brief comparative analysis on Ecuador and Peru and how each country is influencing the other as models for disability practices in Latin America.

CHAPTER II: CASE STUDY: SAN MIGOS, ECUADOR In this chapter I describe the context of my fieldwork in a small, rural town in Ecuador and my research findings about policies and experiences of physical disability there. I was fortunate to be able to spend the summers of 2017 and 2018 there.

REFLECTIONS ON FIELDWORK IN SAN MIGOS In my first fieldwork experience in San Migos, I lived there as a visiting student for 6 weeks. I was a participant in an Anthropological Field School run by Dr. Michael Harris and Professor Valentina Martinez from Florida Atlantic University. For 21 years, Harris and Martinez have conducted a summer field school for students of ethnography and archeology to live in the community and conduct short-term research projects, with permission from the community.

The town is familiar with outside researchers and welcomes them, as San Migos has been a site for archaeological projects for years. Archaeologist Presley Norton established an archaeological museum in San Migos and has contributed greatly to the prestige of the town as a tourist hub and archeological land mine.

The town benefits economically during the weeks of the anthropology field school because it brings an influx of money to local tiendas (stores) and families who host visitors and are paid through the program. The field school also creates jobs - four local women cook three meals a day for the students at the Museo, Norton’s archeological museum which also serves as a hostel for the field school. Dr. Harris and the local president of

THE GW UNDERGRADUATE REVIEW • VOLUME 3 the Comuna, the local governing body responsible for overseeing land negotiations, as well as operations at the Museo, manage the network of individuals employed by the field school to ensure that no family is the primary receiver of all economic gain.

THE TOWN OF SAN MIGOS How would I describe San Migos in three words? First, tranquillo (calm) is the word of choice for locals and my fellow researchers for this small, coastal fishing village of around 2,000 people. As I will describe in this section, it is a town based around familia (family), chisme (jokes) y chiste (gossip).

In my two visits, I found that in general, people are willing to help, feed, and support one another. My fellow students and I often commented that everyone in San Migos seemed to be related. For example, I taught English at a local high school and my class roster had some variation of three last names. Individuals will take the surnames of both their mother and father. It would be common to see “Macias Pincay” or “Pincay Aguilar”.

Long standing family histories and ties underlie the town. It has been built and maintained by people who treasure and cherish family, friends, and community.

Although these individuals do not identify as being indigenous, they are natives to Ecuador, whose families have been in San Migos for centuries. For the few individuals without family, such as my friend Zoilo, who passed away shortly after my last visit, there is no question that someone in town will be ready and willing to offer him a seat at the dinner table or play him in a game of cards.

It was not until my second visit to San Migos in 2018 that I realized the depth and degree of tensions that existed between and within families. My first year in San Migos, I was blinded to the potential for difference, or the potential that the interfunctions of a town and relationships within it can differ in the presence of foreigners. I was overwhelmed by the kindness that everyone showed me, and I was shocked that everyone seemed to be friends. My inability to see this could have been because I was living bounded in the walls of Museo San Migos. It could have been that my Spanish skills were not as advanced at the time and there was a disconnect between what I wanted to know from locals and what I could actually ask. I was very much a student, going into this town for a study abroad experience, and to practice being a researcher.

My second visit to San Migos was very different, and I began realizing the potential for difference. In 2018, I was an independent researcher instead of being a student.

Unlike my 2017 visit, I spent more time engaging with locals and I rented a home within the community. By living within the community and through more advanced conversations with locals, I realized that there is a large

79 potential for difference among a community when researchers enter and disrupt normal social patterns.

According to locals, the members of the town normally keep to themselves and remain within their friend and family groups. There is no intermixing and individuals do habitual daily tasks. The potential for difference occurs when a community shifts in terms of social dynamics with the entrance of foreigners, giving foreign researchers a somewhat false impression of the true interworking of a society.

Town Demographics

As complex as relationships can be within San Migos and as quickly as news spreads around this town, laughter erupts from the majority of the 2,600 inhabitants. Walking during the daytime along the malecon, the sidewalk directly parallel to the sea, you hear the laughter of forty or fifty-year-old men relaxing before heading out to sea. In the evening you hear the chatter and laughter of younger children playing soccer and volleyball in the street. The friendship built in this community is fueled by chiste as every other breath of a conversation seems to be a spurt of laughter.

I remember being taken back by the grey clouds, light mist, and somewhat cool weather. The town seemed to be closed and there was not much movement. I took a walk around town where I observed ten men pulling a boat with a red bottom, white sides, and blue interior, onto the sand of the beach. It looked as if they were playing tug of war with the middle sized boat, or fibra.

Looking into the ocean, there were about 90-100 fishing boats consisting of three different sizes - barcos (the largest), fibras (midsized), and bongos (smallest). The fishing industry is the main source of income for families in San Migos. Almost every household will have or has had a family member who is a fisher. Unfortunately, the fishing industry is too inconsistent to promote livelihood and security for some families, especially if the family member works on a smaller boat and relies solely on fishing for their income. Other families may run tourism agencies that will take tourists whale watching or snorkeling to an island that is a five-minute boat ride from the mainland, or local tiendas where they sell snacks and household products. While the field school offers an annual economic boost, for the rest of the year families depend on their own agriculture such as poultry and vegetables.

There is a clear local gender division of labor, the fishing industry is dominated by men, whereas women are mainly involved in the domestic domain, taking care of children and carrying out household duties. Most men leave around 6pm every evening and return in the early morning with fish that is either consumed by their household, given to friends, or sold at markets in Guayaquil, a larger town about 300 miles away by car.

Close kin typically live together in a nuclear or

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extended household, but also have wider ties in the town.

It is common to find these families living within the same block. If one needed to get the attention of an extended family member across the street or in the house next door, a simple whistle would suffice, and every person has a distinct whistle. For example, as one woman explained to me, her husband has a specific whistle to call her and a different one to call his best friend, or mother.

This method is more efficient for a town with spotty cell phone coverage and minimal internet.

RESULTS Disability Narratives I had an accident. I was working in the sierra near Quito because there were not that many jobs here and I wanted to work there because there was more opportunity. I worked there for 2.5 years, but then I had to come back. I was with a friend and we went out and were passing time and my friend was driving and he wrecked the motorcycle and he died. I lost my leg.

I wanted to die. I was very sad. My life changed. The doctors had to motivate me to keep living and I had to live for my daughters because I was losing faith. I really wanted my daughters. They were my only hope to keep living - I want to be there to see get married.

I want them to be with me and see me. They are my reason to live.

-Jonny, July 2018 I often saw Jonny lounging in a hammock in the center of town. During my first visit to San Migos, I would pass him day to day and we would exchange a simple greeting.

But there was a sadness that surrounded his body, a sadness that I felt uncomfortable approaching. It was clear that something traumatic had happened to Jonny - he was missing a leg. Yet that did not stop him from walking around town with his crutches, passing time with his friends, or being surprised by his youngest daughter looking for money for ice cream.

Belen and Danny, my friends and research assistants, played vital roles in my research in San Migos. Both Belen and Danny had been working for Dr. Harris for over eight years after asking if he would be willing to hire them as field assistants. Like many individuals involved with the field school, Belen and Danny are paid for their work. I used part of my grant to pay for their help in the field.

They accompanied me to homes of individuals who they thought would be willing to talk to me about their disability and introduced me to those I would have never approached on my own. For example, Belen suggested that I speak to Jonny during my second year. I remember being hesitant at first because there was a cloud that seemed to loom over him whenever I would see him. I realized upon later reflection that this perception was likely influenced by my personal bias, my way of stigmatizing disability and

individuals living with disability.

Jonny was warm and welcoming. It turned out he is the ex-husband of one of my friends in the town, something that she had never mentioned to me in 2017. He is also the father of three daughters, one who I knew well. It was interesting that I did not know about the familial connection. This gap in my knowledge prompted me to question familial ties and how support is necessary following a disabling trauma for a family member.

Nonetheless, I was fortunate in that, in 2018, Jonny shared with me his experiences of what happened to be the 4th anniversary of his accident. Something was raw about how Jonny described what happened when he lost his leg. He spoke slowly, taking pauses, his shoulders were hunched, eyes watery, but not crying. Although the town was aware that both Jonny and the driver were intoxicated at the time of the accident, Jonny never confirmed this himself. I had the feeling that he still holds a lot of internal pain and shame based on the inflections of his voice and rubbing of his eyes. He said that he did not understand why his friend died and he did not. He went through heavy moments of depression and suicidal thoughts after the accident, but eventually he found something to live for.

As I noted earlier, everyone, or almost everyone, in San Migos has kinship ties, that are more or less close with everyone else. I could probably connect all my case studies through familial ties. For example, another woman I met, Somona, was the mother of the man who died in the accident with Jonny. Now in her late 70’s, Somona was disabled in an accident nearly thirty years ago.

I was normal before. There was one time when I was at the corner of the highway and I wanted to go buy something. A car came and I wanted to buy the food that they were selling- so I went to go buy the food and I told him I would pay later but then a car from Machalia came- they passed two times and they were drunk. They passed around the curve and they crashed into the car that was selling fruit. Two of my kids were with me. There were so many kids around.

So many kids. I told the [medics] to attend to the kids before me. So she attended to them first.

-Somona, July 2018 Somona recalls an accident that had left her knee forever damaged, even after surgery, and had killed one of her other sons. There was an enormous amount of pain in Somona’s eyes when she discussed how automobile accidents had taken the lives of two of her sons and left her handicapped. She now uses a slab of wood as a crutch as she has no formal cane. As she recalled the accident, she wiped away tears as she pointed to pictures of her sons hanging on the wall.

Car accidents are a common thread in disability stories in San Migos. Jonny’s ex-mother in law was involved in

THE GW UNDERGRADUATE REVIEW • VOLUME 3 a car accident five years ago that left both her and her sister disabled.

Everything was totaled- the mirror, everything. I was sleeping when it happened. I had no idea what happened. I thought I was dead. I couldn’t feel anything. I had blood on my face and now I have a scar on my face... …I hit my face, I was crying because the pain was so bad. Then when I figured out my leg was hurt, the pain wouldn’t go away. I was crying and crying and it hurt so much… …My disability is with my hip. My hip was dislocated. I fractured my pelvis- I hit my head… …They operated on my whole side. They couldn’t operate on my hip because my heart was not acting properly.

-Rosa, July 2018 I was in a car accident. I didn’t see how it happened. I was asleep and they said that we crashed. I was with my sister Rosa and my dad- we crashed right near Lopez… …I was 54 years old during the accident - now I am 59. Yesterday I was having a lot of head pain and the doctor called me - I have hit my head so many times I have a lot of pain… …I don’t feel normal - I feel so different than before.

The lower part of my spine into my hip was fractured - I messed it up.

-Amelia, July 2018 Rosa and Amelia remained positive post-accident.

They still deal with pain on a daily basis, but the two of them were able to confidently recollect the accident and were not ashamed of what happened.

Jonny’s ex-father in law from his first relationship continues to deal with the pain associated from two tumors in his knees and lack of medical resources to help rectify the problem.

I have been like this for 5 years. I used to play soccer, I used to use my machete. I had a good life. I had pain in my leg for five years and then they found a tumor.

It was in the range of my tendon and the doctor told me I couldn’t put a lot of force on my leg or a tendon would rupture. The doctor told me that I could only work with my good leg. Not with my bad tendon... ...I hurt my leg, I have large steel in my leg - 13 screws in my leg - three were removed.

-Pedro, June 2018 Not all individuals who I met with had been in an accident that altered their lives through subsequent physical disability. Senora Laura Marie, who I consider to be one of my closest friends and mother-like figures in San Migos, frequently recalls living with her discapacidad

81 (disability), which she developed at the age of three after having contracted polio. She remembers having a number of treatments that were supposed to help her regain mobility in her legs, but she still remained disabled from the pelvis down, unable to walk without crutches. I will discuss her story in greater detail later.

In addition to my two research assistants, my access to research participants was greatly facilitated by Freddy Pincay, the former President of Parroquia San Migos, the governmental branch that reports directly to the Ecuadorian government. Freddy, who lives in San Migos and now works with his organization, Unidad San Migos, introduced me to several disabled people who were participants in my study. As a community leader, Freddy has begun mobilizing local individuals with disabilities to demand access to medical attention and financial support. He is fighting to ensure that the government recognizes individuals with disabilities as equal members of society.

Freddy wanted to ensure that I learned about local people’s experience of disability from a variety of perspectives. He wanted me to have a well-rounded view of the lives of physically disabled people in San Migos and how their situation as a rural zone constrained their access to government aid. For example, he took me to the home of a man who was no longer able to talk effectively because of an aneurysm that erupted. Although mentally handicapped as well, he is given the label of physically disabled because he is bed ridden and unable to move. His mother spoke with me on his behalf, because he was not able to give consent and was not able to hold or process conversations.

His head was inflating and so they brought him to Puerto Viejo to attend to his problem. We were there for 8 days. The doctors had to make a decision quickly, and so we had a very quick family meeting to figure out how to pay to get him to Guayaquil quickly so he wouldn’t die… …During the operation he lost feeling, he lost the ability to move… …He had another operation to remove a water-like tumor that was growing in his head - he was losing a lot of liquid from his head. They had to remove parts of his head. It was like deflating a balloon... …A doctor who was a specialist helped him during the operation. My son couldn’t talk. He could only stare blankly… …The doctor told me that he would have problems with his memory. He couldn’t remember his daughters.

We were in the hospital for 3 months. The doctors would visit us and the other doctor said that he was absolutely non responsive. I said to him, “I am your mom,” and he still didn’t understand… …For three months we were there and we were just waiting for him to get better - for three months in the

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intensive care unit.

-Ana, July 2018 His mother was in tears, crying as she sat at the foot of her son’s bed, holding on to his foot. Her body was hunched over and she was rocking back and forth with one hand on her face, wiping back her sadness. Three little girls were running in and out of the room, curious as to who the strangers were in their father’s room.

Their father laid there, paralyzed. He asked his mother, repeatedly, what he could eat, but his mother was too struck with sadness to respond. I will later explore how his situation and disability has not only left him paralyzed, but has caused his friends and loved one to abandon him.

His mother’s pain was coming from a place of sadness as she saw her son lying in bed, helpless, but also came from pain as she realized no one else was around to take care of her son once she was gone.

Process of Registering a Disability Before going into the barriers faced by individuals in certifying their disability, I must first explain the process to obtain a certification. A major goal of my research was trying to understand how one individual could be considered more or less disabled than another. What is the process? Is there a table that differentiates symptoms and indicates the correct numeration?

As mentioned previously, those who have been diagnosed with a disability are eligible to apply for a disability card that provides disabled people, regardless of age, with an identification marker to receive health benefits and financial aid from the government. Carla Rivera explained the process for obtaining a card.

The process for a person to obtain a card - if you are born with it, you are given it right away. There are medical doctors to qualify cards. Doctor Havillas is the person in our canton who is qualified, people will go to him and he will decide what percentage to give, what the disability is, etcetera.… …There is only one doctor that has the ability to qualify people for their disabilities. He is the only person allowed and trained to do so. In Ecuador there are different doctors for people in different places.

There are many doctors who are qualified to do so in Ecuador… …When people go to the doctor, the doctor assigns a percentage but they don’t always accept it because sometimes the people will want a higher percentage.

-Carla Rivera, July 2018 Although the process for obtaining a card seems somewhat regulated, multiple interviews with different people indicated that the process is much more difficult than it sounds. The medical doctors who are qualified to diagnose disabilities follow a list of qualifiers and use that

list to designate percentages. From what I understand, if a family has enough money to travel to other places to receive a card, they can receive a second opinion from another doctor in their province. Once the doctor assigns a percentage to a patient, the patient must then apply for their card. The process can take up to 6 months to a year.

Evaluation Process: 1. Individuals in the canton call to schedule an appointment with Dr. Havillas. They can either go to the local clinic where he works, or he can make house calls, but they must have transportation to pick him up.

2. Dr. Havillas evaluates whether or not an individual is considered disabled. He uses his book “Valoración de las Situaciones de Minusvalía” (“Diagnosing Situations of Deficiencies”).

3. Dr. Havillas refers to recommendations from specialists and his own diagnosis to decide if individuals qualify as being disabled.

4. Dr. Havillas gives the certification to the patient to bring to Jipijapa, a nearby city, to receive an official card. If the patient can’t travel, he will transmit the information to CONADIS over the computer.

However, MIES is slowly starting to become the main actor for processing cards.

5. The card will be printed in Jipijapa and will be delivered to the local clinic within 3 days. If the patient can travel to Jipijapa, they can get it on the same day.

Systematic Method among Medical Professionals Dr. Havillas believes that the system is fair and equitable to all people. All medical doctors that are responsible for diagnosing disability must follow the same charts and book - there is very little room for interpretation. These medical doctors must complete an extra five years of training before they are considered qualified to diagnose disability. In their practice, they must evaluate 30 patients to decide whether or not the patient should receive a disability card.

We have a book - it is an international book that helps us diagnose disability. There is also this summary that shows if the person is amputated. …All doctors in Ecuador use the books to diagnose disability If you are amputated it is a certain percentage. There are ranges of disability and you have to have at least 30% disability to receive a card - if you need to use a crutch or something else to move to function…. …There is leve, moderado, and grave (slightly disabled, moderate, greatly) …. …I am very busy because I am also a generalist. Not only disability. Other things, too, but we don’t need another doctor...

THE GW UNDERGRADUATE REVIEW • VOLUME 3 …in the Canton of San Migos there are about 350 people with disabilities. There are an equal amount of women and men.

-Dr. Havillas, July 2018 There are only 20 doctors responsible for diagnosing disability in Manabí Province. A few years prior, there were only three. Due to the increase in medical staff, Dr. Havillas believes that the system is highly accessible for individuals. As a doctor, he finds himself to be available and willing to help individuals with disabilities as soon as they call him. He says that the transmission of information from consultation to certification is fast and easy. Dr. Havillas will offer to take a photo of the patient, send it over WhatsApp, and then the office in Jipijapa will transmit the information quickly.

Dr. Havillas finds it absolutely vital that individuals have a disability card. He notes that the majority of his patients are not embarrassed by their disability, but instead are looking for financial assistance from the government and need a disability card in order to receive it.

It is necessary that people have a card because they will receive a government stipend. They receive government assistance.

People are not embarrassed about their disability because they want a card. They will do all they can to receive a card but sometimes they just don’t qualify.

There is no corruption with the system. The process is more complicated because I have to look and figure out if the person qualifies. I have a huge responsibility to ensure that the person has a disability. Because people receive a lot of help if they have a disability.

They can get a new house if they have 40% or more they qualify.

-Dr. Havillas, July 2018 According to Dr. Havillas, Ecuador has encouraged countries such as Bolivia, Paraguay, and Peru to follow similar classification systems that will provide support to individuals with disability. He nonetheless sees the flaws in the system that patients in Ecuador perceive as well.

An Inequitable System: Limitations in the Process of Registering a Disability Unfortunately, individuals in rural communities in Ecuador are disenfranchised from their ability to register a disability due to geographic seclusion, lack of knowledge “about” the process, financial hardship, and lack of familial support.

Geographic Situation As discussed previously, individuals in the Canton of San Migos are guaranteed a free consultation from Dr.

83 Havillas. Dr. Havillas has an office located in the middle of the canton, but individuals still have trouble making it to his office. For individuals with physical disabilities, it becomes difficult to use transportation because they must lay flat, or they require large pieces of equipment, such as a wheelchair.

Luckily for them, Dr. Havillas will make house calls, but these individuals must provide him with transportation.

Unfortunately, within the canton, which is a rural zone, there is no way of finding specific homes by using Google Maps or other navigation applications. Individuals do not have specific addresses and therefore it is necessary that an individual pick up Dr. Havillas so he is not searching for an individual for hours on end.

I accompanied Dr. Havillas as he went to a house call for an elderly woman. This woman waited months for him to finally come to her home. The delay was due to his need for medical records and recommendations from other specialists, as well as the need of the family to locate transportation.

Dr. Havillas, his assistant, my assistant, Danny, two family members of the patient, and myself rode in a pickup truck to travel for 30 minutes to get from the clinic to the patient’s home. Dr. Havillas traded his white lab coat for a navy vest and he had his books in hand that help him determine whether or not the patient is disabled.

The patient laid still in her bed - she could not sit up or eat. She was in her 70’s, had diabetes, and had suffered from a fall that left her bed ridden. The woman had fractured two sides of her hips and was not able to support her own weight, so she would have to lay in bed for the majority of her days. Her family said that they were no longer able to work because they were busy caring for their mother.

The work that they could do as fishers could support the cost of pills or the cost of surgery, which would be $400.

Dr. Havillas explained to the family that diet could largely impact her recovery and be an indication of strength, or lack thereof. He addressed his concerns with her not having much movement and said that her condition was worsening because the family is not exercising her.

As the woman lay there helplessly, her children stood around her with tears forming in their eyes. Dr. Havillas told them that she does not qualify as being disabled because she is an older woman whose accident caused her disability, and that there is a way to fix it, through surgery, but the family has not pursued that option.

Once the consultation concluded, my companions and I returned to the pickup truck and drove back to the clinic.

For this family in particular, their geographic situation seriously limits their consultations with other medical professionals. Some individuals, such as Freddy Pincay, have had the opportunity to travel to nearby cantons to receive diagnoses from other doctors. Unfortunately, due to the immobility of this woman, it will not be possible to pursue a second opinion. Dr. Havillas is the only professional responsible for making house calls to where

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this woman lives, and she is not located in a place where she could easily be transported to a clinic.

Frustrations with Designated Medical Professionals Many individuals have expressed their dissatisfaction with Dr. Havillas. Some people have said that they received a lower percentage from Dr. Havillas, but then traveled to Jipijapa and received a few percentage points higher. These points were not enough for the patient to qualify for the next level of government stipend, but it was enough for the patient to feel validated and equal.

Others have said that Dr. Havillas has been helpful, that he frequents San Migos to check on certain individuals, and has provided a fair percentage to patients.

According to Freddy Pincay, most individuals are waiting and hoping that one day Dr. Havillas will come around to help them. Alberto, who went blind at age 60 after an open heart procedure, has lost hope and does not know what the future holds.

The constitution guarantees equality for all people and at certain clinics they accept the insurance. There is more help at the national level. When I went to the local clinic to ask for help, a lot of times I don’t receive help because the model is changing. I have to have a meeting. But to do that, I have to call… …In a small town, in the Parroquia, we are not receiving the same services as bigger cities. The attention that you receive in bigger cities is much better… …Everything is difficult, when I try to leave, when I eat, when I have to bathe. I haven’t accepted my disability.

I am still fighting… …But how can I be? I am not yet dead. My body is fine.

The feeling is worse than being dead.

Now I can feel more sensitive. I can sense more for my family. I feel useless. I can’t do what I want or what I need to do… …Rafael Correa and Lenin Moreno have been very helpful for changing policy in the Republic of Ecuador... …But to be alone, to be in the dark, without anyone to help me. It is depressing and it is hard. No one can help me. There is no one to help.

-Alberto, July 2018.

Economic Ability Financial barriers proved to be an ongoing problem amongst participants in my study. Freddy Pincay, the former president of the Parroquia and leader of United San Migos, shared that when he was president of the Parroquia, he coordinated a system to speed up the process of obtaining a card. From his own experience, he traveled more than three times to cities that were about two hours away, trying to find other doctors that could diagnose and assign percentages. Not all families have the ability to travel, as travel can be very difficult and

expensive. For that reason, he coordinated with those who needed cards, giving them lodging and food so that they could receive a diagnosis and then apply for a card.

According to Senora Laura Marie, the cost of obtaining a card is free because all people deserve the right to a diagnosis.

We deserve to have a life with respect. We deserve education, a calm life, these are the rights that we have. We have privilege. For example, if a person can’t hear or talk or walk - they have the right to a diagnosis.

-Senora Laura Marie, July 2018 In reality, there is a gap in the way that individuals receive a diagnosis. The system is not equitable for those in rural zones, and therefore these individuals continue to be treated as second class beings. For many patients, Dr. Havillas first requires that they visit a specialist who will give a preliminary diagnosis. Dr. Havillas will then use these recommendations as a factor in considering if an individual does in fact have a disability. Seeing a specialist is often expensive, requires travel to a city, and takes individuals away from their kids and or jobs. Many times, it is financially irresponsible or impossible to schedule a meeting with a specialist because the process of finding and obtaining a meeting with the right person can take months.

Familial Situation and Knowledge of Process as a Barrier to Registration For one family, my explanation of how to obtain a disability card for their father was the most detailed information they had ever received. While other individuals with disabilities do not have family to help them with the process, completely. Familial support is helpful in a variety of ways. For some, the support of family is attached to the means necessary to persevere in wake of an accident that leads to a life-altering disability.

For others, it is the knowledge and financial investment from family members that allows for rehabilitation and access to medical professionals, and even an education.

Interviewing individuals with disabilities also meant interviewing family members who are the caretakers for these individuals.

Jonny mentioned that he would have probably ended his life if not for his ex-wife. Although their relationship was severed at the time of the accident, Jonny mentioned that his ex-wife, Carolina, stayed with him in the hospital for three months, helped him relearn how to walk and use crutches. He recalls how amazing she was and how her motivation and support was a reminder of his need to persevere for their daughters.

For others, family members serve as the individuals who actively seek rehabilitation and medical doctors who are certified in diagnosing disability and assigning

THE GW UNDERGRADUATE REVIEW • VOLUME 3 percentages for individuals’ disability. I was able to speak frankly with three daughters and the wife of Luis, an individual who has trouble walking because of tumors that were growing in his knees. These tumors have since been removed, but he is left with a limp and severe pain.

These women care for their father and are trying their best to learn about different medical doctors who have the potential to help their father as he continues working.

Senora Laura Marie recalls how helpful her family was when she was a young girl in Guayaquil. She remembers being lucky that her family had the ability to move to Guayaquil where she would receive treatments for her disability. She remembers being in therapeutic pools where her family would watch through a window nearby.

She recalls how her siblings, who were very close in age, helped her assimilate with classmates and would take her to parties, even though she did not have the ability to dance or participate.

Once she reached adulthood, Laura Marie would live in Guayaquil and San Migos, depending on her father’s work schedule. Laura Marie eventually found out that she was pregnant at 21 years old, relatively older compared to other mothers in San Migos.

I was 21 years old when I had Pedro. It was difficult. It was hard later to carry the baby. I fell in the museum on the cement to go to the bathroom—I was walking with another friend and we fell. I was 2 months pregnant. The doctor told me I needed to be careful because I was small... …I had to make the decision to have the baby or not have the baby, because I also wanted to work and because the doctors told me it was dangerous with my condition. I decided to have the kid. I continued working- but I had to be careful…. …The baby was not at fault.

-Laura Marie, July 2018 Laura Marie told me the story of having to choose whether or not to give birth to her son, Pedro. Pedro sat in the room as she told this story and his face was frozen, actively listening to what his mother was saying. She thinks back to having had to make that decision and how happy she is that she did not abort the baby.

She is very grateful for how helpful her husband, who is the brother of Pedro’s father, and Pedro have been in helping her walk through town or helping her complete tasks, such as cooking and cleaning, around the house.

She walks with crutches and has a hard time moving through town if the terrain is wet or if she has a lot of things to carry. At one point I remember Pedro, her son, leaving lunch (he was one of my good friends), to assist his mom to ensure she could adequately make her way to a community support meeting for individuals with disability. She made continuous mentions of her gratitude towards her spouse and son for helping her, because

85 without them she would have a much harder time.

Other cases require that family members be present to help their family members at any and all hours of the day. For the gentleman with the aneurism, his mother was crying at the thought of who would have to take care of her son once she no longer could. For family members caring for individuals with autism and other mental disabilities, the stakes become higher.

(Crying) I still think about who will care for my son if one day I die. I really don’t know to be honest. It has to be someone with a lot of love for my son. It has to be someone who has the patience to attend to my son. Because sometimes I have to use diapers with him, sometimes I have to bathe him. There are a lot of things I have to do and a lot of things he has to have help with. It is hard. And he gets annoyed.

-Denise, June 2018 Sisters of Ximena, a young girl with Down syndrome, mentioned how right now their mother is her caretaker, but that it will likely be them one their mother passes away. However, they are still worried about what this means for their sister.

There are 10 years between me and my sister. My sister is more accustomed to my mom - I left and went somewhere when I was young so now my sister is more accustomed to my mom. And my sister would go everywhere with my mom so now she doesn’t prefer to be with us… …If something happens, I assume my sister will stay with us. She probably won’t understand what happened but she will also probably cry a lot.

-Juliana, June 2018 Familial support is a large determinant in the ability of an individual with a disability to continue living a fruitful life with government, medical, and educational aid that makes them equal to their able-bodied counterparts.

Freddy Pincay brought me to the house of an older man who suffered from a stroke and is now left with minimal movement in half of his body. This man has 12 children, but none of them have been present to care for their father.

According to Freddy, it is a custom, somewhat expected and required, that children care for their parents in Ecuador, especially in San Migos. According to Pincay, this man will not receive help in the form of government monetary assistance until he has caretakers. This older man sat outside of his house among three stray dogs. He sat hunched over, unable to move or communicate. He had a gash on his head and smelt like a mixture of urine and an unbathed body.

Walking inside his home, I saw that a neighbor was washing some of his clothing. She explained how sometimes he has nothing to eat, he has fallen multiple

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times and has no one with him to care for him or support him. It made me think: what did this man do to his children that would put him in a situation where he was essentially rotting away? Regardless, it was such a notable difference in those who have familial support and those who do not.

Generally speaking, those without family to support them do not have the slightest knowledge of how to register their disability and apply for financial aid from the government. On a smaller scale, familial and household levels, family has the ability to help maintain the personal well-being of their family members with disabilities. Although it is hard work, family can be a crucial determinant in the livelihood and future of individuals with disability.

Inability to register disability due to barriers associated with geographic seclusion, financial constraints, familial support, and lack of knowledge in the process are real and persistent among individuals in rural zones. Without registering their disability, these individuals are excluded from the possibility of receiving support and protection from the government.

ANALYSIS Political Support for the Inclusion and Protection of Individuals with Disabilities Once the state has identified and registered an individual as having a disability, they are entitled to certain laws that attempt to make them equal to ablebodied individuals. Equity is achieved through inclusion laws in school, stipends to cover medical bills and care, and guaranteed ease of access to public and private spaces.

Although Ecuador is an exemplary model for Latin America in their inclusion of disabled individuals in public and private spaces, the cultural tendencies, geographic location, and lack of general public knowledge of the Law of Disability lessens the likelihood that these individuals will receive the protections stated in the law.

Statistics on Disabled Population according to Ecuadorian Government Ecuador has an impressive online system that monitors the number of individuals who have registered their disability and how many people are reported as having a disability. The online system is public record and is regularly updated by CONADIS with the information provided to them from the Ministry of Public Health.

This development allows anyone to see disability data based on province, canton, gender (LGBTI included), percentage disabled, age, and type of disability. It truly shows how Ecuador places a strong emphasis on policy and knowledge supporting disability (Ministerio de Salud Publico Ecuador, 2018).

There are currently 357 individuals between the ages of

18-65+ who have registered themselves as having either a physical or visual disability. The majority of individuals who have registered their disability are adults. Only 114 of these individuals have qualified for a government financial stipend. Depending on a multitude of factors, such as type of disability, age, and socioeconomic situation, patients will be considered for a specific financial stipend. Of the 357 individuals with disability, only 35 are employed.

Financial Assistance for Individuals with Disabilities The Ecuadorian government has recognized the importance of individuals with disability and has tried their best to ensure that individuals with disability are living a life that makes them equal to their able-bodied counterparts.

Once a person is diagnosed with a disability and given a percentage, they must register at the national level and the state will decide what benefits the person will receive.

According to a law passed by the Ecuadorian government, if a disabled person has a card and is registered in the National Registry, they are considered as an equal person to those who do not have a disability. In order to make this equality become reality, individuals are given financial stipends in order to alleviate the financial burden of living with a disability.

Once registered, the state will decide how much help a person needs in order to make their lives equivalent to a person who does not have a disability. The money given is a way to supplement the costs required to care for disabled persons. The money comes from a government foundation, MIES, and payments are typically as follows: • Basic Stipend: Below 75% disabled, $50/month • 75% and above physical disability, 65% and above intellectual/mental disability: $240/month • 40% and above: Pay half of their light and electricity bills • All with cards: Pay half of the bus fare (with documentation, ex: disability card) • Public healthcare is free; discounts will be given based on percentages if an individual goes to a private medical specialist.

This financial support comes from three different sources that are overseen by the government and banking institutions: the general Joaquin Gallegos Lara pension, Joaquin Gallegos Lara pension for disability, and a general pension for disabled individuals. MIES is responsible for evaluating disabilities, then individuals must meet with a MIES representative to fill out online documentation that will then determine if they are qualified to receive a government stipend.

Limitations in Who Receives Financial Aid MIES asks individuals petitioning for financial assistance to meet with administrators to fill out an online

THE GW UNDERGRADUATE REVIEW • VOLUME 3 document that determines whether or not an individual is qualified to receive a government stipend. Stipends are based on the economic situation of a family and whether or not they have caretakers. Questions range from how many individuals live in the home, what type of home an individual lives in, sources of income, and whether or not an individual has material items that could indicate socioeconomic wellbeing, such as a refrigerator or television.

These government stipends are only for physical and intellectual disabilities. Individuals with disabilities related to visual and oral ailments rely on other foundations for outside support. Policy reflects an understanding that these individuals will not be made equal to able-bodied individuals with financial support. Instead, there are associations that help individuals learn how to use braille or other forms of technology to help their functionality with their condition. However, the government has not been very supportive in the opening of facilities where these services are offered for a decent price.

I began to question how honest this system of petitioning for financial assistance is. Representatives from MIES visit the homes of individuals receiving government stipends to determine the necessity of the assistance and to monitor what the money is being used for. Most of the time, money is needed to travel outside of San Migos in an attempt to find a doctor that is reputable and well trained. Other times, the money is used to pay for medications that would not be affordable without financial assistance from the government.

Senora Laura Marie indicated that the system is flawed.

There are some people who actually need the money but lack the resources to leave their town to obtain a card or register with the state to receive benefits, while others are receiving more than they need.

Yes. It is a problem. It is false. They can lie to receive more benefits. I think it is a problem in Ecuador. For example, I visited many people but ultimately the government will update the system and the records.

I see people that really need help but others take advantage… …El bono is the money people receive from the government. If someone recovers from their disability, their money is taken away. There are people from the government who will come and scope out the house and if you have a laundry machine, a kitchen, TV, computer... …There are people who have cars and motorcycles and receive the money - these people are lying about the facts. There are people who don’t eat and drink.

There are people who need it but they won’t get it... …I use my money to help others and to help organizations with disabilities. For example, there are two men in Puerto Loto that live alone and they are adults, the spouse has diabetes and can not walk

87 - others visit them and help the men by bringing doctors and they are qualified to receive $240, but they don’t receive it… …It is very difficult because they don’t have much money and therefore they don’t receive money.

-Senora Laura Marie, July 2018 Financial and Medical Aid from Private Foundations Nevertheless, according to Carla Rivera, a representative from MIES and a social worker for Jose Eugenio Rivera Chonillo, a foundation dedicated to aiding disabled adults, foundations were created to regulate the problems associated with disabled people. These organizations make aid available to individuals who can not afford to pay for things such as electricity because of other medical expenses. Under this private foundation, all disabled people are entitled to receiving aid, and it is not solely for people who are impoverished or with physical and intellectual disabilities.

It is more than common to find foreign foundations that will set up offices in Ecuador to help families who can’t afford specialty procedures. As stated earlier, the medical care in and around San Migos is less than sufficient to meet the medical needs of those with handicaps. Most families will travel to bigger cities and hospitals twice a month to receive care if they can afford it. One family explained how they are currently saving up for their grandson to receive a procedure that would cost $20 in transportation and $10 for a consultation (this number comes after the discount that he receives for being disabled). Luckily for the family, their grandchild was chosen to receive a free procedure from a NGO. What I learned is that it is more than common to find foreign medical specialists working around Ecuador. However, the cost of transportation may still be too expensive for the family to afford and the NGO may not stay around long enough to finish their work or provide the remaining procedures that the child may need.

Government Housing Programs In addition to government financial aid, those who are registered with the state as having a disability also enjoy benefits, such as the time it takes to receive a government home, or Miduvis and Manuela Espejos. These are part of a governmental project to aid families by building them homes. Manuela Espejos are homes specially designed for those with disabilities, are larger than Miduvis, and include ramps or other accommodations that a family may need. If a family with a disabled person were to apply for either type of home, the process becomes quicker than for those without disabilities. The government will look into a family’s economic status prior to granting them a home.

I spoke with a representative that meets with families and helps them fill out an online form that asks

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different questions which gather an idea of the family’s socioeconomic wellbeing. Based on these results, families may be considered qualified to receive government assistance, including stipends or a home.

Lady Toala, an individual who used to work for MIES and a government non-profit organization supporting individuals with disabilities, provided me with helpful knowledge of the Miduvi and Manuela Espejo process. As a researcher, I visited homes of individuals with disabilities who did and did not qualify for a home or stipend. I was confused. Some of the individuals lived in a home with a dirt floor and bamboo walls, yet did not qualify for a stipend. Other individuals lived in gorgeous, painted homes, with ceramic tile and light, and these individuals did qualify for a stipend.

I later learned that it is essential to not only consider an individual’s living situation to determine if he or she is considered 12% below the poverty line. Being 12% under the poverty line means that individuals are entitled to receiving a Miduvi or Manuela Espejo. As Elizabeth Rojo, former Vice President of the Parroquia, informed me, many times individuals will put their incomes towards alcohol instead of fixing up their homes. She believes that people are responsible for their own financial situation and a lot of times they use their money irresponsibly.

Lady Toala said that Miduvis are only for individuals who do not have many resources. Individuals with disability can receive the home, which is worth $10,000, for free, but other individuals typically have to pay $200$300. She does believe the situation is starting to change.

After conducting a census, the government realized that the homes that they are building are not always going to who they are intended for. For example, many families will be awarded a Miduvi or Manuela Espejo, but then relatives will be the ones who live and benefit from the home, not the person who the government intended to receive it.

Government Housing Limitations For some, the process of receiving a Miduvi or Manuela Espejo can take years. At the start of the program, beginning during the Correa administration, individuals were not required to show the titles of their land and construction could begin immediately. Now, before you receive a home you must show that you are the owner of the land. These individuals must have notarized proof of ownership. This process can take months to years.

Cirilio Macias, the president of the Comuna San Migos, is responsible for overseeing ownership of land and sales. The Comuna of San Migos has a deed that gives them 2536 hectares of land to oversee. 95% of this land is owned, but sometimes ownership is based on word of mouth or familial history. When individuals are ready to build a Miduvi or Manuela Espejo, they must get proof of ownership from the Comuna. Problems arise when

individuals petition for a certificate of land ownership, but then are contested by other individuals who also claim ownership of the land. At the end of every month, the town holds meetings where they negotiate land disputes and vote in favor of a specific individual. If the situation is not resolved at that meeting, conversation is continued the following month.

With all of this being said, the process of building a Miduvi or Manuela Espejo can take months to years.

Typically, the Comuna will charge $200 to give papers to individuals certifying that they own the land, but for individuals with disabilities it is free or discounted.

