2013-2014 Issue

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NURJ The Northwestern Undergraduate Research Journal would like to thank everyone who reads and contributes to our work. We appreciate the generous patronage of President Morton Schapiro and Provost Daniel I . Linzer. We are also grateful to our faculty advisor, Professor Allen Taflove, for his support. Finally, we would like to thank the eleven academic departments and the McCormick School of Engineering for partnering with the Journal to publish their “Best Senior Theses."


Northwestern Undergraduate Research Journal VOLUME 09 | 2013 –14


Judith Kim


Allen Taflove


Monica Cheng Sophie Weber Kacey Liu Jinhak Kim Monica Blazek Ashton Dubey Olive Jung Kendra Mayer Kitae Eric Park

MISSION STATEMENT I. To demonstrate the strength of Northwestern University’s undergraduate research. II. To provide undergraduates from academic departments across the University means to publish the results of their research. III. To inspire and expand further research by undergraduates.

LETTER FROM THE EDITOR-IN-CHIEF Dear Readers, This year, the Northwestern Undergraduate Research Journal celebrates our ten-year anniversary. It has been a privilege to be on the NURJ team for the past three years. I continue to be in awe of the breadth and depth of the research conducted by my fellow Northwestern Wildcats. The Journal’s growth has been the result of the tremendous support that we have received from Professor Allen Taflove, the Journal’s faculty advisor; the President’s Office; the Office of the Provost; the directors of the academic departments and many of the centers at Northwestern; and, most importantly, all of the student contributors. I would like to dedicate this volume to the life and work of Dr. Dale Mortensen, beloved professor at Northwestern University and Nobel Prize laureate in Economic Sciences, who passed away this January. For students pursuing their own research and thinking about the potential impact of their efforts, Dr. Mortensen was and will continue to be a source of inspiration. Not only did his research fundamentally change the study of labor and unemployment within the field of economics but its real-world application provided a crucial perspective in the response to the 2009 financial crisis. For this anniversary volume, I am also excited to share with you several developments that the Journal made this year. First, NURJ partnered with multiple academic departments to showcase excellent undergraduate research by publishing selections from papers recognized as “Best Senior Theses” during the last completed academic year. I hope that these selections will demonstrate the thoughtful and interesting work that the authors have produced and also spur continuing and new research. Second, this volume is the Journal’s most diverse. It presents work from twelve academic fields, ranging from cognitive science to art history to mathematics to engineering. I encourage you to take a look at the NURJ website to read the full theses of your favorite papers. Finally, thank you to our readers. Your interest in and support for undergraduate research motivates us all. Best regards,

Judith Kim Judith Kim Editor-in-Chief Northwestern Undergraduate Research Journal

LETTER FROM THE FACULTY ADVISOR Dear Readers, This is the ten-year anniversary volume of the Northwestern Undergraduate Research Journal (NURJ), an annual student-produced print and web-based publication funded by the President’s Office and the Office of the Provost. It’s been my privilege to be the NURJ faculty advisor since its inception. While I’ve seen the Journal evolve with each new group of student editors, this particular volume represents what some evolutionary biologists might term the result of a “punctuated equilibrium” — a quite abrupt and significant change in a species. In the case of NURJ, this change was sparked by a new group of student editors who turned previous publication practices and timelines literally upside down. Specifically, in assembling this volume, NURJ has for the first time partnered with academic departments and programs all across Northwestern to publish their best Honors Theses. Our student editors commenced major efforts to assemble this volume immediately after selection of the top Honors Theses at the end of Spring Quarter 2013, and continued working at a high level during the following Fall 2013 and Winter 2014 Quarters. Currently, the NURJ evolutionary track is firmly directed toward the Journal becoming the publication of record for the top undergraduate research across all academic departments and programs at Northwestern. This will showcase our University’s finest student research to the world at large, and help to inspire our entering students to pursue their own significant research achievements. Now, I invite you to read all the articles in this ten-year anniversary volume of NURJ, and enjoy learning about the marvelous research investigations of top students at Northwestern University. Best regards,

Allen Taflove, Professor Department of Electrical Engineering and Computer Science McCormick School of Engineering Northwestern University


The Problem in Room 24: Racial Constructions and the Making of National Identity in the National Museum of Fine Arts of Argentina Jasmine Jennings


Geochemical Evidence for Variable Redox Conditions in the Late Cretaceous Western Interior Seaway Allegra Mayer



Nabokov’s Watermarks: The Significance of Perceptual Time and Memory in Three Selected Novels (Title Page) Sydney Lazarus



Politics, Poverty, and Pedagogy: An Examination of College Teaching About Poverty Katie Singh


A Self-Assembled Organic/Inorganic Nanostructure for Photovoltaic Applications Julian Minuzzo


Functional Inequalities for Gaussian and Log-Concave Probability Measures (Abstract) Ewain Gwynne


“I Know Where is an Hynde”: Wyatt’s Rebellious (Sub)version of Masculine Erotics (Excerpt) Benjamin Ratskoff


Trinuclear Ruthenium Clusters for Electrochemical Biosensor Development Hsiao-Tieh Hsu


World White Web Mauricio Maluff Masi


On the Specificity of Perceptual-Motor Sequence Learning Eric Yarnik


Testing the Minimax Theorem in the Field: The Interaction between Pitcher and Batter in Baseball Christopher Rowe


Black Imprints: Haitian Colonial Memory in Venezuelan Politics Ayanna Legros


About the Contributors Research Resources at Northwestern

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This volume contains condensed versions or excerpts of each senior thesis. Please visit the NURJ website to read the full-version of each thesis. <http://groups.northwestern.edu/nurj>


The Problem in Room 24

Racial Constructions and the Making of National Identity in the National Museum of Fine Arts of Argentina

Jasmine Jennings ART HISTORY

Huey Copeland

Photo Credit: WalshTD

FACULTY ADVISOR PhD, University of California Berkeley



Buenos Aires is often called the “Paris of Latin America” and Argentina has a reputation of being set apart from the rest of the continent as a more European country. This so-called “myth of white Argentina” has been actively perpetuated since Argentina gained independence from Spain in 1816. Other newly independent Latin American countries promoted themselves as mestizo countries, the results of mixing between European colonists and the indigenous population. Argentina from the outset, however, preferred to think of itself as a white country. To bolster this claim, the ruling elite chose to ignore and actively deny the existence of the non-European sections of the population that did survive. In the Argentine art room of the Museo Nacional de Bellas Artes (MNBA, The National Museum of Fine Arts), Room 24, this process of denigrating nonwhite populations so that the myth of a white Argentina may be perpetuated is clearly visible. I will deploy a careful examination of the two art works depicting the indigenous and Afro-Argentine populations in Room 24 to expose the ways through which this mythical identity came to be accepted as fact.

ART HISTORY Introduction Buenos Aires is often called the “Paris of Latin America” and Argentina has a reputation of being set apart from the rest of the continent as a more European country. This so-called “myth of white Argentina” has been actively perpetuated since Argentina gained independence from Spain in 1816. Other newly independent Latin American countries promoted themselves as mestizo countries, the results of mixing between European colonists and the indigenous populations. Argentina from the outset, however, preferred to think of itself as a white country.1 To bolster this claim, the ruling elite chose to ignore and actively deny the existence of the non-European sections of the population that did survive colonization. In the Argentine art room of the Museo Nacional de Bellas Artes (MNBA, The National Museum of Fine Arts), Room 24, this process of denigrating non-white populations so that the myth of a white Argentina may be perpetuated is clearly visible. I will deploy a careful examination of the two art works depicting the indigenous and Afro-Argentine populations in Room 24 to expose the ways through which this identity myth came to be accepted as fact. Room 24 The National Museum of Fine Arts in Buenos Aires displays ten works of Argentine art from the nineteenth century in Room 24. The choice to have just one room dedicated to Argentine art in the National Museum of Fine Arts in the capital of the country is intriguing in and of itself, yet the choice of these specific works to represent the best of Argentine art proves even more so. Brian Durrans argues that there is often

a difference in how one desires to be perceived and how one actually lives, a phenomenon that I argue is evident in Room 24.2 The Argentine art room displays how Argentina desires to appear on a global stage – as a white country. To make such a case, it presents important works such as Sin pan y sin trabajo (Without Bread and without Work), 1893, by Ernesto de la Cárcova, El despertar de la criada (The Awakening of the Maid), 1887, by Eduardo Sivori and a work by the museum’s founder, Eduardo Schiaffino, entitled El repaso (The Rest), 1889. These works speak to the making of modern Argentina. They explore the history of the Argentine working class, the industrialization of the country, the social role of the artist, and contemporary European trends to widen the variety of acceptable subjects to include the working class and the poor. By contrast, Room 24 employs nonwhite subjects as negative poles against which Argentine society is constructed. However, the very inclusion of these subjects demonstrates that Argentina is not, in fact, a white country and never has been. Among this overture to the making of modern Argentina, two works immediately differentiate themselves from the others in the room, although in them we may also view the making of a nation state . Ángel Della Valle’s La vuelta del malón (The Return of the Raid) (Figure 1) is by far the largest painting in the room. It measures at 6 x 9.5 feet and draws the eye immediately. To the left of this painting sits La cabeza del esclavo (The Bust of a Slave), 1882, by Francisco Cafferata. Together these two works form the only representations of Argentines of non-European descent. They also form twothirds of the general representation of non-Europeans in the museum’s permanent collection of over 688 major works 1 Oscar Chamosa, “Indigenous or Criollo: The Myth of White Argentina in and 12000 sketches and minor works, or roughly 0.0016% of Tucuman’s Calchaqui Valley,” Hispanic American Historical Review 88.1 (2008): 72. the total collection. This abysmal statistic is enough to warrant an investigation of MNBA’s collection and the visual language of these works, which stand as the only depictions of nonwhite Argentines. The Return of the Raid activates an eerily familiar role for the native peoples of Argentina. In this monumental painting, Ángel Della Valle fully adheres to the trope of the “savage native.” It depicts a band of bare-chested natives on horseback returning from a raid with the spoils of their looting held high in triumph. The central male figure holds a gilded cross high above his head. Directly behind him another man holds an additional item of religious significance: a golden thurible, an object used to burn incense in Catholic ceremonies. The greatest spoil of war, however, is a white woman. In her captor’s arms, she sits draped across the side of the horse with her pristine white dress torn to reveal her breasts. The lightness Figure 1. Ángel Della Valle, La vuleta del malón (The Return of the Raid), 1892, Oil on Canvas, Museo Nacional of her skin glows, drawing our attention to de Bellas Artes, Buenos Aires, Argentina.