White Flag: A Call for Attention When Lenin Moreno took office, representatives from La Manuela Espejo program made visits to the homes of individuals with disability. Lenin Moreno has a disability himself and has been a global influence in the equality for individuals with disabilities. Representatives came to San Migos multiple times to develop a census and question individuals on their needs. Freddy Pincay has instructed individuals with disability to demarcate their house with a white flag so that the government knows that they are there.

In a rural community without direct addresses, the white flag represents a marker of identity and petition for help. There is no community center in San Migos, Ecuador, and it is fairly difficult to grab the attention of the government and medical professionals. The white flag is a signal for hope and a representation of the need for attention from these people.

I think that there are problems in every part of the country. But there are people who sometimes need a lot of help but they are just waiting and waiting - they don’t really fight hard for what they need or want so they don’t receive what they need because people aren’t being forceful with what they want or need... …Sometimes people don’t believe that people will help them- they don’t believe them, so they just give up and don’t receive anything… … There are people who are waiting for things to materialize- but they don’t consider how helpful technical activities could be. They just want beds and crutches, etc. … …There is a law for people with disabilities. The disability law lays out all of the obligations and everything else for people with disability.

-Freddy Pincay, July 2018 At this point, individuals have become accustomed to Freddy and different organizations visiting their homes, asking what they need and offering help and aid for applying for a government home or government stipends.

However, all of these are simply false promises that lead

THE GW UNDERGRADUATE REVIEW • VOLUME 3 to no reward.

Stigmatization of Disability based on Cultural Beliefs and Non-Inclusion Some prevailing beliefs in San Migos seek to explain the presence of physical disability. These beliefs are non-scientific and have been passed down through generations. I argue that failure to include individuals with disabilities in mainstream schools contributes to the persistence of these beliefs. The non-inclusion of individuals reinforces tendencies to discriminate against those with disabilities, which then leads to a general stigmatization within the community.

Cultural Beliefs on Disability There are multiple beliefs that, while antiquated, still exist and still are assumed to have power. Some individuals think that the prevalence of individuals with disabilities is high because individuals are giving birth at the age of 15. Others feel that physical disability could be related to a genetic mutation of some sort. While some beliefs are driven by science, others are not. There is a belief that if you make fun of a child with a disability, there will be reciprocity involved and your future child will have a disability. There is a belief that if rape was involved and the dad was highly intoxicated, the baby will be born with a disability. Some individuals have said that children are affected in the fetal stage because of women trying to abort their pregnancy by drinking “bad water.”

As a student researcher who was trying my best to form and retain relationships with the community, I was hesitant to bring up the question of disability due to a lack of genetic variety. I was afraid the insinuation of incest would be taboo. However, in San Migos, as is common throughout the world, individuals take the last name of their father and mother. Many people in the town share the last name “Aguilar” but claim that there is no relationship between them and the Aguilar next door.

In one family specifically, there were three instances of mental disability among cousins of the same generation, causing me to question whether or not they believed genetic makeup to be relevant.

Inclusion of Individuals in Education School is an influential medium in the inclusion of individuals in mainstream society and in the breaking down of cultural stigmas associated with disability.

If individuals are accustomed to going to school and interacting with individuals with disabilities, they are more accustomed to understanding these differences.

Inclusion policies are put in place for a reason: to end the segregation of individuals based on capacity. In one year, there were dramatic changes in the number of individuals who are now being included in mainstream schools.

89 Within San Migos there is a primary school, a private school (La Escuela Particular), and a high school (where I spent a decent amount of time teaching English). Where a child attends school is dependent upon the needs of the child, the preference of the parents, and most of all, the financial ability of the family as the private school requires the family to pay for schooling.

The primary school is the largest school in San Migos, the property stretching down the main road in San Migos.

Yellow cement walls border the school with paintings of children and the names of the founders painted nicely on the sides. In order to enter the school one must knock, or yell “a ver,” in order to grab the attention of the guards or administrators working at the school to open the giant metal door at the entrance. Walking in is a courtyard directly to the front and classrooms to the left and to the right. The school is two stories high with at least 20 classrooms in total, and classes are divided based on age.

The director of the school, Esteban, greeted me at the entrance and we continued to his office. Esteban is a middle aged gentleman with a mixture of grey and black hair. His office was quite large, larger than some of the homes in San Migos. The floors were made out of ceramic and his desk sat in the back corner of the room, facing diagonally towards the door.

My interview with Esteban led me to the realization that there are about six students with disabilities who study at the primary school, a school for children aged 6-10 years old. The disabilities present at the school ranged anywhere from physical disabilities to mental disabilities. Esteban educated me on the new inclusion law that had passed, reforming education in Ecuador for children with special needs. Government schools are required to take all means necessary to integrate disabled children; however, it still proves to be quite difficult for the teachers and unfortunately, not all cases work out the way they were planned.

Now with the reform of integration, parents will go to the school district and will tell them what the disability is and they will find a way to accommodate the student. The district will decide which level…. …There exists a school only for children with special needs. For example, [Chico] studied here in the first level for two years. He had a cleft lip. But he also had hyperactivity. He would leave the school without permission. The mom took him out of the school and tried the private school. The mom studied in this school. I helped [Chico’s] mom, but this situation is completely different. She went to the district to find help, and [Chico] was sent to the special school. He goes 2-3 times a week.

-Esteban at La Escuela Primaria, July 2018 As indicated in the transcription above, although the government made it law to include children in mainstream

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school, there are situations where it becomes too difficult to manage and the family is forced to seek other options.

Although Ecuador is trying to integrate children into normal government schools, there is only so much they can do to accommodate these children because teaching a class with a child with special needs is quite difficult for some teachers.

The professors here have multiple lesson plans.

They work with two classes in one classroom - it is complicated. The system is put in place by the district, not me. It is difficult to include all students.

-Esteban at La Escuela Primaria, July 2018 At the primary school, the teachers who handle students with special needs have only the basic education that is required to be a teacher. Although they may have previous experience with disabled children in primary school, they do not need to pursue further education to teach these children.

When children with special needs are integrated into normal classrooms, they are given books that are 2-3 years below what the rest of the class is learning, depending on the child and their learning capabilities.

Spatially, students are completely integrated with each other, but academically they differ. The teacher explains the lower-level materials and assignments to individuals with disabilities but then they must proceed to teaching the rest of the class completely different material.

Based on my observations, although the school is abiding by government regulations by spatially “integrating” disabled children into the normal school, these students are still segregated intellectually.

It is a little complicated because she is not the same as the other children. I have to make a different plan for her and others. I teach other children. I have to explain and repeat myself multiple times when I work with [Sarita] … …For example, when I write everything, she understands- but doesn’t understand when I explain it. She writes but she doesn’t write well and writes other words. It is a difficulty of hers... …I spend the same time working with her as I do the others because she is a different level. She is in the first level… …She will understand in the moment, but after she will not. I have to repeat myself multiple times and she does not understand anything… …She has other problems and there are other children.

She does not understand everything, practically a different language. It is a problem with the girl, with [Sarita]. I would love help. She could use language therapy. Right now she can not talk…

She needs language therapy. It is necessary because

in order to teach she needs to learn the language.

[Sarita] likes to paint but she paints in other colors, not the one we told her.

She needs language therapy but doesn’t get it. Her mother doesn’t teach much. [Sarita] needs to be taught by her mom. There are words that she understands and I explain it to the mom, and I try to teach her. She speaks some words. She practices so that she can be better. The mom doesn’t worry about her child. It is necessary to have language therapy.

-Teacher at La Escuela Primaria, July 2018 Freddy Pincay and Unidad San Migos are working to improve the resources available for families in San Migos and surrounding areas. Their goal is to have a school that children with disabilities can go to that is not two hours away. At the least, he is fighting for transportation that can take children from San Migos to Jipijapa for free because every child and every person deserves access to an adequate education.

An Excerpt from a Previous Report: “Living with Disabilities 2017” At the beginning of my 2017 report, I mentioned that the stigmatization of a seven year-old in San Migos prompted my research on disability. During my first visit to San Migos, I carried out a small scale research project for the Florida Atlantic University field school that researched the stigmatization of children with disabilities in the community. This research allowed me to interact with children and their families under the advisement of Dr. Harris, but without approval from the Institutional Review Board as it was a “class activity.”

Nevertheless, here I cite a finding from my 2017 project report about how the non-inclusion of individuals in mainstream schools contributes to the general stigmas against individuals with disabilities.

My research started and ended con mi amigo (with my friend) from the amphitheater, “Chico.” Locals like to call “Chico” el terror, loco y malo, (a terror, crazy, bad) but from what I have observed, “Chico” is a sevenyear-old kid who has been brought up in a home with a mother who is intellectually disabled and a town that may not understand the behaviors and actions of the child. His grandmother cares for him, his mother, his two-year-old brother (who does not have a disability), and watches over the rest of her grandchildren with the help of her other daughter.

I had the opportunity to follow the family closely through interviews, ‘playdates’ in the amphitheater with “Chico” and his cousins, and even in Jipijapa where “Chico” attends a school for children with disabilities.

Unfortunately, the financial status of the family is not

THE GW UNDERGRADUATE REVIEW • VOLUME 3 strong enough to send “Chico” to school on a daily basis, he attends school three times a week, if the money is available. When I asked his ten-year-old cousin why “Chico” wasn’t at school on a day that he normally is, he responded “Porque no hay plata.”

There was no money to pay for the 2-hour bus ride that would bring “Chico” and his grandmother to the special school in Jipijapa and another 2-hour bus ride back to San Migos. For two people, the roundtrip to Jipijapa from San Migos is about $10.

For Senora Epi, the grandmother of “Chico,” her pauses in speech and changes in inflections indicated that raising a daughter who is 60% intellectually disabled and a grandson who is 50% physically disabled, along with taking care of household duties and the rest of her grandchildren, takes a toll on her life.

“For me it is difficult because I want to take [Chico] to school and keep the other child with his mother.

But she is not a parent and can’t take care of the baby.

For example, before [my daughter] washed the baby in hot water. But I have to go with [Chico] because God wants me to and I want to go and I have to take him, but I am still worried about leaving the other baby. About leaving and leaving. But [Chico] is too important.” -Sra. Epi, July 12, 2017, 3:00pm, J. Scolapio Senora Epifania shared that “Chico” was born prematurely, weighing only three and half pounds, and so small that he could “fit in a shoe box”; doctors projected that he would not survive past the first month.

Town gossip indicated that he was born to a disabled mother as a result of a rape. In Ecuador this situation does not permit an abortion. The father is unknown and completely out of the picture. During an interview I had with Senora Laura Marie, an adult who is physically disabled and a leader in the local organization for those with disabilities, Unidad San Migos, she shared that this is a huge problem. Disabled women in this area wind up pregnant, sometimes due to rape, and end up with a child that they are unable to raise.

In an interview with a representative of MIES, an outreach organization aiding those with disabilities, I was told that there are recognizable trends of mothers with intellectual disabilities giving birth to children with cleft lips, the condition of “Chico.”

Along with a cleft lip, “Chico” was born with a heart condition and a hernia. Once he made it to one month of age, doctors operated on his lip for the first time.

It was not until the age of six that “Chico” began to speak. The speech delay has proven to be a deficit in the learning ability of “Chico” and his ability to communicate with others.

Today, “Chico” is still waiting to receive ten more surgeries for his lip. Due to financial restraints and the severity of the procedures on his weak heart, they are

91 waiting for until a later date to perform the remaining procedures (Scolapio, 2017).

Stigmatization as a Result of Non-inclusion When I returned in 2018, “Chico” was no longer traveling to Jipijapa because transportation became too much of a financial burden on the family. I was happy to see that he had been reintegrated into the local private elementary school where he was surrounded by peers. His situation has changed dramatically. Families welcomed him into their homes, fed him, and played soccer with him. He is now seen as less like an other and instead is valued as an equal member of society.

This situation contrasted starkly from the summer of 2017 when community members I spoke with viewed “Chico” to be un terror (a terror). They did not recognize that his separation from peers, lack of education, and lack of opportunity in learning proper ways to behave within the community, were a function of his lack of inclusion within mainstream schools. Instead, beliefs and town gossip persisted and reinforced ideas of the causes of disability. The general consensus of the town was that “Chico” was crazy because he was brought into the world in an inhumane way. Individual understanding circulated through the community and created a place where “Chico” was somewhat seen as dangerous and something to be avoided.

My comparative findings, from visits in 2017 and 2018, suggest that much has changed in the general understanding of disability among members in the community. Notably, the work that Freddy Pincay has done locally with Unidad San Migos and the example that President Moreno has set for all individuals with disabilities, is a strong foundation for promoting the inclusion of physically disabled individuals in public and private spaces in rural Ecuador.

CHAPTER III. CASE STUDY: RIO MAR, PERU ENTERING THE FIELD: PERSONAL EXPERIENCE Inspired by my research and time in Ecuador, I found myself moving to Cusco, Peru for four months to participate in a semester abroad with the School of International Training. The title of the program was “Indigenous People and Globalization” and we spent our semester living with indigenous families, learning about the history of Peru, and becoming culturally acclimated to our home base, Cusco. At the very beginning of my research in Peru, ARARIWA made the recommendation to conduct my fieldwork in Rio Mar. My home in Rio Mar was nestled behind the main cathedral of town. It had wooden floors with a layer of dirt on top, a small kitchen table with six chairs, and four beds covered with sheets to prevent dust and spiders

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from entering. The home was comparable to a studio apartment but without accommodations like clean water, Wi-Fi, or even telephone signal. I found myself at the local market where I bought a carrot, mangoes, raw chicken, and rice. It was my every intention to cook a world class meal on the portable, two-burner gas stove.

Unfortunately, that was not the case and I was left with a stomach virus that cut my research from two weeks to five days.

Living in the community for only a few days, I hardly had time to establish meaningful relationships with the community and did not get a good scope of life in Rio Mar, placing extreme limitations on what I could learn about physical disability there.

Prior to entering the field, Jaime Huaman, from ARARIWA, warned me that some individuals may not be willing to talk to me. He made sure that I understood my position as una extranjera (foreigner). He mentioned that individuals with disabilities in Rio Mar, Peru may feel unsettled talking to foreigners because of a history of false hopes and promises from foreign organizations.

According to ARARIWA, many foreign organizations will visit communities, like Rio Mar, to offer free medical care, medical equipment like crutches or wheelchairs, and, in some cases, will even provide a home for disabled individuals who have been abandoned by their families.

These organizations assist selected individuals, those who they deem as most in need. After a few months or maybe a couple of years, these organizations leave these communities with their unfulfilled promises. All things considered, I made sure to maintain the role of student researcher while in the field with no promises made.

Jaime Huaman, ARARIWA, and Carlos Quispe, OMAPED, accompanied me to my interviews and selected participants that they had pre-established relationships with. These individuals were actually willing to share their stories and often thanked me for having a conversation with them about the challenges they face as physically disabled individuals. Since Rio Mar, Peru is an indigenous community, interviews were done in Quechua and Spanish. Interviewees were often shocked at my ability to communicate in Spanish and were even more intrigued when I knew basic lines of Quechua. Needless to say, my linguistic capabilities were certainly a way to build repertoire in the community. With the help of ARARIWA and OMAPED, I was able to gather enough data to feel comfortable with my decision to return to Cusco.

The remainder of the month was spent finalizing my research project, written in Spanish, Las Barreras que enfrentan Personas Indígenas con Discapacidades en una Comunidad Rural (The Barriers faced by Indigenous People with Disabilities in a Rural Zone). This chapter describes my experiences in doing research in Rio Mar and my findings such as they are.

CONSIDERATIONS AND LIMITATIONS TO MY STUDY According to the census of CONADIS in 2014, 11.8% of people in the Cusco region have registered their disabilities with the government. There is a great possibility that statistics have changed since 2014 because now there are significant changes to improve the ability of people with disabilities to receive a certificate. In 2016, there was an extreme increase in the number of doctors who may qualify a persons’ disability. I imagine that more people can now receive a certificate because doctors can now work together to travel in all parts of the region of Cusco.

One limitation of my study is that we have no recent statistics. At the time of carrying out my research, the census of 2017 was still not available. This particular census is very important because it is the first official document on which people could report if they have a disability and have their disability registered. In my interviews with medical professionals, the OMAPED officer, and an officer of ARARIWA, they all agreed that the situation and the number of people who are registered with the government is improving. They said the increase in physicians is a big reason for the change because now doctors are more accessible and people do not need to travel because doctors are distributed everywhere in the region to certify people.

TOWN DEMOGRAPHICS AND LIVELIHOODS About 11,000 people live in Rio Mar, Peru. While some live in homes directly adjacent to the main plaza in town, others live alongside a long, inclined hill that is only accessible by stairs.

Rio Mar is a Quechua community, meaning that the majority of individuals who live there are indigenous.

Most individuals in the town speak Spanish as a second language, which they learn in school. The main market in town, known for a specific type of bread that is circular in form with a hole on the top, as well as a variety of potatoes, takes up the equivalent of one small block. It is typical to see middle to older-aged women sitting in their traditional dress selling produce. Typically, a pig would be roasting on the street and people would stop to make their purchases. Many families are self sustainable as they use their land to produce crops later used for cooking within the home. One of the women at the market told me that she travels to Cusco to buy produce that she then sells at the market. Other families maintain their household by owning small stores where they sell paper products, medicine, or other household supplies.

The town itself appeared to me as somewhat barren.

There were empty streets with many dogs rummaging through trash cans. The town has no wireless internet and hardly any phone signal. Because of this limitation, when my research ended for the day, I found myself at a

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NAME

AGE

GENDER

MARITAL STATUS

DISABILITY

Milagros

22

F

Single

Physical (ankle limp)

David

29

M

Single

Physical (needs crutches, minimal lower body mobility)

Marleny

37

F

Single

Physical (Feet)

Carlos

33

M

Single

Physical (Accident, paralyzed)

Felipe

76

M

Widow

Physical (Wheelchair bound, knee)

Maria

55

F

Married

Physical (accident: hip & back)

TABLE 3. Overview of Disabled Interviewees loss for what to do.

However, many people told me that during the popular festival in Rio Mar celebrating the Virgin Carmen in July, the town is packed with people who come to Cusco and surrounding rural areas, with all available lodging booked one year prior. The festival, a religious celebration, also includes public dancing and singing.

RESULTS According to records held by OMAPED and ARARIWA, 284 people in Rio Mar have registered their disability with the government, but the majority have yet to receive their disability card. This documentation is vital to receiving benefits promised through the La Ley General de la Persona con Discapacidad. OMAPED and ARAIWA only retain a record of individuals who have made an initiative to see a doctor and register their disability. With that being said, for my study they were only able to locate individuals who had already registered their disability with the government. Fortunately, I was able to connect with and interview one woman who has yet to register her disability because she was not aware of the ability to do so.

Key Research Participants Of my six interviewees- three women and three menthree have had their physical disability since birth. For the others, it was either developed over time or was caused by an accident.

Carlos offers an example of someone who became disabled in an accident. He was nineteen when he was in a car accident that paralyzed him from the waist down.

He recalls moments of severe depression because his life changed forever with no hope of regaining mobility.

Carlos went from being an independent young man with hopes of going to college to a bed ridden individual who was being cared for by his mother and siblings. He remembers having to relearn how to shower and how to do tasks that were once so simple, such as brushing his teeth and changing his clothes. Slowly he regained confidence, but was constantly reminded of his disability when people would stare or say: “ooof que pena” or “pobrecito” (“how terrible” or “you poor thing”).

For other individuals, like Marleny, disability is often associated with familial abandonment at birth. Marleny has a difficult time conversing and comprehending dialogue. She assumes that her family was either ashamed of her learning disability or that it was too much of a financial burden. For about fifteen years, an Italian non-profit organization that was working on sustainable development projects in Rio Mar, Peru, offered Marleny room and board at their facility. Unfortunately, this organization closed their office in Peru and Marleny was left alone. For seventeen years now, Marleny has had to search for clothes and food, and has no job or family.

The town of Rio Mar does what they can to help her but Marleny still refers to her family as the volunteers who were part of the organization.

Structural Limitations to Gaining Recognition This section discusses several structural constraints limiting the recognition of individuals with disabilities under the law that emerged from my interviews. These include lack of popular awareness of Law 29973, access to general education, familial traditions and support, access to medical care, and economic ability.

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Popular Awareness of Law 29973

Discrimination in Education

As mentioned in the introduction, Law 29973 of Peru (2012) protects individuals with disabilities by guaranteeing them the same rights as the rest of the population. People with disabilities have protection against discrimination in employment and in public spaces. They can also receive benefits from the Ministry of Health that guarantees and promotes the entry of the disabled person into a system of universal insurance.

Most of my disabled interviewees said they are familiar with and understand the law for people with disabilities in Peru. OMAPED and other officials have held public meetings for people with disabilities in Rio Mar, where they can be educated on their rights as disabled persons.

These meetings teach the community about what it means to be a person with a disability and informs them on the process of registering their disability with the government, receiving a disability card, and receiving state protection.

Discrimination is highly present throughout childhood for individuals with disabilities, especially in terms of education. As mentioned previously, under the law individuals are guaranteed an education without discrimination towards their disability. But there are problems when teachers do not think that students have the ability to learn and when teachers believe that they are distractions to other students.

My interviews support these generalizations. Two of my interviewees, Milagros and Marleny, did not attend school during their childhood because their teachers were not equipped to deal with their personalized needs.

Both individuals have a physical disability, but also have some intellectual delays. According to her teachers, Marleny did not know how to interact with other students and teachers did not have time to give her preferential attention, so she was left out of the education system. It was not until adulthood that Marleny was welcomed into a school, this time a school specifically for individuals with disabilities.

We have meetings every three or four months to sensitize the community about disability and teach people about their rights.

-Carlos, administrator OMAPED Rio Mar, May 2018 The reality is that these meetings have not been largely accessible to the majority of individuals in Rio Mar. Therefore, the majority of the population neither receives help from OMPAED nor is educated about their rights. Additionally, there is a belief among people in Rio Mar that only people from Cusco, the closest city, and people who have family from Cusco, are familiar with the laws and government benefits.

Organizations do not help all people in Rio Mar. It is an inequality because some do not go to meetings and some do not understand their rights because they have no knowledge of the meetings.

-Maria, translated from Quechua, May 2018 My fieldwork revealed the lack of programs to educate people with disabilities about all parts of Law 29973. Even disabled people in Rio Mar who considered themselves to be knowledgeable about the law conveyed a lack of understanding about each protection they are guaranteed to receive. As a result, many institutions, such as restaurants and government offices, are not being held accountable for their non-compliance with the law, as I explore below. If physically disabled people in the area were better informed and fully understood their rights, they would be empowered to claim them and fight for them.

... every student receives an individualized education here. Each student is different with different limitations. We can not teach everything at once. You can not teach people with intellectual limitations in regular schools because there is no time, there are other students without limitations.

- Katrina Davila and Mariamela Villalbe, teachers of Virgin del Rosario in Rio Mar, a school for individuals with disabilities, May 2018 According to the teachers of Virgin del Rosario, many families choose to keep their children out of the school system due to discrimination among students and students with disabilities. When people do not understand disability and the laws that protect people with disabilities, there is discrimination, and people choose to hide from society.

Thereâ&#x20AC;&#x2122;s always discrimination. The lack of knowledge on the laws. People donâ&#x20AC;&#x2122;t understand that the law makes us equal to them.

-Carlos, administrator OMAPED Rio Mar, May 2018 Within mainstream schools, able-bodied and ableminded students tend to bully those who have a disability.

Sometimes it is hard to go to school and focus because there is discrimination and teachers do not have the time to support them. Many parents hide their children for that reason.

Yes, in elementary school the other students teased me. Always. I did not want to go to school because they did not understand me, but high school was

THE GW UNDERGRADUATE REVIEW â&#x20AC;˘ VOLUME 3 better.

-David, physical disability, Administrator Ministry of Education Peru, May 2018 Even when parents want a disabled child to stay in school and get educated, other factors arise to prevent school attendance. Schools are not always accessible to people with physical disabilities. For example, one of the local high schools I visited in Rio Mar is situated atop a large hill, making it difficult for wheelchairs to travel up the incline, and nearly impossible for someone on crutches to make the hike. Inside the school, there are two levels with no elevator and very minimal ramps.

Schools may lack the proper equipment to adequately serve physically disabled students and make them feel welcome as equal participants in the education process.

Familial Traditions and Support To start, Rio Mar is a Quechua community and traditional beliefs are still present in the community and within families. Andean worldview is the belief that nature has important power and spirits have influence on the lives of people. There is a belief that disability is associated with nature and the work of spirits. Quechua communities blame the devil for infecting individuals with their disability. With strong beliefs, parents have shame if their children have disabilities and choose to keep them hidden. While each situation is different for people with disabilities, some people have large families to support their disability, while others have no one due to the stigmatization of disability that could be a result of traditional discourse.

It is a serious problem in Rio Mar that parents of children with disabilities leave them after birth. Or parents hide their children and children do not leave the house. They do not go to parties, school, or play with other children.

-Katrina Davila and Mariamela Villalbe, teachers at the Virgin of the Rosary in Rio Mar, May 2018 There are cases where parents leave their children who have a disability and these children grow up without a family. Sometimes NGOs from Italy and other countries come to Cusco to support children. They provide a home, food, clothing, and a family. But eventually they return to their countries and children are abandoned again.

She does not have a family. It is a special case. She needs to look for her clothes, food and other things.

-Katrina Davila and Mariamela Villalbe, May 2018 Most of my interviewees told me that they have no help or live alone in the house. In cases where they have support at home, they also have many resources and are

95 registered with the National Registry of disabled persons.

For most people with family, the family helps them receive support from OMAPED and family will seek rehabilitation services and medical care.

Some received support from their relatives when they were children. Parents helped them around the house with bathing, getting out of bed, eating, and cooking.

Especially in cases involving an accident where the individual lost the ability to walk, parents helped a lot.

But now, as adults, most live alone and do not get much help. However, when they had the support of family, they received certificates and identity cards for their disabilities. The family could travel to Cusco and wait with them in the process to certify their disabilities.

Lack of Medical Services Before, I was the only doctor in Rio Mar. We could not help many people with disabilities ... once or twice each year doctors came here to certify disability.

Earlier in the district of Cusco, there were only three doctors to certify disability. There are now more than 50 doctors. So people in Rio Mar do not need to travel to the cities to receive certificates because doctors come here.

-Dr. Degarra, Medical Professional, Rio Mar, May 2018 There were only three doctors to qualify and certify disability in the Cusco region before 2016. The region is composed of thirteen provinces, Rio Mar included. People from Rio Mar needed to travel to find doctors in the city to qualify their disability. Seeking medical attention was very difficult and, most of the time, people did not have the patience or resources to receive a certificate, because in order to do so, they needed to know where the doctor was and how to make an appointment with them.

According to Dr. Degarra, it was very difficult for patients to find the only three doctors in the region of Cusco that could certify disability. For people living in rural communities, including many districts in the province of Rio Mar, they sought transportation to travel to cities or locations where doctors were certified to diagnose disability.

They use farmersâ&#x20AC;&#x2122; transportation to travel to locations for medical attention. Many times when farmers are carrying agricultural products to cities or in places where there are doctors, disabled people travel with them because it is the only opportunity to receive medical care.

-Dr. Degarra, Medical Rio Mar, May 2018 Further, with a shortage of doctors in Rio Mar, every appointment was thirty minutes. Doctors did not have the time to care for people with disabilities. Thirty minutes was neither enough to qualify a disability nor sufficient

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enough to cater to people with disabilities.

I had the desire to search for people with disabilities to help them. But I had no time.

-Dr. Degarra, Medico Rio Mar, May 2018 There are now more than 50 doctors who are qualified to certify disability in the region of Cusco. With more doctors they are available to travel to the provinces to assist people with disabilities. OMAPED works with doctors to have one day each year to certify people with disabilities.

Now there are three doctors in Rio Mar, but there are no specialists.

-Dr. Degarra, Medical Rio Mar, May 2018 Rio Mar still lacks rehabilitation treatments for people with disabilities. Now there are more doctors to certify disabilities, but still no treatments to help people recover from disabilities in Rio Mar. There are only three general practitioners in the medical post with no education to care for disabilities.

It is a huge inequality in Rio Mar. We need specialists but they all are in Cusco and I can not leave, I do not have help.

-Felipe, May 2018 Sometimes doctors offer services to people with disabilities who were abandoned. Most told me they had no insurance or insurance only helped when they had the flu or a similar disease. But the post still offers contraception to mature women with intellectual disabilities in the event that they were abandoned, who receive an implant in their arm to prevent pregnancy.

Doctors believe it is better to prevent pregnancy when they are living alone and do not have the ability to be cared for by someone else.

Economic Situation There are opportunities to accelerate the certification process and to receive a card if a person travels to Cusco or Lima. There are also opportunities to receive physical therapy or special medical care. But most of the time, a person needs to invest a lot of money for treatments to travel and receive medical care.

Yes. If I received physical therapy or rehabilitation, I could heal faster. But rehabilitation is in Lima and is not in my financial situation to receive treatments.

-Carlos, physical disability, administrator Office OMAPED Rio Mar, May 2018 People do not travel to Cusco or Lima to certify their

disability because transportation is very expensive, and they still need to pay for a hotel. Furthermore, people with disabilities still can not travel to Lima or other urban places because within the city, accessibility is not easy.

For example, for some there is no special transportation that will accommodate their wheelchairs. Combis (public buses) are not accessible to people with physical conditions. Individuals would have to pay for private transportation. Therefore, for most, their economic situations do not allow access to resources outside Rio Mar. Most people want financial assistance from the government for their disabilities. Only people with severe disabilities and living in poverty can receive government benefits or stipends, although the majority have yet to see the money. For people who do not receive a pension and are not in the position to work, the situation to buy clothes and food is difficult. They do not have the means to make money and live a comfortable life.

Discrimination in Employment Even if individuals wanted to work towards an economic situation that would enable them to pursue care, there are still limitations within the labor market. In terms of the labor market, public companies must reserve 5% of the jobs for people with any type of registered disability, while for private companies, it is 3%.

There are specific points that employees use to hire someone. Curriculum, 50 points, 50 points Education.

People with disabilities receive 10-15 more points.

-Jaime Huaman, ARARIWA Cusco, May 2018 My interview with Jaime Huaman of ARARIWA revealed that people with disabilities received 10-15 points more than people without disabilities to take into consideration interviewer discrimination or lack of education or curriculum.

In spite of this provision, I learned that companies often do not comply with the laws; thus, discrimination still exists and people with disabilities face barriers in finding employment. CONADIS has the responsibility to ensure that the institutions are complying with the law, but it cannot follow the activities of all companies.

So most of the time, according to my interviews, laws protecting disabled job-seekers have no teeth.

The law is only 10% effective.

-Carlos, physical disability, administrator OMAPED Rio Mar, May 2018

Obtaining Disability Recognition: The Government as a Threat In Peru, obtaining a certificate of disability with a qualified physician is the first step in registering a disability with the government. But the reality is that

THE GW UNDERGRADUATE REVIEW • VOLUME 3 there are many steps before a meeting with a doctor that the government has the power to control.

Five out of the six participants in my study could not get their disability acknowledged until they were 18 years old or older. The process of obtaining a card is slow, but compared to years past, it is actually must faster. Before, people were not allowed to register for a certificate of disability until they had the identification card administered to all citizens of Peru. Until recently, this card was only administered to individuals once they turned 16. Now the law has changed and people can apply for a license when they are children.

I guess now more people have disability certificates because now we do not need to wait until 16 to get an ID. Now children can register for an ID. It is a huge change because now people can register for a certificate of disability earlier in their lives.

-Jaime Huaman, ARARIWA Cusco, May 2018 CONADIS now has the responsibility to monitor whether the law and the process of registering a disability is working. But most say the process for people with disabilities is very slow in Rio Mar. First you need an ID, then you need to wait for the one available day of the year (or sometimes two days depending on the number of people who want a grade) when OMAPED and the medical post in Rio Mar work together to qualify and certify people with disabilities. From there, medical professionals will transmit the disability certificates to CONADIS in Cusco and will wait for the information to arrive in the capital, Lima, to then be processed into a card.

This process may take anywhere from six months to two years. The government controls most of the process and because of the many regulations, the process is slow.

For people who do not understand the process or do not have the help of OMAPED, the post or CONADIS, the process may be especially difficult or even unattainable.

There is no help. I have no one.

-Felipe, May 2018

97 until 2017 demonstrates that there was no accurate data for disability at the national level until very recently.

Although its policies and programs are flawed, the Peruvian government can and does help people with disabilities in serious situations. For example, when parents abandon their children or in situations of extreme poverty, Municipal Rio Mar may step in to provide some support.

She [municipal] brings me food and clothes and DVDs. -Marleny, May 2018

ANALYSIS: ACHIEVING RIGHTS THROUGH RECOGNITION The potential for individuals with disability to live a life with dignity, in which they are acknowledged and protected by the government, as well as their rights, is called into question in the absence of education, familial support, and a general understanding of Law 22973 that protects them.

The law has greatly contributed to the improvement of social and political protections for individuals with disability. Peru’s adaptation of Ecuador’s system for diagnosing and registering disability has dramatically increased the number of physicians who are qualified to certify disability and has improved individuals’ access to special schools for people with disabilities, as well as employment opportunities. Although there is improvement, the system is still not equitable. Individuals who live in rural areas are excluded from receiving the protection of the state and benefits provided by the law because of cultural stigmatization and the lack of opportunity that comes with being so far from the city.

The process to register and obtain a certificate which acknowledges the rights of individuals with disability is expensive and not widely accessible. The transmission of information from rural zones to cities and back again is inefficient and non-supportive of individuals disenfranchised by the system.

The Lack of Data on Disabled People in Peru

Education of Law and Familial Support in Registering a Disability

There is a lack of accurate statistics on the number of people with disabilities in Peru, and therefore, the Peruvian government can not ensure that all are registered or receiving benefits. Until 2017, Peruvian censuses failed to ask if an individual considered themselves disabled.

At the time of my research, the results had not yet been released, but other censuses estimate that 1,637,407 people can be identified as having a disability in Peru. This information could help CONADIS to develop a national survey that reflects what percentage of people with disabilities in Peru have registered their disability. But the fact that the census has not considered disabilities

Law No. 29973 should promote equality and protection of persons with disabilities, but unfortunately, structural barriers exclude individuals in rural areas from educating themselves on the law and educating themselves on the resources available to them.

In Rio Mar, there is no clear and universal information about the process to obtain a certificate of disability.

People with disabilities need help from government organizations to give them instructions, but information is scarce and people with disabilities and families do not know how to find information or how to seek help.

Within the law, there are directions to obtain a

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certificate and be recognized as a disabled person.

However, the law is only available in Spanish and is only accessible by internet or government offices. For example, OMAPED in Rio Mar has information about the law. For people with disabilities in rural areas without internet, without interest or knowledge to go to the offices such as OMAPED, and without Spanish education to help them understand the law, the process for obtaining a certificate becomes difficult and undesirable.

For individuals with disabilities who have family to help them through the process, there is an increased opportunity that these individuals will understand and receive protection under the law. Family members have the ability to learn and visit institutions that promote resources and rights for people with disabilities. For individuals without family, or without family members who are willing to help, there are various limitations and barriers to receiving a certificate. Without help, people with disabilities are alone. They have no one.

People with physical disabilities can not leave the house or have trouble getting around the community.

Without mobility, people do not have the opportunity to search for organizations to educate them about the laws and protections for people with disabilities. In cases of intellectual disabilities, people do not have the ability to understand the laws or do not understand that the laws exist. In situations of abandonment, they have no one to protect them. Therefore, the presence of family could determine the ability of an individual to receive protection according to the law and register with the National Register.

Laws can only guarantee protections for people who have knowledge of the laws. For people in an indigenous community where the main language is Quechua, a law produced in Spanish is not useful. In addition, if they were abandoned or have no help from others, it is very common that they will not receive government protection for their disabilities. The reality is that these people long face barriers to obtain the certificate and passport. Therefore, they will live a life of inequality.

Persistence of Traditional Beliefs as a Result of Insufficient Resources With the increase in the number of doctors to certify disability in the district of Cusco, people in Rio Mar theoretically should receive more medical care, but this is not the reality. Doctors who are authorized to certify disabilities only visit Rio Mar once or twice a year. With infrequent visits, people in Rio Mar are not getting the help they deserve under the law. For people in cities, the process to get certified is easier because all of the necessary resources are at the patientâ&#x20AC;&#x2122;s disposal. But again, indigenous people with disabilities face a serious barrier to the lack in medical care. The law guarantees free and accessible medical care in terms of diagnosing

disability, then in receiving rehabilitation services. There should be a clause that clarifies these opportunities to be solely in cities, because within indigenous communities, there are no doctors who can certify and rehabilitate disability.

The government has tried to promote the inclusion of persons with disabilities in the labor market, but there are still discrepancies and discriminations in the process.

There are not many companies in Rio Mar to recruit people for employment; therefore, there is a lack of awareness of the law that promotes jobs for people with disabilities. The law protects people in cities, such as Cusco, because they have access to jobs in the public and private industries.

But in Rio Mar, people face a barrier to employment and thus depend on traditional jobs in the chakra (farm) or at home. But most of the time, jobs are not accessible to people with physical disabilities and therefore they do not have the opportunity to earn income. Trends to exclude specific populations reinforce discriminatory tendencies in Rio Mar and in Peru. When people grow up without the freedom to achieve something, or without equal opportunity that people without disabilities have, then they lose hope for receiving help.

The law promotes alternative schools for people with disabilities. It was interesting to see that there is a special school for people with disabilities in Rio Mar. Schools are important for the education of children with disabilities because they have the opportunity to learn in a more personal way. When children have the ability to learn from others with similar abilities and with teachers who give them special attention, there are more opportunities for children to make academic and social progress.

Unfortunately, there are still problems with a school structure that only includes people with disabilities because it shows that there is a lack of inclusion in mainstream schools. Many times students were asked to leave mainstream schooling for another school that was more suited to their special needs. By not including people with disabilities in mainstream schools, there is more stigmatization of disability, which strengthens a system that excludes people with disabilities.

Cultural beliefs largely play a role in the interpretation of disability in Quechua people in Rio Mar. In Rio Mar, the presence of the Andean world is strong and still has an impact on the way in which people view and understand disability. If indigenous people with disabilities are excluded from health care, education and/or employment, they tend to adhere to cultural traditions for guidance.

These traditions inform understanding of disability, and can even include traditional medicine. Although the law is intended to protect all, when not understood, it is easier for these individuals to rely on beliefs and traditions that have long been practiced in the lives of people in Rio Mar. Traditional beliefs are not troublesome but they still pose extreme barriers to the ability to record a disability with the National Registry. It is normal to hide a disability

THE GW UNDERGRADUATE REVIEW â&#x20AC;˘ VOLUME 3 because the Andean worldview says that disability is the effect of extreme nature or the devil. People are afraid to share their disabilities with the world. When a person does not have the opportunity to leave the house, there is no evidence that the person exists. For example, it is very common in Rio Mar that children are born in homes.

Often people who practice Andean worldview never allow children born in the house with a disability to leave the house. In other words, they are hidden at birth. When someone is forced to hide for all of their life, it is very difficult to go out and find support because they have no idea where help is available.

A Difficult Process Unrewarded The process to register and obtain a certificate and/ or a card is long, expensive, and not widely accessible; therefore, people with disabilities are unable to find tangible benefits to exercise their rights.

There are many steps to obtain a certificate of disability and sometimes the process is not possible for everyone.

For starters, there was a fundamental barrier when people with disabilities could not certify their disabilities because the age for receiving an ID. Most people rely on familial support to help them through the process of obtaining and exercising their rights.

Individuals in Rio Mar have minimal access to Cusco.

There are private cars to travel to Cusco, but this transport is not accessible to people with physical disabilities. It is very uncommon, maybe impossible, for physically disabled to leave Rio Mar. If they leave Rio Mar, the transportation within the city is not accessible to people with physical disabilities. Within cities, institutions are not complying with the laws and individuals have a difficult time walking around and entering public spaces.

While the law promotes free public transportation, it is an empty promise because it only applies to people who already have a disability card and who can physically use the public transportation available.

Many people with disabilities can not work and are therefore left in poor economic situations. Although the process to obtain a certificate is free, people in Rio Mar would have to pay more to travel to areas with more medical staff and support. Instead, they wait for doctors in Rio Mar and never receive attention.

There is no tangible benefit for those in Rio Mar to exercise their rights. A certificate does not have much value in Rio Mar because there are no forms of rehabilitation and other benefits, such as free transportation, which is only available in cities. Therefore, there is no incentive to certify disability in Rio Mar. People are not going to register their disabilities if they are not receiving the benefits or rights they should receive. In theory, people could live a life equal to those without disability if they have a certificate, but discrimination is present and strong in Peru. Individuals

99 have trouble finding jobs or do not have the ability to work with their disability. The law promotes assistance to individuals in finding jobs, but there are not that many jobs in Rio Mar; therefore, it does not matter. Individuals are technically guaranteed to receive financial assistance from the government if they are living in poverty with severe disability; but again, people have yet to receive this money.

It is a serious problem that people do not understand the laws and do not understand their rights. It is another problem that people understand their rights but still do not believe that it applies to them in Rio Mar. In conclusion, the process of obtaining a license is not accessible to everyone in Rio Mar. There are extreme gaps for people in rural places because the process is long and expensive to access cities. The benefits that people with disabilities receive do not apply in the district of Rio Mar, because there are not many resources. In reality, there is no reason to register a disability in Rio Mar because there is no opportunity to exercise rights.

CHAPTER IV: SUMMARY OF RESEARCH FINDINGS AND IMPLICATIONS FOR FUTURE POLICY AND RESEARCH This chapter presents major findings from my visits to San Migos, Ecuador, and Rio Mar, Peru, from two perspectives. First, I describe the importance of longterm research, including a return trip, versus very shortterm research and the impact it has on the quality of the findings. Second, I discuss what I learned about disability policy in Ecuador and Peru and how such policy has been implemented in each respective country. In the last section I will share closing thoughts and recommendations for future studies.

THE VALUE OF LONG-TERM RESEARCH The quality of my findings were deeply affected by two key factors: the length of time of my visits and my role as a student researcher. Long-term research meant that I was able to return to San Migos for a second visit.

As described earlier in this study, I spent much more time in San Migos than in Rio Mar. Every social anthropologist knows that rapport is essential to building trust with local people and gaining better insights into the social context, institutional processes, as well as everyday lived experiences of disabled people and their families.

My role as a student researcher had a great impact on the willingness of individuals to participate in my study.

While people in San Migos, Ecuador are accustomed to the annual summer arrival of American students, individuals in Rio Mar, Peru remain isolated and cautious of foreign visitors. In each setting, my role as a student researcher had a positive effect of providing me with a harmless identity and role. That is, no one misperceived

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me as an outsider with intent to to change disability politics and practice. Frequently, social anthropologists have to cope with false role assignments when they enter the field. I did not have that problem.

My research in Ecuador was conducted in a way that I, as a student researcher following the recommendations of the George Washington University Institutional Review Board, was at liberty to decide. My research in Peru was completed under strict requirements for an Independent Study Course. Throughout this study it is clear that the information I collected in Ecuador is denser and more descriptive than the information I collected in Peru due to community involvement, length of stay, and research structure. Thus, the many differences in my fieldwork experiences, and the amount and quality of information I gathered differed dramatically and, in turn, made any rigorous comparative findings difficult if not impossible.

Regardless, in the following section, I attempt to draw some comparative findings from the two research sites in relation to disability policy, practices, and experiences.

COMPARING DISABILITY POLICIES, PRACTICES AND EXPERIENCES IN TWO RURAL SITES IN SAN MIGOS, ECUADOR AND RIO MAR, PERU During the summer of 2017 in San Migos, Ecuador, I was taken aback at the concept of assigning a numerical value to a human. Ecuador’s disability policies and practices assign a score to a disabled person which determines the benefits he or she will supposedly receive. Such a numerical value had so much power in offering financial assistance and a chance at a more equal life, but such a numerical value was also clouded in an unknown, subjective process. My field experience in San Migos indicates that one medical professional is responsible for assigning an individual’s disability score and thus totally shaping that person’s quality of life. My research in Rio Mar, Peru in spring 2018, however, revealed that it is a privilege of the local individuals to have the knowledge that programs for disabled people exist. Most disabled people had no inkling that a certificate of disability was a possibility and what it could provide for them.

Ecuador and Peru have passed policies to promote the inclusion of individuals with disabilities into mainstream society. As mentioned in an earlier section, these laws are in an effort to make individuals with disabilities somewhat equal to their able-bodied counterparts. The law outlines the process by which individuals must register their disability in order to be considered a disabled individual under the law. Once people are recognized as disabled individuals, they are guaranteed basic human rights, such as inclusion in public spaces, anti-discrimination in the workplace and school, and access to affordable medical care in their given communities.

Although there is always room for improvement in the enforcement of these laws, Ecuador has been fairly

progressive and liberal in their social policies. Ecuador has been a pioneer and example for the social protection of indigenous communities and has been an exemplary model for how governmental programs can aid disabled populations. According to the World Bank, five countries attended a conference led by Ecuador, at which Ecuador promoted their Manuela Espejo Program and discussed useful measures to include disabled populations in general areas.

In the area of disabilities, Ecuador is becoming a true laboratory for Latin America.

-Cristhian Córdova, budget and planning manager of the Peruvian National Council for the Integration of People with Disabilities Previous laws have been placed to protect disabled populations in Ecuador. In 2012, President Rafael Correa passed a law that called for the inclusion and social protections of disabled people in public and private spaces. These changes have slowly been coming to fruition. Within one year, I noticed more inclusivity among children with disabilities in San Migos, Ecuador. Children who were previously suspended from local schools were re-enrolled and representatives from Manuela Espejo were visiting the community to record the needs of individuals with disabilities. There was an additional sense of pride that was more present. Individuals with disabilities are excited to be part of a country where their president is just like them.

Even in rural zones, at least as far as my research in San Migos suggests, Ecuador has managed to streamline the process of registering a disability. With new technology and an increasing number of medical doctors who can diagnose disability, the process has become efficient systematically. However, as discussed previously, there are still barriers to reaching this point.

Conversely, Peru has struggled in their ability to adopt a similar system. The transmission of data is often slow and the reward is not high enough for individuals to want to wait for their registration to process. While Peru has prided itself on being one of the first countries to adopt a law that protects individuals with disabilities, according to people with whom I spoke in rural Peru, laws in Peru are simply not enforced. There is a long history of political corruption in contemporary times, and although the law promotes the inclusion of individuals with disabilities, the likelihood of it being enforced is slim. Individuals, from what I have gathered, have lost hope in politics and are waiting for a more stabilized form of government and representation.

The most updated version of the law for disabled people in Peru was passed in 2012. However, the law is not as ironclad and descriptive as the law in Ecuador.

Ecuador passed a very comprehensive law that would take hours to read, line by line, whereas Peru passed a

THE GW UNDERGRADUATE REVIEW • VOLUME 3 law which attempted to say the same things that Ecuador said, but in a much more lackadaisical way.

To support disabled individuals in Peru, there is pressure to follow in Ecuador’s footsteps by including individuals with disabilities into mainstream society.

Unfortunately, Peru is not yet in a political state that allows for such laws to be fulfilled and complied with.

When there is political unrest and corruption involved at the head of state, there is no room for the voices of the most vulnerable to be heard. Ecuador has faced extreme pressure from vulnerable populations to change the sociopolitical climate and increase protections, whereas Peru has either ignored the concerns of their people or have not yet faced the determination of the masses to change the system.

Neither country has had success in providing services that meet its disability policy goals. It is up to citizenled initiatives to advocate for the political protection and social inclusion of individuals with disabilities. While it is unknown if the current legislature in Ecuador and Peru will be effective long-term, until individuals with disabilities are living in a more equitable system, there will always be room for sociopolitical improvements.

CLOSING THOUGHTS ON PHYSICAL DISABILITY POLICIES AND PRACTICE Although the situation is improving in Ecuador, there is still work to be done. Individuals with disability are taken seriously by the community and government so long as there is pressure to improve the lives of these individuals. President Correa and Moreno have increased protective policies for individuals with disabilities and are in the stage of making processes to obtain a certificate more efficient.

At the community level, individuals like Freddy Pincay and Unidad San Migos are raising their voices to bring attention to the medical, educational, and economic inequities that present themselves within rural zones of Ecuador.

Although resources may not be present at this time, there is hope on the horizon that change and progress will come under the leadership of the newly elected president, Lenin Moreno. Many families are hopeful that, with his leadership, there will be an increase in benefits for those with disabilities.

The situation for indigenous people with disabilities in a rural area of ​​Rio Mar, Peru is not easy and is not fair.

The Peruvian government passed a law to protect people with disabilities, but only if they have registered their disabilities with the government.

It is clear that the process of recording disability is not easy for those living in a community outside the city, a rural area, or an indigenous community, such as Rio Mar. There are barriers that people with disabilities face in Rio Mar that do not allow them to receive a certificate and

101 therefore do not allow them to receive their rights.

In reality, the law is only a document. Rio Mar indigenous people with disabilities are not protected because there are structural barriers that prevent them from understanding their rights. It is a serious situation and one in which needs more attention to improve life for each indigenous person with a disability in a rural area. Access to the National Registry of Persons with Disabilities is access to a life with equal rights. But still, indigenous people in Rio Mar are excluded from the process at the beginning of their lives.

Suggestions for Peru, Ecuador, and the Academic World While Lenin Moreno has done substantial work for individuals with disabilities in Ecuador, there is still plenty of work to be done when it comes to implementing and aiding policy across the board in both Ecuador and Peru.

The government needs to enforce the laws that have been passed specifically for people with disabilities. The rhetoric changes country to country, but the general consensus is that there is always room for improvement when it comes to the compliance with laws. In Peru, it is the general consensus that there is no help or aid because of the political unrest, that the law consists of written promises that will never be fulfilled. In Ecuador, the rhetoric is filled with hope. Individuals know that there are protections and they have seen the good that has come out of their current president, but individuals in rural communities are still waiting for their concerns to be addressed.

Lenin Moreno is absolutely correct. The issue concerning the wellbeing of individuals with disabilities is all created within the structural framework of a given community. The rhetoric surrounding disability must change. The exclusion of individuals from school based on disability is not progressive. There must be dynamic shifts in the understanding of disability and that all begins with inclusion.

Due to exclusionary practices towards rural zones and indigenous communities, individuals are not getting much support and do not have access to knowledge of disability and laws. Most individuals in rural zones are disenfranchised by the system due to the inaccessibility of materials. There, individuals do not have internet on a day to day basis and are living paycheck to paycheck, so it is the least of their concerns to educate themselves lineby-line on laws for individuals with disabilities. There must be organizations present who understand this reality. The state has an obligation to protect individuals with disability and to support individual needs.

These laws need to be made more visible through mainstream media and within public schools so individuals and family members can have a better understanding of their rights as human beings. Once individuals are aware

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of their rights, they will feel more empowered to press the government to comply with the promises granted to them in law. The government should respond by holding both public and private spaces accountable to protecting the laws of individuals with disabilities.

While education and enforcement would be helpful, there is still not enough medical staff readily available to diagnose and certify all individuals with disabilities.

Many of these doctors are also general practitioners and must attend to the needs of general patients as well.

Universities for physicians and government programs should offer incentives for physicians if they specialize and receive training to be qualified to certify disability.

With more doctors, it is more likely that some will travel to serve vulnerable populations in rural areas. With that, disabled people would not need to travel or wait for long to receive a certificate of disability.

To conclude, there is an extreme lack of academic research on disability in Ecuador and Peru. There are no prior studies on the process of certifying disabilities.

Research has yet to be published on how individuals are left out of the system before they even realize it, before they even have the title, “being disabled.” How do we understand that we need to improve the system without having research that describes the realities?

ACKNOWLEDGEMENTS First, I must thank the many residents of San Migos and Rio Mar who generously welcomed me to their community and shared their experiences with me, either as people involved in disability care or as disabled people and their families and friends.

Second, the support of my academic advisors and guides in each field site was essential to my research.

Thank you to Dr. Michael Harris and Professor Valentina Martinez for dedicating 21 years to the Florida Atlantic University Anthropological Field School. I thank them for their dedication and hard work, as it has inspired many students to pursue professional work in both Archaeology and Ethnography. An additional thank you to Dr. Harris for serving as my field research advisor. This project and my time in San Migos in 2017 and 2018 would not have been possible without his support and guidance. A very special thank you to my field assistants in San Migos, Belen Baque and Danny Lucas Salazar; I thank them for welcoming me into their homes, assisting me in my research, and helping me transcribe hours of material. Freddy Pincay was a much needed advisor to my project in the field. His interest in my research introduced me to individuals with disabilities in San Migos and allowed for my participation with his group for individuals with disabilities, UNIDAD Salango. I am so hopeful for the future of individuals with disabilities in San Migos because of Freddy’s hard work and dedication.

In Peru, thank you to the staff working with the School

of International Research in Cusco. Dr. Alex Alvarez, academic director, for encouraging me to conduct a comparative field study while in Peru and to the program director, Milagros de Carpio, for creating a positive study abroad experience. A large thank you to Deisy Moscoso, for without her support as my project advisor, I would have had no direction or connections in the field. I thank her for the time that she dedicated to ensuring the success of my project. Additionally, I gratefully acknowledge the assistance of, Carlos Garcia, OMAPED, and Jaime Huaman Quispe, ARARIWA, in Rio Mar, Peru. Without their help, I would have been stranded in the middle of Rio Mar, searching for participants to interview.

Third, I am grateful for the support of the George Washington University. My advisor, Dr. Barbara Miller, professor of anthropology and international affairs, offered insights about my field research, fieldwork ethics, and on the write-up of my thesis. I will never be able to express my full gratitude for her guidance throughout the entirety of my project. An additional thanks to Dr. Paul Hoyt O’Connor, Director of the Center for Undergraduate Fellowships and Research at the George Washington University, for supporting my grant application for the George Washington University Undergraduate Research Award. Without funding from the Office of the Vice President for Research and the Office of the Provost at the George Washington University, my research in Ecuador would not have been made possible.

In all, my studies at the Elliott School of International Affairs at GW, as well as my study abroad programs, have offered me rich opportunities to learn both inside and outside of the classroom. Both opportunities prepared me to do original fieldwork in two low-income countries.

From the classroom to the fieldwork, and through the analysis and writing, I have learned so much. My thanks to everyone who helped me on my way.

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43. Watts, J. (2013, February 19). Ecuador’s Lenín Moreno gives revolutionary turn by quitting while on top.

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33. Reel, M. (2005, April 22). Ecuador calms as ousted leader waits on asylum. The Washington Post. Retrieved from Washington Post: http://www.washingtonpost.com/wp-dyn/articles/A6718-2005Apr21. html?noredirect=on

44. Witt, M. J., & Fujimori, A. (1998, October 26). Acta Presidencial de Brasilia, suscrita por las Presidentes del Perú y del Ecuador.

34. Resolucion Ministerial , Nº 538-2009 (Republic of Peru 8 19, 2009).

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vador-haiti-jamaica-y-peru-aprenden-juntos-sobre-discapacidad 46. Zola, I. K. (1989). Toward the necessary universalizing of a disability policy. The Milbank Quarterly, 67 (2), 401-428. doi:10.1111/j.1468-0009.2005.00436.x

About the Author Julia Scolapio is a 2019-2020 Fulbright Scholar to Ecuador. Scolapio graduated summa cum laude from the George Washington University (‘19) with double honors in Dance and International Affairs, with a minor in sociocultural Anthropology. In 2018 she received the George Washington University Undergraduate Research award which allowed her to carry out field research on the policy and practice of disability in a rural zone of Ecuador. Scolapio carried out similar research while studying abroad in Peru. Her project received special recognition in GW Research Days 2019 as a special prize winner in Equity, Diversity, and Inclusion.

Mentor Details This paper was written with mentorship from Professor Barbara Miller.

Professor Barbara Miller received her B.A., M.A., and Ph.D. in anthropology from Syracuse University. She joined the Elliott School in 1993 as a specialist in the anthropology of international development. Most of her research has focused on gender and health in India and South Asia more generally. Professor Miller served as the Director of GW’s Women’s Studies Program from 1994-1999; as Associate Dean of the Elliott School from 1999-2002 and 2009-2012; as founding director of the Elliott School’s Global Gender Research and Policy Program from 2010 to 2016; and as director of the Elliott School’s Institute for Global and International Studies from 2012-2016.

106 KEYWORDS: MLF, Multilateral Force, non-proliferation, Nuclear Non-Proliferation Treaty, U.S. Soviet Relations DOI: https://doi.org/10.4079/2578-9201.3(2020).01

“Das Vadanya” to the Multilateral Force: the Soviet Union’s Role in the Johnson Administration’s Decision to Abandon the MLF ALEXANDER CHANG International Affairs, ESIA ‘21, alexandernsc@gwu.edu

ABSTRACT The Multilateral Force (MLF) was a proposed nuclear sharing arrangement between the United States and a number of its NATO partners. Proposed in 1958, the MLF was debated until about 1965 or 1966 and was often distinguished by its controversial nature and failure to gain traction. This paper examines documents from the Digital National Security Archive (DNSA), Foreign Relations of the United States (FRUS), Record Group 59: General Records of the Department of State, and various secondary sources to evaluate the extent to which the Soviet Union contributed to the MLF’s failure as an initiative. The Force is often treated as a narrow and highly technical policy debate by existing literature. However, examination of these documents highlighted the necessity of viewing the Force as a topic of distinct political import in American-Soviet nuclear negotiations. While technical disputes over the MLF’s constitution was an immediate cause of its demise, U.S. policymakers also faced strategic incentives not to pursue the treaty. In particular, the documents reflect growing belief within the Johnson administration that exiting the agreement could improve broader bilateral relations with the Soviet Union and ensure that the international community could continue to make progress on the creation of a nuclear non-proliferation agreement.

• INTRODUCTION AND REVIEW OF LITERATURE The Multilateral Force (MLF) was a proposed transatlantic nuclear sharing agreement that was debated among the United States and a number of its European NATO partners from 1958 to around 1965 or 1966 (Solomon, 1999; Lundestad, 2005). The idea existed in a number of different forms throughout its lifetime, usually calling for a nuclear-armed naval force—consisting of either surface ships or submarines—that would be jointly operated by interested NATO members. The MLF idea was primarily entertained by the United States, United Kingdom, The Federal Republic of Germany (hereafter FRG or West Germany), and Italy, although there were also a number of attempts to entice France to join the Force (Solomon, 1999). Although the MLF remained a concept for the better portion of the decade, it was often controversial and defined by bureaucratic battles. Interested parties clashed over the technical composition of the Force— and the structure of its internal governance— leading to an array of sharing proposals, each of which alienated different members throughout the negotiation process. The agreement also encountered significant opposition from the Soviet

Union, who believed the MLF would disseminate nuclear weapons to Western European allies of the United States.

Scholarship on the MLF remains relatively limited.

A few academic articles, books, dissertations, and manuscripts from the mid and late 1960s discuss the Force in a contemporaneous context. For example, scholars such as Alastair Buchan offer 1960s perspectives on the MLF, with a particular focus on the intra-alliance challenges that complicated the proposal’s negotiation (Buchan, 1964). While these kinds of articles may give readers a glimpse of how the Force was viewed in an academic setting while it was being negotiated, they cannot account for simultaneous internal government discussions or the MLF’s bearing on future nuclear negotiations.

Chapters within academic books focusing on the Eisenhower, Kennedy, and Lyndon Johnson administrations; transatlantic relations; and the development of early U.S. nonproliferation policy offer more modern, albeit not extensive, perspectives on the MLF. A notable limitation of many of these works is that they primarily summarize NATO negotiations over the Force during the Kennedy administration rather than the MLF’s connection to non-proliferation negotiations that occurred during the latter half of the 1960s. Geir Lundestad’s

THE GW UNDERGRADUATE REVIEW • VOLUME 3 work (2005) contextualizes the MLF within broader difficulties of strengthening the transatlantic alliance during the 1960s. However, its treatment of the MLF is short and focuses on the early period in which the Force was first proposed. Pascaline Winad (1996) builds on this background by offering a more detailed overview of these Kennedy-era negotiations, and goes further by exploring the end of the MLF during the Johnson Administration— although still from a perspective of transatlantic politics.

Lawerence S. Kaplan (1999) offers a far more critical view of the proposal, portraying the Force as a manifestly unworkable policy initiative.

“The Multilateral Force: America’s Nuclear Solution for NATO (1960-1965)” is a United States Naval Academy Trident Scholar Project that approaches the MLF in a somewhat similar vein to Winad’s writing. Midshipman James B. Solomon’s work, however, is uniquely valuable to this paper because it offers a clear and extensive chronological account of MLF negotiations based exclusively on primary sources. The length and focus of the paper—its 159 pages address the history of debates over the MLF’s specific operational constitution—allow it to provide a narrative of the Force’s lifespan from the Eisenhower to Johnson administrations that is logical and easily understandable. Because of this, it is helpful in allowing this paper to situate itself within the complete timeline of MLF discussions.

While these sources provide important context, particularly on early MLF negotiations, they do not address Soviet opposition to the Force or its relation to future non-proliferation negotiations. This may be the case for a number of reasons. Because the impetus for the MLF was in large part the strengthening of transatlantic unity and dissuasion of West Germany from acquiring nuclear weapons, the proposal is often viewed narrowly in a Western European context. Additionally, there are documents that reflect senior American officials asserting that the U.S. would not bow to Soviet pressure over the MLF. Viewed narrowly with documents relating to the Force itself, these opinions might suggest that the Soviet Union was not a major factor in the MLF’s collaspe. When reconciled with documents addressing the broader nonproliferation environment, however, the importance of the Soviet role becomes more apparent. Finally, the MLF is often viewed as a policy prescription that had little chance of implementation or larger strategic meaning.

While the MLF faced significant difficulties from its inception, its failure is not indicative of irrelevance.

This paper suggests that this lack of success may have benefited the United States strategically.

Glenn T. Seaborg (1987) and Frank Gavin (2012) explore these Soviet and non-proliferation connections more critically. Drawing upon his experience as former Chairman of the Atomic Energy Commission, Seaborg surveys the Johnson Administration’s important contributions to global nonproliferation and arms control

107 (Fyre 1987). He emphasizes the fact that the Soviet Union maintained consistent opposition to the MLF throughout nuclear negotiations with the United States—a fact supported by the primary source documents this paper analyzed. While Seaborg’s writing offers a thorough examination of the Johnson administration’s nuclear policy, Frank Gavin’s book does the best job of connecting the MLF to global nonproliferation debates during the 1960s. Gavin paints a picture of an international nuclear balance becoming rapidly destabilized by the potential of widespread proliferation—a situation dangerous for both superpowers. He also indicates that U.S. officials realized the potential for the MLF to act as a barrier to nonproliferation progress. Both Seaborg and Gavin make the important recognition that the MLF was a meaningful part of arms control debates—and that the Soviet Union saw the proposal as a major threat. However, their works still do not specifically address the impact of Soviet protests on American deliberation over the MLF. Primary source documents constitute the bulk of this paper’s analysis and work to complement these secondary sources. Some of these primary source documents can be found in Record Group 59: The General Records of The Department of State at the National Archives in College Park, Maryland, which serves as the primary depository for 20th century U.S. government documents. The Digital National Security Archive (DNSA) is a nonprofit database serving a similar function through its digitization of many public sector records from the same time period.

Many documents also originate from the Department of State’s Foreign Relations of The United States (FRUS) series, including 1964-1968 Volume X, National Security Policy and 1964-1968 Volume XI, Arms Control and Disarmament. In particular, these FRUS editions offer a strong selection of records detailing high-level U.S. government conversations. While more limited in nature, the LBJ Presidential Library also provides some especially insightful digital records of discussions within the Johnson administration’s inner circle.

Because this paper addresses the MLF in the context of U.S.-Soviet relations and non-proliferation in addition to traditional coverage of internal NATO negotiations, primary source documents were drawn from document collections relating to each of these major categories.

Within these collections and databases, sources were primarily drawn from high-level U.S. government discussions of the MLF. Additionally, this paper examines some reports from the Department of State’s Bureau of Intelligence and Research (INR), which often demonstrates significant appreciation of Moscow’s objections to the MLF. Because the State Department is in constant dialogue with diplomatic missions around the world, many documents from the time period examined may mention the MLF in passing. The documents this paper utilizes, however, are notable because of their close proximity to the decisionmaking that led to the

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Force’s demise and the important insight they offer into the American understanding of Soviet positions.

These primary source documents were obtained through basic search functions on online databases, as well as a number of visits to the National Archives in College Park, MD. The MLF is usually referenced in documents by its acronym or its longform as the “Multilateral Force.”

However, because the word “multilateral” is abundant in discussions of U.S. foreign policy, searching for documents that addressed the “MLF” generally yielded far more specific results. These searches were particularly straightforward when examining databases such as the LBJ Presidential Library, which has a small digital collection. Conversely, because the National Archives does not have any mechanism through which researchers can access documents digitally, a physical examination of the archives was required during the research process.

While the MLF has primarily been addressed in terms of the challenges the United States faced in negotiations with its NATO partners, the role the Soviet Union played in the collapse of these talks is less commonly examined. Opposition from Moscow to the MLF was constant almost from the Force’s conception. The USSR feared that the MLF would place nuclear missiles at its doorstep and empower a resurgent West Germany to once again embrace militaristic tendencies. There is well documented evidence of Soviet opposition—and threats of retaliation—against the United States for its pursuit of the MLF. These disputes also came at a time when both superpowers were beginning to recognize the growing benefits of promoting non-proliferation efforts around the globe. The Soviets consistently worked to define the proposed Force as proliferation rather than simply nuclear sharing. This paper utilizes insights from the primary source documents it examined to highlight the extent to which these Soviet criticisms played a role in the American policymaking community’s discontinuation of U.S. participation in the MLF. Specifically, it emphasizes the extent to which changing conditions in U.S.-Soviet relations—rather than internal NATO disputes—played a role in the American decision not to pursue the Force.

THE ORIGIN AND HISTORY OF MLF NEGOTIATIONS The Multilateral Force (MLF) was a proposed nuclear sharing agreement for the United States and a number of its NATO partners in Europe. Although discussions over the MLF continued across three presidential administrations—Eisenhower, Kennedy, and Lyndon Johnson—the proposal was most often mired in controversy and disagreement. Barriers towards the MLF ranged from technical disputes over the composition of the Force’s deterrent to broader political considerations surrounding the status of Germany and the negotiation of a global non-proliferation agreement. Despite these

challenges, U.S. diplomats worked assiduously to obtain a consensus on the issue until the MLF’s gradual and enigmatic death around 1965 or 1966.

The idea behind the MLF first originated during the twilight of the Eisenhower administration. In 1957, the Soviet Union successfully tested the first Intercontinental Ballistic Missile (ICBM) in history, followed by the famous launch of Sputnik later in the year. These events precipitated not only public alarm but increasing concern within the American and European defense communities.

Shortly after the development of the ICBM, Supreme Allied Commander Europe (SACEUR) advocated for the deployment of Medium Range Ballistic Missiles (MRBMs) to Europe in order to ensure that Allied forces could more quickly retaliate against a Soviet attack (Solomon, 1999). This led to the development of a proposal within the Eisenhower Administration to establish a contingent of 25 MRBM-armed vessels that would patrol European waters. The scheme proposed that the Force could launch a nuclear attack with the unanimous consent of NATO members—representing the first iteration of what would eventually become the MLF. The administration introduced this proposal to the North Atlantic Council in 1960, where members expressed interest in discussing the idea (Solomon, 1999). Concurrently, two developments set the stage for years of more intense negotiations.

1958 saw the failure of the GAM-87 Skybolt missile system, which the British government had long sought to acquire for its V-Bomber aerial nuclear deterrent. Given the significant effort and political capital policymakers in London had devoted to Skybolt, the program’s cancellation engendered significant concern over the future of the country’s deterrent. Fortunately for the British, this blow came at the same time Chairman of the Joint Chiefs of Staff General Nathan Twining was seeking to shift the joint surface MRBM force to one that would rely on Polaris submarine-launched ballistic missiles (SLBMs). This proposal survived the transition between the Eisenhower and Kennedy administrations, offering the United Kingdom a new avenue to modernize their deterrent and cementing the permanence of the joint nuclear force idea (Solomon, 1999).

In May 1961, only months after taking office, President John F. Kennedy affirmed his support for a jointly controlled nuclear fleet at a meeting of NATO leaders in Ottawa, Canada. He advocated for an SLBM force with an egalitarian governance structure that would afford every participating country a veto over launch authority.

This idea quickly gained traction after the signing of what became known as the Nassau Agreement in December 1962. The negotiations in Nassau, Bahamas between JFK and British Prime Minister Harold Macmillan ended Britain’s “Skybolt Crisis” (Jones, 2019). Macmillan managed to convince the President to sell his country the Polaris missile system. In exchange, however, Kennedy requested that the United Kingdom contribute this new SLBM

THE GW UNDERGRADUATE REVIEW • VOLUME 3 deterrent to the MLF. The United States also resolved to offer France the same arrangement, fearing that a failure to do so would lead to accusations of unfairness from Paris. The DeGaulle government—which had quickly moved to scale back France’s participation in NATO and pursue an independent nuclear weapons program— rejected Kennedy’s overture. However, this outreach to France generated West German interest in the broader idea of the MLF (Solomon, 1999).

The FRG’s desire to participate in this joint force marked the beginning of a new phase of negotiations that would define the MLF for much of its remaining lifespan.

West Germany had made significant economic strides since its occupation and subsequent establishment following the Second World War. Given its location in the heart of Central Europe, the FRG had enormous strategic importance—a reality highlighted by the terrifying confrontations in Berlin between the United States and Soviet Union in 1948, 1958, and 1961 (Hershberg, 2019).

The U.S. was enthusiastic about further integrating West Germany into the NATO alliance but also was wary of the country developing an indigenous nuclear deterrent— an outcome that American policymakers widely feared would catastrophically destabilize relations between the Soviets and the West. These realities required that the United States strike a delicate balance when courting FRG participation in the MLF. Allied negotiators worked to design an arrangement that would allow West Germany to contribute to a nuclear weapons force without directly delegating launch authority to the country (Solomon, 1999).

Eventually, it became clear that the leaders in such a fleet would be the United States, United Kingdom, West Germany, and Italy, leading to the establishment of the MLF Working Group. The Working Group first met in October of 1963 and moved to formulate a more coherent vision of the Force. Conceptually, the unit would be established as a fleet of 25 surface ships disguised as merchant vessels; each ship would be armed with eight Polaris missiles. The fleet would be divided into two, with one contingent operating out of an Atlantic base and another from a Mediterranean base. Additionally, the Working Group assessed the MLF’s compatibility with the Geneva Convention, the establishment and maintenance of nuclear safeguards for the Polaris system, and the internal governance of the Force (Solomon, 1999). The conclusions of this final consideration, in particular, offer insight into one of the major flaws of the MLF—that the deterrent it offered to the alliance was impracticable.

This is best illustrated by the firing process the Working Group approved. The ships’ Polaris missiles could only be launched with the approval of all the participating home governments and the MLF Board of Governors. Even after taking this step, the Board of Governors would need to transmit a launch order to SACEUR—who in turn would finally convey the order to the fleet itself. Many in the

109 European Defense community as well as in the United States feared that this cumbersome hierarchy would give Soviet leadership little pause in any decision to attack Western Europe (Solomon, 1999).

The credibility of the MLF’s deterrent was not the only challenge the arrangement faced. The firing and governance structure of the Force was designed to allay international fears that the scheme would give West Germany independent access to nuclear weapons.

Despite these efforts, however, the entrance of West Germany hampered the enthusiasm of the United Kingdom. Anti-German sentiment was still significant in the UK, and the fear of German militarism returning was only inflamed when the FRG pushed for launch authority to only require a simple-majority vote of members.

London mainly supported the MLF because of their agreement with Kennedy at Nassau—they were loathe to offer non-nuclear powers any level of control over British atomic weapons and had little interest in subsidizing the nuclear ambitions of other nations (Solomon, 1999).

The negotiations over the MLF took yet another turn following the assasination of JFK in Dallas, Texas on November 22nd, 1963; Lyndon B. Johnson became the 36th president of the United States later that day.

While his administration’s international attention would later become dominated by the Vietnam War, Johnson’s early foreign policy worked to finish implementing JFK’s vision of securing the MLF (Kaplan, 1999; Winad, 1996; Lundestad, 2005). Political trends in Europe, however, were aligning even more unfavorably against the MLF. The Multilateral Working Group, originally slated to produce a final report in late 1963, delayed producing a conclusive recommendation. This setback was due primarily due to the fact that the United Kingdom and Italy faced elections in 1964. Competing against parties that opposed the MLF, incumbent governments were hesitant to draw attention to the issue in an election year. The situation became considerably worse when both these opposition parties took power. Most significantly, the incoming British Prime Minister, Labour Party leader Harold Wilson, was one of the MLF’s major detractors. Wilson’s government quickly proposed the Atlantic Nuclear Force (ANF) as a superior alternative to the MLF. The ANF addressed one of London’s major reservations about the MLF: because the Force was designed to be multinational, the fleet’s ships would be staffed by personnel of multiple countries. This new proposal called for a force where individual countries would contribute—and maintain operational control over—their indigenous capabilities.

The United Kingdom and the United States, as nuclear powers, would add a nuclear element to the task force.

However, non-nuclear weapons states, such as the FRG, would only be able to exercise operational control over their own conventional forces—an adjustment totally unacceptable to West Germany. Because the United Kingdom and the FRG would be the two most significant

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European members of the MLF, this new fissure made the agreement all but impossible (Solomon, 1999). Johnson’s advisors—believing he would back away from the MLF during an approaching December 1964 meeting with Wilson—attempted to convince the president otherwise in what became an intense clash in the Oval Office on December 6, 1964. Undeterred, Johnson signaled to Wilson that he would effectively drop the U.S. pursuit of the MLF (Winad, 1996). This was reaffirmed by National Security Action Memoranda (NSAM) 318, which Johnson issued shortly after his Washington meeting with the British prime minister (Johnson, November 14, 1964). The president also personally leaked the document to James Reston of The New York Times, making it clear that the MLF project was effectively over (Solomon, 1999; MLF on The Shelf, December 23, 1965). Although LBJ used this NSAM to reiterate U.S. support for the general intentions of the MLF and ANF, he also emphasized that the proposals ran afoul of efforts to achieve more significant policy goals— including a global non-proliferation treaty (Johnson, November 14, 1964). On the surface, the MLF dispute seemed to be a series of technical quarrels between allies, but NSAM 318 alludes to the more nuanced challenges the proposal presented in the context of a geopolitical environment where non-proliferation was becoming a more important objective of American foreign policy.

THE NUCLEAR NON-PROLIFERATION TREATY: EARLY HISTORICAL DEVELOPMENTS The 1968 Treaty on the Non-Proliferation of Nuclear Weapons (NPT or NNPT) is a fundamental pillar of the international community’s nuclear control regime.

The NPT created a nuclear hierarchy, recognizing five powers—the United States, the Soviet Union, the United Kingdom, France, and the People’s Republic of China—as legal “nuclear weapons states” in exchange for affording protections to countries that agreed not to pursue nuclear weapons. The treaty called upon the nuclear powers to incentivize “non-nuclear weapons states” against proliferating. Specifically, it asked that non-nuclear weapons states be protected from nuclear blackmail and that the five nuclear powers assist nonatomic states in developing peaceful nuclear energy programs. The nuclear weapons states also agreed, in principle, to work towards the reduction of their own arsenals. Today, the NPT is signed by 191 countries and is the centerpiece of international nonproliferation policy.

The treaty’s inception, however, was far from certain.

The development of the NPT was inseparably tied to the currents of Cold War superpower conflict—disputes in which the MLF often played a significant role.

The global nuclear landscape in the early days of Lyndon Johnson’s presidency was extremely ominous. In October 1964, less than a year after LBJ took office, the People’s Republic of China (PRC) tested its first nuclear

weapon. The test sparked enormous concern within the U.S. government. Mao’s China was widely considered unstable by American observers. The Communists had intervened on behalf of Kim-Il Sung during the Korean War; precipitated the Taiwan Straits Crisis of 19541955 and 1958; attacked India in the 1962 Sino-Indian War; and continually interfered in Southeast Asian affairs, particularly in Indonesia and Vietnam. Beijing’s adventurism seemed even more dangerous in the context of Mao’s ideology—indeed, the Chinese leader believed that nuclear war with the West was both inevitable and necessary (Gavin, 2012). The PRC was reflective of an international environment where an increasing number of countries viewed nuclear weapons as fundamental to their security. The same year as the PRC’s test, Russell Murray—a future staffer on the Gilpatric Committee— estimated that the world could soon see up to an additional sixteen nuclear weapons powers. In fact, U.S. officials believed that many of these new states would emerge as a direct result of China’s new weapon’s program. India, Indonesia, Japan, South Korea, and Taiwan all had reason to fear the PRC’s military ambitions. India’s acquisition of a weapon would likely lead to a Pakistani program; Indonesia’s would lead to an Australian one. An arms race of this magnitude, American policymakers reasoned, would motivate West Germany to build the bomb—a development that would plunge U.S.-Soviet relations into a dangerous new phase (Gavin, 2012). This was the type of climate that originally incentivized the MLF—many officials in the U.S. believed that the Force could serve as a less offensive substitute for an indigenous FRG nuclear program. The Soviet belief that this was still proliferation, however, would eventually force them to reevaluate.

The potential for many more states to acquire nuclear capabilities led some in the U.S. government to ponder whether it would ever be possible to stop nuclear proliferation. In October 1964, only about two weeks after the PRC’s first test, President Johnson responded to these developments by establishing what would become known as the Gilpatric Commission. Directed by former Deputy Secretary of Defense Roswell Gilpatric, the Commission was tasked with recommending potential changes in U.S. nonproliferation policy. Indeed, the Commission’s January 1965 recommendations would result in a substantial realignment of American priorities—one to which the MLF was more of a barrier than a benefit (Gavin, 2012).

Johnson was presented with four options, of varying intensity, with which the United States could pursue its nonproliferation objectives. Option 1 was the most pessimistic of the approaches—it asked the United States to accept nuclear proliferation as an unresolvable reality and to instead promote allied weapons programs that would benefit the country’s strategic objectives. Option 2 recommended no major policy changes and endorsed pursuing only nonproliferation objectives in cases where the United States would face low costs. Practically

THE GW UNDERGRADUATE REVIEW • VOLUME 3 speaking, this proposal was the same as Option 1 with the hope of preventing some additional proliferation at the margins. The Commission offered the possibility of a more dramatic change through its presentation of Option 4. This proposal called upon the United States to make nonproliferation the cornerstone of its foreign policy. In order to achieve this goal, however, the U.S. would have to be willing to offer extremely strong security guarantees— or punitive measures—to convince other nations that the benefits of abandoning their nuclear weapons programs outweighed the costs. All of these propositions were too radical for those in Johnson’s circle (Gavin, 2012).