2 Brian Durrans, “The Future of the Other: Changing Cultures of Display in Ethnographic Museums” in The Museum Time Machine: Putting Cultures on Display, ed. Robert Lumley (London: Routledge, 1988),145.

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ART HISTORY her exposed and vulnerable body. Dichotomies of light and darkness repeat thrice in the work: the woman sitting atop a black horse, the native man holding the cross on a white horse, and the turbulent black of the storm clouds contrasted with the light far on the horizon. With the addition of the religious symbols, the painting depicts a moral battle. Darkness and evil are conflated with the natives’ brown skin while the woman stands for light and, therefore, for good. In this colonization narrative, the battle between “civilization” and “barbarity” is conceptualized as one between good and evil. The Return of the Raid actively constructs a narrative of colonization as God’s will. Europeans are positioned as the rightful holders of God’s favor, as symbolized by the religious objects present in the work. The natives are demonized in opposing visual language. Rather than seen as protecting their territory, they are portrayed as defiling all that is good. Such a relational framework positions the colonization of land that would become Argentina as both God’s will and a divine punishment for the savages. To understand the visual language employed by Della Valle in this work, I turn to a brief examination of the tradition of the “raiding savage” in Argentina. In the nineteenth century, the Mapuche Indians, of what is now Argentina and Chile, launched a series of malónes (raids) on las estancias (large farms) that were spreading across la pampa (the Argentine countryside). These raids were surprise attacks directed at the farms to obtain horses, livestock and other provisions.3 The Mapuche’s tactics were quick and uncomplicated, allowing them to strike without notice. Such attacks were so common that the malónes came to represent the barbarity of the native ‘savage’ in nineteenth-century discourse. Esteban Echeverría, the founder of the literary and intellectual group called the Generation of ‘37, wrote an epic poem in 1837 called La cautiva (The Captive Woman) which detailed the savagery of the Mapuche. This poem exemplified Argentine nationalist ideology at the time and became the formative representation of the Mapuche Indians in the fledgling Argentine self-consciousness. The predominate ideology of the time, visible both in The Captive Woman and The Return of the Raid, is the belief that the founding of Argentina was a battle between civilization and savagery. One of the key ways to ensure the triumph of civilization was to promote European immigration to occupy the territory. The seventh president of the nation, Domingo Sarmiento, stated, “above all, we would like to remove the savages from all American social questions, as for them we feel, without being able to remedy it, an unconquerable loathing, and for us… they are no more than disgusting Indians, who we would have hanged.”4 Central to the establishment of the nation was the denigration and decimation of indigenous people in favor of white Argentines, even if that population needed to be imported. The Captive Woman is the story of a white woman who was kidnapped by savages. As women were the means through which the state would reproduce itself, any violation of white Argentine women by the “savages” was seen as a violation of the state 3 Leslie Ray, Language of the Land: The Mapuche in Argentina and Chile (Copenhagen: International Work Group for Indigenous Affairs, 2007), 66. 4 Ibid., 67-68.



itself. Two connections between the poem and The Return of the Raid are the work’s given title and the woman depicted in the painting. The word malón has a history implicitly tied to violent racial discourses and practices. By employing this word and its connotations in the title, Della Valle connects The Return of the Raid to a particular history during the founding of the nation. Similarly, the woman’s exposed breasts sexualize the scene and serve as a warning against inappropriate sexual conduct. Cafferata’s Bust of a Slave (Figure 2) is similarly a negative stereotypical portrait of nonwhites, this time of an AfroArgentine man. It is unknown if Cafferata sculpted the bust after a model or if the work is purely an imaginative artistic exercise. The slave’s head is thrown back, he appears exhausted and his brows draw together in worry and agony. His face is a map of wrinkles, while his mouth is slightly open to show his teeth in a painful sneer. The nostrils seem to flare, as if in this moment he is experiencing extreme physical discomfort. Finally, the shoulders are hunched forward, making the man seem as if his body is trying to escape the pain legible in his face. The meticulous detail with which the slave is rendered divulges Cafferata’s near photographic realism in his subject. Study in Europe under a great master was considered essential to an artist’s formal education. The aesthetic preference for social realism that is evident in Room 24 is verification of the great impact Italian models had on Argentine

Figure 2. Francisco Cafferata, Cabeza de esclavo (Bust of a Slave), 1882, Bronze, Museo Nacional de Bellas Artes, Buenos Aires, Argentina.

ART HISTORY artists.5 The Bust of a Slave was in fact created during Cafferata’s time abroad. Cafferata studied at the Academy of Fine Arts in Rome under the sculptor Urbano Lucchesi, along with his fellow countryman and personal idol Lucio Correa Morales, who is known as the father of Argentine public sculpture. Morales had a strong influence on Cafferata’s subjects in his early work.6 In the Palermo garden in the center of Buenos Aires, La esclavitud (Slavery) (Figure 3) is one of Cafferata’s works from just a year before Bust of a Slave. Quickly we notice that the face of the man depicted in both works is identical. In contrast to Bust of a Slave, Slavery depicts the Afro-Argentine man’s full body. He sits hunched over in the nude, his wrists in shackles. His face shows the same expression as the Bust of a Slave. It seems that Cafferata has quite literally taken the head off of this early sculpture to create a bust. Such a choice to remove and isolate the head was influenced by the ethnographic typing movement that his colleague Morales participated in. Morales was known to take exhibitions into the interior of the country with ethnographers and anthropologists to document different ethnic types. According to Morales’ friend, the art critic Julio A. Payró, upon his death Morales had an extensive collection of photographs of the faces of indigenous peoples that he had taken on expeditions to the Chaco and the Sierra de la Ventana regions with ethnographer Juan Bautista Ambrosetti, anthropologist Florentino Ameghino, and the naturalist and explorer Francisco P. Moreno.7 Morales’ collection of photographs of native peoples can be situated in the larger trend of photography as a means of classification. Cafferata’s Bust of a Slave presents an interesting divergence from the paradigm of clearly differentiated lines between ethnographic and traditional portraiture. The practice of isolating the head from his previous work can be traced to the physiognomic insistence on facial and cranial racial difference. However, the nature of his chosen medium, a bust, complicates the matter. It seems that Bust of a Slave simultaneously generalizes and individualizes its subject. What we see here is a traditional portrait manifestation of an ethnographic type. Although slavery was abolished in Argentina in 1853, Cafferata chose to create the Bust of a Slave almost thirty years, a generation, afterwards.8 In 1882, when this sculpture was created, there were no slaves in Argentina. Cafferata chose to create an image not of ‘a man’ or ‘a man, formerly a slave’, but rather ‘a slave’. The designation of this man as simply ‘a slave’ erases all of his individuality. Such an unflattering representation is undesirable for any minority group struggling for equality but, as the only depiction of an Afro-Argentine, the work perpetuates a caricature of an entire people, enshrined in the national museum without challenge. 5 Marcelo Pancheco and Jon R. Snyder, “An Approach to Social Realism in Argentine Art: 1875-1945, “ Journal of Decorative and Propoganda Arts 18 (1992): 132. 6 Ibid.,130. 7 “La Cautiva India [The Captive Indian],” Department of Education and Citizenship, Government of Argentina, http://tramas.flacso.org.ar/recursos/ imagenes/la-cautiva-india?volver=506. 8 George R. Andrews, “The Afro-Argentines of Buenos Aires: 1800-1900,” Journal of Latin American Studies 11.1 (1979): 23.

Figure 3. Francisco Cafferata, La esclavitud (Slavery), 1881, Bronze, Parque tres de Febrero, Buenos Aires, Argentina.

Nineteenth-century Museums and the Establishment of MNBA Like other museums established in the nineteenth century, the MNBA was established by liberal individuals interested in “progress.” Nearly all museums opened at this time had the express mission of educating the working class. They attempted to do so by presenting a higher culture for the visitor to absorb and emulate. The National Museum of Fine Arts opened its doors in 1896. The primary collection consisted of 163 Argentine and European art works, primarily from France, Italy and Spain. Established by decree of President José Evaristo Uriburu in 1895, MNBA’s first director was Eduardo Schiaffino, who occupied the position until 1910.9 Schiaffino, a painter himself as well as an art critic and historian, had been the foremost proponent of the visual arts in Argentina for twenty-one years before he was appointed director in 1895. Schiaffino and his contemporaries belonged to an era known as the Generation of ‘80.10 Rising to power in the moments of great urban expansion, the Generation of ‘80 was the ruling elite in Buenos Aires from 1880 to 1910. This era is often touted as the golden age of Argentine history. Following the precedent set by the Generation of ‘37, the Generation of ’80 looked toward Europe and North America for models of economics, culture and politics.11 Modernization and Europeanization during this time in the country’s history were one and the same. In this era the modernization of the nation began and the ideals of the previous generation were realized. With the clear direction 9 Angel M. Navarro, “Italian Drawings in Buenos Aires,” Master Drawings 39.1 (2001): 45, accessed April 22, 2013, http://www.jstor.org/stable/1554482. 10 María J Herrera, “El Museo Nacional de Bellas Artes: historia, colecciones y exhibiciones [The National Museum of Fine Arts: History, Collections and Exhibitions],” in Guía Museo Nacional de Bellas Artes [Guide to the National Museum of Fine Arts] (Buenos Aires: Asociación de Amigos del Museo Nacional de Bellas Artes, 2008), 8. 11 Julia Rodríguez, Civilizing Argentina: Science, Medicine, and the Modern State (Chapel Hill: University of North Carolina, 2006), 26.