Support from within the administration eventually coalesced around Option 3 of the report. Following this proposal would require the United States to dramatically scale up its nonproliferation efforts, with only some limits relating to its own arsenal. Significantly, the Commission also recommended dropping the MLF proposal if this option was pursued in order to avoid making it easier for non-weapons states to have access to the atomic bomb (Gavin, 2012; Committee on Nuclear Proliferation, January 21, 1965). This was an implicit recognition that the Soviet insistence that the MLF was a mechanism of proliferation did in fact have validity. In the same vein, this development raised the possibility of cooperation with the Soviet Union on a potential non-proliferation agreement—if controversial items such as the MLF were no longer in contention. In both Washington and Moscow, there was growing recognition that the spread of nuclear weapons—even to ideologically similar states— was dangerously destabilizing.

The Gilpatric Commission’s findings came during a period when the prospects for international collaboration on a non-proliferation treaty were slowly rising. In 1958 and 1959, Ireland proposed resolutions to the United Nations that formed the basis of what would become the NPT; it asked states with nuclear arsenals not to distribute atomic weapons and states without bombs not to seek them. A concurrent Swedish proposal, known as the Unden Plan, called for Nuclear Weapons Free Zones (NWFZs) but encountered resistance from American diplomats who believed it would undermine extended deterrence. Another significant development came in 1961, when the UN-backed Geneva Committee on Disarmament morphed into the Eighteen Nation Conference on Disarmament (ENDC). Charged with negotiating a potential nonproliferation agreement, the ENDC began to receive proposals for restricting atomic weapons from a variety of countries, such as a 1963 and 1964 recommendation for Latin American and African NWFZs, respectively (Popp, 2016).

Despite the increased global interest in nonproliferation, however, the proposals of non-aligned countries carried little weight when compared to the ambitions of the two superpowers. The first bilateral discussions on the possibility of nonproliferation

111 cooperation took place during 1962 between Secretary of State Dean Rusk and Soviet Foreign Minister Andrei Gromyko in Geneva. The MLF quickly emerged as a major source of disagreement: the Soviets were adamant that Germany should remain nuclear free and stated their opposition to any arrangement which would allow the U.S. to share nuclear weapons with its allies (Seaborg, 1987). This objection was followed a year later by a Soviet threat to create their own version of the MLF if the United States refused to drop the initiative (Popp, 2016). These meetings—along with documents examined in Section IV—show that the Soviet Union did not view the Force as an unimportant or obscure policy initiative as many modern examinations imply. Moscow saw the MLF as a major provocation and was unwilling to make significant compromises on a global non-proliferation agreement until the proposal was scrapped.

Despite these disputes, a more notable—albeit incremental—sign of progress came in 1963 when the United States, Soviet Union, and Britain signed the Limited Test Ban Treaty (LTBT), which banned every form of nuclear testing except subterranean detonations. Much of the political motivation for the treaty was to preempt a potential Chinese test. While the United States was far more frightened by the prospect of a PRC nuclear program than the USSR, Moscow’s original support for the Chinese program waned as Soviet leaders became increasingly wary of allowing Mao to have nuclear weapons. Indeed, the idea of military strikes against China’s nuclear program was an idea the United States proposed to the Soviet Union not long after, although the proposal proved unfruitful (Popp, 2016; Hershberg, 2019). While the U.S. fear surrounding the PRC’s nuclear program is also emphasized when reviewing this history of American nonproliferation policy, it is important to note that the Soviet Union viewed West Germany’s nuclear ambitions in much the same way the United States viewed those of China. This meant that each nation had an incentive to support broader arms control efforts, but it also explains why the MLF was such a threat to Moscow. Because Soviet leaders viewed the FRG as similarly irrational to communist China, any initiative that situated the country closer to nuclear weapons—even indirectly—would create unwelcome hazard.

In 1965, the U.S. and USSR both presented nonproliferation proposals to the ENDC—with the Soviets calling for the elimination of the MLF (Seaborg, 1987). Continuous negotiations between the two sides paved the way for a 1966 ENDC submission by the Soviets that the U.S. agreed to with minor revisions. This allowed nonproliferation negotiations to expand to the entire international community. Technical discussions over safeguards and the security of non-nuclear states produced the ultimate text of the NPT. More than 50 countries joined the treaty when it was opened for signature on July 1st, 1968, and the treaty entered

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into force on March 5, 1970 (Popp, 2016). This major accomplishment came about through these complicated negotiations but also gained more traction following Johnson’s NSAM 318 effectively withdrawing from the MLF. Documents in the years leading up to the NPT’s passage confirm that the MLF was a major barrier to the treaty’s success and that American policymakers seeking to promote nonproliferation were very conscious of Soviet objections to the initiative.

EXAMINING THE SOVIET ROLE IN THE MLF’S DEMISE The evolution of U.S.-Soviet conversations on the MLF can be documented through an examination of a number of U.S. government documents. Many of these documents can be found in the collections of the DNSA, the State Department’s FRUS series, and Record Group 59: The General Records of the Department of State at the National Archives in College Park, MD. Primary sources from the period of mid-1963 to the end of 1965 detail particularly active conversation of the MLF’s role in relation to the negotiation of the NPT. In May of 1963, three months before the passage of the LTBT, Ronald I. Spires—a staffer for the Department of State’s Bureau of European and Eurasian Affairs—was invited to lunch at the Soviet Embassy, where charge d’affaires Georgi M. Kornienko pressed him on U.S. support for the MLF. The nuclear sharing proposal, Kornieko claimed, would increase tensions between the East and West, and hinder American-Soviet negotiations on other important matters (MLF, Disarmament, May 30 1963). Kornienko acknowledged that some of the potential motives behind the MLF—namely, demonstrating to non-nuclear powers how expensive and unmanageable an atomic weapons program would be—were legitimate. Moscow, however, believed the Nassau Agreement between Kennedy and Macmillian had marked a shift in the MLF from an intellectual idea to a practical one. Furthermore, he reiterated the strong Soviet belief that the MLF would pave the way for West Germany to acquire nuclear weapons. Spiers responded with a talking point that was frequently deployed in these conversations: that the MLF’s collective buy-in would in fact discourage West Germany from developing its own nuclear weapons. In response to these criticisms, Spiers challenged Kornienko to put forward a proactive solution to the impasse. “I asked him what the Soviet Union would do in this situation,” Spires wrote. “Mr. Kornienko said, ‘Sign a non-proliferation agreement.’” This suggestion added further clarity to the 1962 Rusk-Gromyko talks in two respects. First, it reaffirmed that both the United States and the Soviet Union were interested in pursuing a potential non-proliferation treaty. Furthermore, it indicated that the fate of the MLF would be inherently tied to any future American-Soviet arms control negotiations.

“He did not feel that U.S. officials truly understood that the establishment of the MLF would be a serious setback to those who sought an improvement in US-USSR relations,” Spires commented (MLF, Disarmament, May 30 1963, pp. 3, par. 2). He also noted that “Mr. Kornienko said that as a result of the Rusk-Gromyko talks in Geneva in March and April of 1962, the Soviets had concluded that a non-proliferation agreement was a real possibility” (MLF, Disarmament, May 30 1963, pp. 4, par. 3). These statements, coupled with general agreement between both parties on the desirability of a test-ban treaty and a NATO-Warsaw non-aggression pact, highlight both the early potential for cooperation between the two superpowers and the problematic nature of the MLF (MLF, Disarmament, May 30 1963).

The documentation of the Spires-Kornienko conversation was one of many instances in 1963 where the United States gained greater clarity on how the Soviet Union viewed the MLF and non-proliferation. A September 4th research memorandum from Thomas L. Hughes, Director of the State Department Bureau of Intelligence and Research, informed Secretary Rusk that Moscow’s signing of the LTBT had been paired with a statement that again denounced the MLF. He also used the report to highlight Soviet rhetoric that equated the nuclear ambitions of West Germany with the nuclear ambitions of the PRC (Current Soviet Line on the MLF, September 4, 1963). This was significant in two respects.

Firstly, it reaffirmed the fact that the USSR viewed the MLF as an instrument of proliferation, rather than a stabilizing force. Additionally, it raised the possibility that the Kremlin opposition to West German atomic weapons was part of a broader foreign policy seeking to emphasise the importance of non-proliferation—rather than an attempt to undermine Western resolve. This was again illustrated in a meeting at the 1963 U.N. General Assembly during a meeting between Rusk, Gromyko, and British Prime Minister Alexander Douglas Home. Although this meeting also displayed contours of agreement between the West and East on nonproliferation, Gromyko accused the United States of only going “halfway” by supporting the MLF, reiterating the Soviet position that the international community should adopt a prohibition of nuclear weapons that did not make exceptions for nuclear sharing (World Reaction to Test Ban Treaty, September 28, 1963, pp. 9, par. 4). He also suggested that the USSR might be able to convince the PRC into joining a non-proliferation agreement if the U.S. and U.K. could reciprocate by exerting pressure on France—an idea to which the two powers seemed amenable (World Reaction to Test Ban Treaty, September 28, 1963). The Soviet positions articulated during these meetings gave U.S. diplomats a clearer sense of Moscow’s non-proliferation priorities and would continue to play a role in American thinking as MLF negotiations reached a climax in 1964 and 1965.

THE GW UNDERGRADUATE REVIEW • VOLUME 3 1964 saw more concerted efforts to gauge and respond to Soviet positions on the MLF. A July research memorandum from Hughes offered Rusk a detailed assessment of how adamantly Moscow truly opposed the MLF. Hughes felt that Soviet opposition to the proposal had been most intense in early 1963 when the USSR had refused to consider any non-proliferation agreement without first eliminating the MLF. However, Hughes speculated that this position had softened— or become more vague—in the months following their initial statement. The Soviets were also facing pressure from East Germany, which was more hawkish than the Kremlin on the issue. This increased ambiguity, however, did not eliminate harsh Soviet rhetoric towards the idea of a shared nuclear force. The Soviet Union frequently threatened unspecified retaliation if the United States and its partners continued to pursue the MLF. The Kremlin’s true intentions, Hughes wrote, were difficult to ascertain and might be designed to intimidate western European allies (Stiffer Soviet Position on MLF, July 13, 1964). A later October memorandum from Hughes considered strategies to address Soviet and French opposition to the Force, including the possibility of reducing its size (Critical Assessment of the Multilateral Force, October 3, 1964).

Two events later in the year injected new ideas into how Soviet hostillity towards the MLF should be addressed: the October 1964 establishment of the Gilpatric Commission and the November United Nations General Assembly. The State Department issued “Talking Points on the MLF and Non-Dissemination” in the weeks leading up to the General Assembly, which placed heavy emphasis on the importance of achieving a nonproliferation agreement (Talking Points on MLF and NonDissemination, November 27, 1964). A formal internal position paper issued by the Department reiterated this objective while offering a dim assessment of the MLF. The paper portrayed the Force as a hindrance to the achievement of a non-proliferation agreement. While diplomats were instructed to argue that the MLF was a mechanism through which non-proliferation could be achieved, finding common ground on a comprehensive non-proliferation agreement was the overarching goal (Secretary’s Delegation to The Nineteenth Session of The United Nations General Assembly, December 5, 1964; Nineteenth General Assembly, New York—December 1964, November 27). “The most desirable solution would be...a verifiable agreement on disarmament,” it declared (Nineteenth General Assembly, New York—December 1964, November 27, 1964, pp. 2, par. 5). These documents guided U.S. negotiators as they worked to navigate a large number of disarmament proposals introduced at the General Assembly, including Ireland’s late 1950s nonproliferation initiative. The December immediately following the Assembly brough Johnson’s fateful meeting with PM Harold Wilson and the release of NSAM 318. In

113 a telephone conversation with National Security Advisor McGeorge Bundy shortly before his meeting with Wilson, Johnson admitted that “My own instinct is that I don’t want to bring any more hands on the button then we’ve already got,” an indication that he may have shared some Soviet concerns that the Force would have a proliferating effect (Telephone conversation #6472, November 24, 1964). Others in Johnson’s administration also warmed to the possibility of working with the Soviet Union on nonproliferation. In conjunction with his Commission’s work, Roswell Gilpatric produced a report on his analysis of the MLF’s role in nonproliferation. Gilpatric used this report to argue that the United States needed to abandon the MLF in order to secure a stable path for non-proliferation negotiations. “For a US nonproliferation policy to be effective,” Gilpatric wrote, “Soviet cooperation—either implicit or explicit—would be essential” (Tentative Thoughts on Certain Proliferation Problems, December 4, 1964, pp. 1, par. 2). This viewpoint was reinforced during a meeting between Rusk and Gromyko on December 9th, where the Soviet Foreign Minister once again threatened political retaliation if the U.S. continued to support the MLF. Rusk also used this meeting to take the major step of confidentially expressing American willingness to cancel the MLF for the Soviets. “Any weapons we had, including the so-called MLF, would be subordinate to any disarmament arrangements we might arrive at,” Rusk told his counterpart (MLF; Non-proliferation, December 9, 1964, pp. 3). This shift in Johnson administration views, along with Prime Minister Wilson’s opposition, made the defeat of the MLF almost inevitable. McGeorge Bundy, however, saw the fiasco as an opportunity. “I begin to think more and more that it is an opportunity for a real Johnson break-through here,” he wrote to the President.

“It is clear that the Germans no longer really expect that we will support an MLF…the way might be open toward a non-proliferation treaty” (Memorandum From the President’s Special Assistant for National Security Affairs (Bundy) to President Johnson, November 25, 1965, par. 1).

While the MLF technically remained alive in 1965, the events of December 1964 all but guaranteed its failure.

Both publicly and privately, significant questions began to arise over whether the United States still supported the MLF with any level of seriousness. This was particularly true of Germany and Italy, who felt betrayed by the sudden trepidation of the United States (Subject Numeric Files, 1965; Chronological Files, The Secretary’s MEMCONS, 1964-1965). Although the State Department insisted in a telegram to McGeorge Bundy that “US views on substance ANF/MLF have not changed,” and LBJ reiterated his support for the MLF publicly, there was little additional effort expended to promote the Force (Subject Numeric Files, 1965; Transcript, November 24, 1965; Outgoing, January 14, 1965, pp. 1, par. 1). American officials spent much of the remainder of 1965 attempting to reassure its allies that achieving the MLF was still possible—with

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little success (Subject Numeric Files, 1965; Chronological Files, The Secretary’s MEMCONS, 1964-1965). In a memorandum to Rusk on March 4th, Bundy effectively closed off the possibility for future promotion of the MLF. “I wonder whether we should not ask ourselves a few hard questions about the whole MLF concept before we agree to any serious multilateral discussions,” he wrote. “I therefore wonder if we should be giving close thought to other possibilities for nuclear coordination” (Memorandum for The Secretary of State, March 4, 1965 pp.1, par. 3). Internal documents continued to reference the MLF, especially in conversations with European governments, but the war in Vietnam quickly began to dominate Johnson’s presidency (Subject Numeric Files, 1965; Chronological Files, The Secretary’s MEMCONS, 1964-1965; Lundestad, 2005). Although Geir Lundestad writes that the MLF initiative was formally discontinued in 1966, Laurence Kaplan argues in John F. Kennedy and Europe that the exact date of its cancellation is unknown (Lundestad 2005; Kaplan, 1999). Regardless, the global nuclear debate shifted towards greater discussion of universal nonproliferation, leading to the NPT’s passage and new prospects for arms control (Lundestad 2005).

DISCUSSION OF FINDINGS U.S. government documents from 1963, 1964, and 1965 offer significant clarity on two major issues. First, these sources illuminate the nature of Soviet opposition to the MLF and how the United States interpreted these objectives. Secondly, the documents demonstrate the extent to which the MLF was tied to non-proliferation treaty negotiations. Throughout the Force’s conceptual existence, the Soviet Union argued that the MLF facilitated proliferation and would make West Germany a nuclear power only two decades after the Nazis had terrorized Europe. They also broadly opposed the introduction of MRBMs to the continent and the increased accessibility to nuclear weapons that would be afforded to Western European participants in the Force. Most fundamentally, the Soviets were fairly consistent in their insistence that the MLF precluded—or at minimum posed a substantial barrier to—any global non-proliferation agreement.

American reactions to Soviet concerns offer significant insight into internal deliberations that led to the end of the MLF. Although Soviet threats of retaliation for the MLF often remained vague, U.S. policymakers were well informed on the broad strokes of Moscow’s policy towards the proposal. Meetings such as the one between Spires and Kornienko also highlighted to the United States the significant commonalities that existed between their nonproliferation objectives and the Soviet Union’s. In particular, both sides were concerned by allies that were also pursuing nuclear weapons programs. The United States was alarmed by the possibility of West Germany developing an indigenous weapons program,

a problem they believed the MLF would alleviate.

Conversely, the Soviet Union’s initial support for Beijing eventually transformed into reservations about the Communist Chinese nuclear program. The MLF was tied to the global proliferation problem, they believed, because it would elevate another rogue government to nuclear power status. This increased understanding of the Soviet position was concurrent with the Johnson administration’s reorientation of United States nuclear policy towards universal non-proliferation. Instructions to diplomats in the lead-up to the 1964 U.N. General Assembly recognized that the MLF was often viewed as an instrument of proliferation and de-emphasized the importance of the proposal in comparison to that of a non-proliferation agreement. The Gilpatric Commission’s recommendation that the MLF be sacrificed as a means of improving cooperation with the Soviets was also significant. While the talking points for the 1964 U.N. meetings came directly from the administration, the Commission was established specifically to offer candid recommendations on how the United States could improve its non-proliferation strategy. This emphasized the fact that forsaking the MLF could be defended as an effective policy reform, rather than an action undertaken simply because of immediate political pressures. More broadly, the timing of these developments was convenient for the United States, as it also came during a period where the Western alliance was losing enthusiasm for the MLF. Describing the impact the Soviet Union had on the decision to end the MLF is complicated for a number of reasons. The date of the MLF’s cancellation remains ambiguous, and the proposal likely died as the result of bureaucratic processes rather than a single event. Even Johnson’s December meeting in 1964 with Harold Wilson only practically, not formally, ended the MLF. Additionally, existing literature suggests that the primary reason for the MLF’s failure was because of internal disagreement among the NATO allies over the construction of the Force and its internal governance. The British, for example, wanted to maintain as much direct operational control over the nuclear weapons as possible, while West Germany sought a simple majority to authorize the missiles’ use. Documents surrounding the JohnsonWilson meeting support that these disagreements may have been the direct cause of the MLF’s collaspe. However, documents utilized throughout this study suggest that a more nuanced view is required. The MLF was less an independent variable of U.S. nuclear policy than a product and reflection of current political realities. The Force was first advanced during the Eisenhower administration, when the potential of direct nuclear confrontation with the Soviet Union was high; following the 1962 Cuban Missile Crisis, talks between the United States and Soviet Union over the regulation of nuclear weapons intensified.

The period in which the Johnson administration gained a greater understanding of Soviet intentions occurred

THE GW UNDERGRADUATE REVIEW • VOLUME 3 parallel to increased recognition, both within the U.S. government and internationally, that the world risked dangerous normalization of nuclear weapons should nations with high breakout capacities choose to develop them. While U.S. officials pushed back against claims that the MLF was an instrument of proliferation, instances such as Johnson’s remark to Bundy that “I don’t want to bring any more hands on the button then we’ve already got” suggest that they understood the potentially problematic optics of sharing weapons with non-nuclear states (Telephone conversation #6472, November 24, 1964). These broader political realities demonstrate that any attempt to ascribe the MLF’s failure to bureaucratic or technical disputes should not be viewed in a vacuum.

The shifting visions of the force certainly alienated the United Kingdom and West Germany at different points throughout the negotiation process. However, Johnson’s dissemination of NSAM 318 seems less a direct product of these disagreements than a convenient justification to end a project that had become a major distraction for greater American strategic objectives.

This paper was limited in a number of respects. The timeframe and scope of the project precluded the examination of documents and sources that may have offered more insight into the day-to-day debate and development of the MLF. Additionally, because this project focuses on contextualizing the MLF in broader American-Soviet non-proliferation negotiations, it does not offer a comprehensive examination of the proposal’s technical and operational facets. The scope and depth of James Solomon’s “The Multilateral Force: America’s Nuclear Solution for NATO (1960-1965)” offers one of the best examinations of objections that Italy, the United Kingdom, and West Germany lodged against the Force’s specific mechanics. Finally, the geographic limitations of this study made access to the non-digitized collections of the LBJ Presidential Library impossible. However, the documents from the DNSA, FRUS, and RG 59 utilized in this paper—combined with corroboration from secondary sources—allowed for an examination of how Soviet postions on the MLF affected American officials’ thinking and understanding of the proposed Force’s implications. The intention of this paper is to complement the exploration of Western European perspectives on the MLF debate by highlighting the continuing importance Soviet viewpoints played throughout the Force’s lifetime.

Because the MLF remains an obscure proposition in nuclear history, its impact on current U.S. policy seems insignificant at best. Broadly, however, a number of relevant lessons can be drawn from the debate. The MLF— as well as the lead-up to the NPT more generally—runs counter to the confrontational nature in which the Cold War is often portrayed. American-Soviet interchange throughout discussion of the MLF resulted in increasing understanding between the two countries on issues of non-proliferation. These conversations also illuminated

115 the preconditions under which each side would be willing to advance NPT negotiations, allowing the United States to gauge the political capital that was required to come to an agreement with the Soviet Union. Additionally, the MLF saga highlights a country’s ability to strategically sacrifice objectives in pursuit of greater goals while also incurring relatively few costs. Although the Kennedy and Johnson administrations vigorously disputed the intent of the MLF with their Soviet counterparts, the Johnson administration was willing to consider walking away from the proposal as a concession to Moscow.

This demonstrates that accommodating a strategic rival, contrary to conventional American wisdom, carries the possibility of yielding a net positive political benefit. As was the case in many other Cold War nuclear negotiations, resolving disputes over the MLF required mutual collaboration, compromise, and communication.

ACKNOWLEDGEMENTS Dr. James G. Hershberg of the George Washington University Department of History supervised this independent study. His insights were very helpful in formulating a direction for my research and identifying additional sources for this paper. Dr. William Burr and Dr. Mary Curry of the National Security Archive assisted in locating Secretary of State Dean Rusk’s MEMCONs from 1964-1965. All of them encouraged me to more closely explore issues in nuclear history, and their support is very much appreciated. Any errors in this paper are exclusively mine.

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(1965a, January 7). Retrieved from Record Group 59, The General Records of The Department of State.

(Subject-Numeric File, 1963 & 1964-1966 DEF MLF THRU DEF MLF 3, Box 1586). Textual record 59. Schwartz, T. (2003). Lyndon Johnson and Europe: In the Shadow of Vietnam. Harvard University Press. https://doi.org/10.1163/2468-1733_shafr_ sim160110014 60. Seaborg, G. (1987). Stemming the Tide: Arms Control in the Johnson Years (1st ed.). Lexington Books. https://doi.org/10.1163/2468-1733_shafr_ sim160120056 61. Seaborg, G. (1987). The MLF, 1964: A Sea of Troubles: Problems with the Russians. Stemming the Tide: Arms Control in the Johnson Years (1st ed.). Lexington Books. https://doi.org/10.1163/2468-1733_shafr_ sim160120056 62. Secretary’s Delegation to The Nineteenth Session of The United Nations General Assembly. (1964, December 5). Retrieved from https://history.state.

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gov/historicaldocuments/frus1964-68v11/d53 63. Secretary’s Meeting with the Gilpatric Committee on Non-Proliferation. (1965, January 7). Retrieved from https://history.state.gov/historicaldocuments/ frus1964-68v11/d59 64. Senator Kennedy’s June 14, 1960 Speech. (1960, June 23). National Archives (College Park). (Record Group 326, Records of the Department of Energy. AEC Chairman John McCone, Subject Files, Box 45).

Textual record 65. Solomon, J. (May 4, 1999). The Multilateral Force: America’s Nuclear Solution For NATO (1960-1965).

(No. 269). https://doi.org/10.21236/ada375751 66. Stiffer Soviet Position on MLF Expressed in July 11 Notes. (1964, July 13). Digital National Security Archive (DNSA). (Nuclear Nonproliferation, 19541968). Retrieved from Digital National Security Archive Database. (Accession No. NN01023) 67. Talking Points on MLF and Non-Dissemination. (1964, November 27). Digital National Security Archive (DNSA). (Nuclear Nonproliferation). Retrieved from Digital National Security Archive Database.

(Accession No. NP01052) 68. Telephone conversation # 6472. (1964). LBJ Library White House Telephone Recordings and Transcripts.

69. Telephone conversation # 6607. (1964). LBJ Library White House Telephone Recordings and Transcripts.

70. Tentative Thoughts on Certain Proliferation Problems.

(1964, December 4). Digital National Security Archive (DNSA). (Nuclear Nonproliferation). Retrieved from Digital National Security Archive Database.

(Accession No. NP01058) 71. [Transcript of press conference with LBJ attached].

(1965i, November 24). Retrieved from Record Group

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59, The General Records of The Department of State.

(Subject-Numeric File, 1963 & 1964-1966 DEF MLF 3 THRU DEF MLF 4, Box 1587). Textual record 72. [Untitled Letter from Llewellyn E. Thompson]. (1961, November 27). National Archives (College Park).

(Record Group 59, The General Records of The Department of State, Records of Ambassador-atLarge Llwellyn E. Thompson, 1961-1970, U.S.-USSR Memorandums of Conversation, 1970, Folder 3).

Textual record 73. [Untitled letter to William R. Tyler]. (1965d, January 14). Retrieved from Record Group 59, The General Records of The Department of State. (SubjectNumeric File, 1963 & 1964-1966 DEF MLF THRU DEF MLF 3, Box 1586). Textual record 74. Vietnam, MLF, US-European Cooperation. (1965, May 24). National Archives (College Park). (Record Group 59, The General Records of The Department of State, Chronological Files (Secretary of State Rusk Memcons 1964-1965), Entry UD-15D 39, Box 1).

Textual record 75. Winard, P. (1996). “The MLF in Context,” “After the Veto: The Grand Design on Trial,” and “Epilogue: Johnson and The Atlantic Partnership.”

In Eisenhower, Kennedy, and the United States of Europe. Palgrave Macmillan. https://doi. org/10.1163/2468-1733_shafr_sim160110015 76. World Reaction to Test Ban Treaty; L.A. Denuclearized Zone; Disarmament; Non-dissemination and MLF; Military Budgets; Soviet Proposal for 18-Nation Summit on Disarmament; Observation Posts. (1963, September 28). Digital National Security Archive (DNSA). (Nuclear Nonproliferation, 1954-1968).

Retrieved from Digital National Security Archive Database. (Accession No. NN00926)

About the Author Alexander Chang is a junior from Boston, Massachusetts majoring in International Politics and minoring in History. His research interests include nuclear policy, diplomatic history, emerging threats, and populist parties. He previously interned at the Progressive Policy Institute and the National Security Archive, the latter of which motivated him to research the MLF. Outside of class, Alexander is a member of the GW Strategic Crisis Simulations executive board and an avid squash player.

Mentor Details This paper was written with mentorship from Professor James Hershberg.

James G. Hershberg is a Professor of History and International Affairs at The George Washington University. He received his PhD from Tufts University and taught there and the California Institute of Technology prior to becoming a professor at GW. In 1994, he won the Society of Historians for American Foreign Policy’s Stuart Bernath Prize for his book James B. Conant: Harvard to Hiroshima and the Making of the Nuclear Age. Professor Hershberg’s research focuses on the Cold War and nuclear history. He previously directed the Wilson Center’s Cold War International History Project and founded the GW Cold War Group.

120 KEYWORDS: Chicago Tribune , Cold War, Korea, Conservatism, Newspapers, Syngman Rhee, Korean War, WWII DOI: https://doi.org/10.4079/2578-9201.3(2020).08

A Republican View of Rhee: The Chicago Tribune’s Tribune’s coverage of Syngman Rhee from 1945 to 1950 MARK THOMAS-PATTERSON International Affairs, ESIA ‘22, marktp44@gwu.edu

ABSTRACT This paper aims to examine the attitude that the Chicago Tribune displayed towards the Korean leader Syngman Rhee from 1945-1950. The Tribune played a key role in providing a voice for conservative Republicans during the first half of the 20th century, under the ownership of Robert McCormick. The paper was split over foreign policy, as it supported stopping Communism abroad but also supported nonintervention in global affairs. The political situation on the Korean Peninsula therefore proved to be an especially challenging topic for the Tribune, as it forced it to choose between combating Communism and non-intervention. In order to ascertain the Tribune’s positions on these key issues, I analyzed articles that had been digitized as part of ProQuest’s historical archives. Throughout this relatively short period of time, the Tribune’s opinion of Rhee varied greatly. It initially supported Rhee as a hero against the Truman state department. After the paper established a reporter in Korea, however, the paper’s attitude shifted, and Rhee was portrayed as an ultranationalist zealot. Ultimately, the Tribune developed a stance of confronting communist advances and supporting anti-Communist governments such as Rhee’s that would hold true for the rest of the cold war.

• INTRODUCTION The Korean Peninsula was one of the first frontlines of the Cold War as the peninsula was partitioned between Soviet and US occupations zones following the end of the Second World War. In the American controlled South, an anti-communist government under the controll of Syngman Rhee took power, while in the North, the Kim Il-Sung was took controll of a country he would rule for the next several decades. Throughout the 1930s, the American conservative movement was a diverse movement that contained several contradicting currents. One of these conflicts was between fighting Communism and avoiding foreign military commitments. Understanding this contradiction on Korea shows how the conservative movement came to view the Cold War. One of the most prominent conservative publications during this time period was the Chicago Tribune.

The Chicago Tribune was a prominent conservative publication which intensely criticized Roosevelt administration as well as foreign interventionism, and played a key role in the midwestern conservative movement at the time.The Tribune’s coverage of Rhee can be broken down into three distinct sections. The first period, starting in early 1945, had the Chicago Tribune supporting Rhee as a symbol of anticommunist resistance in Asia. Rhee reciprocated

by utilizing the Tribune as a way for him to access American audiences. By early 1947, this positive coverage turned critical as the paper reported on the problems facing post-war Korea. However, by mid 1948, the Tribune championed Rhee following his election as Korea’s president, again showcasing him as a valiant campaigner against Communism.

On a broader scale, the Tribune’s coverage of the Korean peninsula showed a transition away from the conservative isolationism of the interwar era to a more active stance in combating Communism abroad by the beginning of the 1950s. This change signaled a transformation that would continue to define U.S. foreign policy throughout the rest of the cold war.

RHEE’S RELATIONSHIP WITH THE U.S. Rhee assiduously cultivated his relationship with the American press in his effort to secure recognition for the Korean Provisional Government (KPG) (Fields, 2019). ­­ Even though the U.S. government does not recognize the KPG, Rhee is shown to have a mastery of public relations. He targets Americans by discussing the plight of Korean Christians and his goal to have an American-style democracy in Korea. Fields (2019) credits Rhee for popularizing many of the conservative talking points of the Cold War, such as the claim that the U.S. Department of State had been weak on Communism during

THE GW UNDERGRADUATE REVIEW • VOLUME 3 the interwar period. Fields’ work also mentions that the Chicago Tribune published Rhee’s accusations against the State Department on its front page, but does not connect this to Rhee gaining particular admiration in formerly isolationist circles.

While Rhee’ efforts to have the State Department recognize the Korean Provisional Government failed, it did endear him to the right. In particular, Rhee’s behavior attracted the support of Douglas MacArthur, a good friend of Robert McCormick and a hero for many American conservatives (Lew, 2014). More interestingly, the book references Rhee communicating with Randolph Hurst, a conservative media magnate, about Korean recognition (Lew, 2014). This provides evidence of the idea that Rhee was aware of the power of the conservative media and knew how to use it to his advantage.

Rhee’s relationship with the American occupation authorities went on to cause conflict. Rhee succeeded in running South Korea due to his ability not just to gather support from amongst Koreans, but also through his ability to manipulate American authorities. Through his strategy of pure anti-communism, Rhee pushed Korean domestic situations as far as possible, then negotiating with the U.S. occupation authorities for concessions (Cuming, 38 Degrees of Separation). Through his mastery of relations with American authorities, Cuming portrays Rhee as being given a firm mandate to rule. Furthermore, Cuming emphasizes the role in which the US occupation forces became a tool for Rhee as he sought to repress all leftist sentiment within the South. American troops were utilized to help put down the Cholla uprising in the southwest of the country as well as providing tactical support to the repression of the Jeju uprising (Cuming, 38 Degrees of Separation). Furthermore, the Southern Korean elections held in 1948, which were deemed legitimate by the UN body, were marred by partisan violence by right-wing paramilitary mobs. The certification of the fairness of the election that got passed was primarily at the insistence of the United States, as other members of the committee disagreed strongly (Stueck, 1997).

INTRODUCTION TO CONSERVATISM AND THE CHICAGO TRIBUNE The American conservative movement of the 1940s was a diverse group that was split across party lines.

This ranged from Democrats in the South to Republicans living in the Midwest and Northeast. One of the key beliefs holding this diverse group together was anticommunism. This had been a defining feature of American conservatism since the early 1920s with the First Red Scare. During the 1930s, this fear was reborn among the midwestern grassroots wing of the Republican party, who were in opposition to the New Deal (Callaghan, 2014).

Anti-communism was used as a weapon against New Deal reforms and the growing power of unions such as the CIO,

121 which were portrayed as harbingers of communist chaos.

The emphasis on anti-communism increased throughout the Second World War, as Roosevelt continued to win reelection and unions continued to gain power. Another belief that was prominent among many conservatives of the time was isolationism. American isolationism in this time period did not mean America withdrawing itself from the world stage. Instead, interwar isolationism mostly focused on preventing U.S. involvement in major overseas conflicts (Blower, 2014). A large part of this belief stemmed from American experiences in World War I and its aftermath, which many Americans had viewed as futile.

The Chicago Tribune was a standard-bearer of conservative opinion at the time. Robert McCormick, its owner, used the paper to push his narrative of Republican conservatism, which led to the Tribune acquiring a reputation for telling a slanted version of the truth.

According to a survey of American journalists conducted in 1939, it was regarded as the least trustworthy paper in the U.S., on par with Communist Party’s Daily Worker (Sargent, 1939). In this regard, the Tribune attacked the Roosevelt administration and labor unions, such as the CIO, extensively. Furthermore, it was opposed to U.S. military involvement overseas, and had criticized Winston Churchill before the U.S. entered the Second World War. After Pearl Harbor, the paper supported the war effort and placed emphasis on the exploits of figures such as General Douglas MacArthur, who was a good friend of McCormick. Towards the end of the war, the newspaper criticized the formation of the United Nations, which it saw as biased in favor of maintaining empires and would end up weakening America’s place in the world (A League to Repress, 1945). A large part of this may have been influenced in part by the Tribune’s readership base, which contained large numbers of Polish and Eastern European immigrants who were opposed to Soviet domination of Eastern Europe.

In understanding the Chicago Tribune’s opinion on Korea, it is necessary to understand how the paper had viewed past involvement in other conflicts in Asia.

Throughout the 1930s, the Tribune advocated for a U.S. policy of non-involvement in the Second Sino-Japanese War (“America and the Asiatic War,” 1937). The paper viewed military intervention against Japan as pointless, as “we would be in a situation in which we had everything to lose and nothing to gain [for we have no territory in the orient to hold or to acquire]” (Our Menacing Diplomacy, 1937). The Tribune viewed Japanese aggression against China as nothing out of the ordinary, and something that Britain and France had been already doing for an extended period of time (“Our Menacing Diplomacy,” 1937). The paper went even so far as to call out the construction of the Burma Road, which it saw as needlessly antagonizing the Japanese and risking drawing the United States into an “Imperialist War.” From this example, it becomes clear that the Tribune actively disapproved of U.S. support to

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Nationalist China, even if that support was as limited as providing trucks.

From this background knowledge, one could draw the conclusion that the Tribune would be even less concerned about what went on in Korea. Unlike China, Korea was a small, resource starved peninsula of only 25 million people that was of significantly less interest to U.S. business interests. Furthermore, conservatives such as the publishing magnate Henry Luce showed concern for China due to the status of Chinese Christians and the promotion of a pro-American government (Vanderlan, 222). These would both be reasons that Rhee would use in his fight to gain support for the Korean Provisional Government.

THE CHICAGO TRIBUNE ’S COVERAGE OF SYNGMAN RHEE Phase I: Embrace The Chicago Tribune’s interest in Syngman Rhee began with a common target of the paper, the Roosevelt administration. During the San Francisco Conference of 1945, the Tribune published Rhee’s accusations that the U.S. had submitted to Soviet demands of not allowing a vote of admission for Korea to take a place in the newly formed United Nations (Willard, 1945). The paper followed up with coverage of the recently deceased Roosevelt’s supposed backroom deal at Yalta. The paper took aim at Roosevelt for supposedly allowing Stalin to occupy portions of Korea as a reward for declaring war on Japan.

The claim that the U.S. planned on occupying Korea along with the Soviet Union is misconstrued from what was originally planned at Yalta. At Yalta, Roosevelt had proposed a three-power occupation of Korea, consisting of the U.S., China, and USSR, but it was thought that the Japanese would fight on for much longer and that significantly more forces would be required to wrest Korea from Japan (Clemens & Hua, 2016). Due to the rapid end of the war in the Pacific, it could appear to many that Roosevelt had simply given away part of Korea to the Soviet Union for no apparent return.

In May of 1945, the Chicago Tribune conducted an exclusive interview with Syngman Rhee, in which he explained what he viewed as the USSR’s attempts to deny Korea entrance into the UN. In the interview, Rhee makes a number of claims that resonated with the Tribune’s worldview. He expressed concern at a buildup of Communist troops in the north. Rhee also stated that Korea wanted to establish a government modeled off that of the United States, and that once Korea joined the UN, “it would be more difficult for Russia to communize our country” (“A League to Repress,” 1945). Rhee is portrayed as a leader who embraces American ideals of democracy and is ardently anti-communist.

The Tribune followed up this interview with articles questioning the lack of official U.S. government support to

democratic forces in Korea (“Policy of U.S.,” 1945). In these articles, direct links are drawn between the situation on the Korean Peninsula and that of Europe. There is a common theme that the U.S. is not doing enough in order to support democratic forces on the peninsula, while the Russians are providing large amounts of support to communist forces in the north. Furthermore, the situation on the Korean Peninsula becomes utilized as a way to target the newspaper’s greatest enemies by showcasing the incompetence in the State Department.

Rhee was also aware of the support that he was getting from the Tribune and took full advantage of it as a way for him to spread his message. He wrote a letter to the editor in the Tribune, in which he praised the Tribune for publicizing what supposedly happened at Yalta. He took this letter to again reiterate his goal of creating a Korea led by a Republican form of government after years of Japanese repression (Rhee, 1945). He ends his letter with a request that the American people support him in his cause, as it is in their express interest to see democracy develop in Korea. This is particularly notable as it is printed in the Tribune, a newspaper that had long prided itself on isolationism. Rhee’s letter signifies a shift in which the goal of combating Communism abroad begins to trump the paper’s isolationist fear of foreign involvement in regard to the Korean peninsula.

The culmination of the paper’s honeymoon with Rhee took place in June of 1945, when it reported on a congressional proceeding related to the supposed deal between Stalin and Roosevelt at Yalta (Trohan, 1945).