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ART HISTORY of the ruling class, the system of public administration was organized, the first political parties were established, and Buenos Aires was declared a federal district. It is also in this era that some 15,000 square leagues (about 178,780 square miles) of land controlled by the indigenous people were “recuperated”, grossly hastening the demise of that population. As industry soared, vast droves of European immigrants, mostly Spanish and Italian, came to Buenos Aires and a socially conscious porteño identity, an elite city identity as differentiated from that of rural populations, began to develop.12 Characterized by such beliefs in themes of progress and the growth of Argentine civilization, the ideals of the Generation of ‘80 influenced artistic production and the establishment of the MNBA as well. The fundamental aesthetic of Argentine art was solidified around 1880 when Schiaffino established the Sociedad Estímulo de Bellas Artes (Society for the Stimulation of the Fine Arts) in 1876, which organized local fine art exhibitions, hosted lectures, and gave classes. Schiaffino along with Ángel Della Valle founded El Ateneo in 1893. It was there that Schiaffino began to imagine a national museum of fine arts and began to ask his friends, like Della Valle, to donate works of art towards that end.13 Schiffano also wrote art criticism for El diario (The Diary) and La nación (The Nation), both still regarded as the premier journalistic publications of Argentina.14 Via the cultivation of a taste for art in a time where there were previously no public museums or schools of art, Schiaffino created those institutions and strove to modernize and civilize Argentina.15 With the creation of the MBNA, the Generation of ‘80 created a place for art in Argentina, modeled on their views of progress and growth. Declared by a presidential decree, the MNBA has been intimately tied to the authority of the state since its inception. It’s first dedicated building, the Argentine Pavilion, was a representation of the entire nation of Argentina to the world. Truly a temple to the muses, the current building of the MNBA adheres to traditional museum architecture in all aspects except for one conspicuous element: the color pink. Although white marble is the traditional standard for these temples of secular and artisic knowledge, the association between the color pink and important buildings is not unheard of in Argentina. La Casa Rosada, The Pink House, is the seat of the Argentine federal government. As its name suggests, just as the White House is white, the Pink House is pink. This visual association between the museum and La Casa Rosada undeniably gives the weight of national authority to MNBA and through this visual association the program of the museum becomes enmeshed with the power networks of the state itself, giving the history presented in the museum the weight of a nationally sanctioned history.16 This relationship between the state and the museum signifies the prestige the museum has in Argentine society. The MNBA is indeed a museum that 12 Pancheco and Snyder, “An Approach to Social Realism,” 124. 13 Herrera, “El Museo Nacional de Bellas Artes,” 7. 14 Pancheco and Snyder, “An Approach to Social Realism”, 126. 15 Herrera, “El Museo Nacional de Bellas Artes,” 1. 16 Durrans, “The Future of the Other,” 225.



is dedicated to serving the tastes of the established class.17 Established museums are interested in conventional, academic art and, of course, the established; they are the guardians of high culture. When the museum opened its doors in 1896, the established class was the Generation of ‘80. The works of Argentine art in Room 24 were a part of the initial seed of 163 works, collected by Schiaffino and guided by the principles of his generation. Constructing Hierarchies and the Evolution of Room 24 In 2005 MNBA underwent a major renovation. Guided by new curatorial direction, the museum added three new rooms to permanently house displays of Pre-Columbian art, Spanish colonial art, and, in Room 24, the works of Argentine artists of the nineteenth century. Room 24 is the first permanent display of Argentine art in the museum.18 María Florencia Galesio, María José Herrera and Valeria Keller explain that the curator sought to provide a more comprehensive panorama of Argentine Art with the remodeling of the museum.19 They note that Room 24 was organized as a milestone in the institutionalization of the arts that began in 1876 with establishment of Schiaffino’s Society for the Stimulation of the Arts.20 The curators seemed to understand that Room 24 would play an important role in shaping national identity for they said, “to begin developing the script for the permanent Argentine art room, the first question was what kind of collection does the MNBA have, what is its identity?” Furthermore they remarked, “public museums are the representation of the relationship between the citizen and the state as benefactor…In this sense both what is displayed in a public museum and what is not shown is significant.”21, 22 Clearly, ideas of identity and nationhood were part of the conception of Room 24 and yet simply having an Argentine art room seemed to be the primary concern. Questions about what constitutes the Argentine identity were not considered. The lack of a permanent display of Argentine art in the National Museum of Fine Arts in the capitol of the country for over a century is simply astounding but this may be symptomatic of Argentine’s complicated self-perception as an extension of European society. 17 Elaine H Gurian, “Oportunidades que pProporcionan las exposiciones [Opportunities Provided by Expositions],” in AA.VV., La sociedad de los artistas:historias y debates de Rosario [AA.VV., The Society of Artists: History and Debates of Rosario] (Rosario: Museo Muncipal de Bellas Artes Juan B Castagnino, 2004), 14. 18 María Florencia Galesio, María José Herrera and Valeria Keller, “Nuevo guión curatorial y museografía de las salas de arte argentio del Museo Nacional de Bellas Artes (New Curatorial Guidance and Museology of the Room of Argneitne Art in the National Museum of Fine Arts)” in Exposiciones de arte argentino 1956-2006: La confluencia de historiadores, curadores e instituciones en la escritura de la historia (Expositions of Argentine Art: 1956-2006: The Confluence of Historians, Curators and Institutions in the Writing of History) (Buenos Aires: Amigos del Museo Nacional de Bellas Artes, 2009), 211. 19 Ibid., 211. 20 Ibid., 215. 21 “Para comenzar a elaborar el guión de las salas permanents de arte argentino, la primera pregunta fue qué tipo de colección tiene el MNBA, ¿Cuál es su identidad?” and “Así, los museos públicos son la representación de la relación entre el ciudadano y el estado como benefactor… En este sentido tanto lo que se muestra en un museo público como lo que no se muestra, es significativo” 22 Ibid., 212.

ART HISTORY The dichotomy of the noble, sophisticated, civilized European contrasted against a brutal and brutalized nonwhite, evident in Room 24, functions to construct a racial hierarchy in Argentina. The room serves to designate who is and who is not Argentine: the gaucho is Argentine, the poor but noble family is Argentine, the artist is Argentine, but most importantly the nonwhite is not. The room serves as a visual representation of how the modern Argentine state was formulated and conceptualized. To return to the remarks of Brian Durrans, the room depicts how Argentina would like to be seen and not how the country is.23 In Room 24, Argentine identity is predicated on European colonial racial hierarchies that have been appropriated and shifted to fit the purposes of the Argentine state. Walter Mignolo highlights the ideological construction of racism as a key tool used by colonial powers to establish their hegemony over the indigenous population. He argues that racism is was used to justify the process of colonization, which calls for the appropriation of the land of the colonized and the exploitation of their labor. European colonists established this hegemony that classified otherness in order to appropriate lands and resources from those deemed less worthy than the colonists themselves.24 After former colonies won their independence from imperialist countries, as Argentina did from Spain in 1816,25 the racial hierarchies remained in place, now serving the “white” rather than the European.26 Mignolo explains that: white creole and mestizo/a elites, in South America and the Spanish Caribbean islands, after independence from Spain adopted a “Latinidad” to create their own postcolonial identity. Consequently, I am arguing here: “Latin” America is not so much a subcontinent as it is the political project of creole-mestizo/a elites. However it ended up by being a double-edged sword. On the one hand, it created the idea of a new (and the fifth) continental unit (a fifth side to the continental tetragon that had been in place in the sixteenth century). On the other hand, it lifted up the population of European descent and erased the Indian and the Afro populations.27 Argentine society was stratified in such racial ways: whites held the top rungs of society, their race providing them unquestioned legal superiority over nonwhites, the native population lived under separate laws that occasionally afforded them more rights than blacks, enslaved populations decidedly occupied the humblest positions, and mulattoes and mestizos 23 Durrans, “The Future of the Other: Changing Cultures of Display in Ethnographic Museums,” 225. 24 Walter Mignolo, The Idea of Latin America, (Malden, MA: Blackwell Pub. 2005), 15. 25 Goldman, Gustavo, comp., Cultura y sociedad afro-rioplatnese [AfroArgentine Culture and Society]. (Montevideo, Uruguay: Perro Andaluz, 2008), 25. 26 Goldman, Gustavo, comp., Cultura y sociedad afro-rioplatnese [AfroArgentine Culture and Society]. (Montevideo, Uruguay: Perro Andaluz, 2008), 25. 27 Mignolo, The Idea of Latin America, 59.

occupied a lingering space somewhere in the middle.28 This process of carving out a place for some, while simultaneously subjugating others, is one that can still be seen in the National Museum of Fine Arts. The Contemporary Situation of Afro-Argentines To enshrine one particular view of race in Argentina inside the National Museum of Fine Arts has greater implications outside the realm of fine arts. The founding fathers of Argentina, the Generation of ‘37 and the Generation of ’80, strove to make Argentina a white country through the decimation of native populations and European immigration. Still today, Argentines prefer to think of themselves as an entirely white nation. This, however, was never the case. The portion of the population that was European-born or descendent never reached above 60% at its height in the 1920s, but in 2013 the CIA World Factbook describes the Argentine population as 98% white.29 A significant reason for this misconception is that up until recently the government had simply chosen to ignore its Afro-Argentine population. Census officers claimed not to include a question on race on the census of 1895 because they believed that the majority of the participants would identify as white. They added, “the racial question, so noticeable in the United States, does not exist in Argentina, where it will not take much time for the population to become completely unified, creating a new and beautiful white race produced by the contact among all the European nations, made fruitful in the South American soil.”30 Until 2010, the census did not include Afro-Argentine as a category. In such a climate where the very existence of a people is ignored, representation and visibility is key in shaping views. The MNBA can take one concrete step in overturning these hierarchies by first acknowledging the complicated history of Afro-Argentines and the indigenous population in relation to the state in Room 24. The Bust of a Slave and Return of the Raid are accompanied only by their descriptive labels – no history of these two populations is given at all. Providing historical data would allow visitors to start questioning the role of the works themselves. In the case of Bust of a Slave, simply providing the date of the abolishment of slavery would spark visitors to ask why this bust of a slave was created thirty years later. Room 24 could similarly benefit from an intervention from interested parties and stakeholders. Activities that actively involve visitors to re-imagine the narrative of the museum can prove vital to disrupting the potential damage that the MNBA causes with its unflattering, stereotypical representations of racial minorities. These activities may cause fractures in the perceived impenetrable, polished finish of national museums. Once visitors have a way to impact and influence exhibitions, the exhibition and the museums at large becomes a project of individuals and not the state. This allows space for even bigger questions to be asked, such as “What is a nation?”, “Who determines what is fine art?” and “How and why am I being represented?” 28 George R Andrews, “The Afro-Argentines of Buenos Aires,” : 1800-1900, (Madison: University of Wisconsin, 1980), 18. 29 Chamosa, “Indigenous or Criollo,” 77. 30 Ibid., 77-78.

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Geochemical Evidence for Variable Redox Conditions in the Late Cretaceous Western Interior Seaway Allegra Mayer


Brad Sageman

FACULTY ADVISOR Chair, Department of Earth & Planetary Sciences PhD, University of Colorado, Boulder


Introduction Climate change is one of the most significant geoscientific issues of the current century, affecting people, animals, and the environment. If human activity continues to be a high source of carbon dioxide to the atmosphere and pCO2 passes 1000 ppmv, the climate in the next century may resemble the Cretaceous climate 1. Examining the response of major reservoirs like the ocean and atmosphere to past perturbations of elemental cycles can help scientists to predict the timescale and magnitude of changes to expect due to modern, anthropogenic perturbations. Cretaceous Ocean Anoxic Events Multiple events have been recorded in Earth’s geologic history during which there was below normal oxygen in oceans worldwide, resulting in large scale burial of organic carbon. These events are called ocean anoxic events, or OAEs, and occurred during the Cretaceous period (approximately 145-65 Ma) 2. It is widely accepted that a surge in volcanism released relatively large amounts of sulfate into Cretaceous oceans, which subsequently increased phosphorus recycling 3. The increase in nutrients enhanced primary production, and the



raised level of respiration initiated the Ocean Anoxic Event at the boundary of the Cenomanian and Turonian periods, also known as OAE 2 3. During Ocean Anoxic Events, there is an increase in the production and subsequent burial of organic material that has an increased proportion of 12C. Since primary production preferentially concentrates lighter carbon isotopes (12C), this results in a positive δ13C excursion 4. The Western Interior Seaway This study focuses on the occurrence of OAE 2 within the Western Interior seaway. The Western Interior seaway (WIS) was a shallow inland sea in North America that connected the Arctic region to the area that is now the Gulf of Mexico, and from western Colorado to eastern Kansas during the Late Cretaceous Period (from before the Albian Age to the Maastrichtian Age)5. Carbon Cycle Geochemistry Marine carbonates are useful as a proxy for the isotopic composition of the DIC (predominantly HCO3-) in the ocean during sedimentation 6. The stable isotope composition of carbon in marine carbonate depends on the flux of organic carbon to the ocean, the difference in fractionation between

EARTH & PLANETARY SCIENCES organic carbon and carbonate carbon, as well as the isotopic composition of carbon being input by rivers from terrestrial sources. This is summarized as the lever rule: δ13Ccarb=forg*ΔCcarb-org + δ13Crivers. Steady state carbon burial has an average isotopic composition of 1‰ (from Kump & Arthur, 1999). Inorganic carbon weathering generally has an isotopic value of ~0‰, which is not a major lever on δ13Ccarb. However, the weathering of terrestrial organic carbon (i.e. shales) has a larger fractionation, with steady state values in the Cretaceous averaging -22‰ 6. Perturbations to the Carbon Cycle: Elevated Atmospheric Carbon Dioxide, Primary Production, and Carbon Burial Volcanism and other perturbations of carbon reservoirs can release high levels of carbon dioxide into the atmosphere. Elevated pCO2 allows primary producers to discriminate and increases the isotope fractionation factor, so δ13Corg becomes depleted in times of high pCO2. δ13Ccarb becomes enriched at the surface waters when light DIC is utilized for primary production and incorporated into organic matter in conditions of high pCO2. The biological pump transports organic matter to the bottom waters, where the carbon is oxidized and depleted DIC is released into the low ocean, resulting in isotopically light bottom waters 7. Isotopically depleted carbonates form due to vital effects of organisms preferentially incorporating 12C into their carbonate shells, and due to diagenesis. Diagenesis is the post burial alteration of sediments such that the isotope signature becomes more depleted than the original signal 8. A relatively high initial concentration of atmospheric CO2 allows photosynthesizers to discriminate between carbon isotopes, resulting in a depleted organic δ13C isotope record if carbon burial is also increased 9. When organic material does not have access to adequate oxygen during respiration, the organic material is remineralized by microbes using other terminal electron acceptors such as nitrate and sulfate 10. These conditions are termed anoxic events, and are recorded in the rock record as periods during which the rocks are enriched in organic carbon. When the water column is sufficiently mixed, primary production during anoxic conditions turn the ocean into a carbon sink, and pCO2 is drawn down the water column and removed from the atmosphere and short term carbon cycle through the sequestration of carbon into the sedimentary reservoir 11. A drawdown of atmospheric CO2 due to high primary productivity during ocean anoxia decreases atmospheric pCO2, and should result in a positive excursion of enriched δ13Corg values, in part due to a smaller fractionation factor caused by lowered pCO2. Sulfur Cycle Geochemistry Because the carbon cycle is tightly coupled to the sulfur cycle, trends in sulfur isotopes are useful in determining mechanisms of perturbations in the carbon record. The changes in mass balance and fractionation of seawater sulfate are measured through the proxy of carbonate associated sulfur (CAS) isotopes, whereas pyrite isotopes are a useful proxy for organic sulfate formation and fractionation. The geologic marine sulfur cycle is controlled mainly by the mass inputs of sulfate from weathering of evaporites, such as anhydrite or

gypsum, and terrestrial organic-rich shales which are rich in pyrite. Major controls also include outputs of bacterial sulfate reduction (BSR), pyrite burial, and evaporite burial in shallow settings 12. BSR occurs below the sediment water interface in anoxic environments when oxygen and nitrogen can no longer act as electron acceptors 12. BSR requires organic matter and sulfate; it produces reduced hydrogen sulfide and bicarbonate: 2CH2O (Organic Matter)+ SO42 - --> H2S + 2HCO3-. Hydrogen sulfide is very reactive with iron oxides and reacts to produce pyrite (FeS2) which is preserved in the rock record. During BSR, 32S is preferentially dissociated and incorporated into H2S, so greater concentrations of either reactant results in a relatively depleted δ34Spyrite record. Greater concentrations of seawater sulfate allow greater fractionation of sulfur during BSR, resulting in a greater Δ34Ssulfate-pyrite and often resulting in lighter δ34Spyrite12. The requirement of organic matter as a reactant links the δ34S record to the carbon cycle. If surface primary production increases, so does the production of organic carbon that sinks to the ocean floor via the biological pump that can subsequently be reduced by BSR to form sulfides incorporated into the sediment. This link results in a positive relationship between δ34Ssulfate and δ13Ccarb because the process preferentially buries light fractions of both carbon and sulfur (in the forms of organic carbon and pyrite), leaving seawater (as reflected by the Ccarb and SCAS records) relatively enriched 13. Unresolved Debates over the Driving Mechanisms for OAE2 While the carbon isotope record at the CenomanianTuronian boundary has been well studied throughout the world 9,14, only recently have detailed sulfur isotope analyses been applied to this event in conjunction with carbon isotope interpretations 3,15. Multiple theories have been suggested for the triggers of OAE2, including sea level transgression and flooding to enhance primary productivity and organic carbon preservation 4, volcanism or enhanced sea-floor spreading that increased mantle input of sulfur and trace metals to the ocean 3,16-18 , and variable influx of freshwater to the oceans influencing mixing and stratification of the water masses 19. While it is likely that some combination of these theories triggered OAE2, the mechanism of the biogeochemical and climactic triggers of OAE2 are still debated. Study Description This study is a geochemical analysis of 30 samples from sedimentary rocks collected from Snake in the Grass Bluff in central Kansas, on the eastern margin of the Western Interior Seaway. This study compares the stratigraphic record of carbon and sulfur isotope data to elucidate changes in redox conditions within the WIS during the transition into OAE2. By examining trends in sulfur and carbon stable isotopes, this study aims to enhance the understanding of the connections and feedbacks on primary production, ocean anoxia, and volcanism in the Late Cretaceous WIS to perturbations in biogeochemical cycling. Methods The samples were collected from an outcrop near Pfeifer,