The article centers around a speech given by Republican Rep. Paul Shafer, who accused the State Department of selling out to the Soviet Union by letting the USSR occupy northern Korea. Shafer goes on to explain how Roosevelt’s State Department had gone against long held American principles of supporting those who fight for freedom, such as the Hungarian patriot Lajos Kossuth and the Irish republican leader Charles Parnell (Trohan, 1945).

He ends his speech by stating about how the U.S. failing to recognize Korea goes against the very principles of the San Francisco Treaty, and that the American people will stand with the people of Korea against Communism.

Rhee, who had been watching Shafer from the gallery, was said to be crying as Shafer spoke about the situation affecting Korea and thanked him afterwards (Trohan, 1945). This moment, in particular, showcased something incredibly unique for this time period. Rhee had found himself and his quest for Korean independence embraced by a group who cared little for independence struggles.

This friendship he developed would also become critical in later years, allowing him to remain connected to prominent conservatives in Washington who might otherwise be inclined to ignore the struggles facing a poor peninsula.

Through his interactions with the Tribune, Rhee painted a picture of himself as someone who was able

THE GW UNDERGRADUATE REVIEW • VOLUME 3 to utilize the Tribune to solve many of the problems that would have potentially hurt his relationship with his U.S. supporters. This is illustrated in a controversy that occurred in late 1945 as Gen. Douglass MacArthur was administering the peninsula. During the Japanese occupation of Korea, nearly all important technical and administrative positions were held by Japanese civil servants. Following the U.S. occupation of the Peninsula, MacArthur did not dismiss these civil servants, as they were viewed as necessary for the country’s functioning (The State Department, 1945). This generated a fair bit of friction amongst the Korean people, who wanted all members of the former Japanese imperial government out of Korea immediately. The State Department, worried about the effects that this might cause, demanded that MacArthur fire the Japanese civil servants and replace them with Koreans. The Tribune sided with MacArthur, and strongly criticized the Department of State for being too harsh in its goal of punishing the Japanese. Instead, the Tribune claimed MacArthur was trying to reconcile both sides of the conflict in order to foster a deeper understanding (The State Department, 1945).

This critique of Korean nationalists had the potential for being quite damaging for Rhee, as the coverage could easily result in American conservatives turning against him and other Korean leaders. Being portrayed as antiMacArthur would severely damage Rhee’s attempts to appeal to conservatives in the U.S., as the former was viewed as a hero of the Second World War and someone who had been able to stand up to Democratic presidential administrations. Rhee handles this problem with a letter to the editor, in which insists that MacArthur is respected by “all responsible Koreans [in government]” as a liberator against the Japanese (Rhee, 1945). He then goes even more over the top in saying that the entire Asian world should be grateful towards MacArthur. He then reassures the readers that he has the fullest belief that MacArthur seeks to turn Korean into a functioning, democratic state.

In writing this article, Rhee again reaffirms the loyalty of himself and his movement towards the United States. In highlighting his thankfulness to MacArthur, he portrays himself as someone who admires conservative ideals, without having to attack the Truman administration, which would have been viewed as undiplomatic.

Phase II: Falling Out The Chicago Tribune’s attitude towards Rhee changed as the subject of forming a Korean government arose. As the situation on the Korean peninsula began to settle, it became clear that a Korean government would have to be established that would rule over the southern portion of the Korean Peninsula. It was expected by many that Rhee would fill this role due to his long history of activism and leadership in exile. However, Rhee refused to compromise with leftists in order to form a government,

123 and the Tribune began to give a more negative take on the situation. The paper went into extensive detail on how Rhee’s policies were rendering progress on Korean unification difficult, and how he had alienated himself from General John R. Hodge, the American commander on the peninsula, by demanding an immediate withdrawal of U.S. forces (Simmons, 1947). Most notably, however, there was a shift in how Rhee’s own political beliefs were portrayed. The former friend of republic government and American ideals had changed dramatically, with the Tribune stating: “Americans in Korea regard Rhee as an intensely ambitious and autocratic man who would like to be dictator” (Simmons, 1947). His political followers found themselves under criticism as well for their widespread use of mob violence against perceived opponents, including newspapers (Simmons, 1947).

The paper went on to cover the collapse of Rhee’s support following his refusal to take part in joint U.S.Soviet talks regarding the future of the peninsula. In doing so, Rhee has completed his transformation from figurehead of anti-communist resistance to a politically inept demagogue now bereft of support (Simmons, 1947).

Through this coverage, the biggest reason for why the Tribune began criticizing Rhee was because of his constant infighting with the military. Rhee had proven himself to be a useful ally when his struggle for Korean representation in the United Nations had united him with the Tribune in a struggle against the Truman administration. One cause for this increasing shift was the presence of a Tribune correspondent, Walter Simmons, in Korea at the time, which led to more in-depth reporting on the peninsula to occur.

This difference in attitudes regarding Rhee is also reflected in the Tribune’s coverage of the peninsula.

Instead of hailing their presence as Americans who were proudly serving on the frontline against Communism, the Tribune details how soldiers in the region are poorly trained and the incompetency present of officers within the occupation government in the county (Simmons, 1947). The U.S. military government is depicted as being inefficient and advised by pro-New Deal cranks. Notably, for a newspaper that trumpeted the dangers of the expansionist Soviet Union, the paper detailed how Soviet troops were being withdrawn for the northern part of the peninsula as well.

In 1947, Robert McCormick went to visit Korea as part of a tour of the Far East, where he met with MacArthur and Rhee. Reporting from his travels, McCormick noted the dangers that the Soviet Union played in spreading Communism throughout the region and reiterated his anger against the British Empire (McCormick, 1947). In his writings on the trip for the Tribune, however, he argued against defending Korea, stating: “The Koreans in our zone wish to set up their own government. It is a wish we cannot resist. Whether they are ready to govern themselves is something we

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cannot question. When they have set up their own government, of course, our military must withdraw, even though it appears probable that, following the universal custom of European powers, the Russians will find an excuse to move in” (McCormick, 1947).

This is a stark contrast from the Tribune’s earlier reporting on Korea, when it urged the support of Southern Korea and Rhee in particular as a way to combat Communism abroad. This quote is grounded in McCormick’s long held beliefs that the U.S. should avoid military involvement abroad, as European powers are bound, in his view, to engage in self-serving wars (Simmons, 1947). It also is particularly noteworthy that McCormick places the value of isolationism above that of actively fighting anti-communism, especially as the Second Red Scare is beginning to take shape. Another sign of Rhee’s insignificance is that McCormick makes no mention of what the two talked about when they supposedly met. This is a notable change from 1945, when Rhee was being hailed by the Tribune as a great, pro-American leader worthy of support.

Phase III: Renewed Respect Just as suddenly as the Tribune had begun criticizing viewing the situation on the Korean peninsula negatively, it changed its outlook just as quickly again. The Tribune attributes this change to a newfound respect that the Korean people developed for the United States after the Soviets offered to begin drawing down troop numbers on both sides of the peninsula: “The mercurial natives, who a few weeks ago were staging demonstrations urging American withdrawal, now want the troops to remain” (Simmons, 1947).­Even though Soviet soldiers would be withdrawn, Southern Koreans were still concerned about the massive, Soviet-trained Northern Korean Army. Rhee, while described as a “rightist extremist,” is also depicted as embracing the American troop presence in order to protect Korea from communist invasions (Simmons, 1947).

Later, during the Korean presidential election in 1948, the paper shows Rhee’s status increasing since its low point in early 1947. He is recognized by the Tribune as being the candidate who has by far the best chance of winning the candidacy, which highlights a massive change for a character who just months earlier had been viewed as a powerless demagogue losing supporters (Simmons, 1948). However, his nationalist streak is still on display, as he calls out the U.S. military for what he views as doing a poor job at trying to conduct reunification negotiations (Simmons, 1948).

The Tribune’s respect for Southern Korea, and thereby Rhee, is shown in its coverage of the first Korean election.

It continues to criticize the UN, mentioning how its observers found problems in the elections only due to their pro-Soviet bias (“Korea Tries Freedom,” 1948). The paper highlights the fact that the election took place “only

because of American protection and as a result of the American fulfillment of pledges” (“Korea Tries Freedom,” 1948). This is a marked contrast from the Tribune’s earlier coverage of Korean democracy, which had regarded the Korean political experiment as misguided and quoted Koreans saying that the country was not yet ready for a full democracy.

After the election of Rhee to the position of president of South Korea, the paper’s coverage of Korea undergoes another shift. Rhee goes from being portrayed as a rightwing nationalist zealot to a figure who wants to cooperate with the U.S. military in order to ensure the security of the peninsula (“Korea Asks U.S.,” 1948). Furthermore, Hodge and Rhee are depicted at being both satisfied with the outcome of the election. This is a marked change from a few months earlier when Rhee was depicted as a major enemy of Hodge due to his policy of Korean nationalism above all, which conflicted with Hodge’s goal of creating a representative Korea government.

This ideal is repeated in coverage of Rhee’s inauguration, where he brought up the importance of defeating Communism again. The Tribune covered the inauguration extensively and put much emphasis on the fact that MacArthur came to visit Rhee for his inauguration. In emphasizing MacArthur’s connection to Rhee, the Tribune completes its rehabilitation of Rhee. Rhee, once an enemy to the American military presence in Korea, is now portrayed as a good friend of a military hero. Rhee criticizes the Soviets for their role in preventing the reunification of the peninsula through their imposition of Communism.

However, the Tribune’s coverage of the inauguration was not entirely optimistic. The paper noted the vast array of problems facing the new country, including the presence of a massive communist army on its northern border, as well as its near total dependence on the U.S. for trade. There was also a lack of particularly high hopes for Korean democracy. Korea was viewed as having little experience with representative government (Simmons, 1948). Following U.S. withdrawal, General Hodge commented that perhaps the biggest challenge facing the Rhee government was the possibility of Communist infiltration into the South.

Following Rhee’s inauguration, the nature of the Chicago Tribune’s coverage changes yet again. Instead of the longer articles examining Korean politics and Rhee’s relations with the U.S. government, the paper only makes occasional reference to Rhee. Most coverage of the Peninsula, however, is focused on Communist led rebellions and raids. This relative lack of coverage suggests that the Tribune’s coverage of the peninsula was due to the presence of U.S. troops and the ensuing conflict it caused. By 1950, Rhee is portrayed incredibly positively by the Tribune, describing him as “Asia’s…hardest working chief of state, who, at 75, drives his cabinet with an unsparing hand” (Simmons, 1950). Rhee is displayed as

THE GW UNDERGRADUATE REVIEW • VOLUME 3 a leader determined to modernize Korea and make it selfsufficient. The Tribune even goes so far to defend Rhee against charges that his newly formed state is some police state, acknowledging that Korean police can act brutally, but “its greatest practitioners are Communists who are given stiff doses of their own medicine by the police” (Simmons, 1950). This is in great contrast to the paper’s earlier coverage of Korea, which portrayed Rhee-aligned paramilitary forces as a danger to the stability of the country and violating freedom of the press. This excusal of Rhee’s undemocratic methods suggests a newspaper that is beginning to view combating Communism as more important, even if that means breaking from American ideals of democracy. This coverage is also of particular interest as it is written by Walter Simmons, who had said Rhee was someone “regarded as Autocratic” (Simmons, 1947).

Following the outbreak of the Korean War, coverage of Rhee is relatively sparse. In large part, this is due to the fact that the correspondents in the conflict zone were concerned on reporting on U.S. troops and the conduct of fighting itself. Therefore, coverage of Korean political developments was relegated to the occasional short article detailing Rhee’s condemnation of Communism (“Doubt, Turmoil,” 1950).

CONCLUSION The Chicago Tribune’s portrayal of Rhee from 1945 to 1950 goes through a series of stages of alternating confidence and . In the beginning, the paper identified with Rhee as a figure who stood up to the Roosevelt administration and warned about the dangers of communist influence. Upon Rhee’s return to Korea, the paper covered his efforts to organize a democratic, anticommunist movement extensively. However, by 1947, the Tribune viewed Rhee and his efforts in a much more critical light, as they reported on the problem’s Rhee’s movement caused for American occupation forces. This criticism of Rhee was paired with a renewed sense of isolationism in regard to Asian affairs, similar to the stance that the paper held regarding the Second Sino-Japanese War. However, by the time of Rhee’s election to President of the Republic of Korea, the paper swung back to providing positive coverage of the leader who was now seen as a democratic leader against Communist aggression. This excusal of Rhee’s undemocratic methods suggests a movement that views combating Communism as more important, even if that means breaking from American ideals of democracy. Through this coverage, we see a branch of the U.S. conservative movement at a tipping point, caught between avoiding foreign engagements while seeking to combat the spread of communism abroad. This change signaled a transformation that would continue to define U.S. foreign policy throughout the rest of the cold war.

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REFERENCES 1. 4,000 Korean troops rebel in U.S. zone: Seize 2 towns; Kill or capture 100 police. (1948, Oct 21).

Chicago Daily Tribune (1923-1963) http://proxygw. wrlc.org/login?url=https://search.proquest.com/ docview/177550653?accountid=11243 2. Arthur, S.H. (1947, Mar 11). Truman bares scheme to halt reds: Appeals tomorrow in Congress for vast loans. Chicago Daily Tribune (1923-1963). http:// proxygw.wrlc.org/login?url=https://search.proquest.com/docview/177326983?accountid=11243 3. Brooke L. Blower, From Isolationism to neutrality: A new framework for understanding American political culture, 1919–1941, Diplomatic History, Volume 38, Issue 2, April 2014, pp. 345–376. https://doi-org. ezp-prod1.hul.harvard.edu/10.1093/dh/dht091 4. Burd, L. (1953, Jun 19). Rhee violated U.N. authority, Ike contends: Senator asks probe of POWs’ release.

Chicago Daily Tribune (1923-1963). http://proxygw. wrlc.org/login?url=https://search.proquest.com/ docview/178476046?accountid=11243 5. Callaghan, J. (2014). Anti-communism in the USA and American Foreign Policy in the late 1940s. Twentieth Century Communism, 32(1), 149-170.

6. Clemens, W., & Hua, S. (2016). How one Korea became Two. In North Korea and the World: Human Rights, Arms Control, and Strategies for Negotiation (pp. 61-71). Lexington, Kentucky: University Press of Kentucky. www.jstor.org/stable/j.ctt1c84fd1.9 7. Cumings, B. (2010). The Korean War: A history (Vol. Modern Library ed). New York: Modern Library. http://search.ebscohost.com.ezp-prod1. hul.harvard.edu/login.aspx?direct=true&db=nlebk&AN=742434&site=ehost-live&scope=site 8. Doubt, turmoil seethe beneath Seoul’s surface. (1950, Dec 12). Chicago Daily Tribune (1923-1963) http:// proxygw.wrlc.org/login?url=https://search.proquest.com/docview/178071902?accountid=11243 9. Dr. Rhee drops objections to korean parley: Will permit leaders to confer with board. (1947, May 26).

Chicago Daily Tribune (1923-1963). http://proxygw. wrlc.org/login?url=https://search.proquest.com/ docview/177450316?accountid=11243 10. Edwards, W. (1945, May 05). Charges reds silence Korea’s freedom plea. Chicago Daily Tribune (1923-1963) http://proxygw.wrlc.org/login?url=https://search. proquest.com/docview/177029085?accountid=11243 11. Fields, D. (2019). Foreign Friends. The University Press of Kentucky.

12. Gertz, E. (1944). Chicago’s adult delinquent: “The Tribune”. The Public Opinion Quarterly, 8(3), 416-424.

jstor.org/stable/2745295 13. Highfrate cost to eat up 4th of aid to Korea: Fertilizer reported its main need. (1949, May 18). Chicago Daily Tribune (1923-1963) http://proxygw. wrlc.org/login?url=https://search.proquest.com/ docview/177709777?accountid=11243 14. Kaplan, L. (2015). Toward Insulation, 1934–1937. In The Conversion of Senator Arthur H. Vandenberg: From Isolation to International Engagement (pp. 4160). University Press of Kentucky. jstor.org/stable/j. ctt13x1s04.7 15. Korea tries freedom. (1948, May 23). Chicago Daily Tribune (1923-1963). http://proxygw.wrlc. org/login?url=https://search.proquest.com/ docview/177603358?accountid=11243 16. Korea’s First President. (1948, Jul 28). Chicago Daily Tribune (1923-1963). http://proxygw.wrlc. org/login?url=https://search.proquest.com/ docview/177725879?accountid=11243 17. Koreans march to protest new 4 nation rule: 20,000 paraders ask independence now. 1946. Chicago Daily Tribune (1923-1963)1946. http://proxygw. wrlc.org/login?url=https://search.proquest.com/ docview/177267758?accountid=11243.

18. Koreans vision civil war if U.S. takes out army: Leaders say reds would seize country. 1947. Chicago Daily Tribune (1923-1963), Sep 28, 1947. http://proxygw. wrlc.org/loging?url=https://search.proquest.com/ docview/177479533?accountid=11243.

19. Lew, Y.I. (2014). “In Pursuit of Diplomatic Recognition during the Pacific War.” In The Making of the First Korean President: Syngman Rhee’s Quest for Independence, 1875-1948, University of Hawai’i Press, 203-34. www.jstor.org/stable/j.ctt6wqwch.15.

20. Rhee becomes first president of South Korea. (1948).

Chicago Daily Tribune (1923-1963), Jul 25, 1948. http://proxygw.wrlc.org/login?url=https://search. proquest.com/docview/177408308?accountid=11243.

21. Russia admits Korean draft, says General: Calls efforts to unify nation ‘hopeless’. 1947. Chicago Daily Tribune (1923-1963), Feb 25, 1947. http://proxygw. wrlc.org/login?url=https://search.proquest.com/ docview/177355176?accountid=11243.

22. Sargent, S. S. “Emotional stereotypes in the Chicago Tribune.” Sociometry 2, no. 2 (1939): 69-75. doi:10.2307/2785309.

23. Simmons, W. (1947, Jun 25). Koreans show little interest in government: Aspire for independence and land ownership. Chicago Daily Tribune (1923-1963) http://proxygw.wrlc.org/login?url=https://search.

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proquest.com/docview/177423300?accountid=11243 24. Simmons, W. (1947, Oct 19). Russians’ move in Korea boosts U.S. popularity: People find they want GIs to stay. Chicago Daily Tribune (1923-1963). http://proxygw.wrlc.org/login?url=https://search.proquest. com/docview/177538378?accountid=11243 25. Simmons, W. (1948, Jan 18). Let Koreans of U.S. zone vote, Dr. Rhee urges: Sees no fear of reds in North.

Chicago Daily Tribune (1923-1963). http://proxygw. wrlc.org/login?url=https://search.proquest.com/ docview/177336343?accountid=11243 26. Simmons, W. (1948, Aug 16). M’arthur stars at second birth of a republic: But its prospects are worse than first. Chicago Daily Tribune (1923-1963). http://proxygw.wrlc.org/login?url=https://search.proquest. com/docview/177606658?accountid=11243 27. Simmons, W. (1948, May 09). Reds will make U.S. troops quit Korea, they say: Propose withdrawal of both forces. Chicago Daily Tribune (1923-1963). http://proxygw.wrlc.org/login?url=https://search. proquest.com/docview/177653497?accountid=11243

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28. Simmons, W. (1950, Jun 15). Flames of zeal burn in Korea’s president at 75: His drive forces young republic ahead. Chicago Daily Tribune (1923-1963). http://proxygw.wrlc.org/login?url=https://search. proquest.com/docview/177881543?accountid=11243 29. Simmons, W. (1947, Mar 22). See freedom in Korea injured by Rhee’s acts. Chicago Daily Tribune (19231963). http://proxygw.wrlc.org/login?url=https:// search.proquest.com/docview/177372245?accountid=11243 30. Stueck, W. W. (1997). The Korean War: An international history. Princeton, NJ: Princeton 31. University Press.

32. Trohan, W. (1945, Jun 23). Shafer reveals ‘text of deal’ involving Korea: Says it calls for nation to stay in Soviet orbit’. Chicago Daily Tribune (1923-1963) http://proxygw.wrlc.org/login?url=https://search. proquest.com/docview/177022467?accountid=11243 33. Vanderlan, R. (2010). Intellectuals incorporated. University of Pennsylvania Press.

About the Author Thomas-Patterson is a sophomore in the Elliot School of International Affairs at The George Washington University. He is currently majoring in International Affairs with a concentration in International Politics and Europe and Eurasian studies. His area of research include European and Eurasian politics as well as the interaction between domestic political movements and International Relations. He is a member of the Honors College at the George Washington University. Previously, he has interned for the DC Office of Congressman William Keating of Massachusetts.

Mentor Details Professor Gregg A. Brazinsky served as a mentor for this project. Gregg A. Brazinsky works on U.S.-East Asian relations and East Asian international history. He is interested in the flow of commerce, ideas, and culture among Asian countries and across the Pacific. He has written two books: Winning the Third World (2017), which focuses on Sino-American Rivalry in the Third World and Nation Building in South Korea (2007), which explores U.S.-South Korean relations during the Cold War. He has received numerous fellowships to support his research including the Kluge Fellowship from the Library of Congress, the Smith Richardson Foundation junior faculty fellowship, and a fellowship from the Woodrow Wilson Center. Professor Brazinsky also currently serves as the director of The George Washington Cold War Group.

128 KEYWORDS: Konglish, globalization, public attitude, Korean popular culture, English language education DOI: https://doi.org/10.4079/2578-9201.3(2020).10

Evolution of Konglish Based on the Current Prevalence and South Korean Public Attitude Towards Konglish JENNIFER TSE Political Science, CCAS ‘22, tsej@gwu.edu

ABSTRACT Language is constantly changing over time, and the Korean language proves to be no different. Since the English language was introduced to the Korean peninsula in the 19th Century, English has only continued to make notable influences on the Korean language. South Korea, post-WWII, has continually strived towards globalization and internationalism, thus prioritizing English education amongst South Koreans.

In promoting the English language with an international perspective , South Korea has been tenacious in integrating English into their education systems, relating economic success to one’s proficiency in English.

The combination of English and Korean language in these various forms led to the creation of Konglish, which has garnered mixed attitudes from the South Korean population. The widespread prevalence of Konglish proves that it will remain as a common language used in South Korea. However, the Korean public has expressed dissatisfaction with Konglish for a variety of reasons, mainly because of its misinterpretations when translated to standard English. Given these dissatisfactions and the educational efforts made to alleviate them, it is inevitable that Konglish will evolve from its current form to resemble that of standard English.

• INTRODUCTION The South Korean vocabulary can be broadly dissected into three categories of origin: SinoKorean, native Korean, and loanwords. Sino-Korean influences account for 65 percent of the current vocabulary, while 30 percent is derived from native Korean, and the remaining 5 percent consists of loanwords from other languages. While 5 percent in itself may seem like an insignificant figure, the driving force behind loanwords found in Korean vocabulary comes from English, which accounts for about 90% of loanwords (Rüdiger, 2018). According to McArthur (2002, p. 21), English has also now become South Korea’s “foreign language of choice”, in that South Korea has integrated English language learning into their school systems. The connection between the widespread use of Konglish and formalized English education is evident; I will be using previous studies to describe the history of English education in South Korea. The long-standing and pivotal presence of English in the lives of common South Koreans can be understood as the driving force that popularized English education in modern day South Korea. This study will also rely on literature from experts on the Korean and English languages to provide more clarity in defining Konglish, as there is not a general

consensus among literature in determining an acceptable, universal definition of Konglish. While this study will not go in-depth into the lexicography of Konglish, it will provide a brief, basic overview through various examples. In proving the prevalence of Konglish within South Korea, this study will primarily rely on examples provided by literature from McPhail (2006) and Mueller (2010), both of whom have first-hand experience in observing public spaces for Konglish in South Korea. Literature from Willis (2014) will be used to show the reasoning behind Konglish’s widespread use in connection to Korean popular music. Previous studies conducted

by Rüdiger (2018) and Hadikin (2006) will primarily be used to survey the attitudes towards Konglish.

The predominant limitation of these studies is that the participants are students and professionals with experience in English education. Thus, the perceived attitudes towards Konglish will be supplemented by other literature to provide a broader view of South Koreans. By analyzing both the prevalence of Konglish in South Korea and South Korean attitudes towards Konglish, I have concluded that Konglish will evolve to bear more resemblance to standard English in the future.

THE GW UNDERGRADUATE REVIEW • VOLUME 3 WHAT IS KONGLISH? From the literature analyzed in this research paper, there have been numerous interpretations of Konglish.

Some explain Konglish simply as elements of English incorporated into South Korean everyday usage (Kent, 1999). Meanwhile, others describe their view of Konglish as a Korean variant of broken or imperfect English (McPhail, 2018). The varying descriptions of Konglish within literature display diverse perspectives of Konglish and its evolving linguistic usage. Thus, it can be reasonably concluded that a universally-accepted definition of Konglish does not currently exist. Participants in a study conducted by Hadikin (2006) defined Konglish as a part of Korean culture and a way of speaking that should only be used in an informal setting.

Despite the definitional discrepancies of Konglish, literature has broadly categorized the types of Konglish.

Kent (1999) was widely cited in literature for his classification of Konglish into five different categories: Direct Loanwords, Hybrid Terms, Truncated Terminology, Substitution, and Pseudo Loanwords.

Direct Loanwords were described as English phonetically translated into the Korean language structure. The example provided was jusu (주스), meaning “juice” in English.

Hybrid Terms referred to vocabulary that incorporated a mixture of both English and Korean words to form one word. For example, bang-ul-tomato (방울토마토), means “cherry tomato.” Bang-ul (방울) means “bell” in English, while tomato (토마토) is phonetically translated from English.

Truncated Terminology was vocabulary derived from shortened English terms. An example provided was limokeon (리모컨), which translates as “remote control”.

Limo (리모) is derived from shortening the English word “remote” to just remo, while keon (컨) comes from shortening “control” to con.

Substitution was described as English terms that have replaced the existing Korean terminology. For example, paking (파킹) literally translates to “parking” in English.

The original Korean term for parking was ju-cha (주차).

Lastly, Pseudo Loanwords were explained as English terms whose original definitions have become modified in translation in the Korean context. The example provided was obaiteu (오바이트), which is derived from the English word overeat. However, in the Korean context, it means “vomit.” Thus, there is a disconnect between how native English speakers and Korean speakers interpret the word “overeat.” In understanding the variants of Konglish, one can thus begin to understand the complex attitudes towards Konglish in South Korea.

HISTORY OF ENGLISH IN KOREA Korea’s first encounter with English can be dated back to the late 1700s to early 1800s when a few western ships

129 would arrive at the coast of the Korean peninsula to either resupply goods or pressure the Joseon dynasty to open for trade and missionary work with the European nations and the United States. Efforts to open Joseon’s market would come to fruition under the Treaty of Peace, Amity, Commerce, and Navigation between the Joseon Dynasty and the United States (Paik, 2018). With increased contact between Westerners and Koreans, the necessity for interpreters and diplomats dramatically increased, leading to the opening of the first English language educational institution, Dongmunhak, in 1883 (Nam, 2005). The frequency of English learning by American missionaries,, would foster both the relationship between Korea and the United States, as well as between Korean and English, up until the collapse of the Joseon dynasty (Paik, 2018). This relationship would become revitalized once more after World War II under occupation by the United States in South Korea.

English became a permanent fixture in South Korea vocabulary as the United States military personnel occupied South Korea. Despite their significant presence in South Korea, the United States military possessed little to no Korean language skills, thus communication with South Koreans was mostly conducted in English.

According to Collins (2006), for many South Koreans, communicating with soldiers became a means of survival as they were the “sine qua non source of cash and consumer goods” (p. 421). During South Korea’s formative years under the United States’ occupancy and Dr. Syngman Rhee’s presidency, South Korean citizens were provided with aid packages that contained higher quality goods from the United States. Since these products were packaged in English, South Koreans began to associate quality goods with English. As a result, a common strategy for South Korean businesses today is to market their products English, in hopes that their goods will be seen as “higher quality” by consumers (Mueller, 2010).

During Park Chung-hee’s presidency, industrialization and globalization as a means for economic development in South Korea became the pillars of his administration.

The Ministry of Education at the time, integrated English language communication skills into the South Korean secondary education system in hopes of producing a workforce capable of negotiating export deals abroad.

Furthermore, major global events, like the 1986 Asian Games and the 1988 Seoul Olympic Games, required South Korea to further open its market and welcome more visitors to the peninsula (Paik, 2018). As the demand for English grew in order to make business dealings and promote the export of Korean goods, English became synonymous with national economic development (Collins, 2006). This drive for economic development was the catalyst of what literature has labeled as “English Fever” in South Korea.

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“ENGLISH FEVER” IN SOUTH KOREA “English Fever” primarily focuses on the heavy emphasis of English language proficiency as a means of increasing employment opportunities. This idea was first brought on by Park Chung-hee’s economic development initiatives and promoted further by succeeding administrations. The South Korean government further promoted English education in the mid-1990s as their implementation of internationalization and globalization policies required that more Koreans become proficient in the English language. For example, in 1997, the Ministry of Education mandated that English be integrated into middle and high school curricula (Collins, 2006). Since then, authors like Kocken (2014, p. 1), describe this South Korean phenomenon as a costly obsession with English (Kocken, 2014). It has been reported that Koreans are spending $17 billion a year on private education and hire 30,000 native English speakers to fuel their English learning addiction (The Diplomat, 2014). South Korean children are formally introduced to English in the third grade of primary school education, though many have already attended kindergartens with English integrated into the curriculum (Rüdiger, 2018). Parents also enroll their children into hagwon (학원), or private cram schools that run late into the night, often as young as five years old. Some parents take it a step further by sending their children abroad for English education, with . approximately 35,000 elementary and secondary school students from Korea studying overseas for English acquisition between 2005 and 2006 (Park, 2009).

This emphasis on English education stems from societal and governmental pressure for Korean students to perform well on standardized tests that measure English proficiency in order to secure a successful job in a highly competitive market. The first challenge students must overcome in their journey towards English proficiency is to pass the South Korean national college entrance exam (Suneung), which includes an English section. Students who score high on Suneung are more likely to be accepted into top-tier universities, such as Seoul National University, Korea University, and Yonsei University. The university that a student attends is seen as one of the most influential determinants of whether or not they will find success in pursuing employment (Diamond, 2016).

Furthermore, students must also receive a high score on the Test of English for International Communication (TOEIC), as employers take these scores into careful consideration during the hiring process (McPhail, 2018).

South Korean companies have also started to conduct a portion of their applicant interviews in English to assess potential hires’ English competency (Mueller, 2010).

There have been attempts to alleviate “English Fever” under former President Park Geun-hye’s administration when the Ministry of Education implemented plans to make the English section of college entrance exams

easier (Jung, 2014). However, the policy is far too recent to be able observe any discernible patterns concerning spending on learning the English language. In addition, there have not been any observable attitude changes amongst corporate employers in hiring English proficient employees. As a result, English can still be thought of as a valuable asset in attaining a desirable job or receiving a job promotion in South Korea, and thus, a means of survival.

Given that there is not substantial literature detailing how Konglish emerged from English, only assumptions and speculations can be analyzed. Since governmental institutions and society have promoted standard English education for the past century, the emergence of Konglish was likely an unintended consequence. English language education in Korea has failed to develop effective methods of teaching standard English in Korea.

A point brought up by Hahn (2002), which tackles the grammatical errors often associated with Konglish, is the conflict between translating words from Korean to English in a highly stratified society like Korea. For example, Koreans have a respectful honorific term for teachers and address them as seongsaengnim (선생님).

However, in the West, teachers are normally addressed

by Mr./Ms./Mrs., followed by their last name — some western teachers even overhaul this system and allow students to call them by their first name. Thus, when directly translating seongsaengim into English, the only viable translation would be simply Teacher. A Korean student learning English would often say sentences such as ‘Teacher, how are you?’ as addressing a teacher by their name would be too informal and jarring in Korean society. However, a native English speaker would find addressing teachers in such a fashion as unconventional (Hahn, 2002).

The incredible demand for English language teachers may also outweigh the supply that is available. English education was spurred by the initiatives set forth by Park Chung-hee and the following administrations, thus errors in implementing English education may have occurred during those formative years. One such error is that there were not enough competent native English speakers in Korea to teach the language. In order to fulfill the high demand for English, school systems may have hired teachers who were barely able to speak English and without a well-developed grasp over the language. Thus, many of the errors that would have been made by either the teacher or student would remain uncorrected.

The continued use of misinterpreted English into everyday Korean conversations has only exacerbated the use of Konglish. Kent (2001) makes an observation of native English speakers in South Korea, “Native English speakers then, soon come to use Konglish when living in Korea and when communicating with each other, as well as with their students, and as such abandon the terms they would

THE GW UNDERGRADUATE REVIEW • VOLUME 3 use in their home nations in favour of the terms their students use on a daily basis” (p. 1) Using Konglish in an English language learning environment only perpetuates its inaccuracies. Teachers are meant to be role models to their students, thus, if native English speakers begin to use Konglish in their classrooms, it presents a contradictory force that hinders a student’s learning of standard English.

THE KONGLISH PHENOMENON Konglish has become prominent within South Korean society over the past few decades. In the subways of Seoul, English audio directions and English maps are available for navigation. More recently developed areas are also named using Konglish. For example, places like Gasan Digital Complex are referred to in Korean as Gasan Dijiteol Danji (가산디지털단지). Konglish is also used by local businesses’ in their window advertisements. For example, corner stores will have sign postings stating won peulleoseu won (원 플러스 원), which translates to buy one, get one free in English (McPhail, 2006). A study conducted by Lawrence (2012) analyzes the percentage of Konglish signages in different cities and districts throughout South Korea. His research concluded that there was a positive correlation between the frequency of English and Konglish signages, and an inverse correlation between frequency of English and Korean signages. Thus, the blatant use of English and Konglish signage throughout storefronts, buildings, and streets, represents its dominance in many aspects of South Korean life.

While prevalent in consumer culture, Konglish is also frequently used in the media. As mentioned before , South Koreans have linked the use of English to high brand quality and appeal because of the quality goods that South Koreans received from US aid packages in the 1950s. Currently, fashion magazines and television advertisements have shifted to using Konglish as a means of promoting their products. The Konglish used in the media does not need to be intelligible or an accurate representation of the standard English definition, rather it is used for aesthetic purposes, as like graphic icons (Mueller, 2010).

Furthermore, Konglish has a place in Korean popular culture, especially in the 21st Century as Korean popular music (K-Pop) and entertainment have risen to global recognition. Konglish lyrics are frequently intermixed with Korean lyrics in K-pop. Willis (2014, p. 216) details seven reasons why English is used in K-pop songs: • Stylistic: Frequently, an English word rhymes better than a Korean word, but still conveys the same meaning.

• Assertion of sensuality: Artists frequently attempt to get around Korean censors by writing sexually suggestive lyrics in English.

• Assertion of unsettled identities: Some songs

131 deliberately mismatch English and Korean lyrics in a single song to represent the battle between two inner selves.

• Assertion of resistance: English can be used to resist mainstream practices.

• Neutral medium: English in pop songs is not limited to South Korea, but is used by many Asian countries as a neutral way to communicate. Since English does not belong to any Asian country, it can be used by all.

• Image of modernity and internationalization: The use of English carries the connotation that the singer is “modern, Western, chic, or sophisticated.”

Since K-Pop idols are often admired by their fans, many Koreans may be imitating the Konglish lyrics from their favorite artists and songs and interweaving them into their daily language. This is because they believe it to be stylish and modern to do so as seen by responses from participants in a study by Rudiger (2018). Since K-Pop is so widespread within Korea, the frequent exposure to popular songs with Konglish in them may also inadvertently cause people to use it in their vocabulary.

ATTITUDES TOWARD KONGLISH While Konglish has become widely accepted and institutionalized in the daily use of South Koreans today, many have expressed concerns and their disdain towards its popular use. In a study conducted by Rüdiger (2018), participants were asked numerous questions in regard to their opinion of Konglish via an online questionnaire. Participants were primarily university students between 19 and 30 years old, and 10% were graduate students or early professionals above the age of 30. The first question asked was “What do you think about Korean people who use many English loanwords when speaking Korean?” 40% of participants had a mixed response, where the most common reasoning behind their attitude is the belief excessive or unjustified use of Konglish is unflattering; however, the same respondents thought it acceptable if Konglish can give better clarity and expression to the speaker’s message. About 27% of participants had a negative response towards Konglish, expressing a sense of betrayal to Koreans and/or that the speaker using loanwords is just trying to showoff. Only 3% of participants had a positive response, stating that they were comfortable with the use of many English loanwords while speaking Korean. Another question asked was “What do you think about English loanwords which are considered to be Konglish?” 30% of respondents gave a negative response, where many held the belief that Konglish should be converted into authentic Korean words. This negative reaction towards Konglish, as evident by some participants responses, is derived from Konglish’ unclear status as neither English nor Korean. Others have expressed concerns about the

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lack of effectiveness in Konglish when communicating with foreigners. 18% of participants who gave neutral responses did not have strong opinions on Konglish, describing it as a natural phenomenon. 16% of participants gave mixed responses. Within the pool of participants who gave mixed responses, many did not hold much resentment towards Konglish, but recognized that inaccuracies when translating to an English equivalent can easily become problematic, especially if used in an international context. The 10% who held a positive view thought that Konglish is pleasingly aesthetic and convenient. Though, it is important to note that certain biases may be in play here as all the participants who responded positively lived abroad at some point in their lives (except for two where study abroad was unavailable in the data).

A study conducted by Hadikin (2006) showed similar results and reasoning behind local attitudes towards Konglish. The participants in the study were students and staff of a university language center. When asked to provide a definition of Konglish, some participants responded negatively by stating that Konglish is “incorrect” or “imperfect” English. Participants with a more positive outlook on Konglish believed it to be a part of Korean culture. The neutral respondents provided situations where Konglish may be used such as “in emergencies,” “when you don’t know enough ‘real’ English,” or “in private or informal conversations.” (p. 14). Hadikin’s study, however, did have a few more positive responses than Rüdiger’s study. There was a wider consensus in Hadikin’s study that Konglish has useful benefits in facilitating intercultural communication between Korean and English. Some respondents also acknowledged that Konglish is useful in the classroom when students are unable to find an alternative to expressing their thoughts.

Similar to the student and professional participants in studies by both Hadikin (2006) and Rüdiger (2018), many English language teachers and students have expressed skepticism in regards to Konglish because of its misinterpretations and misuse of English. Former English teacher, Brian Deutsch, observed that “[Native Korean speakers] are so accustomed to pronouncing these borrowed words the Korean way that they can’t adjust to English pronunciations and meanings,” (p. 194) Testimony from an intermediate-level Korean-language student also noted that Konglish is often used in place of its Sino-Korean or native Korean equivalent (Min, 2009).

This proves to be an issue as native Korean speakers are more frequently exposed to misused English in the form of Konglish, rather than the proper English taught only in English classes. This lack of exposure hinders a student’s capacity to learn how to distinguish Konglish from proper English, as well as their usage in appropriate settings. English teachers in South Korea teaching at English education institutions have tried to develop teaching exercises to combat the misinterpretations

created by Konglish. One suggested teaching technique is to create a Picture Word List. Students are given a list of false cognates and asked to draw their visualizations on paper. Then, the teacher will draw the visualizations of a native English speaker. In conducting this exercise, students will be able to see the differences between their interpretations and that of a native English speaker. For example, when the word mansion is given. A Korean may visualize a mansion as a luxury apartment building, but a native English speaker may draw a large house for a single-family (Kent, 2001). This exercise allows students to recognize that there is a disparity between a native Korean’s visualization of certain words in comparison to a native English speaker’s. In the case of the word mansion, it represents a Korean’s different lifestyle and their lack of exposure to what a mansion looks like to a native English speaker. Such exercises demonstrate that there is a push amongst English educators to correct the misuse of Konglish in comparison to its standard English equivalent. For educators, Konglish is a detriment to English language learning, and so it becomes important to distinguish Konglish from standard English.