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EARTH & PLANETARY SCIENCES Kansas by Derek Adams and Richard Barclay from Northwestern University. Every other sample from the original collection was chosen for analysis, to make 25 in total analyzed for inorganic carbon, while an additional five samples were analyzed for the rest of the isotope analyses to enhance resolution leading up the anoxic event. The coulometric method used in this study is based off of Huffman (1997) to determine both the total and inorganic composition of the carbon in a sample 20. The samples are then analyzed for stable isotopic values of C and O on an isotope ratio mass spectrometer. Outlier data were analyzed on two separate occasions, confirming that the data was not a result of an analytical error. Carbonate Associated Sulfate (CAS) was extracted by washing out all other forms of S so that only CAS remains. The CAS extraction method was based on standard procedures 21. The procedure for pyrite extraction followed Canfield et al. (1986). Modeling The carbon cycle model used in this study was modified from Kump and Arthur (1999). Model steady state and experimental runs were set up using the program Stella. The mass balance model follows the change in mass of oceanic carbon (Mo) due to inputs of carbon from weathering and volcanism, and exports from the burial of organic and inorganic carbon: The isotope balance model follows the carbon lever rule, where delta denotes the average isotopic composition of carbon from each source. Steady state values are modified from Kump and Arthur (1999). FW,org= 10000, FW, carb= 34000, initial Fvolc= 6000, where W’ indicates both organic carbon weathering and siliclastic and carbonate weathering (all fluxes in units of 1012 mol C/kyr).

The model accounts for the feedback on weathering from changes in pCO2 and the dependence of the fractionation effect on pCO2 levels, but assumes a constant concentration of phosphate. Volcanism and organic carbon burial were varied to determine the effects of these levers on the carbon isotope record. Limitations The data was acquired from bulk samples, which may include portions of sample that were diagenetically altered or



Figure 1: Sulfur and carbon lithostratigraphy and geostratigraphy from Bunker Hill, KS show isotope excursions characteristic of Ocean Anoxic Event 2. For δ13Ccarb the dark blue data were reruns of the samples one year later to corroborate the anomalous data. The blue box denotes OAE2.

contained other fossilized material. Another potential source of error is the assumption that organic matter all originated as photosynthate. The organic matter is likely composed of both bacterial sources and photosynthate, with possibly a small fraction of terrigeneous organic matter. To simplify analyses these relatively minor sources were ignored. These limitations have a large potential for causing analytical error for both

EARTH & PLANETARY SCIENCES carbonate and organic carbon isotopes. Thus, trends in the data were verified by comparison to studies of OAE2 from other sites. Additionally, the sedimentation rate in Bunker Hill is slower than that in Pueblo, CO and in more western sites of the WIS 22. Reduced sedimentation means that less time may be represented in the rock record, possibly through small hiatuses or disconformities in the record. Even if there are no major gaps, the section will be more condensed, and both inorganic and organic constituents will have experienced a different geochemical history during deposition and early burial. Results and Discussion Enriched Carbon Record The baseline for δ13Ccarb depends on the locality and the amount and composition of sedimentary input 10, and is therefore expected to vary across depositional environments and facies across the globe. Within the Western Interior seaway, the pre-excursion baseline at Pueblo was measured to be ~ +1.4‰ 23, which is comparable to the mean +1.5‰ baseline observed in Bunker Hill (see figure 1). Also, both Rock Canyon and Cuba, sites in Colorado and Kansas respectively, have a pre-excursion δ13Ccarb baseline of between +1 and 2‰14, indicating that the baseline observed in Bunker Hill is in line with other sites in the WIS. It is widely observed that the δ13Ccarb record in the WIS exhibits a ~1.5 to 2‰ positive excursion during OAE2 23-25. The observation of a ~+1‰ shift from this study in Bunker Hill (Figure 1) is therefore slightly lower than in most sites in the WIS. The δ13Corg record exhibits a +2‰ positive excursion during the OAE, resulting in a significantly reduced ΔB relative to the rest of the Bunker Hill record. A carbon burial event would logically cause the same magnitude of enrichment in both the organic and carbonate C isotopes if one does not consider the effect of increased primary production on pCO2 and the influence of a change in pCO2 on the fractionation factor εp 6. To account for change in the atmospheric carbon reservoir, we expect the fractionation to decrease as the reservoir gets smaller. An organic carbon burial event would cause a drawdown of pCO2 used by primary producers, which would decrease ΔB by enriching δ13Corg due to the smaller concentration of CO2 for producers to preferentially incorporate the lighter carbon. Thus, the reservoir effect on fractionation during a carbon burial event explains why the positive δ 13Corg excursion (~2‰) is greater than the δ 13Ccarb excursion (~1‰) 6,26. Although the negative pulse in carbonate isotope is not recorded uniformly across the globe, a depleted signal occurring right near the onset of the event is observed in varying magnitudes in locations in the Western Interior seaway, as well as in paleo-epicontinental seas in Italy, Crimea, and France 25. Due to the high percentage of carbonate rich limestone beds in this record, one hypothesis for the unexpected data could be post-burial diagenesis.

C Burial

7 x Volcanism

C Burial

Figure 2: (A) Overlay of modeled values of δ13C with measured values from Bunker Hill. Model imposes a 200 kyr increase in carbon burial by 40%. Blue is measured δ13Ccarb, purple is modeled δ13Ccarb, red is measured δ13Corg , orange is modeled δ13Corg . (B) Depicts the overlay of δ13Ccarb values with model response to a 500 kyr at 7x increased volcanism (from Adams et. al, 2010) followed by rapid increase in C burial to 1.5x, peaking at 1.58x carbon burial and then gradually reducing back to steady state over a period of 600 kyr. (C) Depicts the δ13Corg response to the same perturbation.

Diagenesis in the limestone facies prior to OAE2 is supported by the magnitude of the negative excursion. From carbon mass balance models based on Kump and Arthur (1999), I observed that changes in flux do not lead to significant (-1 ‰ or greater) shifts in the δ13Ccarb record, especially not without also affecting the δ13Corg record, so diagenesis provides a more plausible explanation for this pattern. Additionally, a simple carbon cycle model (Figure 1) account for the general isotopic trend between pre-OAE baseline and the positive excursions, but cannot account for the depleted δ13Ccarb outliers at the onset of the event. The extreme difference in value from the model implies that an independent factor changed the isotopic composition of carbonate only in a very specific location in the rock record, suggesting diagenesis. Volcanism

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EARTH & PLANETARY SCIENCES Varying Redox Conditions in the WIS Compared to the Portland Core and other sites in the WIS, sites in Kansas on the eastern margin are thought to have lower levels of oxygenation near the Cenomanian Turonian boundary 28. The eastern margin has a much higher percent of laminated fabrics than Portland core in the time period represented by the lower Hartland Shale Member at Bunker Hill28. Laminated fabrics indicate anoxic bottom water conditions, while bioturbated fabrics represent periods with burrowing organisms that require oxic conditions. During periods of oxygenation low enough to allow for BSR, an increase in bioturbation will effectively increase the concentration of seawater sulfate available to be reduced via BSR byexposing below-surface sediment to seawater. Figure 3 shows that the extent of fractionation during pyrite formation can The Control of Bacterial Sulfate be increased by increasing one or both of Reduction on the Sulfur Record the following factors: 1) available sulfate Both the the absolute values of δ34SCAS concentrations (through influx of high sulfate and the overall trend in δ34SCAS, starting waters or through bioturbation) and 2) input from more depleted values before the of organic matter. Given unlimited organic event, undergoing sudden (and variable) matter, higher effective sulfate concentrations enrichment during the event and finally Figure 3: The relative input of organic matter to the should increase the extent of fractionation of becoming even heavier post-event, are sediments indirectly affects the isotope composition of δ34S in a given locality, leading to a lighter pyrite consistent with the sulfur geochemistry seawater sulfate by limiting bacterial sulfate reduction. isotope signature. Anoxic conditions should measured in Pueblo, CO3 This consistency isolate the sediment from bioturbation, effectively decrease is expected from two sites within the same basin . Compared available sulfate concentrations and yield an enriched δ34Spyrite to the δ34Ssulfate record of Bonarelli, Italy, the Bunker Hill δ34SCAS record. This Bunker Hill record provides geochemical evidence record is larger by about 3‰ across the OAE2 onset 15. Because for the difference in local redox conditions between the eastern the positive isotope shift is apparent and simultaneous in North and western margins of the WIS. At the onset of OAE2, δ34S pyrite America and in Italy, the WIS shift was likely driven by a global is more than 10‰ more enriched in the lower Bridge Creek event instead of the opening of an oceanic gateway to the Atlantic. Limestone in Bunker Hill than in Pueblo, CO 3. This is consistent The range of values of δ34SCAS, which increase from 10 to with the Savrda (1998) observation that the Portland core has 30‰, indicates the sensitivity of the sulfur record to changes a higher percentage of bioturbated fabrics in the lower Bridge in seawater sulfate concentration. The sudden, relatively large Creek (87% compared to 52% at Bounds core in Kansas). The isotopic shifts seen in the WIS δ34SCAS record would not be seawater-sediment conditions were therefore more anoxic on possible in a high sulfate ocean due to the reservoir isotope the eastern margin than the center of the WIS in the initial part effect. The Bunker Hill δ34SCAS values exhibit a +6‰ shift over of OAE2. the time period of ~100 kyr at the onset of OAE2 (Figure 2). Primary Production Leaves δ34Ssulfate Enriched The data suggest a combination of the two factors influenced Theoretically, we might expect a mass demise of primary the Bunker Hill isotope record: (1) an increase in sulfate upon producers due to an anoxic event to reduce the input of a (2) low sulfate reservoir. Isotope fractionation, represented organic matter to the sediments, limiting BSR and resulting in a by Δ34Ssulfate-py, is strongly dependent on the size of the sulfate relatively light δ34SCAS record. Once the input of organic matter reservoir 27 . The Δ34S values increase from ~30‰ at the base increases again, BSR can increase and preferentially incorporate of the sample site before OAE2, to a maximum of 54‰ during light seawater sulfate into pyrite, leaving a relatively enriched OAE2, high above modern fractionation levels (~35‰) (see δ34SCAS record 12. The Bunker Hill δ34SCAS data exhibit this Figure 2). This large increase in fractionation in unison with enrichment of CAS as the ocean anoxic event is ending at an increase in organic carbon burial evidenced by a positive the onset of the Turonian, indicating an increase in sulfate excursion in δ13Corg indicates a dramatic increase in relative reduction, likely due to increased organic matter input from seawater sulfate concentration local to Bunker Hill. Hypotheses high primary productivity. Enhanced primary productivity for the increase in available seawater sulfate and the resulting during OAE2 is corroborated by the enriched δ13Corg record enriched Δ34S include: 1) variable redox conditions that caused measured in this study and at localities around the world 2,9 differences in sediment exposure to seawater sulfate through (Figure 4). At the onset of OAE2, anoxic conditions on the bioturbation, or 2) increased input of organic matter to due to eastern margin of WIS cause a decrease in primary production prolonged and enhanced primary production. and the input of organic matter to the sediment. Additionally, A second hypothesis that should be considered for the anomalously depleted δ13Ccarb values is the occurrence of a volcanic pulse associated with the onset of the event. A pulse of volcanism would drive a decrease in δ13Ccarb , but would also drive a larger decrease in δ13Corg values 6. Such a change in the δ13Corg record was not observed in this study of Bunker Hill, nor was it noticeable in any of the previously mentioned studies that included both δ13Ccarb and δ13Corg records 14,23,25. Thus, volcanism could not have been the sole driver of the negative δ13Ccarb pulses. If other fluxes of carbon mass are changing at the same time as volcanism (e.g. carbon burial) it is possible that the δ13Corg is balanced by the negative driving of volcanism and the positive driving of carbon burial, while the δ13Ccarb is more sensitive to volcanism than to carbon burial and thus exhibits a brief negative pulse 6.



EARTH & PLANETARY SCIENCES Prolonged primary production during OAE2 increased the transport of organic matter to the sediment floor, enhancing bacterial sulfate reduction and increasing the extent of fractionation during pyrite formation. Enhanced BSR preferentially incorporates light seawater sulfate, leaving the remaining seawater increasingly enriched in sulfate as the event progressed. Enhanced volcanism prior to OAE2 remains a plausible hypothesis for explaining the trigger of OAE2 in the WIS, Figure 4: All sites exhibited a ~0.8% depletion of δ34Spyrite during OAE2 and a rebound to enriched values after the event. The differing though likely not as background levels between sites is a result of varying local conditions, with Demarara Rise exhibiting depleted value. intense volcanism as suggested by Adams et al. (2010). This study was not conclusive anoxia eventually reduces bioturbation of sediment, decreasing in determining the drivers of the event, but more complicated the exposure of seawater sulfate to the sulfate reducers below models, in combination with more sulfur/carbon datasets from this the sediment. The decrease in reactants necessary for BSR period, should provide insight to the most likely triggers of OAE2. (organic matter and available sulfate) reduces the extent of 34 Future studies should measure the variance of fractionation during BSR and enriches δ Spyrite . This isotope sedimentation rates across the WIS during this period to excursion is reversed at the Cenomanian Turonian boundary, observe the effect of sedimentation rate on local redox as the total organic matter increases in the local sediments on the eastern margin, and enhanced BSR forms pyrite depleted in conditions, and thus the isotopic composition of the sediment. Additionally, a comprehensive model linking the δ34S (Figure 4). mass balance of carbon and sulfur through BSR, volcanism, Conclusions weathering and sea level changes would provide insight to the The eastern margin of the Western Interior Seaway records 34 significance of each of these levers on the biogeochemistry of a δ S of seawater consistent with other sites across the entire 34 seaway sediments and the resulting climactic and biological basin, but records locally unique δ Spyrite . Savrda (1998) has effects during the Cretaceous. A greater understanding of documented greater periods of laminated sediments isolated these connections will allow scientists to better predict the from bioturbation on the eastern margin of the WIS compared biological response of marine organisms to modern and future to the west. The more enriched pyrite isotopes in Bunker Hill anthropogenic and natural biogeochemical perturbations. provide geochemical evidence of higher levels of anoxia on Acknowledgements the eastern margin than in Pueblo, Colorado on the western I am immensely grateful to Professor Brad Sageman for guiding this margin. In addition to changes in oxygenation, variable study and for mentoring me through my journey into the world of sedimentary sedimentation rates may have also influenced the sulfur 29 34 geology. Thank you to Professor Sageman and Professor Matt Hurtgen for isotope record . Periods of relatively enriched δ Spyrite at the providing background and analytical discussion for understanding the data, onset of the event occurred during a period of anoxia and the in addition to funding the laboratory analyses. I am also grateful to Maya excursion may have been enhanced by a higher sedimentation Gomes and Young Ji Joo for their patient assistance and for teaching laboratory rate. 34 techniques and running samples on the IRMS. Alexa Socianu, Petra Sheaffova, δ Spyrite records a primarily local signal of isotope 34 and the lab managers Kelly and Koushik assisted and taught laboratory fractionation, therefore the consistency of trends in δ Spyrite techniques for sample processing and coulometer and IRMS data collection. exhibiting a ~8‰ negative excursion at the CenomanianThanks also to Jenny Mills for assisting with stella modeling. Derek Adams Turonian boundary throughout the WIS and Demarara Rise collected the samples from Snake in the Grass Bluff in Bunker Hill. All laboratory implies a regional if not global driver of the change affecting analyses were performed in the Integrated Laboratory for Earth and Planetary each locality within 300 kiloyears of one another. Science (ILEPS) at Northwestern University.

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Figure S1 (Above): Composite of carbonate isotope excursions adapted from dissertation of Richard S Barclay (2011). Red arrows annotate pre-OAE2 negative excursions comparable to the ones observed in Bunker Hill Kanasas in this study.

Figure S2 & S3 (Above): Results of carbonate cycle perturbation of 500 kyr 7x increase in volcanism followed by a 50% increase in carbon burial.



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Oceanic plateau formation: a cause of mass extinction and black shale deposition around the Cenomanian-Turonian boundary? J. Geol. Soc. 155, 619-626, doi:10.1144/ gsjgs.155.4.0619 (1998). 18 Snow, L. J., Duncan, R. A. & Bralower, T. J. Trace element abundances in the Rock Canyon Anticline, Pueblo, Colorado, marine sedimentary section and their relationship to Caribbean plateau construction and oxygen anoxic event 2. Paleoceanography 20, doi:10.1029/2004pa001093 (2005). 19 Floegel, S., Hay, W. W., DeConto, R. M. & Balukhovsk, A. N. Formation of sedimentary bedding couplets in the Western Interior Seaway of North America - implications from climate system modeling. Paleogeogr. Paleoclimatol. Paleoecol. 218, 125-143, doi:10.1016/j.palaeo.2004.12.011 (2005). 20 Huffman, E. W. D. PERFORMANCE OF A NEW AUTOMATIC CARBON-DIOXIDE COULOMETER. Microchem J. 22, 567-573, doi:10.1016/0026-265x(77)90128-x (1977). 21 Hurtgen, M. T., Halverson, G. P., Arthur, M. A. & Hoffman, P. F. Sulfur cycling in the aftermath of a 635-Ma snowball glaciation: Evidence for a syn-glacial sulfidic deep ocean. Earth and Planetary Science Letters 245, 551-570, doi:http://dx.doi.org/10.1016/j.epsl.2006.03.026 (2006). 22 Hattin, D. P. Stratigraphy and Deopositional Environment of Greenhorn Limestone (Upper Cretaceous) of Kansas. Kansas Geol. Survey Bull., 1-109 (1975). 23 Sageman, B. B., Meyers, S. R. & Arthur, M. A. Orbital time scale and new C-isotope record for Cenomanian-Turonian boundary stratotype. Geological Society of America 34, 125-128 (2006). 24 Freeman, K. H. & Hayes, J. M. Fractionation of carbon isotopes by phytoplankton and estimates of ancient CO2 levels. Global biogeochemical cycles 6, 185-198 (1992). 25 Hetzel, A., Bรถttcher, M. E., Wortmann, U. G. & Brumsack, H.-J. Paleo-redox conditions during OAE 2 reflected in Demerara Rise sediment geochemistry (ODP Leg 207). Palaeogeography, Palaeoclimatology, Palaeoecology 273, 302-328, doi:http://dx.doi.org/10.1016/j. palaeo.2008.11.005 (2009). 26 Gomes, M. L. & Hurtgen, M. T. Sulfur isotope systematics of a euxinic, low-sulfate lake: Evaluating the importance of the reservoir effect in modern and ancient oceans. Geology, doi:10.1130/g34187.1 (2013). 27 Habicht, K. S., Gade, M., Thamdrup, B., Berg, P. & Canfield, D. E. Calibration of sulfate levels in the Archean Ocean. Science 298, 2372-2374, doi:10.1126/science.1078265 (2002). 28 Savrda, C. E. Stratigraphy and Paleoenvironments of the Cretaceous Western Interior Seaway, USA. SEPM concepts in sedimentology and paleontology, 127-136 (1998). 29 Gautier, D. L. CRETACEOUS SHALES FROM THE WESTERN INTERIOR OF NORTH AMERICA - SULFUR CARBON RATIOS AND SULFUR-ISOTOPE COMPOSITION. Geology 14, 225-228, doi:10.1130/0091-7613(1986)14<225:csftwi>2.0.co;2 (1986).