Those with experience teaching North Korean defectors have also expressed their concerns that Konglish makes it more difficult for defectors to assimilate into South Korean society. While North Korean defectors are still inherently “Korean,” the gap in language between North Korea and South Korea is exacerbated by Konglish. In North Korea, extensive English education was unnecessary and minimal. Lartigue (2018) notes the experiences of Eun-shil, a 2013 North Korean defector, with English in North Korea: “When I was in North Korea, I hated English. After learning about how terrible Americans were, I would feel disgusted using their language. We were taught to learn English so we could use it to confront Americans, but if we were supposed to kill them, did we really need to speak to them in fluent English?” (p. 1).

Since coming to South Korea, many defectors, especially those seeking proper education, often find themselves lagging behind their South Korean counterparts. Lartigue (2018) also shared a statement by Tae-song, a 2006 North Korean defector: “Konglish was everywhere. Koreans were speaking Korean to me, but it was Korean Konglish. Not only was I getting used to so many new things, but it seemed that I had to learn them in Korean, Konglish and proper English” (p. 1).

Those who hold pro-unification sentiments see this growing language barrier as a severe obstacle that needs to be overcome, which is only amplified by the daily use of Konglish in South Korean society.

South Korean politicians have also been criticized by the public for their use of Konglish. Former President Park Geun-hye in particular, has received backlash for her poor grasp of English. In one instance noted by Lee

THE GW UNDERGRADUATE REVIEW • VOLUME 3 (2014), President Park was advocating for the National Assembly to “pass economic bills so that the Korean economy would not lose ‘golden time’” (p. 1). Native English speakers would not use the word “golden time” in this context. Instead, the phrase “precious time” would be more appropriate and accurate. Since the President is a highly public figure who is watched internationally, many find these errors in English to be embarrassing and shameful (Lee, 2014). Thus, Konglish in its current form is highly inappropriate to be used in formal settings, as misinterpretations can be detrimental to the messages politicians are trying to set forth. Even worse, it can be interpreted by the international community as offensive.

With high-ranking politicians like Park Geun-hye misusing Konglish in their messages, its consequences are far-reaching and transcend national borders.

While I was unable to find a study that polled foreigners in South Korea, there is literature that demonstrates support of Konglish from English speaking foreigners trying to learn Korean. A foreigner interviewed by KoreaTimes expressed that learning Korean has been significantly easier because he is able to make the connection between Konglish and English, thus making it easier to remember definitions. According to Min (2009), other Konglish enthusiasts see it as “a step toward greater multiculturalism and positive adaptation” (p. 1), in that it gives Koreans greater means to express themselves. Thus, it’s clear that there are both benefits and drawbacks to the usage of Konglish, which explains why many South Koreans have mixed attitudes towards Konglish.

FUTURE OF KONGLISH The primary conclusion of this study is to determine how Konglish will develop in South Korea in the future. The frequently mentioned benefits of Konglish is that it helps facilitate more meaningful and expressive conversations when Sino-Korean or native Korean vocabulary would not be sufficient. Many also saw it as a useful, temporary tool for English language learners when they have not yet acquired enough mastery of standard English to properly express and communicate their thoughts and ideas. However, the drawbacks have also been clearly expressed. It is widely accepted by the South Korean populace that some varieties of Konglish are comprised of improper English, which is detrimental to both South Koreans and North Korean defectors who are trying to learn standard English. Furthermore, Konglish’s narrow sphere of effectiveness has also been a topic of concern, in particular, due to its inappropriateness in formal or international settings.

The prevalence of Konglish within the South Korean society should also be considered when evaluating the future of Konglish. Konglish is heavily integrated into visible domains that people often frequent—public spaces, local businesses, and the media. The younger

133 generation also relies on Konglish and popular culture to express progressive, liberal ideologies that fight back against traditional customs and conservatism. South Korean society is already accustomed to Konglish in their everyday lives, which contributes to my opinion that Konglish will continue to be firmly rooted in Korean society. Unless there is a push for a complete ban of Konglish, which is unlikely as literature has spent little to no time entertaining that idea, it is safe to say that Konglish will continue to be present in the daily communication of Korean speakers.

Despite analyzing various pieces of literature, the future of Konglish is not clearly identifiable. While it is almost certain that Konglish will remain a part of South Korean society due to its wide and growing prevalence today, the drawback of its current stage is too great to be ignored.

Teachers at English teaching facilities have already started developing new methods of teaching English to South Korean students who possess a background in Konglish, which may be a source of confusion and detriment to their learning. There are also pro-‘pure’ Konglish sentiments in its ability to diversify expressions that should not be overlooked when considering the future of Konglish.

Thus, there are three possible ways that Konglish may evolve, based on the studies of this study.

Firstly, Konglish may continue to use a combination of misinterpreted English and Korean. While the vast majority of sentiments support changes in Konglish, the polling population in these studies are primarily from students and professionals with experience in English education. The rest of society, primarily those who may not have extensive English education or are in occupations where they do not use English frequently, may not harbor strong will to change their current form of communicating in Konglish. However, this may be the case for only the older generations in South Korea. However, the current generation’s recognition that Konglish consists of misinterpreted English, and with many demonstrating a willingness to change their current form of speaking to either be more like native Korean or standard Korean, it is unlikely that Konglish will remain in its current form in the future. With that being said, it is highly unlikely for Konglish to disappear.

Konglish has been in the Korean vocabulary for decades and is only growing in popularity as more South Koreans are being raised in a society where Konglish is prevalent in daily use.

Secondly, Konglish may evolve to resemble that of authentic Korean vocabulary. For many South Koreans, they perceive that the Korean language should aim towards becoming purer and more authentic, if not already. However, this is less likely to occur as the studies evaluated in this research paper have demonstrated that respondents holding this perspective are in the minority.

Thirdly, Konglish may evolve to resemble more like English, which would entail greater accuracy

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in interpretations between Konglish and standard English. The consequences of using Konglish in its current form far outweighs its benefits. However, its widespread popularity in South Korea would prevent it from eradication. The best course of action that would balance its popularity with South Korea’s “English Fever” phenomenon is for it to evolve to resemble the English lexicon. This would bolster the education of English language learners, rather than hinder them—especially since the occupational success of a South Korean is predicated on their English proficiency. By improving Konglish in ways that do not violate the lexical rules of English, it can become beneficial for both South Koreans and foreigners. South Koreans can be exposed to proper English in their daily life and not only in their English courses. Foreigners can also better relate to Konglish words if they are formatted more closely to standardized English. Thus, the most likely future of Konglish is that it will evolve to more accurately resemble standard English.

CONCLUSION Konglish was produced from the rich history that South Koreans have with Western countries, and in particular, the United States. The influences that the United States military had on the South Korean population from repeated interactions in their daily lives fostered its creation. However, it was the link between English and Korea’s economic development that spurred the widespread education of English, and in turn the mainstream use of Konglish amongst South Koreans.

Konglish, despite its popularity, is problematic because it misrepresents standard English, making it difficult for students of English to learn the language. These issues are widely known amongst South Koreans, and many are looking forward to changing the way that Konglish is used. Thus, given its popularity, we can expect Konglish to still be a part of Korean culture in the future. But because of its misinterpretations to standard English and misuse, Konglish will evolve to bear more resemblance to standard English. The developments of Konglish shows the historical past that Korea has with the Western world, as well as the increased interconnectedness of these two nations overtime.

REFERENCES 1. Collins, S. G. (2005). ‘Whos this Tong‐il?’: English, culture and ambivalence in South Korea. Changing English, 12(3), 417–429. doi: 10.1080/13586840500347335 2. Diamond, A. (2016, November 17). South Korean Seniors Have Been Preparing for Today Since Kindergarten. https://www.theatlantic.com/ education/archive/2016/11/south-korean-seniors-have-been-preparing-for-today-since-kindergarten/508031/.

3. Hadikin, G. (2006). World Englishes and Konglish: What is Konglish and what are local attitudes to it?

Institute of Education, University of London.

4. Hahn, J. (2002). Teaching English in Korea: An action research design. Journal of Linguistic Studies, 7, 217–241. https://www.earticle.net/Article/A178849 5. Jung, M. (2014, August 27). ‘CSAT English test will become easier’. http://www.koreatimes.co.kr/www/ news/nation/2014/08/116_163711.html 6. Kent, D. (1999). Speaking in Tongues: Chinglish, Japlish and Konglish.

7. Kent, D. (2001). Teaching Konglish: Selected Resources for Students and Teachers.

8. Kocken, M. (2014, July 9). South Korea’s Costly Obsession With English. Retrieved from https://blogs. wsj.com/korearealtime/2014/07/09/south-koreas-costly-obsession-with-english/ 9. Lartigue, C. (2018, March 18). Why do North Korean defectors learn English? http://www.koreatimes. co.kr/www/opinion/2018/03/137_245776.html 10. Lawrence, C. B. (2012). The Korean English linguistic landscape. World Englishes, 31(1), 70–92. doi: 10.1111/j.1467-971x.2011.01741.x 11. Lee, C. (2014, October 23). Let’s find ways to avoid ‘Konglish’. http://www.koreatimes.co.kr/www/ news/opinon/2016/10/298_166840.html.

12. McArthur, T. (2003). English as an Asian language. English Today, 19(2), 19-22. doi:10.1017/ S0266078403002049 13. McPhail, S. A. (2017). South Koreas Linguistic Tangle: English vs. Korean vs. Konglish. English Today, 34(1), 45–51. doi: 10.1017/s0266078417000244 14. Min , I. (2009, October 20). Konglish Proves to Be Double-Edged Sword. http://www.koreatimes. co.kr/www/news/nation/2009/10/117_53927.html 15. Mueller, M. (2010). The global and local functions of English in South Korea. International Journal of Foreign Studies, 2(2), 53–65. doi: 10.18327/

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ijfs.2010.01.2.53 16. Nam, J. (2005). Perceptions of Korean college students and teachers about communication-based English instruction: Evaluation of a college EFL curriculum in South Korea. (Electronic Thesis or Dissertation). https://etd.ohiolink.edu/ 17. Paik, K. (2018). The English language in Korea: Its history and vision. Asian Englishes, 20(2), 122–133. doi: 10.1080/13488678.2018.1426216 18. Park, J.-K. (2009). ‘English fever’ in South Korea: Its history and symptoms. English Today, 25(1), 50–57. doi: 10.1017/s026607840900008x 19. Rüdiger, S. (2018). Mixed feelings: Attitudes towards English loanwords and their use in South Korea.

Open Linguistics, 4(1), 184–198. doi: 10.1515/opli2018-0010 20. The Diplomat. (2014, October 18). English Education in Korea: Unrealistic Expectations. https://thediplomat.com/2014/10/english-education-in-korea-unrealistic-expectations/ 21. Willis, J. (2014). Putting the K in K-Pop: Korean or Konglish pop music? Retrieved from https://schwa. byu.edu/files/2014/11/W2014-Willes2.pdf

About the Author Jennifer Tse is a sophomore in the Columbian College of Arts and Sciences pursuing a Bachelor of Arts in Political Science and a minor in Criminal Justice. She is currently a part of the GWIKS Undergraduate Research Fellows Program, which offers guidance and support for students with an interest in conducting research on Korea. She chose Konglish to be her centerpiece in her Korean studies because she noticed that while listening to Korean pop music or watching Korean dramas, she was able to pick up certain words or phrases despite knowing limited Korean. After conducting some research, she learned that there was a linguistic phenomenon called Konglish that was heavily integrated into a Korean’s daily vocabulary.

136 KEYWORDS: Harry Potter, disability studies, Foucault, social model of disability DOI: https://doi.org/10.4079/2578-9201.3(2020).06

Harry Potter and the Stigma of Disability: Squibs as Outsiders to the Magical Universe MEGAN RHODES English/Political Science, CCAS ‘21, meganarhodes@gwu.edu

ABSTRACT In the young adult book series Harry Potter, there exists a class of citizens known as Squibs. By all accounts they can be considered a disabled group: they have a ‘disease’ (no magical abilities) that detracts from their overall quality of life and prevents them from operating at a normal level within society. This paper will prove that Squibs are restricted within the fictional world by the institutions of school and government. It will do so by studying Argus Filch and Arabella Figg, two of the most visible Squibs in the series. In this case, the social model of disability and Michel Foucault’s theories about government restrictions on disability will support the idea that Filch and Figg could succeed within the Harry Potter universe if the barriers put in place against the disabled Squibs were removed. In addition, the paper expresses the hope that the fans of Harry Potter will be able to rectify the discriminatory mistakes that the author, J.K. Rowling, has created against Squibs.

Although children’s books and disability studies are two subjects that do not often overlap, the intersection of these two is arguably more important than any other genre, since children’s books often serve as the first pieces of meaningful media that reach young audiences and shape their worldview for the rest of their lives. Because of this, the portrayal of disabled people within fiction is vital, especially for a work as canonical as the Harry Potter series.

Harry Potter is a book series by J.K. Rowling about a young boy who learns that he is a wizard. The novels follow his journey through his new magical school, Hogwarts School of Witchcraft and Wizardry. This seemingly innocent storyline is juxtaposed with a longstanding battle between Harry and an evil wizard named Lord Voldemort. While Voldemort is eventually defeated, the stigmatization of Squibs in the series is not. In the Harry Potter (HP) universe, Squibs are people who are born to at least one magical parent but possess no magical powers.

Because of this, they are often seen as outcasts to the wizarding world. The two most notable Squibs in the HP series are Argus Filch, the caretaker of Hogwarts, and Arabella Figg, Harry’s neighbor. This paper will explore the treatment of each character, as well as the ways in which they are marginalized by the magical universe. Throughout the Harry Potter book series, the prominent Squibs, Argus Filch and Arabella Figg, are restricted in school and government through the lens of the social model of disability and Michel Foucault’s theories on disability

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in government. The social model of disability shows that Filch could be included in certain nonwand necessary skills in Hogwarts if he had the chance, while Mrs. Figg could participate further in the magical community without the gatekeeping perpetuated by the wizarding government.

From the moment these two characters are introduced, the narrative ensures that the reader is left with a negative impression of them. Before acknowledging the characters’ personalities or purposes, Rowling (1998) first describes their appearances. Filch is shown with “bulging, lamplike eyes,” a “bulbous nose,” and jowls that are aquiver every time he is seen within the books. Similarly, Figg is described as a “mad old lady…[whose] whole house smelled of cabbage” (Rowling, 1997) and who is always dressed in some form of tartan clothing.

Though it is unclear whether Rowling intended for the two Squibs to be portrayed as less attractive than other characters, it is a theme she keeps up throughout the novels. Neville, a friend of Harry’s, is first described as fat and rather clumsy, referring to Neville’s supposed closeness to Squib-dom with very few magical powers in the earlier books. As the series progresses, though, he grows into his wizarding skills and accordingly becomes more attractive. Merope Gaunt, Lord Voldemort’s mother and suspected Squib, is described in a flashback, saying “her hair was lank and dull and she had a plain, pale, rather heavy face. Her eyes, like her brother’s, stared in opposite directions” (Rowling, 2005). In fact, Rowling seems to mark all undesirable characters

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FIGURE 1. Argus Filch with ugliness, giving unpleasant appearances to various evil characters as well. This would indicate that Rowling, consciously or not, considers Squibs to be as harmful to society as characters like Wormtail or Professor Snape (both followers of the evil Lord Voldemort).

In addition to their looks, Squibs are given disagreeable personalities. Rowling constantly emphasizes Filch’s sour manner. He is called detestable, bad-tempered, and a failed wizard. Rowling also regularly informs the reader that Filch was hated by all of the students at Hogwarts.

But it is not just the students who dislike Filch. Indeed, even teachers engage in the antagonism, as “Harry and Ron (Harry’s best friend) were delighted to hear Hagrid call Filch ‘that old git’” (Rowling, 1998) in Harry Potter and the Sorcerer’s Stone. Likewise, Figg’s original description includes the fact that she is boring and generally an unpleasant person to be around. However, unlike Filch, Figg’s character is ostensibly restored when she is revealed to be a member of the Order of the Phoenix, an underground network of witches and wizards who opposed and actively fought against the rise and rule of Lord Voldemort. This is seemingly where the Squibs diverge from each other. Filch is only ever seen as an unlikable caretaker, a character with no positive qualities or even a reasonable amount of depth. Despite his abundant abilities as a caretaker, he is portrayed as useless and annoying. Figg, on the other hand, proves herself to be indispensable when she is confirmed as a member of

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FIGURE 2. Arabella Figg the Order of the Phoenix, and thus is immediately given positive characteristics. This is often seen in disability studies, where a disabled person can only be justified in their existence when they make themselves useful to able-bodied individuals. Because Figg is seen as a hero, she is allowed to have redeeming qualities; however, since Filch is seen as a nuisance, he is allotted none.

It is again unclear whether or not Rowling did this intentionally. Even if Rowling’s stigmatization of disabled characters was not deliberate, her target demographic is children. The likelihood of a child understanding the complexities of Squib emotions is limited, meaning that almost all of them read on with a hatred of Filch, and, to a certain extent, Mrs. Figg. Such depictions may show children that discriminating against disabled people in real life is acceptable, as it is in the novels. In writing Harry Potter, Rowling chose to perpetuate an already strong stigmatization of a minority disabled group amongst young readers by characterizing Squibs as horrible until proven brave. There appears to be a brief attempt to counteract this when Ron mentions that, if Filch truly is a Squib, “it would explain a lot. Like why he hates students so much...He’s bitter” (Rowling, 1998). However, while Ron says this, he laughs and almost suggests that Filch deserves this abuse on account of his nastiness. Such behavior from Ron neutralizes any good that may have come from the dialogue.

In actuality, Ron had an insightful moment with this

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answer. One of the main reasons for Filch’s crotchety disposition comes from the fact that he is a non-wizard living amongst wizards, forced to watch them perform magic while knowing that he can never do the same.

He also suffers from an abundance of prejudice and discrimination from the outside wizarding world, simply because he is a Squib. Ron’s Auntie Muriel explains the stigma best, telling the group that “Squibs were usually shipped off to Muggle (non-magical human) schools and encouraged to integrate into the Muggle community... much kinder than trying to find them a place in the Wizarding world, where they must always be second class” (Rowling, 2007). This behavior is so normalized within the HP universe that Filch has learned to expect aggression based on his blood status. In Harry Potter and the Chamber of Secrets, Filch believes that Harry has put Filch’s cat, Mrs. Norris, into an unresponsive and statue-like state because he discovered that Filch is a Squib. Between sobs, Filch screams that “[Harry] did it, he did it!...he knows I’m a- I’m a-...He knows I’m a Squib!”

(Rowling, 1998). In almost all of the HP novels, students play tricks on Filch and try to make the castle as messy as possible so that his job becomes harder. Yet Filch does not talk about these things as if they are out of the ordinary, because they are not. He -- and the entire Squib community -- are accustomed to being looked down upon or seen as inhuman, being constantly prepared for these discriminatory attacks as a result of the intense stigmatization against them within the magical universe.

It is perhaps for this reason that Filch and Figg’s lives are so divergent. Filch relishes in the arrival of Professor Umbridge in Harry Potter and the Order of the Phoenix, despite the fact that she is an evil witch who makes the lives of the students unbearable. He feels that way towards her because it is the first time he has ever been included in anything, or had his ideas taken seriously. For years, students and teachers alike in Hogwarts took advantage of him, acted condescending towards him, and refused to listen to anything he said about the improvement of the school. When Professor Umbridge arrives, she sees that he has been pushed aside for a long time and seizes the opportunity to use him for her gain. When Filch suggests physical violence as punishment against students, Professor Umbridge welcomes the idea. This is the first time Filch has ever been valued by someone and he basks in the glory of it, going out of his way to aid Professor Umbridge. In contrast, Figg has been a part of the Order of the Phoenix for several decades. She has always been welcomed into an accepting group as a valuable member, and therefore does not feel as excluded from the magical universe as many other Squibs do. Since she is not resentful towards wizards for treating her poorly, she does not retain many of the mean personality traits that Filch possesses. The variance in outcomes of these two case studies shows the possibilities for what Squibs could be, if they were treated properly.

Aside from the discrimination aspect, there is no reason for Squibs to be forced out of the wizarding world because of their lack of magical ability. It is the structure and organization of the HP world, not the Squibs’ dearth of magic, that causes this exclusion to happen. Such removal can be explained by the social model of disability, which is “the view that social practices and attitudes render people disabled by making it difficult or impossible for those with physical or mental impairments to participate fully in social and economic life” (Heery & Noon, 2017).

Essentially, this says that it is not the physical body that maintains disability, but rather the society that creates barriers and refuses accommodations, leading to “the implication...that social practices…should be adjusted to allow the full inclusion of disabled people in social and economic activities” (Heery & Noon, 2017).

In regard to the HP novels, most of the theory comes to fruition inside of Hogwarts. Squibs are forbidden from attending the school on the grounds that, since they have no magical abilities, they could not survive at the school of magic. While this may seem logical, in reality this rule does not stand up to inspection. Hogwarts offers seven core classes, including Transfiguration, Charms, Potions, and Astronomy, which operate much like the core classes of English, math, science, and history in the Muggle world, as they all must be taken every year. In addition to these core classes, as a student gets older they are allowed to take more advanced elective courses, including Arithmancy, Divination, and Muggle Studies. Surprisingly, only three out of the twelve total classes require the use of a wand at all times. Since Squibs cannot perform wandwork, it would be impossible for them to pass Transfiguration, Charms, and Defense Against the Dark Arts. However, the rest of the courses either never call for a wand, or only do so occasionally, with some of the professors agreeing their classes do not require wands. On the first day of class, Potions Master Professor Snape articulates that, since “there is little foolish wand-waving here, many of you will hardly believe this is magic” (Rowling, 1997).

Additionally, the teacher of Care of Magical Creatures, Rubeus Hagrid, has only a rudimentary understanding of magic, leading him to rarely requiring it for his classes.

The result of all of this is that Squibs would be perfectly capable of participating in these courses. In fact, Neville excelled in Herbology, even though he could barely perform wand magic at the beginning of the series.

Likewise, Merope brewed an extremely powerful love potion without the aid of her abysmal wand skills. While there have been no instances of actual Squibs partaking in these courses, there is ample evidence to suggest that, with some training, they would have no problem completing the tasks laid out for them. However, the social model of disability prevents this from happening.

Throughout the HP novels, Hogwarts never considers the idea of allowing Squibs to engage in the non-wand necessary courses, thus perpetuating their impairment.

THE GW UNDERGRADUATE REVIEW • VOLUME 3 Without the ban on Squib participation, the disability that comes from being a Squib would effectively disappear.

The best example of this is Filch. He has already proven his ability to live within a magical space. As Harry himself notes, “Filch knew the secret passageways of the school better than anyone...and could pop up as suddenly as any of the ghosts” (Rowling, 1997). He has also shown that he has a strong work ethic and a desire to do the best that he can. Throughout the series, Filch is always doing his job by catching students out of bed after curfew, stopping them from misbehaving in the halls, and keeping the castle spotless, all without the aid of magic. As such, he would be an ideal candidate for a program that catered to Squibs, allowing them to participate in what they could, and offering assistance for the few things that they could not do. This would remove what the social model of disability calls physical barriers, or objects that prevent a disabled individual from accomplishing something. In the Muggle world, an example of this could be a building that only has stairs without a ramp or entrances to rooms that do not have Braille translations. At Hogwarts, those physical barriers would include the barring of Squibs from magical education and classes.

In addition to physical barriers, the social model of disability “emphasize[s] that the problems faced by the disabled arise as much in discrimination as they do in particular physical or mental conditions” (Heery & Noon, 2017). Accordingly, the barriers that Squibs face within the wizarding world come as much from attitudes as they do from literal restraints in Hogwarts. As one might recall, Squibs are discriminated against by the entire wizarding world. Many times they are described as second class citizens or other derogatory names. They are shamed to the point of forced integration into the Muggle world.

People who believe in and feed into these stereotypes about Squibs are actively creating invisible barriers to the magical world against them. These attitudes can also reflect on the physical barriers to Hogwarts in assuming that, since Squibs cannot carry a wand or perform magic, they also cannot succeed in non-wand necessary courses.

These attitudes reinforce the physical ban against Squib enrollment by ensuring that no one in the Hogwarts administration will change their minds about allowing Squibs to attempt classes. If everyone believes that they are incapable of such success, these people will keep the barriers of the social model of disability in place forever.

It is a combination of these factors that keeps Squibs oppressed by the institution of school, as seen through the lens of the social model of disability.

While Filch is most directly applicable to the social model of disability, Figg’s situation speaks more to the theories of Michel Foucault regarding government and disability. The introduction of the book Foucault and the Government of Disability by Shelley Tremain offers an oversight of the main works of Foucault in this subject.

She discusses Foucault’s idea that “power functions best

139 when it is exercised through productive constraints, that is, when it enables subjects to act in order to constrain them” (Tremain, 2015). Foucault theorizes that this is done most effectively when guiding the possibilities of actions and determining the outcomes of these actions. In this sense, power is not a simple repressive force, but rather a limit on the number and types of choices in conduct that a person can make. While this may sometimes present itself in the form of outright bans, most often it is “a way of acting upon an acting subject or acting subjects by virtue of their acting or being capable of action” (Tremain, 2015).

Essentially, Foucault is saying that, if a source of power wants to remain in power, it is in their best interest to dictate the choices of their subjects without explicitly telling them what to do. The source of power should also normalize this process so that the subjects are unaware that they are being manipulated into a set of restricted choices.

This is seen most explicitly through Figg’s interactions with the Ministry of Magic, which is the wizarding government for the United Kingdom. Figg deals with the Ministry of Magic more frequently than any other Squib in the series. Hence, Figg is constrained and repressed by the magical government more than any other Squib.

This is demonstrated most thoroughly in Harry Potter and the Order of the Phoenix. In this novel, Harry and his Muggle cousin Dudley are attacked in their hometown by dementors, or dark creatures who consume happiness and create an atmosphere of darkness and despair. Harry produces the spell that drives them away, only to find Figg standing at the end of the road watching him. It is quickly revealed that she is a member of the Order of the Phoenix who has been sent to watch over Harry, much to the surprise of the protagonist himself. The problem with this is that Harry, as an underage wizard, is not allowed to use magic outside of school. Since it is the middle of the summer, Harry gets a letter from the Ministry of Magic informing him that he will need to go to a disciplinary hearing in a few weeks to decide what will happen to him.

At the disciplinary hearing, Figg arrives to give testimony on Harry’s behalf. Immediately, there is an indicator that the Ministry of Magic is not simply giving Squibs productive constraints, but rather attempting to erase them entirely. When Figg tells the Wizengamot, or the wizarding high court of Britain, that she is from Little Whinging, they say that it is impossible because no witch or wizard currently lives there. Figg quickly replies by saying, “I’m a Squib...So you wouldn’t have me registered, would you?” (Rowling, 2003). The implication here is that the government is not tracking Squibs at all, possibly because they do not consider them to be real wizards.

This is evident throughout her testimony and beyond.

The Wizenmagot leader, Minister of Magic Cornelius Fudge, attempts to embarrass her by pressing her about her parentage, then questions the rest of the justices about whether or not Squibs could even see dementors

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instead of plainly asking Figg. The trial is almost stopped because of the fact that she is a Squib; when it is allowed to continue, it is with much skepticism from the crowd of witches and wizards on the panel. At one point during Figg’s story, Harry glances up to see “a dumpy wizard with a large black mustache in the second row leaned close to his neighbor, a frizzy-haired witch, and whispered something in her ear. She smirked and nodded” (Rowling, 2003). A few lines down, Harry watches as “Fudge snorted derisively” (Rowling, 2003) in response to Figg’s descriptions of the dementors. In all fairness, Harry and the reader could agree that it does not sound as though Figg truly can see dementors. This point is repeated after she leaves the courtroom, at which point Minister Fudge loftily notes that she was “not a very convincing witness” (Rowling, 2003). Be that as it may, it is not right for the government to mock her. In this case, the government is acting in a derogatory manner towards a disabled witness, which in turn causes her to have more nervous actions. Though they do not completely repress her by barring her from testifying, the Ministry of Magic limits Figg’s choices by performing doubt and discrimination upon her action of telling a story. Also, the fact that she does not seem shocked by the Wizenmagot’s behavior towards her speaks volumes about the true nature of the government. Not only are they working to restrict her ability to testify, but they have normalized this and their other discriminatory attitudes to a point where she is accustomed to it. In this sense, Foucault was correct: those in power can maintain their power by limiting outcomes and normalizing the process.

In addition to her treatment at Harry’s trial, Figg is restricted in other ways by the Ministry of Magic. The government has forbidden Squibs from buying, selling, breeding, or otherwise dealing in magical creatures.

However, Squibs have a natural affinity for Kneazles, which are a sort of magical cat that has a deeper connection with humans than a housecat. The lawmakers are aware of this, yet believe it to somehow be dangerous for Squibs to possess them. This is not a control of choices, but instead an entire extinction of outcomes. Despite this, Figg is a known breeder of Kneazles. Rather than becoming a danger to society, Figg and her cats instead live in relative peace. Some of her Kneazles even played a part in alerting Figg that Harry was in danger during the dementor attack, as she tells Harry that her cat Mr. Tibbles was stationed under a car to keep an eye on him.

There is no apparent reason for this Kneazle prohibition, so one can assume that the government does it simply as an exercise in control and power over the Squibs.

Additionally, the Ministry of Magic frowns upon the creation of the Order of the Phoenix, yet the Order of the Phoenix willingly allows Figg into its ranks and is benefitted by her presence. The Order of the Phoenix is not technically a governmental organization, but they act like one in many ways. They have a standing army,

departments that perform different tasks, and a leadership hierarchy. It seems strange then that they would keep a Squib, while the true government restricts the group in as many ways as possible. Going back to Foucault’s theory however, there might be an alternate explanation.

Productive constraints are not as widely utilized in the Ministry of Magic, but actually take precedence in the Order of the Phoenix. While Figg is allowed to join the Order of the Phoenix, she is limited to being Harry’s guardian from afar. She is not invited to any other events or given other duties. She is granted admittance to the wizarding world, which is more than the Ministry of Magic could permit her, but Figg is still restricted by productive constraints in power to essentially one outcome.

The overall goal of this paper was to reveal the mistreatment of Squibs in the HP universe. In doing so, it also showed what was possible for the future of this group.

Squibs are currently forbidden from attending Hogwarts because they are unable to do magic. However, the social model of disability says that this is not a result of an issue within the Squib, but rather with the society. Hogwarts itself is disabling the Squibs by refusing to allow them to take courses that are perfectly within their capabilities, and it will continue to do so until the attitudinal barriers held against Squibs are removed. When this happens, the Squibs will have more opportunities for work and expansion within the wizarding world, instead of being forced into passing as Muggles. Likewise, the Ministry of Magic is exercising its power over Squibs by banning them from certain skills, like breeding Kneazles, and blatantly discriminating against them. In a similar situation, the Order of the Phoenix creates productive constraints to keep Squibs within a confined area of aid to the organization. Both powers protect their worlds against these supposed second class citizens, and it shows. If this manner of behavior was not condoned, however, both governments might come to realize the value of the Squib community as individuals with a unique perspective and skill set.

Although it may be too late for Rowling to rectify the harsh and discriminatory treatment of Squibs within the Harry Potter series now, it is not too late for the Potterheads, or fans of Harry Potter, to change these characters’ fates. After the release of the series, the fandom took ownership of the books, forming clubs, creating art, and -- most importantly -- fanfiction, which are fictional stories written by fans of a work using already established characters. It is through fanfiction that the series is recreated and reworked, over and over again. And it is through fanfiction that Potterheads can transform the stigma of disability surrounding the Squibs into a new canon that tells of their bravery and usefulness. Beyond the discrimination and bitterness of Rowling’s world stands two characters deserving of a new life without abuse or condescension, and nuanced depictions of them may provide the forgiveness necessary for such honor.

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REFERENCES 1. Barron, D. & Heyman, H. (Producer), & Yates, D. (Director). (2007). Harry Potter and the Order of the Phoenix [Motion picture]. United Kingdom & United States: Warner Brothers.

5. Rowling, J. K. (2003). Harry Potter and the Order of the Phoenix. New York, NY: Scholastic.

2. Rowling, J.K. (1998). Harry Potter and the Chamber of Secrets. New York, NY: Scholastic.

7. Heery, Edmund & Noon, Mike (2017).

Social model of disability. A Dictionary of Human Resource Management (3rd ed.). 0.1093/ acref/9780191827822.001.0001

3. Rowling, J.K. (2007). Harry Potter and the Deathly Hallows. New York, NY: Scholastic.

4. Rowling, J. K. (2005). Harry Potter and the Half-Blood Prince. New York, NY: Scholastic.

6. Rowling, J. K. (1997). Harry Potter and the Sorcerer’s Stone. New York, NY: Scholastic.

8. Tremain, Shelley (Ed.). (2015). Foucault and the Government of Disability. Ann Arbor, MI: University of Michigan Press.

About the Author Megan Rhodes is a sophomore from Nazareth, Pennsylvania with a double major in English and Political Science. Her areas of interest include children’s and young adult literature, and gender, sexuality, and disability studies. Her previous research includes the influence of social media on the kpop industry, the development of Pennsylvania Dutch culture, and public opinion on the LGBTQ+ community.

Mentor Details This paper was written with the mentorship of Professor Robert McRuer.

Robert McRuer is a professor of English at The George Washington University. He has published multiple books on the subject of disability.

Additionally, he is considered one of the pioneers of queer disability studies, particularly for his development of crip theory.

142 KEYWORDS: breast cancer, oral contraceptives, cancer research, estrogen, birth control DOI: https://doi.org/10.4079/2578-9201.3(2020).05

Associated Risk Between Use of Oral Contraceptive Pills and Three Types of Breast Cancer: ER+, ER-, and TN ROSHNI RANGASWAMY Women, Gender, & Sexuality Studies, CCAS ‘22, roshnir@gwu.edu

ABSTRACT Around 9.5 million women between the ages of 15 and 44 use some form of oral contraceptives. Oral contraceptive pills typically consist of progestin and estrogens, synthetic versions of the hormones that a female-bodied person naturally produces and are used by many people for a various number of reasons; such reasons include regulating acne, controlling hormone production, and preventing pregnancy. One in eight women in the US is diagnosed with breast cancer over the course of her lifetime, and many of these cancers have hormone-related causes. However, there are three types of breast cancer specifically linked to the hormones that are found in oral contraceptive pills: estrogen receptor-positive, estrogen receptor-negative, and triple-negative. While the potential of oral contraceptive-related causes for these breast cancers have been studied at great length, researchers are often unable to confirm their finding of an associated risk between synthetic hormones in oral contraceptives and certain types of breast cancer.

Many studies agree that this associated risk exists, but stress the need for more involved research with more detailed and specific objectives. This literature review will provide insight into limitations of current research on the associated risk between oral contraceptives and breast cancer in order to fill research gaps and evaluate the certainty of current findings.

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INTRODUCTION Oral contraceptives, also known as birth control pills, have gained popularity as they have become more accessible over the last several years. The pill is used for many reasons, including reducing the appearance of acne, controlling hormone production, preventing pregnancy, managing irregularities with menstruation, and controlling the symptoms of Polycystic Ovarian Syndrome or endometriosis-related pain (Cooper et al., 2019).

Oral contraceptive pills typically consist of progestin and estrogens, which are synthetic versions of the hormones that female bodies naturally produce.

Based on the specific reason for which a woman uses oral contraceptives, the concentration of these hormones varies. As a result, there are different types of oral contraceptive pills with different compositions of hormones depending on a woman’s needs: the combined pill, which contains both progestin and estrogens; the progestin-only pill; and the estrogens-only pill (CDC, 2018a). There is no limit on the length of time during which a woman can use these three types of oral contraceptive pills . In fact choosing to take oral contraceptives for many years or until reaching menopause is seen as

acceptable as long as the person is healthy (CDC, 2017).

Almost 9.5 million women in the United States, aged 15 to 44, use some form of oral contraceptives (“Contraceptive use in the united states,” 2018).

This statistic highlights the magnitude of women, within a range of ages, who use oral birth control.

One in eight American women are diagnosed with breast cancer over the course of their lifetime (“U.S. breast cancer statistics,” 2018). Breast cancer has become increasingly common, hence more effort is being made to find its cause and expand treatment options. Recently, many studies have linked the use of oral contraceptives with breast cancer.

Many types of breast cancers exist, but the three specific types that are associated with estrogen and progesterone hormone levels in the female body are estrogen receptor-positive (ER+), estrogen receptor-negative (ER-), and triple-negative breast cancer (TNBC). Growth of cancerous cells is known to be promoted when the hormones progesterone and estrogen bind to receptors on breast tissue (American Cancer Society, 2017). Knowing whether or not the specific case of breast cancer is connected to either of these two types of receptor-related cancers is key to understanding and prescribing

THE GW UNDERGRADUATE REVIEW • VOLUME 3 the best treatment option. ER+ breast cancer means that the cancer has occurred due to the binding of estrogen to the receptor, whereas ER- breast cancer refers to breast cancer not caused by estrogen, but rather from another hormone (like progesterone) binding to different hormone receptors. Another kind of breast cancer is TNBC, wherein breast tissue does not have estrogen, progesterone, or HER2 hormone receptors (CDC, 2018b).

TNBC research is important because TNBC cells do not have the hormone receptors related with the ingestion of synthetic hormones, yet can have an associated risk with their use (“Breast cancer hormone receptor status,” 2017).

This review will examine existing research done on the correlation between the use of oral contraceptives and an associated risk for three types of breast cancer: ER+, ER- , and TNBC. Gaps in research need to be filled in order to allow more people in need of oral contraceptives to be able to use them without fear of potentially increasing their risk of breast cancer.

ESTROGEN RECEPTOR-POSITIVE (ER+) BREAST CANCER Many studies have found a significant relationship between estrogen receptor-positive breast cancer and oral contraceptives through odds ratio and hazard ratio values. A prospective study (a type of study that includes similar participants who only differ by certain attributes) conducted by Bethea et al. specifically looked at 1,848 African American women in the United States with ER+ breast cancer. Geographic location and age were controlled in this study, but the type of specific oral contraceptive used by the participants was not mentioned. For women who had used some form of general oral contraceptive in the last five years, the odds ratio was 1.46 (Bethea et al., 2015). An odds ratio value is a measure of association between an outcome and an exposure. It represents the odds of a certain outcome in relation to a certain or multiple exposures. The odds of a particular situation are then compared to the odds of the outcome occurring without that exposure to produce an odds ratio value (Szumilas, 2010). In the study by Bethea et al., the odds ratio value is 1.46; a value higher than 1 means that the exposure is associated with higher odds of that outcome. In the context of Bethea et al., there appears to be an association between ER+ breast cancer and oral contraceptives.

Busund et al. looked specifically at the use of progestin-only oral contraceptives in correlation with ER+ breast cancer in a cohort study. A total of 74,862 Norwegian women, aged 30-70, participated in the study over the span of 16 years. The researchers followed up repeatedly after seven or eight years, and a total 1,245 cases of premenopausal breast cancer were indicated.

The researchers depicted their findings through hazard ratio values. A hazard ratio also measures for association

143 between the likeliness of an outcome and exposure; however, it is represented through a number which establishes if the association is present in the group of focus in comparison with a control group (Spruance et al., 2004). Women who exclusively used the progestin-only oral contraceptives for more than five years had a hazard ratio of 1.87 (Busund et al., 2018). The hazard ratio value is above 1, which indicates an increased risk and association between the outcome and exposure, or breast cancer and progestin-only oral contraceptives.

A case-control study conducted by Beaber et al. in Cancer Research looked at the recent use of oral contraceptives and its association with breast cancer in women aged 20 to 49. There were approximately 1,120 participants that were studied over a period of 19 years. The women studied were exclusive to the Seattle area and used different forms of oral contraceptive pills, which had varying dosages of estrogen or progestin only. Beaber et al. came to the conclusion that the use of a high estrogen oral contraceptive pill (50 μg ethinyl estradiol or 80 μg mestranol) led to an odds ratio value of 3.9; this high value indicates a present association between high estrogen oral contraceptive pills and ER+ breast cancer. This study also looked at progestin-only oral contraceptives and found increased odds ratios for estrane progestin, norethindrone, and ethynodiol diacetate, with odds ratios of 2.1, 2.1, and 6.7 respectively (Beaber et al., 2014a). Such odd ratio values for the multiple types of progestin-only oral contraceptive pills show an association with ER+ breast cancer since they are all greater than 1. Limitations of this study include a lack of precise information regarding the duration of oral contraceptive use. Beaber et al. also only categorized the women by having “recently used” and “never/former used” without providing the specific number of years.

They simply mentioned that the women who received at least one oral contraceptive prescription before the reference date qualified for having “recently used” the pill (2014a).

Rosenberg et al. studied 907 women on the East Coast of the United States in a case-control study. These women were either Caucasian or African American, aged between 25 and 69, and used some type of oral contraceptive pill.

For ER+ breast cancer, the odds ratio for women who used an oral contraceptive pill for at least one year and who were under the age of 35 was 1.7, which indicates an increased association between ER+ breast cancer and oral contraceptive pills (Rosenberg et al., 2009).

Rosenberg et al. did not mention the precise duration of oral contraceptive use, while also imprecisely grouping their classification of use to more than one year (2009).

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ESTROGEN RECEPTOR-NEGATIVE (ER-) BREAST CANCER Studies have also found that there is an association, through odds ratio and hazard ratio values, between estrogen receptor-negative breast cancer and oral contraceptives. A study conducted by Bethea et al. looked at oral contraceptives in correlation with ERbreast cancer, specifically in African American women.

For women who had used some form of general oral contraceptive, the odds ratio was 1.57 for ER- breast cancer (Bethea et al., 2015), indicating an association between both the exposure and outcome.

A case-control, population-based study conducted

by Beaber et al., featured in Cancer Epidemiology, Biomarkers and Prevention, studied 943 women aged 20 to 44 residing in the Seattle area over a six year time period. These women used a combined version of the oral contraceptive pill, containing both estrogen and progestin. The study also assessed a dose-response for each type of combined oral contraceptive pill. All of the women participating in the study used the contraceptive pill for more than six months and knew the specific type of pill they were taking. Overall, this study found an odds ratio value of 2.0 in correlation with ER- breast cancer for women aged 20 to 44, all of whom used the combined oral contraceptive at the time of the study or in the last five years. The odds ratio increased to 3.5 for women aged 20 to 39, who used the combined oral contraceptive pill within the same time period (Beaber et al., 2014b). The difference in odds ratio values depending on age shows that there is a higher association between the combined oral contraceptive pill and ER- breast cancer for women who are aged 20 to 39.

A study published by Rosenberg et al. studied women who were Caucasian or African American and were aged between 25 and 69. All of the participants used some type of oral contraceptive pill. The odds ratio was 1.7, indicating a present association between ER- breast cancer for women under the age of 35 who used an oral contraceptive pill for more than one year (Rosenberg et al., 2009).

Busund et al. looked at both progestin-only and combined oral contraceptives in correlation with ERbreast cancer in their study. This study specifically looked at Norwegian women over a span of 16 years. Women who exclusively used the progestin-only oral contraceptive and those who exclusively used the combined oral contraceptive pill for more than five years had a hazard ratio value of 1.54 and 1.73, respectively (Busund et al., 2018). Since the hazard ratio values are both above one, they indicate a greater association between the combined oral contraceptive pill than the progestin-only oral contraceptive with ER- breast cancer since 1.73 is larger than 1.54.

As detailed above, the studies mentioned are all in agreement regarding an association between some form of oral contraceptive and ER- breast cancer. However, a study published by Beaber et al. in Cancer Research arrived at a different consensus than the studies previously mentioned. Their results indicated that there was not an associated risk between ER- breast cancer and combined oral contraceptives (Beaber et al., 2014a).

The most significant difference between this study and the other studies discussed above is their data collection method. Beaber et al. looked at prescriptions and detailed accounts of oral contraceptive use (Beaber et al., 2014a), while the study published in Cancer Epidemiology, Biomarkers and Prevention by Beaber et al. based their data collection on participantsâ&#x20AC;&#x2122; verbal recall (2014b).

Differences like these, which are critical in achieving an accurate finding, indicate that qualifiers and detailed information from participants are necessary.

TRIPLE NEGATIVE BREAST CANCER (TNBC) An informative case-control and meta-analysis study

by Li et al. published in Molecular and Clinical Oncology observed 15,427 women, 3,279 of which were diagnosed with TNBC. The study included women of different ethnic and racial backgrounds and took place over different time frames from 1993 to 2015. No specific information on the type of oral contraceptives used by the women in the study is available, but all of the women must have been on some form of oral contraceptive pill for at least one year to be considered an oral contraceptive user.

This study identified an odds ratio value of 1.21 (Li et al., 2017), indicating an association between TNBC and oral contraceptives used by women for at least a year, regardless of specific race or ethnicity.

In another study, Bethea et al. specifically looked for a correlation between oral contraceptives and TNBC in African American women.. The odds ratio for women who used some form of general oral contraceptive in the last five years was 1.78 (Bethea et al., 2015). Being above 1, this odds ratio value expresses an association between TNBC and oral contraceptives in African American women who used contraceptive pills in the last five years.

A study in Cancer Epidemiology, Biomarkers, and Prevention, conducted by Beaber et al., looked specifically at women in the Seattle area over a six year time period, and focused on the association between different doses of the combined oral contraceptive pill and TNBC. An odds ratio value of 2.2 was found for women aged 20 to 44 who used the combined oral contraceptive at the time of the study or in the last five years. The odds ratio increased to 3.7 for women aged 20 to 39 who used the combined oral contraceptive pill within the aforementioned time period (Beaber et al., 2014b). An increase in the odds ratio values indicates that there is a stronger association between combined oral contraceptive pill usage for more than five

THE GW UNDERGRADUATE REVIEW • VOLUME 3 years and TNBC in women aged 20 to 39, as opposed to the broader age range of 20 to 44.

FUTURE AREAS OF STUDY There are many inconsistencies in different aspects of the reviewed studies, most of which pertain to data collection and classification of oral contraceptive use. In order for there to be a definitive answer regarding a clear associated risk between oral contraceptive use and ER+, ER-, or TN breast cancer, certain improvements need to take place while conducting such studies.

Firstly, a case-control study looked at oral contraceptives in association with cancerous tumors of the milk ducts in the breast; this is referred to as breast cancer in situ, a type of breast cancer excluded from the studies previously mentioned. Conducted by Gill et al., this study offers insight regarding prospective improvements for cancer research, the foremost being to assess the use and chemical makeup of oral contraceptives (2006). With this information, the factors that make oral contraceptives harmful can be pinpointed and new formulations of the pill can be produced, allowing women to continue using oral contraceptives with fewer risks.

Secondly, a study by Beaber et al. proposed the need for a more thorough history check on the women in these trials, using sources such as pharmaceutical records, which would allow doctors to be able to prescribe them birth control that would not harm them. This improvement would prevent miscalculations in association between breast cancer and oral contraceptive use, as well as aid in the formation of better and unique treatment plans for women depending on the contraceptive they use (2014b).

Lastly, one case-control and meta-analysis study criticized all of the assumptions that different experiments make in associating the use of oral contraceptives, specifically the consumption of synthetic estrogens, in relation to breast cancer. In the end, the study mentions the importance of understanding the specific type of oral contraceptive used by the women in the study, the exact time they used it and at what stages in their lives, as well as looking more closely into their life history and ethnicity (Soroush et al., 2016). By gathering more information on factors that potentially influence both variables, more directed studies can be performed in order to confirm whether there is an associated risk between oral contraceptives and breast cancer.

Using these recommendations for improvement will allow more women to be aware of potential risks so that they can make healthy decisions regarding their oral contraceptives. Additionally, promoting research is necessary to create healthier forms of oral contraceptives, which will allow women to benefit from a commonly used medication without fear of its potential correlation with certain types of breast cancer.

145 CONCLUSION Estrogen receptor-positive, estrogen receptornegative, and triple-negative breast cancer all express odds ratio and hazard ratio values above one, indicating that there is an association between these types of breast cancers and oral contraceptive pills. All of the studies mentioned specify different types of oral contraceptives; however, the association between the outcome and exposure is still very much present between the oral contraceptives and ER+, ER-, and TN breast cancers.

Some values were considerably greater than one , while others were only slightly above. Regardless, the value being above one expresses how there is an increased positive association.

In order to provide clearer and more definitive results, it is necessary for future experiments to focus more on data collection methods, chemical makeup of oral contraceptives and their influence, personal histories of participants, and the overall need for specificity when looking for an association. By following these suggestions, researchers will be able to better understand the relationship between oral contraceptives and estrogen receptor-positive, estrogen receptor-negative, and triple-negative breast cancer, allowing more women to use this resource without facing potential harm.

REFERENCES 1. Beaber, E. F., Buist, D. S. M., Barlow, W. E., Malone, K. E., Reed, S. D., & Li, C. I. (2014a).

2. Recent oral contraceptive use by formulation and breast cancer risk among women 20–49 years of age. Cancer Research, 74(15), 4078–4089. http://doi. org/10.1158/0008-5472.CAN-13-3400 3. Beaber, E. F., Malone, K. E., Tang, M. T., Barlow, W. E., Porter, P. L., Daling, J. R., & Li, C. I. (2014b). Oral contraceptives and breast cancer risk overall and by molecular subtype among young women. Cancer Epidemiology, Biomarkers & Prevention, 23(5), 755764. http:// doi.org/10.1158/1055-9965.EPI-13-0944 4. Bethea, T. N., Rosenberg, L., Hong, C. C., Troester, M. A., Lunetta, K. L., Bandera, E. V., Schedin, P., Kolonel, L. N., Olshan, A. F., Ambrosone, C. B., …

Palmer, J. R. (2015). A case-control analysis of oral contraceptive use and breast cancer subtypes in the african american breast cancer epidemiology and risk consortium. Breast Cancer Research, 17(1), 22. https://doi.org/10.1186/s13058-015-0535-x

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5. Breast cancer hormone receptor status. (2017).

Retrieved from https://www.cancer.org/cancer/ breast-cancer/understanding-a-breast-cancerdiagnosis/breast-cancer-hormone-receptor-status. html 6. Busund, M., Bugge N. S., Braaten, T., Waaseth, M., Rylander, C., & Lund, E. (2018). A progestin-only and combined oral contraceptives and receptor- defined premenopausal breast cancer risk: The Norwegian women and cancer society. International Journal of Cancer, 142(11), 2293-2302. https://doi.org/10.1002/ ijc.31266 7. CDC. Contraception. (2018a). Retrieved from https:// www.cdc.gov/reproductivehealth/contraception/ index.htm 8. CDC. Triple-negative breast cancer. (2018b).

Retrieved from https://www.cdc.gov/cancer/ breast/triple-negative.htm 9. CDC. When women can stop using contraceptives.

(2017). Retrieved from https://www.cdc.gov/ reproductivehealth/contraception/mmwr/spr/ stop_using_contraceptves.html 10. Contraceptive use in the United States. (2018).

Retrieved from https://www.guttmacher.org/factsheet/contraceptive-use-united-states 11. Cooper, B. D., Adigun, R., & Bhimji, S. S. (2019). Stat Pearls. Retrieved from https://www.ncbi.nlm.nih. gov/books/NBK430882/#_NBK430882_pubdet_ 12. Gill, K. J., Press, F. M., Patle, V. A., & Bernstein, L. (2006). Oral contraceptive use and risk of breast carcinoma in situ (United States). Cancer Causes & Control, 17(9), 1155-1162. https://doi.org/10.1007/ s10552-006-0056-0

13. Li, L., Zhong, Y., Zhang, H., Yu, H., Huang, Y., Li, Z., Chen, G., … Hua, X. (2017). Association between oral contraceptive use as a risk factor and triple-negative breast cancer: A systematic review and metaanalysis. Molecular and Clinical Oncology, 7(1), 76-80. https://doi.org/10.3892/mco.2017.1259 14. Oral contraceptives and cancer risk. (2018).

Retrieved from https://www.cancer.gov/aboutcancer/causes-prevention/risk/hormones/oralcontraceptives-fact-sheet).

15. Rosenberg, L., Zhang, Y., Coogan, P. F., Strom, B. L., & Palmer, J. R. (2009). A case-control study of oral contraceptive use and incident breast cancer.

American Journal of Epidemiology, 169(4), 473–479. https://doi.org/10.1093/aje/kwn360 16. Soroush, A., Farshchian, N., Komasi, S., Izadi, N., Amirifard, N., & Shahmohammadi, A. (2016). The role of oral contraceptive pills on increased risk of breast cancer in Iranian populations: A meta-analysis.

Journal of Cancer Prevention, 21(4), 294-301. https:// doi.org/10.15430/JCP.2016.21.4.294 17. Spruance, S. L., Reid, J. E., Grace, M., & Samore, M. (2004). Hazard ratio in clinical trials. Antimicrobial agents and chemotherapy, 48(8), 2787–2792. https:// doi.org/10.1128/AAC.48.8.2787-2792.2004 18. Szumilas M. (2010). Explaining odds ratios. Journal of the Canadian Academy of Child and Adolescent Psychiatry, 19(3), 227–229. https://www.ncbi.nlm.nih. gov/pmc/articles/PMC2938757/ 19. U.S. breast cancer statistics. (2018). Retrieved from https://www.breastcancer.org/symptoms/ understand_bc/statistics

About the Author Roshni Rangaswamy is from Ann Arbor, Michigan and is a sophomore at GW and she is in the Columbian College of Arts and Science; she intends to major in Women, Gender, and Sexuality Studies and minor in Biology. She is currently involved in research that studies environmental chemicals and its connection to the growth and presence of uterine fibroids and she also volunteers at GW Hospital. During her freshman year, Roshni was a part of the Science, Health and Medicine Cohort in the Women’s Leadership Program. Roshni aspires to be a health care professional in the field of women’s health (obstetrics and gynecology).

Mentor Details This paper was written with the mentorship of Dr. Carly Jordan .

Dr. Carly Jordan is an Assistant Professor of Biology at GW as well as a part of the faculty for the Honors Program. She is the coordinator for the Science, Health, and Medicine program which is a part of the Women’s Leadership Program. Dr. Jordan is also a research fellow at the Global Women’s Institute and focuses on female STEM majors at GW in comparison with female non-STEM majors, as well as assessing if female role models play a role in the decision of female STEM majors.

147 KEYWORDS: Alzheimer’s disease, Mediterranean diet, olive oil, biomarkers, preventative medicine DOI: https://doi.org/10.4079/2578-9201.3(2020).09

The Mediterranean Diet in Preventing Alzheimer’s Disease FATIMA TOURK Biomedical Engineering, SEAS ‘21, gwu7007@gwu.edu

ABSTRACT Alzheimer’s disease is a brain disorder that negatively affects memory and other cognitive abilities, including language and maintaining one’s orientation. Eventually, one’s ability to function cognitively or physically ceases altogether. The Mediterranean diet is characterized by large amounts of fruits, vegetables, olive oil, and a lack of red meat. Such a diet is most often consumed near areas surrounding the Mediterranean Sea and has been linked to a reduced risk of Alzheimer’s disease. This correlation is crucial to study as there is no current effective treatment for Alzheimer’s disease. Understanding what can prevent this disease is important for public health, in addition to helping to identify the causes of the disease, which aid in creating effective treatments in the future. In this paper, research on the link between the Mediterranean diet and the risk of developing Alzheimer’s disease as one ages will be examined. Evidence shows that people who follow the Mediterranean diet have a lower risk of Alzheimer’s as they grow older. Research indicates that this is due to the polyphenols in olive oil—a staple in the Mediterranean diet—and the general heart and body health that the diet promotes. This healthy diet also reduces obesity, which is linked to an increased risk of Alzheimer’s disease. In the future, more effort should be put into impeding the development of Alzheimer’s disease, which could potentially be done using knowledge of which populations are at risk, critical biomarkers of the disease, and preventative measures like the Mediterranean diet.

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INTRODUCTION Alzheimer’s disease is a brain disorder that negatively affects memory, other cognitive abilities such as language and orientation, and eventually the ability to function altogether. Alzheimer’s is the most common cause of dementia, which is the loss of cognitive function. When a person has Alzheimer’s disease, there is inflammation in the brain and abnormal deposits of proteins form tau tangles and amyloid plaques in the brain, causing neurons to die and brain tissue to shrink. These physiological effects begin to happen years before the person with the disease shows symptoms. Alzheimer’s disease is caused by a combination of genetic and environmental factors, but it is not clear exactly how they interact or how to predict whether or not someone will have Alzheimer’s when they are older (NIH, 2016). It is known that Alzheimer’s is linked to the apolipoprotein E ε4 (APOE ε4) allele. Alleles are alternate forms of a gene, which are found at the same place on a chromosome. One study showed that risk for Alzheimer’s disease increased from 20% to 90% in families with a history of Alzheimer’s disease. While the average age of Alzheimer’s onset was 68 in people with the allele, the average onset age in people without the allele was 84 (Corder et al., 1993). However, if one has the allele, they will not

necessarily develop Alzheimer’s disease.

Alzheimer’s disease is important to study because there is currently no effective treatment for this condition. In 2017, 44 million people had Alzheimer’s or a related dementia disorder worldwide. It is the sixth leading cause of death in the United States, and the number of people with Alzheimer’s disease is only expected to rise in the future. By 2050, 16 million Americans are expected to be living with Alzheimer’s disease (Alzheimer’s Statistics, 2017).

Thus, understanding this disease is crucial to finding prospective treatment options.

The Mediterranean diet is based on the typical cuisine of people in countries surrounding the Mediterranean Sea, including Italy, Greece, and Turkey. The diet mainly consists of foods from plants (fruits and vegetables) and carbohydrates (potatoes, beans, bread). Diet practitioners get most of their fat from olive oil and typically eat fresh fruit for dessert. Dairy, fish, poultry, and wine are consumed in small to moderate amounts, and the diet is low in saturated fats and red meat (Willett et al., 1995). The diet is associated with low obesity rates, and people from this region had some of the lowest rates of heart disease, certain cancers, and other dietrelated diseases at the time of this literature review.

In a study on elderly people without dementia,

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scientists observed which diet resulted in the lowest risk of Alzheimer’s disease. The diet with the lowest incidence of Alzheimer’s disease was “characterized by higher intakes of salad dressing, nuts, fish, tomatoes, poultry, cruciferous vegetables, fruits, and dark and green leafy vegetables and a lower intake of high-fat dairy products, red meat, organ meat, and butter” (Yian et al., 2010, 699-706). Such a description closely resembles the Mediterranean diet, suggesting that this diet reduces the risk of Alzheimer’s disease.

Early research prompted scientists to investigate this relationship between Alzheimer’s disease and the Mediterranean diet among a group of elderly people.

Doctors studied 1,880 individuals, checking in with them every 1.5 years from 1992 to 2006 and measuring their adherence to a physical exercise regimen and Mediterranean diet. They discovered that groups of people who adhered only to regular physical activity or only to the Mediterranean diet both had lower incidence of Alzheimer’s disease compared to people who did neither, and people who adhered to both physical activity and the Mediterranean diet had lower incidence of Alzheimer’s disease than those who adhered to neither (Scarmeas et al., 2009). These results again indicate that following the Mediterranean diet reduces the risk of developing Alzheimer’s disease.

The aim of this literature review is to discuss two of the mechanisms that explain how the Mediterranean diet might lower the risk of Alzheimer’s disease: reducing obesity and increasing the intake of olive oil. Alzheimer’s disease is very widespread, but discovering how to potentially prevent it furthers our understanding of the disease, so that one day we can devise methods of treatment and eradicate it altogether.

POTENTIAL MECHANISMS TO PREVENT ALZHEIMER’S DISEASE THROUGH THE MEDITERRANEAN DIET: REDUCING OBESITY A significant method by which the Mediterranean diet reduces the risk of developing Alzheimer’s disease is through decreasing rates of obesity. In a university teaching hospital, doctors studied people with and without Alzheimer’s disease, discovering that people with Alzheimer’s had a higher fasting glucose and lower insulin sensitivity than people without Alzheimer’s (Meneilly & Hill, 1993). These results were corroborated by a more recent study which also found that higher fasting glucose levels in non-diabetic adults were associated with Alzheimer’s disease. In addition, these higher glucose levels were only in the parts of the brain that Alzheimer’s disease affects, further solidifying the connection between Alzheimer’s disease and high glucose levels (Burns et al., 2013). Higher fasting glucose and low insulin sensitivity are characteristic of people who are overweight or obese (Akter et al., 2017). These results lend

themselves to the hypothesis that obesity and Alzheimer’s disease are linked; thus, preventing obesity could reduce the risk of developing Alzheimer’s disease.

The connection between Alzheimer’s disease and obesity is also demonstrated in a study done on mice, where mice with a genetic variant associated with Alzheimer’s disease (APOE4) were discovered to be more likely to develop Alzheimer’s disease if they were obese; mice were fed a diet high in fat and sugar to become obese. However, mice that had a version of the gene not linked to Alzheimer’s disease (APOE3) did not develop the disease despite also being obese. Published in the journal eNeuro, the study also showed that obese mice had higher amounts of amyloid deposits which, as mentioned earlier, are the result of Alzheimer’s disease (Moser & Pike, 2017). These results indicates that obesity alone does not cause Alzheimer’s disease—one has to have the APOE4 allele to develop the disease. However, if an individual has this genetic variant they will not necessarily develop the disease. Following an unhealthy diet and contracting obesity increases the risk of developing Alzheimer’s for those who are already susceptible. Since this study was conducted on mice, it is important to note that further research is needed to confirm the relationship between APOE4, obesity, and Alzheimer’s disease in humans.

In a study on how genes interact with the environment, doctors studied people with normal body mass index (BMI), overweight BMI, and obese BMI, and each group included people with and without the apolipoprotein E ε4 allele (APOE ε4). Likelihood of cognitive decline decreased with the presence of the APOE4 ε4 allele if one had a normal BMI, suggesting that people who are overweight or obese have a higher likelihood of mental deterioration, especially if they have the allele (Kumar, Skarupski, Rasmussen, & Evans, 2014). This seemingly confirms that the relationship between cognitive decline and obesity found in mice also exists in humans. However, this study focused on general cognitive decline, not Alzheimer’s disease specifically. Further research is needed to identify the correlation between the APOE ε4 allele, obesity, and Alzheimer’s disease in humans.

In a genetic study, single nucleotide polymorphisms (SNPs) associated with obesity or Alzheimer’s disease were collected and compared. SNPs are differences in gene sequences of DNA (the carrier of genetic material) between people in which only one nucleotide (a unit of DNA) is changed. Thirty-one SNPs were associated with both an increased risk of obesity and Alzheimer’s disease. The shared SNPs between Alzheimer’s disease and obesity are linked to seven genes and ten biological pathways (Zhuang et al., 2017). Biological pathways are a series of reactions in a cell that lead to some product or change in said cell. This study demonstrates that obesity and Alzheimer’s disease are linked since some of the same genetic material in humans is associated with both conditions. This evidence is in accordance with the

THE GW UNDERGRADUATE REVIEW • VOLUME 3 previously mentioned studies, which also suggest that Alzheimer’s disease and obesity are related. However, this study is more convincing, as it demonstrates a genetic link between the two conditions in humans, while other studies simply compared symptoms or were not specific to Alzheimer’s disease. Regardless, each of the aforementioned studies does connect obesity to Alzheimer’s disease, indicating that preventing obesity may reduce the risk of developing Alzheimer’s disease in old age.

POTENTIAL MECHANISMS TO PREVENT ALZHEIMER’S DISEASE THROUGH THE MEDITERRANEAN DIET: OLIVE OIL Olive oil, particularly as a part of the Mediterranean diet, has been shown to prevent cognitive decline. In a randomized study, healthy patients at a high risk of cardiovascular disease were put into three groups: one control diet where participants were told to reduce dietary fat; and two on Mediterranean diet, one supplemented with additional nuts and another supplemented with additional olive oil. Both groups on the Mediterranean diet had significantly less cognitive decline, as measured over six years by the Wechsler Memory Scale, Color Trail Test, and Rey Auditory Verbal Learning Test, along with other assessments (Valls-Pedret et al., 2015). However, reduced rates of cognitive decline were also found in individuals that supplemented their diet with nuts, which casts suspicion on whether or not olive oil is the keystone component of the Mediterranean diet that prevents Alzheimer’s disease. Although cognitive decline is only a symptom and not a cause of Alzheimer’s disease, preliminary research linking olive oil with protecting against cognitive decline suggests more studies should be conducted on whether olive oil consumption prevents the onset of Alzheimer’s disease.

A promising study that solidifies this link investigated the phenols in olive oil: (3,4-dihydroxyphenyl)ethanol (DPE) and (p-hydroxyphenyl)ethanol (PE). By studying these phenols, doctors discovered that olive oil protected human cells, allowing them to continue being viable even after exposure to hydrogen peroxide or xanthine oxidase, both of which put oxidative stress on cells. In contrast, when the cells were not exposed to olive oil, they were unviable after exposure to hydrogen peroxide or xanthine oxidase. These results demonstrate the antioxidative properties of olive oil. The study concluded that phenols in olive oil could be used to protect against inflammatory diseases (Manna et al., 1997). Alzheimer’s disease is an inflammatory disease, so a high intake of olive oil, characteristic of the Mediterranean diet, could be beneficial in preventing Alzheimer’s disease.

Oleocanthal (OC), a phenol, is naturally found in extra virgin olive oil. A study of cells in vitro showed that treating synapses with OC resulted in less synaptic

149 deterioration. Additionally, treated synapses did not attack amyloid beta-derived diffusible ligands (ADDLs), compounds that have possible therapeutic properties for Alzheimer’s disease (Pitt et al., 2009). Thus, research suggests that olive oil is beneficial for Alzheimer’s disease not only because it slows synapse deterioration, but also because it allows therapeutic compounds like ADDLs to enter the body that can help to treat the disease.

FUTURE RESEARCH: BIOMARKERS AND INCREASED COMMUNICATION OF THE MEDITERRANEAN DIET While research on the Mediterranean diet has shown several promising correlations between the Mediterranean diet and a decrease in rates of Alzheimer’s disease no indication of how to effectively treat or diagnose the disease have been made. In the future, fighting Alzheimer’s disease could be spearheaded by further research into biomarkers, which will enable people to determine whether they have Alzheimer’s disease before symptoms develop, allowing them to begin treatment earlier. Furthermore, greater effort should be put into informing high risk populations, including women, African and Hispanic Americans, people with heart disease and/or diabetes, and people with a family history of Alzheimer’s disease, of the potentially protective nature of the Mediterranean diet (Alzheimer’s Statistics, 2017).

Biomarkers are measurable substances that indicate disease, infection, or environmental exposure. In the JAMA Neurology journal, a study shows that cerebrospinal fluid (CSF) beta-amyloid1-42 (Aβ42) can very accurately detect abnormal levels of Aβ deposition, which is a telltale sign of Alzheimer’s disease (Palmqvist et al., 2014). Thus, CSF is valuable for determining whether someone has Alzheimer’s disease before symptoms develop, making it viable as a biomarker. Biomarkers like CSF Aβ42 could be used in conjunction with current statistics of at-risk populations to determine which groups of people most need to be informed of the benefits of the Mediterranean diet.

CONCLUSIONS Currently, the inverse relationship between the Mediterranean diet and Alzheimer’s disease is demonstrated through the Mediterranean diet’s reduction of obesity and the addition of the potentially healing phenols in olive oil, both of which have been independently linked to a lower incidence of Alzheimer’s disease. In addition, the Mediterranean diet as a whole has been connected to this same reduction of risk. As new research surfaces and we continue to expand our knowledge on what causes and potentially prevents Alzheimer’s disease, we can eventually understand how to treat it. For the immediate future, however,

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efficiently preventing Alzheimer’s disease should focus on populations most at risk, implementing the use of novel biomarkers to diagnose Alzheimer’s disease before symptoms manifest, and spreading the word about preventative measures like the Mediterranean diet. While these suggestions are not permanent solutions, they could dramatically decrease the incidence of Alzheimer’s disease—a step in the right direction.

REFERENCES 1. Akter, R., Nessa, A., Husain, M. F., Wahed, F., Khatun, N., Yesmin, M., Nareen, S., Tajkia, T. (2017). Effect of Obesity on Fasting Blood Sugar. Mymensingh Medical Journal, 26(1), 7-11.

8. Moser, V. A., & Pike, C. J. (2017). Obesity accelerates Alzheimer-related pathology in APOE4 but not APOE3 mice. eNeuro. 4(3). https://doi.org/10.1523/ ENEURO.0077-17.2017

2. Alzheimer’s Statistics. (2017). Retrieved March 20, 2018, from https://www.alzheimers.net/resources/ alzheimers-statistics/

9. National Institute of Health. (2016). Alzheimer’s disease fact sheet. Retrieved from https://www. nia.nih.gov/health/alzheimers-disease-factsheet#changes

3. Burns, C. M., Chen, K., Kaszniak, A. W., Lee, W., Alexander, G. E., Bandy, D., Fleisher, A. S., Caselli, R. J., & Reiman, E. M. (2013). Higher serum glucose levels are associated with cerebral hypometabolism in Alzheimer regions. Neurology, 80(17), 1557– 1564. http://doi.org/10.1212/WNL.0b013e31828f17de 4. Corder, E. H., Saunders, A. M., Strittmatter, W. J., Schmechel, D. E., Gaskell, P. C., Small, G. W., Roses, A. D., Haines, J. L., & Pericak-Vance, M. A. (1993). Gene does of apolipoprotein E type 4 allele and the risk of Alzheimer’s disease in late onset families. Science Magazine, 261(5123), 921-923.

5. Kumar, R. B., Skarupski, K. A., Rasmussen, H. E., & Evans, D. A. (2014). Gene-environment interaction of body mass index and apolipoprotein E ε4 allele on cognitive decline. Alzheimer’s Disease and Associated Disorders, 28(2), 134-140. https://dx.doi. org/10.1097%2FWAD.0000000000000013 6. Manna, C., Galletti, P., Cucciolla, V., Moltedo, O., Leone, A., & Zappia, V. (1997). The protective effect of the olive oil polyphenol (3,4-Dihydroxyphenyl)ethanol counteracts reactive oxygen metabolite– induced cytotoxicity in caco-2 cells. The Journal of Nutrition, 127(2), 286-292. http://jn.nutrition.org/ content/127/2/286.full 7. Meneilly, G. S., & Hill, A. (1993). Alterations in glucose metabolism in patients with Alzheimer’s disease.

Journal of the American Geriatrics Society, 41(7), 710714. doi.org/10.1111/j.1532-5415.1993.tb07458.x

10. Nameni, G., Farhangi, M. A., Hajiluian, G., Shahabi, P., & Abbasi, M. M. (2017). Insulin deficiency: A possible link between obesity and cognitive function. International Journal of Developmental Neuroscience, 59, 15-20. https://doi.org/10.1016/j. ijdevneu.2017.02.008 11. Palmqvist, S., Zetterberg, H., Blennow, K., Vestberg, S., Andreasson, U., Brooks, D. J., Owenius, R., Hagerstrom, D., Wollmer, P., Minthon, L., & Hansson, O. (2014). Accuracy of brain amyloid detection in clinical practice using cerebrospinal fluid β-amyloid 42: A cross-validation study against amyloid positron emission tomography. JAMA Neurology, 71(10), 12821289. doi.org/ 10.1001/jamaneurol.2014.1358.

12. Pitt, J., Roth, W., Lacor, P., Blankenship, M., Velasco, P., De Felice, F., Breslin, P., & Klein, W. L. (2009).

Alzheimer’s-associated Aβ oligomers show altered structure, immunoreactivity and synaptotoxicity with low doses of oleocanthal. Toxicology and Applied Pharmacology, 240(2), 189-197. https:// dx.doi.org/10.1016%2Fj.taap.2009.07.018 13. Scarmeas, N., Luchsinger, J.A., Schupf, N., Brickman, A. M., Cosentino, S., Tang, M. X., & Stern, Y. (2009).

Physical activity, diet, and the risk of Alzheimer’s disease. JAMA, 302(6), 627-637. doi.org/10.1001/ jama.2009.1144 14. Valls-Pedret, C., Sala-Vila, A., Serra-Mir, M., Corella, D., de la Torre, R., Martinez-Gonzalez, M. A.,

THE GW UNDERGRADUATE REVIEW • VOLUME 3 Martinez-Lapiscina, E. H., Fito, M., Perez-Heras, A., Salas-Salvado, J., Estruch, & R., Ros, E. (2015).

Mediterranean diet and age related cognitive decline: A randomized clinical trial. JAMA Internal Medicine, 175(7), 1094-1103. doi.org/10.1001/ jamainternmed.2015.1668

151 17. Zhuang, Q., Zheng, H., Gu, X., Shen, L., & Ji, H. (2017).

Detecting the genetic link between Alzheimer’s disease and obesity using bioinformatics analysis of GWAS data. Oncotarget, 8(34), 55915-55919. doi. org/10.18632/oncotarget.19115

15. Willett, W.C., Sacks, F., Trichopoulou, A., Drescher, G., Ferro-Luzzi, A., Helsing, E., & Trichopoulos, D. (1995). Mediterranean diet pyramid: A cultural model for healthy eating. The American Journal of Clinical Nutrition, 61(6), 1402S-1406S. http://ajcn.nutrition. org/content/61/6/1402S.short 16. Yian, G., Nieves, J. W., Stern, Y., Luchsinger, J. A., & Scarmeas, N. (2010). Food combination and Alzheimer’s disease, a protective diet. JAMA Neurology, 67(6), 699-706. doi.org/10.1001/ archneurol.2010.84

About the Author Fatima Mumtaza Tourk is a junior studying biomedical engineering. She works in Dr. Park’s Assistive Robotics TeleMedicine laboratory, and is also the event management intern at the Reed Society for the Sacred Arts. She is a member of Alpha Omega Epsilon, a sorority for women in STEM, and is the Event Chair for the Muslim Students’ Association. In addition, she is a graduate of the Women’s Leadership Program and a member of Tau Beta Pi, an honors society for engineering. She hopes to fix problems in the healthcare industry with technological solutions.

Mentor Details This paper was written with the mentorship of Dr. Carly Jordan .

Dr. Carly Jordan is an Assistant Professor of Biology, and the coordinator of the Science, Health, & Medicine Cohort in the Women’s Leadership Program. She has a PhD in cellular biology from the University of Georgia, and her current scholarship focuses on science education, and exploring factors that encourage women to persist in STEM majors. In particular, she aims to understand if undergraduate programs like the Women’s Leadership Program encourage students to pursue science careers after graduation.

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SCOPE The GW Scope is the online news edition of the GW Undergaduate Review, keeping the George Washington University up to date with important events and advancements in science and policy, including related research at GW. We seek to engage the GW community with the intersection of science with modern society, including policy, culture, and the future.

THE GW UNDERGRADUATE REVIEW • VOLUME 3

Is it Love?

BY JANAVI KANAGASUNDARAM International Affairs, ESIA ‘23, janavisk@gwu.edu

The letter is pried open by experienced fingers, the paper cutting apart smoothly. It’s addressed to an immortal beloved, and it tells the story of an adventure far, far away, added to a series of questions about how things have been back home. The letter smells faintly of the sea breeze. A soft smile forms, a hand touches a fountain pen to a fresh leaf of paper, and the ink flows.

A woman bedecked in jewelry and fine clothes approaches a man seated in her living room, a slight blush on her cheeks as she feels the awkwardness of this first meeting. The man’s nervousness is apparent through his clumsy opening remarks, but his continued effort at conversation sparks laughter in her, and all discomfort dissipates. Within a few days, marriage invitations are being sent out to friends and family.

“It’s a match!” pops up onto the screen, and suddenly, a new connection between two people who have never met before is formed. There’s a certain tension in the air: the conversations that will follow must proceed carefully, each word measured; otherwise things could fall apart quickly. Fast forward a few months and many meet-ups, and these two people have officially become a couple—or have found themselves incompatible and returned to the world of online dating.

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The marketplace of romance has opened up at every corner with the rising popularity of online dating sites.

A recent report from the Pew Research Center indicates that almost 30% of adults in the United States have used a dating app or website in their search for a romantic relationship, a marked increase compared to 2013, where only 11% of adults reported using one (Anderson, Vogels, & Turner, 2020). Take a look at any college campus, and you can find throngs of people who are experimenting with different sites to find matches. Casual sex and hookups are much more common, especially amongst this target age group, and the concept of exclusivity is no longer assumed. Relationships are less structured than they were even a few decades ago, and this relaxation of the rules has led to new benefits as well as new problems, all in the name of modernization and increased freedom (“Changing Patterns,” 2004). There remain currents of the older, more romantic notions of love in popular culture, but they have been vastly overtaken by these modern ideals.

How exactly did we get here? In older days of human history, relationships existed for the purpose of procreation and survival. Economic status and practicality were the deciding factors, not compatibility or attraction (Manson, 2020). Since people were tied to their lands, marriage alliances took place in neighboring areas and communities, making it an efficient way of adding to the family wealth and to the number of helping hands on the farm. The late 1700s brought about the Industrial Revolution and witnessed a profound geographical shift in the United States, with families breaking up as they

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moved to cities, leaving behind both their land and their marriage practices (Manson, 2020). In its place arose the more familiar concept of romantic love, driven by the Enlightenment and changing philosophical ideas about the power of this basic sexual instinct, the power of eros.

Where desire was once seen as a characteristic needing to be controlled, this new wave of thought rendered it

“

In its place arose the more familiar concept of romantic love, driven by the Enlightenment and changing philosophical ideas about the power of this basic sexual instinct, the power of eros.”

a more simple aspect of human nature that should be encouraged and supported (Lee, 2017). More stringent rules revolving around the practices of courtship, where young couples still remained under the careful supervision of elder family members, disintegrated with the counterculture movement of the 1960s. The introduction of the internet and the website Match.com created a direct segue into the dating scene of today (Lee, 2017; “Infographic: A History,” 2013).