Clare Cavanagh

FACULTY ADVISOR Chair, Department of Slavic Languages & Literature PhD, Harvard University MA, Harvard University

Nabokov’s Watermarks ALEXIS ORLOFF / PHOTO

The Significance of Perceptual Time and Memory in Three Selected Novels

Terrible? Wrong? She was absolutely perfect, and strange, and pignantly familiar. By some stroke of art, by some enchantment of chance, the few brief scenes she was given formed a perfect compendium of her 1884 and 1888 and 1892 looks.


The gitanilla bends her head over the live table of Leporello’s servile back to trace on a scrap of parchment a rough map of the way to the castle. Her neck shows white through her long black hair separated by the motion of her shoulder. It is no longer another man’s Dolores, but a little girl twisting an aquarelle brush in the paint of Van’s blood, and Donna Anna’s castle is now a bog flower. - Vladmir Nabkov, Ada or Ardor: A Family Chronicle

VOLUME 09, 2013 – 2014



Politics, Poverty, and Pedagogy

An examination of how colleges teach about poverty


Benjamin Page


FACULTY ADVISOR Gordon S. Fulcher Professor of Decision Making JD, Harvard Law School; PhD, Stanford University

ith high rates of poverty in the United States in mind, two key research questions were considered. The first was how teaching about poverty varies across different social science disciplines. The second question was what effect this teaching has on students’ knowledge and attitudes toward poverty. Three intro-level social science classes at Northwestern (Sociology, Macroeconomics, American Government and Politics) were studied to see how they approached poverty. I found that the sociology class discussed poverty most broadly, while political science and economics hardly addressed poverty or inequality at all. I also examined changes in student knowledge and attitudes toward poverty by distributing a survey before and after the course. The survey indicated that NU students are generally high-SES and liberal. They overestimate the annual poverty wage, and tend to blame poverty on structural deficiencies rather than individual failings. Thus, they prefer educational remedies, such as improving public schools and funding job programs. While there were no large-scale changes in student attitudes after taking the courses, support for a few key policies did change, especially in the economics and sociology classes where specific policies were mentioned. Sociology students increased support for public housing and subsidized daycare, while economics students decreased support for tax credits for the poor and increasing the minimum wage. This suggests that while courses may not have an effect on students’ general political views, the discussion of specific policies in class may affect students’ attitudes toward those policies and others that are similar.




POLITICAL SCIENCE Introduction According to the official measures used by the U.S. Census Bureau, the number of Americans living in poverty is 46.2 million, or 15% of the population. A 2013 Gallup poll found that 70% of Americans are either somewhat or very dissatisfied with the nation’s efforts to deal with poverty. The combination of rising poverty and dissatisfaction with poverty policy underscores the importance of understanding poverty policy if these trends continue. In light of these facts, I chose to examine how poverty is treated in an academic setting. Academic treatments of poverty are important for two main reasons. First, trends in academic discourse may tend to frame political discourse. Second, today’s students are the ones who will shape future politics. It is thus important to understand what they are taught about poverty, and how their attitudes toward this important issue are shaped by their education. It makes sense that the disciplines that deal most with poverty in an academic setting are the social sciences— especially economics, sociology, and political science. On one hand, one might expect that the three disciplines deal with poverty relatively similarly, as a discussion of important social issues seems to necessitate an examination of poverty. On the other hand, the three are founded on different theoretical frameworks such that their examinations of poverty might differ significantly. I hoped to answer two key research questions. The first is how teaching about poverty varies across different social science disciplines. The second question is what effect this teaching has on students’ knowledge and attitudes toward poverty. Literature Review I. Poverty, Economics, and Public Opinion in America Americans’ views of poverty, inequality, and redistribution are shaped by a national narrative and discourse whose values are simultaneously egalitarian and unequal. Jennifer Hochschild found that American people’s distributive judgments could best be categorized by looking at how they apply distributive norms to different domains: politics, socialization, and economics. Hochschild found that in the domains of politics and socialization, people “usually start from a principle of equality, and use mainly egalitarian norms” (Hochschild 1981, 81). In economics, however, norms are based on the idea that success is a function of productivity and merit. Thus, economic inequality becomes more acceptable than inequality in other domains. II: Poverty Knowledge and the Social Sciences The narrative of dominant norms in the realm of economics and poverty is closely related to trends in the social sciences over the past few decades. From its liberal, reform-minded origins in the 1960s, poverty knowledge today has become characterized by “technical language and decontextualized, rational choice models of human behavior” (O’Connor 2001, 5). Since the 1980s, “poverty knowledge has been profoundly shaken by the rise of the political Right, with its ideological… approach to knowledge and its extraordinary success in

keeping the locus of discourse away from the economics of rising inequality and centered on… the decline of personal responsibility” (O’Connor 2001, 10). The shift in poverty knowledge reflects one of the tensions at its core—“whether [inequality] is best understood and addressed at the level of individual experience or as a matter of structural and institutional reform” (O’Connor 2001, 9). The current consensus represents a resolution “in favor of the individualist interpretation” that reflects the ideological leanings that currently dominate political discourse (O’Connor 2001, 9). III: The Effects of Education British sociologist Adrian Furnham more specifically examined the role of political socialization as it related to adolescent views of poverty. He found that wealthy private school students were more likely to overestimate the income of a person in poverty, and were more likely to focus on individual failings as the cause of poverty (Furnham 1982, 144). In contrast, public school students provided income estimates for a poor person that were closer to reality, and cited structural causes as explanations for poverty. Furnham found that the students’ different personal experiences with money informed their understandings of poverty. Methodology In my research, I hoped to answer two key research questions. The first was how teaching about poverty varies across different social science disciplines. The second was what effect this teaching has on students’ knowledge and attitudes toward poverty. To answer these questions, my research included two main components. The first was an analysis of the course content of three different introductorylevel social science classes at Northwestern: Soc 110 (Intro to Sociology), Econ 201 (Intro to Macroeconomics), and Political Science 220 (American Government and Politics). The first two were analyzed in fall 2012, while the latter was analyzed in winter 2013. The course analysis examined the content of textbooks, syllabi, lectures, and assessments. I counted the number of mentions of poverty and inequality, and qualitatively analyzed the context in which poverty was addressed. In addition, I attended selected lectures to see how the topic of poverty was addressed by each professor in class. The second component of my research was a poverty attitude survey that was distributed to students before and after taking the course. I distributed the survey link electronically to students during the second week of the course. I then distributed a follow-up survey link to them during reading week at the end of the course. The survey contained questions about different aspects of poverty, as well as demographic questions to help sort and classify responses. Survey questions focused on four key aspects of poverty: 1. Causes of poverty: I hoped to find out whether students believe that poverty is the result of societal shortcomings (i.e. lack of opportunities for education, jobs, etc.) or individual shortcomings (i.e. laziness, poor money management, etc.). 2. Remedies for poverty: This section of the survey focused on policy remedies. I hoped to find out whether students prefer

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POLITICAL SCIENCE more government intervention or not. 3. Importance of poverty: I hoped to find out how important students believe poverty is in the US today 4. Nature of poverty in the US: Questions that were addressed include: How many people are poor in the US? Who is poor? How do we determine who is poor? I saw these four facets as the most important areas to address when measuring students’ knowledge and attitudes. I used them to create a more systematic approach to measuring public opinion about poverty, making analysis and comparisons of data easier. Hypotheses I. Disciplines Because of the ideological standpoints of each discipline, I expected that distributive justice norms underlying approaches to poverty will be consistent with the norms Hochschild found in public opinion domains of politics, economics, and society. Sociology would come from a perspective most focused on inequality, so it would have the most discussion of poverty. II: Demographics As part of an elite private university, I hypothesized that Northwestern students would tend to come from high socioeconomic backgrounds. I also expected that Northwestern students will tend to be more liberal than the American public. Finally, I expected to see that students in sociology and political science will be more likely to selfidentify as liberals. As I expected these courses to take the most liberal stances on social issues, I hypothesized that the students who choose to take these courses would selfselect based on their interests. Conversely, I expected more conservative students to take economics, as it is the most conservative of the three. III. Influences I expected that more mentions of poverty in a class will lead to increases in knowledge and importance of poverty after taking the course. I also hypothesized that student opinion changes will reflect the distributive norms presented to them in each course. At the end of each respective course, students in sociology may show a preference for more structural causes and remedies for poverty, while econ students’ preferences may tend toward individualism. Who took each course? Initial demographic and belief patterns I. Demographic Characteristics Of 209 students enrolled in Intro to Sociology in fall 2012, 58 responded to the initial survey distributed to them at the beginning of the course. This was a 28% initial response rate. Of 228 students enrolled in Intro to Macroeconomics in fall 2012, 71 responded to the initial survey distributed to them at the beginning of the course, for a 31% initial response rate. The survey was sent to 124 total students in American Government and Politics in winter 2013. Of these 124 students who received the initial survey, 67 responded, for a response rate of 54%. The overall demographic breakdowns of each course were 22