In many ways, these changes have had significant positive results, ranging from increased LGBTQ+ rights and awareness, greater social mobility across economic, cultural, and geographical differences, and a heightened spirit of freedom that comes with the nature of these sites being readily available to anyone with a phone and an internet connection (Fetters, 2018). No longer is there a requirement to exert significant physical effort in order to meet new people; they can do so from the comfort of their own sofas. On the other hand, a barrage of studies investigating the effects of websites like Tinder have identified several consequences which result from their use, such as the finding that “Tinder users have higher levels of the Dark Triad personality traits (i.e., machiavellianism, narcissism, and psychopathy) compared to non-users’’ (Sevi, 2019). Others point out that the unlimited number of options leads to a “choice overload” which renders our confidence in our decisionmaking skills less effective (Henderson, 2018).

It does, however, seem fair to say that this “modernization effort” of romance, championed by the West, is being mirrored across the world: there are lower rates of fertility, increases in average marriage age, and shifts to greater numbers of nuclear families in place of joint families, many of which result from educational efforts and concerns over population sustainability (“Disintegration of the joint family system,” 2017; Roser, 2014). The patterns are similar, but the real question lies

with the culture. Has the meaning of love in other parts of the world changed to follow the trends of the West?

At first glance, it certainly seems so. Statistics of dating app usage find drastic increases around the world, from 12 million users in Brazil to 4.7 million in Japan. India and China find themselves at the top of the list, with 20.3 million and 62.4 million users, respectively (“Online Dating”). The United States stands at 30.45 million as of 2019, with an expected projection rate to 35.4 million in the next five years (“Online Dating”). Dating is a more commonly found concept cross-culture, and it’s certainly taken hold in popular entertainment industries.

But certain aspects remain different. The concept of arranged marriage has all but disappeared from the culture of the United States, but it retains not only a strong presence but a growing one in some South Asian countries (Patel, 2018). In many ways, some online dating sites have been monopolized by parents seeking brides and grooms for their children, transforming them into an extension of long entrenched South Asian practices.

These sites are further broken down by religion, state, and caste: three factors commonly used to match individuals (Emery, 2019). However, a high percentage of arranged marriages in today’s world note that there is now an ability to say no, to decline the invitation, instead of being forced into it (Emery, 2019). Research states that “instead of displacing parents, young women increasingly worked with parents to choose husbands collectively” (Allendorf & Pandian, 2016). The methods of the West have been integrated into the traditions of these countries.

Although dating apps and sites are frequented more often in East Asian countries like Japan and South Korea, the overall trend of relationships seems to be different. A study from the American Sociological Association found that there is a rising number of single people due to less emphasis on finding a partner among these countries (Park, 2015). Younger Koreans are no longer looking at marriage—the traditional path forward for everyone—as

“

Even within the same region, the patterns of romance are facing different directions, and neither of them are following the path of mainstream Western culture.”

necessary, and that same attitude is projected towards dating. On the other hand, upon interviewing Chinese individuals, researchers found that “when asked about love, many people in China will talk about melding two families, or carrying on the family name. They’re likely to emphasize long-term attachment, rather than

THE GW UNDERGRADUATE REVIEW • VOLUME 3 Hollywood-style romance. They’ll talk about duty and commitment” (Winter, 2014). Even within the same region, the patterns of romance are facing different directions, and neither of them are following the path of mainstream Western culture. In many ways, these trends would be evidence that modernization theory, the belief that industrialization and economic development lead directly to positive social and political change that mirrors countries like the United States, doesn’t capture the full story (Allendorf & Pandian, 2016).

The history of romance, the history of love, is vastly different in each country and culture, and its future course is not following any sort of template. Although the idea that the world is transitioning towards Western ideals of love seems prevalent in some forums of thought like modernization theory, the empirical evidence paints an entirely different picture. Love is an emotion that we all share, but its roots and its expression do not take up the same form. In a multicultural area like our own, it’s best to remember that what we see as our version of love

155 might not be the same for others, and that’s perfectly fine. Living within the United States does not necessitate a complete assimilation into the American romantic culture: on the contrary, the differences that we bring to the table are more valuable than ever in understanding one another. Whether it be the letter, the awkward first encounter, or the quick movement of swiping right, it’s all part of doing what humans do best: love.

REFERENCES 1. Allendorf, K., & Pandian, R. K. (2016). The Decline of Arranged Marriage? Marital Change and Continuity in India. Population and Development Review, 42(3), 435–464. doi: 10.1111/j.1728-4457.2016.00149.x 2. Anderson, M., Vogels, E. A., & Turner, E. (2020, February 6). The Virtues and Downsides of Online Dating. Retrieved from https://www.pewresearch. org/internet/2020/02/06/the-virtues-anddownsides-of-online-dating/ 3. The counterintuitive evolution of online courtship behavior. (2018, October 2). Retrieved from https:// www.technologyreview.com/s/612226/thecounterintuitive-evolution-of-online-courtshipbehavior/ 4. Changing Patterns of Courtship and Dating. (2004, August 1). Retrieved from https://aspe.hhs.gov/ report/indicators-child-family-and-communityconnections-companion-volume-related-papers/ ii-changing-patterns-courtship-and-dating 5. Disintegration of the joint family system, emergence

6.

7.

8.

9.

of nuclear family: Forbes India Blog. (2017, December 14). Retrieved from http://www.forbesindia.com/ blog/beyond-the-numbers/disintegration-of-thejoint-family-system-emergence-of-nuclear-family/ Emery, L. R. (2019, October 15). What Modern Arranged Marriages Really Look Like. Retrieved from https://www.brides.com/story/modern-arrangedmarriages Fetters, A. (2018, December 21). The Five Years That Changed Dating. Retrieved from https://www. theatlantic.com/family/archive/2018/12/tinderchanged-dating/578698/ Henderson, R. (2018, May 28). The Science Behind What Tinder Is Doing to Your Brain. Retrieved from https://www.psychologytoday.com/us/blog/afterservice/201805/the-science-behind-what-tinderis-doing-your-brain Hendricks, S. (2018, May 29). Here’s what dating is like in 20 countries around the world. Retrieved from https://www.insider.com/what-dating-is-like-

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in-different-countries-2018-5#its-easier-to-askpeople-out-in-the-united-arab-emirates-becausemany-are-foreigners-9 10. Infographic: A History of Love & Technology: xoxosms: POV: PBS. (2013, January 17). Retrieved from http://archive.pov.org/xoxosms/infographictechnology-dating/ 11. Manson, M. (2020, February 6). A Brief History of Romantic Love and Why It Kind of Sucks. Retrieved from https://markmanson.net/romantic-love 12. LaBarre, S. (2018, August 22). 12 Hand-Written Love Letters From Famous People, From Henry VIII To Michael Jordan. Retrieved from https://www. fastcompany.com/1669022/12-hand-written-loveletters-from-famous-people-from-henry-viii-tomichael-jordan 13. Lee, S. (2017, December 6). The History of Online Dating From 1695 to Now. Retrieved from https:// www.huffpost.com/entry/timeline-online-datingfr_b_9228040 14. Online Dating - worldwide. (n.d.). Retrieved March 12, 2020, from https://www.statista.com/ outlook/372/100/online-dating/worldwide 15. Park, S. (2015). A Silent Revolution in the Korean Family. Contexts, 14(2), 77–79. doi: 10.1177/1536504215585785 16. Patel, A. (2018, July 27). Marriage, then love - Why arranged marriages still work today. Retrieved from https://globalnews.ca/news/4320972/arrangedmarriage/ 17. Roser, M. (2014, February 19). Fertility Rate. Retrieved from https://ourworldindata.org/fertility-rate 18. Sevi, B. (2019). The Dark Side of Tinder: The Dark Triad of Personality as Correlates of Tinder Use. Journal of Individual Differences, 40(4), 242-246. doi: 10.1027/1614-0001/a000297 19. Timmermans, E., & Courtois, C. (2018). From swiping to casual sex and/or committed relationships: Exploring the experiences of Tinder users. The Information Society, 34(2), 59–70. doi: 10.1080/01972243.2017.1414093 20. Winter, C. (2014, February 19). Does the West have a monopoly on romantic love? Retrieved from https:// www.pri.org/stories/2014-02-12/does-west-havemonopoly-romantic-love

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Disgust and Political Ideology

BY TENA-LESLY REID Political Science and Economics, CCAS ‘22, tleslyreid@gwu.edu

There are no two words that hold more political weight than identifying as a Democrat or Republican.

In this current political climate, one’s party affiliation is a key indicator of politicians’ actions. The most recent reflection of this was the outcome of President Trump’s impeachment trial. Trump was impeached on two charges: abuse of power and obstruction of Congress.

Every Democrat determined that Trump was guilty of both charges and almost every Republican acquitted him for the obstruction of Congress charge. Even before the trial, many theorized that Trump would be acquitted due to the Republican majority in the Senate, and the staunch partisanship of politicians (Fandos, 2020). Trump’s rhetoric on the Democratic party has also explicitly demonstrated his partisanship (LeBlanc, 2020). “Voters are making a mass exodus from the [Democratic] party and we are welcoming them to the Republican Party with wide-open arms,” he said during his impeachment.

Partisan politics were also explicitly shown at the State of the Union, when Trump disregarded Nancy Pelosi’s handshake and she ripped her copy of his speech (Egan, 2020).

All of these instances illustrate the clear divide of party lines. This has affected the general public, as well. Pew Research Center found that since Trump’s presidency partisanship has increased (Doherty, 2017).

Other research also suggests that partisanship strongly influences social relationships. A psychological study by Dartmouth University found that people choose their opinions and connections based on avoiding differences

in opinions (Dartmouth). The study found that humans are likely to join like-minded groups in order to prevent psychological stress. Tucker Evans, one of the leaders of the study, concluded, “Human social tendencies are what form the foundation of that political behavior.” In essence, partisanship has not only controlled people’s political life but social life as well.

There are five standard predictors of one’s political leaning: family, gender, religion, race and ethnicity, and region. However, region has become increasingly less of a substantial indicator of political leanings due to shifting demographics and politics. To an extent, these factors show that one’s political affiliation is determined beyond circumstances they can control (American Government).

No one can control where they were born, their parents, or any piece of these identities. What if one’s political ideology went so far as to be determined by their genetic code? Studies have found that above all these factors, that the adverse reactions and distaste of certain images, tastes, or otherwise termed by researchers as levels of “disgust” — something attributable to one’s genetics — could be a more accurate indicator for one’s political ideology.

In a study done by neuroscientist Read Montague and the head of Human Neuroimaging Laboratory at Virginia Tech, they wanted to scan brains of participants as they looked at different images to test their levels of disgust.

Researchers measured disgust from participants through three different sensory tests and found that how disgusted someone is correlates with their political views. One of their tests measured disgust by showing participants repulsive images and seeing how their brain responds.

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Participants were shown images such as potential contaminants, mutilated animals, filthy toilets, and faces with sores, as well as pleasant images and violent imagery to see if neural responses represented a correlation with political ideology. After seeing these images, participants

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Opposition to immigration in both samples increased in direct proportion to a participants’ sensitivity to disgust--an association that held up even after taking into account education level, socioeconomic status, religious background, and numerous other factors.”

were asked to complete a questionnaire on political and social issues to classify their placement on a spectrum of political ideology. Researchers found participants’ levels of disgust had a high correlation with liberalism and conservatism with 95 percent confidence. They found that conservative participants had stronger reactions of disgust than their liberal counterparts when shown repulsive images. However, the study still says these findings should be seen with some caution before replication (McAuliffe, 2019).

A second test was done by researchers Petersen, Lene Aaroe, and Kevin Arceneaux on what they defined as the behavioral immune system. Petersen and Lene Aaroe at Aarhus University and Kevin Arceneaux of Temple University conducted an experiment where they looked to link the reactions of disgust to political attitudes to what is known as the “behavioral immune system.” In other words, it’s the idea that our minds are always looking at our surroundings for contaminants, which triggers feelings of revulsion and causes us to withdraw from that contaminant or threat. This is related to the body’s fight or flight response. Using a sample size of 3,300 people--2,000 of which were Danish and 1,300 of which were American--they measured participants’ disgust sensitivity and asked them to answer a questionnaire about their views on foreigners entering their country.

They found that “opposition to immigration in both samples increased in direct proportion to a participants’ sensitivity to disgust--an association that held up even after taking into account education level, socioeconomic status, religious background, and numerous other factors.”

Therefore, researchers saw the behavioral immune system in action by proving the relation between political issues such as immigration to the population’s disgust sensitivity to possible contaminants. This demonstrates that people’s political stances can be explained through

the behavioral immune system, where what is unknown to us can be synonymous to a body’s response to unknown substances which is a level of revulsion or disgust. It’s seeing that the way a body rejects what is unknown as contaminants is similar to the political behavior towards certain issues can warrant similar rejection.

Therefore, the most common indicators used to anticipate someone’s political affiliation were as predictive as their level of disgust. When Aaroe and Arceneaux further expanded the study to focus entirely on the U.S. specifically, they analyzed state by state breakdowns of the prevalence of infections and statistics compiled by Google Trends by tracking internet searches relating to contagious illnesses to track any signs of outbreaks.

Researchers found that resistance to immigration was higher in states with the highest incidence of infectious disease and where worries about this had been high. Thus, hotly contested political issues such as immigration can be determined by a person’s level of disgust. Researchers attributed this to the sense of creating a similar dynamic of “us versus them,” which may contribute to their disgust sensitivity (McAuliffe, 2019).

The third test concerned measuring disgust through taste. To define disgust for this experiment, researchers looked at the etymology of the word “disgust” and associated its derivation coming from the word “distaste.”

Since a disgusting taste is associated with sour and bitter substances and those sour and bitter receptors are genetically based, they hypothesized that disgust could be defined by the ability of participants to identify these receptors. The researcher, Pizzaro, then hypothesized that since conservatives have a greater disgust sensitivity,they would be better at detecting bitter substances. He used 1,601 subjects and asked them to taste different paper strips with one chemical called Prop and another known

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Social science research has shown that citizens are served well when there are political parties with different viewpoints. Research has also found that civility is best achieved through indirect methods such as changing contexts, payoffs, and institutional change.”

as PTC which taste bitter to some people. They found that self-identified conservatives were more sensitive to both compounds, describing them as unpleasant or repugnant. Liberals weren’t bothered as much by the chemicals or didn’t notice them at all (McAuliffe, 2019).

THE GW UNDERGRADUATE REVIEW • VOLUME 3 These tests show that there are more factors than just family, region, religion, race and ethnicity, and gender that contribute to someone’s political ideology. It can be determined by factors we can’t necessarily control.

Pizzaro, Aaroe, Arceneaux, and Montague’s research doesn’t say that every political view is legitimate, but it points to the general political leanings of dialectically opposed groups based on how they each react to disgust.

It reaffirms notions that our political ideology is dictated, in some respects, by factors we can’t necessarily control, but are determined by micro-level factors such as one’sgenetic makeup. Living on an extremely politically involved campus and student body such as GW, studies such as these broaden the understanding of where our political ideology originates from. Although being on polar opposites of the political spectrum can indicate adversarial relationships to some people, political leaning doesn’t tell the whole story of why people have opposing views.

159 Just because people may have differing political views, it doesn’t mean political civility isn’t possible. Political civility is defined as “the ability to disagree productively with others, respecting their sincerity and decency.”

In no way does civility mean that opposite sides would have to agree. Social science research has shown that citizens are served well when there are political parties with different viewpoints. Research has also found that civility is best achieved through indirect methods such as changing contexts, payoffs, and institutional change (Civil Politics). In conclusion, it’s in the best interest of citizens to have varying political opinions, but it shouldn’t prevent civility in social or political environments. If anything, research on disgust sensitivity shows just how arbitrary one’s political leanings canbe. It also begs the question, if political ideology was treated more similarly as a genetic disposition, would people on either side of the political aisle be as disgusted by each other?

REFERENCES 1. Doherty, C. (2017, October 5). Americans’ growing partisan divide: 8 key findings. Retrieved from https://www.pewresearch.org/facttank/2017/10/05/takeaways-on-americansgrowing-partisan-divide-over-political-values/ 2. Egan, L. (2020, January 29). Trump accuses Democrats of ‘deranged partisan crusades’ as impeachment trial heats up. Retrieved from https:// www.nbcnews.com/politics/donald-trump/trumpaccuses-democrats-deranged-partisan-crusadesimpeachment-trial-heats-n1125271 3. Fandos, N. (2020, February 5). Trump Acquitted of Two Impeachment Charges in Near PartyLine Vote. Retrieved from https://www.nytimes. com/2020/02/05/us/politics/trump-acquittedimpeachment.html 4. LeBlanc, P. (2020, February 5). Trump appeared to snub Pelosi’s offered handshake. She ripped up his speech when he was done. Retrieved from https://

5.

6.

7.

8.

www.cnn.com/2020/02/04/politics/trump-pelosihandshake-state-of-the-union/index.html McAuliffe, K. (2019, February 5). Liberals and Conservatives React in Wildly Different Ways to Repulsive Pictures. Retrieved from https://www. theatlantic.com/magazine/archive/2019/03/theyuck-factor/580465/ Social Relationships More Important than Hard Evidence in Partisan Politics. (n.d.). Retrieved from https://www.dartmouth.edu/press-releases/ social_relationships_more_important_than_hard_ evidence_partisan_politics.html What Factors Shape Political Attitudes? (n.d.).

Retrieved from https://www.ushistory.org/gov/4b. asp What is Civility?: Evidence-based methods for intergroup civility. (n.d.). Retrieved from http://www. civilpolitics.org/home/

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MEET THE STAFF EXECUTIVE BOARD Claire Houchen (President & Editor-in-Chief) Claire is a senior from Louisburg, Kansas majoring in Biology with a concentration in Ecology, Evolution, & Environment. Claire works in Dr. Colin Young’s lab in the GW School of Medicine & Health Sciences, studying the role of the brain in metabolic disease. Previously, Claire conducted research in Dr. John Thyfault’s lab at the University of Kansas Medical Center, studying non-alcoholic fatty liver disease. She is a member of the University Honors Program, the Elizabeth J. Somers Women’s Leadership Program, and GW Alternative Breaks.​

Camille Leoni (Managing Editor) Camille is a San Francisco native majoring in Biology and is also a member of the University’s Honors Program. This past summer, she studied the biodiversity of native pollinators around campus under the supervision of Dr. Hartmut Doebel. Currently, she is a senior beekeeper and plans to conduct research on the effects of pesticides on the honey bee queen lifespan.

Emily Earls (Treasurer & Director of Internal Development) Emily is a junior from Nashville, Tennessee majoring in Biology. She is also a member of the University’s Honors Program. She works in a genetics lab at GW that researches butterfly wing patterning pathways using CRISPR genome-editing technology. She is also an EMT and works as a member of GW’s Emergency Medical Response Group.

Diana Vu (Director of Outreach) Diana is a sophomore from San Diego, California majoring in Neuroscience with a minor in Business Administration.

Diana is currently working in Dr. Hashimoto-Torii’s lab at Children’s National Medical Center, learning about how the prenatal environment affects the genetic predisposition and susceptibility of diseases. She is a member of the Dean’s Council and American Medical Physiology Club.

Tena-Lesly Reid (Submission Recruitment Chair) Tena-Lesly Reid is a GW Scope editor and a Social Sciences editor for the George Washington Undergraduate Review. She is a sophomore double majoring in Political Science and Economics with a minor in Law & Society. She previously had research experience at the National Security Archive concerning the Freedom of Information Act. She currently conducts research for the Center for Education Reform to advocate for better education standards.

She is a member of the Justice Journal, the Residence Hall Association (RHA), and the Pre-Law Student Association.

Richard Sear (Layout Manager) Richard is a junior from Milwaukee, Wisconsin studying Computer Science with minors in Mathematics and Physics.

He is interested in artificial intelligence and is currently working with Dr. Neil Johnson’s research team studying the many-body physics of online extremist groups. He’s also involved with GW Robotics and GW’s chapter of the ACM and is a member of the GW Honors Program.

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Maryam Gilanshah (Lead Editor for Humanities) Maryam is a junior from Reston, Virginia studying Creative Writing/English with minors in Journalism/Mass Communication and Psychology. Along with being Humanities Lead Editor for GWUR, she is a consultant at the GW Writing Center and technical writer for the Computer Science Department. She has presented at the GW Writing & Research Conference in 2018, discussing the impact of Jewish comedy on modern media. Her research was also presented at the International Writing Center Association’s national conference in 2019, speaking to the impact of client passivity on writing center interactions.

Carolyne Im (Lead Editor for Social Sciences & GW Scope) Carolyne is a sophomore from Mundelein, Illinois studying Political Communication and Music. She is currently conducting an independent research project under the advising of Danny Hayes of the Political Science Department on the discrepancy between professed attitudes towards wokeness and demonstrated anti-racist practice. She is a member of the University Honors Program, the Korean Cultural Organization, and piano and chamber ensembles.

Veronika Kulik (Lead Editor for Natural Sciences & Engineering) Veronika is a sophomore from Portland, Oregon majoring in Biology and Anthropology. She works in Dr. Colin Young’s lab at the GW School of Medicine & Health Sciences studying the role of the brain in hypertension and non-alcoholic fatty liver disease. Previously, she did research at Oregon Health & Science University concerning recombinant adeno-associated viral vectors and developing vector-mediated gene and cell therapies. She is currently working at the Smithsonian National Museum of Natural History and is part of the University Honors Program.

EDITORIAL BOARD Ebunoluwa Akinbode Ebunoluwa is a sophomore from New York studying International Affairs with a double concentration in Africa and International Development. She is a senior editor for the George Washington Undergraduate Review Social Sciences Board as well as a GW Scope staff writer. She is currently a research assistant for Professor Janet Lewis, of the GW Political Science Department, who is conducting research on rebel group formation in Africa. She is also a trip leader for GW Alternative Breaks and a member of the University Honors Program and the African Students Association.

Nammu Arumugasamy Nammu is a first-year student from Seattle, Washington. She is majoring in Political Science and minoring in Criminal Justice. She plans to go to law school and is currently involved with GW’s pre-law fraternity Phi Alpha Delta. Nammu is also involved with GW Women’s Club Lacrosse and the Politics & Values Program.

Eleanor Ball Eleanor is a freshman from Des Moines, Iowa majoring in Public Health and minoring in Sociocultural Anthropology.

She is a member of the Politics & Values Program and is also involved in GlobeMed, GW Shakespeare, and 14th Grade Players.

Jessica Bride Jessica is a sophomore from Charleston, South Carolina, majoring in Psychology and Criminal Justice. Her previous research focused on the effects of athletic participation on the anxiety levels of student athletes and non-athletes.

Now, while interning for her Congressman, she is completing an independent research project on the work motivation for Capitol Hill interns under the guidance of Brandon Bartels of the political science department. She is also an editor for Wooden Teeth, GW’s oldest literary magazine, and Onero GW.

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Aldonza Chavez Aldonza is a sophomore from Truro, Iowa double majoring in Biology and English with a minor in Geographic Information Systems. She works in Dr. Amy Zanne’s lab in the GW Columbian College of Arts and Science, where she assists in ecology related research initiatives. She also works at the Wilbur V. Harlan Greenhouse where she helps to maintain botanical research experiments. She is a certified Emergency Medical Technician, and a member of GW First Gen United.

Janavi Kanagasundaram Janavi is a freshman from Lansdale, Pennsylvania, majoring in International Affairs with a concentration in International Economics. Her past research projects have centered on studying the influence of beauty product advertisements on the perception of different skin shades. She currently works as an administrative assistant in GW’s Anthropology Department, writes for GW Scope, and is a member of the University Honors Program and South Asian Society.

Sam LeLacheur Sam LeLacheur is a first-year student in the Elliott School from Milton, Massachusetts. He intends to pursue a B.S. in International Affairs, concentrating in Security Policy, and Economics. In the past, he has conducted research on the effectiveness of various humanitarian intervention strategies and the Yemeni civil war. He has written for the GW scope, is a member of the University Honors Program, and is a writer for Onero GW.

Ruby Lunsford Ruby is a sophomore from Brooklyn, New York. She is studying International Affairs with a concentration in International Economics and Japanese Language and Literature. She is the treasurer for GW Folklorico and currently interns at the National Cherry Blossom Festival.

Esha Mukherjee Esha is a freshman from Chelmsford, Massachusetts majoring in International Affairs with a concentration in Security Policy, and minoring in History and Arabic. She is a member of the University Honors Program, Phi Sigma Pi National Honor Fraternity, and the GW Women’s Club Rugby team.

Nicolette Santos Nicolette Santos is a senior from Pasadena, California, double majoring in political science and environmental studies with a specific focus in environmental policy. She previously interned with Spiros Consulting, the Environmental and Energy Study Institute, and Energy Futures Initiative, an energy policy think tank working towards a decarbonized economy. In addition, Nicolette is a consultant at the GW Writing Center. During her sophomore year, Nicolette led an Alternative Spring Break trip to New Orleans, Louisiana where students built houses for those affected by Hurricane Katrina.

Farene Shahid Farene is a sophomore from Hagerstown, Maryland. She is majoring in International Affairs with a concentration in Global Public Health. She is a member of the University Honors Program, Sigma Iota Rho, and GWUR. Additionally, she works for a non-profit, Key to Knowledge, and is the sophomore representative of the Elliott School of International Affairs on the Diversity and Inclusion Council.

Trinady Maddock (Graduate Advisor) Trinady is an Education Policy student from Ann Arbor, Michigan. Her research is focused on strategies for accessible, high-quality early childhood development and education services as well as understanding and mitigating the factors that contribute to teacher attrition. She is the academic coordinator and treasurer for the Education Policy Student Association and works as a research intern for the education policy think tank, Fordham Institute.

Editorial Research Features See what the GWUR team is working on!

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Ebunoluwa Akinbode Major in International Affairs Minor in French Elliott School of International Affairs Class of 2022

Where did/do you conduct research? What is the overarching goal of that organization?

I currently conduct research with the George Washington University Political Science Department for Professor Janet Lewis. As an institution for higher learning, GWU strives to champion intellectual inquiry and research in ways that advance the work of professors and collaboration with students.

What was/is your specific project? Why is this important?

The focus of the research I do for Professor Lewis is the circumstances surrounding the initial formation of rebel groups in Africa. There is a lot of work that is done on what militant groups do after they gain prominence or commit significant attacks. Conversely, Professor Lewis is scrutinizing the first few moments of a rebel groupâ&#x20AC;&#x2122;s naissance in order to determine why they formed, with what resources, and in what contextual circumstances. This research will serve to bring greater exposure to lesser known rebel groups and make this information more accessible through the dataset that is being compiled. As well, the conclusions from this research will offer better insight as to the validity of current assumptions as to the nature of rebel group formation in Africa. With this knowledge others will be able to grow the understanding of African affairs.

What are your plans for the future? How has your research experience prepared you for them?

For the near future I plan to conduct an independent research project on media representation of Africa in the U.S. Primarily I would like to look at its origins and possible relationship with the development industry. My current research experience has given me insight on the level of detail, dedication, and critical thinking it takes to conduct research.

Any advice for people looking to get involved in undergraduate research?

My advice for those interested in research is to not be afraid to put yourself out there. There are many interesting research opportunities available at GW and amazing professors willing to help you get your foot in the door with research.

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Emily Earls

Major in Biology Columbian College of Arts and Sciences Class of 2021

Where did/do you conduct research? What is the overarching goal of that organization?

I work in a genetics research lab at GW. The goal of this lab is to explore the role of specific genes with the developmental pathways in select butterfly species. This involves using CRISPR/Cas9 methodology to perform gene knockouts in order to better understand the roles of these genes and their effect on butterfly phenotypes.

What was/is your specific project? Why is this important?

My project involved exploring the role that two receptor genes, Frizzled-2 and Frizzled-4, play in the wing development of the butterfly species Junonia coenia. Previous research in the lab that I work in has found that the Frizzled-2 receptor receives input from the WntA ligand. This signalling ligand is essential for patterning various stripes during butterfly wing development and works within the Wnt signalling pathway, which is important for the development of all metazoan animals. Various receptors may operate within this pathway to transduce a signal that affects wing pattering.

Another Frizzled receptor under investigation is Frizzled-4. This receptor is largely unstudied and therefore is poorly understood. However, it is suspected that the Frizzled-4 receptor receives input from the ligand Wnt1, and is known to control a phenotypic region of the butterfly wing directly adjacent to the region specified by WntA. To formulate a greater understanding of the Frizzled-4 receptor, its relation to Wnt1, and its overall effect on the wing pattern of butterflies, I helped investigate the phenotypic effects of Frizzled-4 knockouts on wild-type Junonia eggs by using CRISPR/Cas9 gene editing methodology.

What has been the most valuable experience thus far doing research as an undergraduate?

My most valuable experience has been having a long-term project and goal and sticking with it, no matter the obstacles or any disappointing data. It has shown me that science requires dedication, commitment, and perseverance. I will take the lessons I have learned from my research experience and use them for the rest of my professional career.

What are your plans for the future? How has your research experience prepared you for them?

I am planning on applying to masters programs where I can obtain my BSN in nursing and a masters degree in nursing as well after graduation. Research has helped push me in this direction because it has shown me an appreciation for scientific discovery and the importance in exploring the natural world. I have realized that my aspirations for the future fall more in line with the health care realm, but I have loved engaging in research and I advise students, whether they want to do research as a career or not, to explore this realm as an undergraduate.

Any advice for people looking to get involved in undergraduate research?

My advice for people interested in doing research is make connections with your professors by going to their office hours. If they do research, get to know what kind of stuff they investigate and if you would be interested in joining their research. If so, ask them if they are accepting undergraduate students in their lab.

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Maryam Gilanshah

Majors in Creative Writing and English Minors in Psychology and Journalism/Mass Communication Columbian College of Arts and Sciences Class of 2021 Where did/do you conduct research? What is the overarching goal of that organization?

I largely conduct research in conjunction with my work as a Consultant at the GW Writing Center. Although the Writing Center’s most immediate focus is helping students with their writing, consultants can also conduct independent studies and create discourse analyses around areas of pedagogy in which we are most interested.

What was/is your specific project? Why is this important?

My project analyzed a particular interaction that I had with a client last winter, looking at how and why client passivity emerges during peer tutoring sessions. After transcribing the session at hand, I pulled specific sections of dialogue and examined them under the lenses of different pedagogical scholars, including Therese Thonus, Innwa Park, and Peter Carino, in order to establish a working definition for peer consultants and client passivity. After analyzing elements of the interaction, from signal words to academic expectations of both parties, I came to the conclusion that client passivity, that is, listening to a consultant’s suggestions but not implementing or indicating preferences about them, emerges from a confused set of roles and cultural misunderstanding of what a writing consultant is supposed to exist as. Such vague definition of purpose thus perpetuates the passivity throughout the session, creating an even greater opportunity for dissonance in both the consultant and client’s understanding of their roles. Such analyses are important in understanding how students interact with and acknowledge their university’s writing center, helping to better communicate with prospective clients and prepare consultants for the varying roles they are expected to fill.

What has been the most valuable experience thus far doing research as an undergraduate?

Doing this independent research allowed me to look outside the immediate scope of my classes and my work as a consultant, bringing me instead into the larger world of pedagogical scholarship. Because my research focused especially on an interpersonal interaction between two students, I also gained a more varied knowledge of power dynamics within student employment, helping me to see why people act in certain ways with the help of preestablished literature. Instead of feeling like a student, passively existing within academia, I felt like I was making a firm, if not small, contribution to our understanding of this discipline.

What are your plans for the future? How has your research experience prepared you for them?

This interdisciplinary research strengthened my skills in synthesizing disparate subjects to create a cohesive point, and I hope to continue to do so after I graduate, using my varied studies to analyze culture and art under diverse lenses as a cultural critic.

Any advice for people looking to get involved in undergraduate research?

The greatest strength in research for me is joining together multiple perspectives/subjects to create novel analysis.

By not sequestering yourself within one department, you will be able to find these unique topics more easily, individualizing your work and emphasizing the voice you are contributing to the greater discourse community.

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Carolyne Im

Major in Political Communication Minor in Music School of Media and Public Affairs Class of 2022 Where did/do you conduct research? What is the overarching goal of that organization?

I’m currently conducting research through the GW Honors Program, which allows me to conduct an independent project under a faculty advisor. In the past, I’ve done research in the Political Science, American Studies, and East Asian Language and Literature Departments.

What was/is your specific project? Why is this important?

My project studies evolving race relations in the United States. It aims to capture the discrepancy between attitudes of “wokeness” among everyday White Americans--particularly those who are liberal leaning--and their demonstrated anti-racist practice. I hypothesize that despite increased attitudinal awareness of racial inequity due to major events like the Black Lives Matter movement and the 2017 Charlottesville “Unite the Right” rally, anti-racist practice among everyday American has not increased, thus creating a gap between expressed attitudes and behaviors. I’m measuring these attitudinal and behavioral variables by collecting data with a survey, then running regression analysis to identify key predictor variables. I think this project is really important because we currently have a gap in race relations literature after the Black Lives Matter movement and what it highlights about larger trends in race relations in the U.S. There’s a lot of research on race relations after Obama was elected in 2008 when many people believed we had entered a “post-racial” or “color-blind” society in which race was no longer a barrier to opportunity or success, as “proven” by a Black man reaching the highest office in the land. The Black Lives Matter movement effectively shattered this belief, but little research has been conducted about how we currently perceive and react to race in this country. I’ve noticed aspects of performative wokeness in my personal life, especially being on a predominantly White college campus, but I think it’s integral that we quantify these experiences because anecdotal evidence can only go so far in identifying and reacting to the problems people of color face everyday in this country.

What has been the most valuable experience thus far doing research as an undergraduate?

This research project has definitely been the most valuable experience in undergraduate research. I’ve been able to engage in interdisciplinary fields, bouncing between my major in the School of Media and Public Affairs to the Political Science and American Studies Departments. Engaging with faculty about these issues that I care deeply about has been incredibly fulfilling and I’ve so grateful to the professors who have mentored me and helped me along the way.

What are your plans for the future? How has your research experience prepared you for them?

I’m interested in getting more experience in data analytics. Both my courses and research has allowed me to work directly with data and analyze them in programs like Stata, which has given me really valuable experience pursuing quantitative aspects of telling and uncovering compelling and untold stories.

Any advice for people looking to get involved in undergraduate research?

Talk to your professors! Go to their office hours and have in mind what areas of research you are interested in. I’ve found that most professors in the humanities and social sciences are extremely welcoming and eager to help students get involved in research if they’re interested.

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Veronika Kulik

Majors in Biology and Anthropology Columbian College of Arts and Sciences Class of 2022

Where did/do you conduct research? What is the overarching goal of that organization?

I conduct research as part of Dr. Colin Young’s lab in GW’s School of Medicine & Health Sciences Department of Pharmacology and Physiology. We investigate the role of the brain in metabolic disease, focusing on hypertension and non-alcoholic fatty liver disease.

What was/is your specific project? Why is this important?

The project I am currently assisting on concerns the activation of microglia in the subfornical organ (SFO) of normal and high-fat diet mice brains. The SFO is a circumventricular organ, meaning it lacks a blood-brain barrier, and our lab has previously found that endoplasmic reticulum stress in the SFO is a cause of metabolic disease in high-fat diet mice.

Building off of these findings, the project I am working on is studying the relationship between SFO microglial activation and physiological responses like hypertension and non-alcoholic fatty liver disease, which often accompany obesity.

Preliminary research, supported by other studies, shows that mice with high-fat diet induced obesity have increased levels of SFO microglial activation compared to their normal diet counterparts. This elevated activation of microglia is involved in the inflammation of the SFO region, purportedly resulting in hypertension. Now that our findings show that long-term high-fat diet leads to increased microglial activation, and this has physiological effects, we plan to administer an antibiotic to attempt to alleviate inflammation in the SFO, which may in turn have beneficial effects. It is important to investigate this phenomenon in the brain as a result of metabolic disease, and this project in particular aims to find a way to reduce or reverse the effects of high-fat diet induced microglial activation that causes an inflammatory response in a certain region of the brain. Investigating this pathway helps us understand the processes involved in health problems such as obesity-induced hypertension, therefore potentially leading to the development of pharmacological techniques to treat such conditions.

What has been the most valuable experience thus far doing research as an undergraduate?

Assisting on a research project has given me important insight into what goes into designing an experiment, troubleshooting procedures, and enhancing my lab skills. Delving deep into one subject has been incredibly enlightening because of the specificity of knowledge it affords me, which I can later go on to use to refine my research question or pursue different lines of inquiry in the same field. Working alongside professional researchers, I have solidified my interest in pursuing a career in scientific research because I received a more holistic introduction to the job than I would have acquired without practical, hands-on experience.

What are your plans for the future? How has your research experience prepared you for them?

After graduating from GW, I plan to continue my education and receive a graduate or doctoral degree. Learning more about the research process has helped me solidify that I want a future career in biological research.

Any advice for people looking to get involved in undergraduate research?

Reach out to different departments and don’t be afraid to try something that you may not have initially planned for-experimenting within different disciplines may lead to you finding something you love even more.

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Camille Leoni

Major in Biology Minor in Art History Columbian College of Arts and Sciences Class of 2021 Where did/do you conduct research? What is the overarching goal of that organization?

As a Harlan and Luther Rice fellow, I conduct research on local pollinator populations and honeybee health under the supervision of Dr. Doebel. We seek to determine the effects of neonicotinoids, a popular insecticide with a nicotine-like chemical signature, on the cognitive functions and lifespans of honeybees and native bees.

What was/is your specific project? Why is this important?

Honeybees and solitary, native bees are critical for biodiversity and the agriculture industry as they are essential pollinators of numerous wildflower species and field crops. For the past three years, we have been cataloguing the local abundance and diversity of pollinators on the GWU campus. As a result of pesticide usage, extreme weather, and habitat fragmentation/destruction, pollinator populations have been steadily declining throughout the years.

Through our research, we not only track the local pollinator populations, but also aim to provide suggestions on how to enhance our campus’ urban greenspaces in order to most effectively promote pollinator diversity. For example, the reconstruction of the G Street plot adhered to our recommendations of which plant species support a steady and diverse pollinator population. As a recipient of the Founding Farmers Bee Fellowship, I’ve been a senior beekeeper for the GW Apiary for two years. At the peak of our season, we maintain approximately 200,000 honeybees and 18 active hives, from which we collect roughly 300 lbs of honey each summer. During my time as a senior beekeeper, I have witnessed the abnormally rapid cycling of honeybee queens, whose natural lifespans should be four to six years, but rarely survive the summer in our colonies. This summer, I will be investigating the effects of neonicotinoids on the queen’s mobility, egg laying pattern, and mating behavior; furthermore, we will be measuring the colony’s response to an infected queen by monitoring its queen replacement rate.

What has been the most valuable experience thus far doing research as an undergraduate?

My undergraduate research experience has granted me a sense of independence not offered through my academic courses. It is an empowering experience to individually plan, execute, and present your own research experiment.

Unlike classroom laboratory exercises, undergraduate research allows students to maneuver the procedural obstacles and unmask the hidden truths of a question that doesn’t already have an answer. During my time managing the GW Apiary as a senior beekeeper, I have found an outlet that demands both passion and responsibility and provides relief from the rigid structure of my academic classes.

What are your plans for the future? How has your research experience prepared you for them?

I will be attending the George Washington School of Medicine and Health Sciences in the fall of 2021. Studying honey bees has fueled my passion for medicine as I have learned of the remarkable similarities between honeybee and human neurobiology.

Any advice for people looking to get involved in undergraduate research?

Undergraduates should not feel apprehensive or shy to reach out to professors expressing their interest and desire to participate in their research. Students need to feel confident in their skills and ability to learn in order to begin their journey through the research world.

Š2020 The GW Undergraduate Review, The George Washington University