fairly similar, especially between sociology and economics. Both had large numbers of freshmen, similar proportions of Democrats and Republicans, similar incomes and most self-identified as moderate. Political science students resembled sociology and econ students in income, but varied greatly in age, party ID, and liberal-conservative self-rating. Three-fourths of political science students self-identified as Democrats. There was also evidence to suggest that Northwestern students are in fact more liberal than the general public. Although the most common response to the liberalconservative self-rating was to identify as moderate, the overall percentage of students who rated themselves as “very liberal” or “liberal” was much higher than those who chose to rate themselves as “very conservative” or “conservative. In addition, in all courses there were fairly large majorities of Democrats. All three had initial proportions of Democrats over 55%. Northwestern students are more Democratic than the public as a whole, which lends support to my initial hypothesis. Northwestern students also tended to have higher family incomes than the American general public. In each course, the majority of students reported family incomes of over $100,000. This is a great deal higher than the U.S. median household income, which was $52,762 in 2011 (U.S. Census Bureau 2013). This supports my hypothesis that Northwestern students tend to come from high socioeconomic backgrounds. II. Self-Selection One of my hypotheses was that students would selfselect into disciplines that matched their own initial political beliefs. At first glance, the similarities between economics and sociology students’ liberal-conservative self-ratings appeared to contradict my initial hypothesis about what kinds of students would take each course. In both courses, the majority of students’ beliefs were at the middle of the political spectrum. However, although economics and sociology students self-identified similarly, there was still the possibility of differences in their initial attitudes toward poverty. These would be reflected in their responses to the substantive questions on the survey, but not necessarily in their liberalconservative self-ratings or party IDs. I tested for these differences by aggregating all the initial survey responses and performing a regression over the courses the students were enrolled in. I was specifically interested in seeing if there were differences between sociology and economics, since there were fewer apparent political self-identification differences between the two courses. Political science served as a comparison group. Contrary to my initial hypothesis, the economics responses did not appear to reveal any sort of conservative preference. In fact, the sociology students appeared to be more conservative than the economics students, completely countering my hypothesis. They tended to oppose structural causes of and structural remedies to poverty (medical bills, subsidized daycare, and food stamps, respectively). The regression results reveal a preference for

POLITICAL SCIENCE individualistic causes of and remedies to poverty among sociology students. This firmly refutes my hypothesis that sociology students would initially be more liberal than economics or political science students. What Did They Learn? Analysis of Course Material I. Sociology You May Ask Yourself: An Introduction to Thinking like a Sociologist by Dalton Conley, the textbook used by the fall 2012 section of Intro to Sociology offers an in-depth, comprehensive account of poverty. Poverty is mentioned 224 times in-text, including an entire chapter dedicated to understanding its existence. Conley critically examines arguments like the “underclass” theory, typically cited by conservatives to explain the existence of poverty over many generations. He also looks at more structural causes for poverty, like the effect of residential segregation on economic opportunity. However, the textbook does not include discussions of possible policy remedies to address poverty. The solid in-depth examination of poverty presented in You May Ask Yourself appears to be consistent with my hypothesis about the way that poverty would be presented in sociology’s course material. Course lectures examined poverty in even more depth. One full lecture was devoted to discussing class stratification in the U.S. and abroad, and two lectures were devoted to discussing poverty. The lesson about class stratification served as an introduction to poverty, and included a conceptual discussion of different types of equality. This transitioned into a discussion of the reality of inequality in the U.S, and then turned to poverty in the United States. The professor explained how the current official poverty threshold was developed in the 1960s, and told the class what it currently is for a family of four. She then presented some possible causes for poverty, including structural ones (too many low-wage jobs, insufficient safety net) and individual ones (personal failings). Different components of social safety net programs in the U.S. were discussed, and there was also discussion of what kinds of personal failings could contribute to poverty. The lecture supported my hypotheses about course material in sociology. II. Economics Northwestern’s fall 2012 Intro to Macroeconomics course text was the sixth edition of Principles of Macroeconomics, by N. Gregory Mankiw. In 545 pages of text, the word “poverty” was mentioned 18 times, with only 6 of these mentions relating to poverty in the United States and what can be done about it. The majority of these mentions came when Mankiw discusses the effects of minimum wage laws on poverty and unemployment. It is clear that he puts little credence in arguments that raising the minimum wage can help alleviate poverty, emphasizing that minimum-wage earners “are teenagers from middle-class homes working at part-time jobs for extra spending money” (Mankiw 2012, 120). Nonetheless, he does at least mention the lack of consensus among economists as to what the actual effect of raising the minimum wage may be. Mankiw frames

minimum wage policy as a tradeoff between equality and efficiency. The other relevant mentions of poverty come in Chapter 15, about unemployment. This chapter focuses on why a certain level of unemployment is inevitable in an economy, though it does not say what that amount should be. Poverty is mentioned in the context of government-sponsored job-training programs. Mankiw acknowledges that “public training programs…aim to ease the transition of workers from declining to growing industries and to help disadvantaged groups escape poverty” (Mankiw 2012, 320). His next paragraph detailing criticisms of public job training programs is almost twice as long as the one preceding it, arguing that “government is no better—and most likely worse—at disseminating the right information to the right workers and deciding what kinds of worker training would be most valuable” (Mankiw 2012, 321). Of the two chapters presenting information about poverty in the United States, the class readings only included one—Chapter 15, about unemployment. The lectures about unemployment reinforced Mankiw’s arguments, and framed unemployment in terms of supply, demand, and business cycles. In addition, since students were not required to read the chapter discussing the relationship between minimum wage and poverty, their only information about minimum wage policy came in lectures and practice problems for exams. Practice problems for the second midterm and final exam addressed minimum wage, and the professor’s solutions to both problems unequivocally stated that “unemployment increases as the minimum wage rises.” There was no discussion of the nuances of minimum wage policy, and minimum wage problems did not appear on the actual midterm or final exam. Lectures made no mentions of poverty or inequality. The kinds of material presented in class about poverty, minimum wage, and inequality are in line with my hypotheses about the material that would be presented in class. III. Political Science The textbook used by the winter 2013 section of Intro to American Government and Politics was American Government: Power and Purpose by Theodore Lowi et al. In nearly six hundred pages of text, poverty is mentioned only 7 times. There is no look at the context, causes, or experiences of poverty; instead, poverty tends to be mentioned as an example of an issue relating to the concepts of the text. Poverty programs are mentioned as one of the “most notable instances … of regulated federalism” (Lowi et al., 2012, pg. 79). Inequality in the American political system is also largely ignored. Inequality is only mentioned 9 times, and only 3 of those are not in footnotes. From this analysis, it appears that poverty and inequality in the American political system tend to be overlooked. This does not support my hypothesis that political science would have more discussion of poverty than economics. Students in the course were assigned all chapters of the textbook that included these brief mentions of poverty. The issue of inequality was somewhat more elaborated on in

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POLITICAL SCIENCE class lectures, especially during the lecture about interest groups and American politics. The professor explained that interest groups tend to represent the rich, as interest group participation increases by income. This course material was a more in-depth discussion of poverty than in economics, though it was nowhere near the level of sociology. This in-between treatment was consistent with my original hypothesis about political science’s treatment of poverty. What Changed? Shifts in Attitudes and Knowledge At the end of each course, students were sent a followup survey to determine if and how their knowledge and attitudes toward poverty had changed. Of the economics students who were sent the survey, 51 responded, for a response rate of 22%. In political science, 35 students, or 29%, responded to the follow-up survey. The course with the worst response rate to the follow-up survey was the sociology course. Despite repeated email reminders to complete the survey, only 14 people, or 7%, responded. This small sample size unfortunately made it impossible to conduct statistical analysis of the sociology data. However, qualitative analysis still yielded fruitful and interesting results. In all three cases, the samples were very similar demographically, suggesting that both samples were in fact representative of the general class population. There were no large-scale shifts in opinions after taking the courses—however, there were some small but important changes. The following sections examine the largest changes in belief of each course as a whole, as these provided the largest samples for analysis and the most interesting results. Statistical significance was determined using a simple t-test for difference of means between the before and after samples for each class. Only economics and political science’s statistical significance were analyzed as those had before and after samples large enough for a statistical test to be valid. The value of a mean represents the average of all responses to a particular question. Because responses were coded monotonically (e.g. scale of 1-3, where 1 indicates the least amount of support for a policy and 3 indicates the most support), statistically significant changes of mean responses meant that there were significant shifts in support/opposition to policies. P-values of 0.05 or less were considered significant. I. Importance of Poverty The proportion of people ranking child poverty as very important remained relatively similar before and after the class in both economics and political science. This makes sense, as neither class really mentioned the issue so it is unlikely student opinions changed. However, in sociology the percentage of people ranking child poverty as very important dropped by 15 points. Though this course was the one that focused the most on poverty, perhaps the focus on other social inequalities meant that students found child poverty to be less of an important issue. The perceived importance of adult poverty remained almost identical in all three classes, though political science saw a slight drop in the perceived importance of the issue. This suggests that mentioning adult poverty in sociology



had little effect on how important students thought the issue was, as their lack of changes resembles the courses that did not discuss poverty at all. II. Nature of Poverty All students overestimated the poverty threshold for a family of four by nearly $10,000 both before and after the course (the actual official poverty line is $23,550). The average estimation dropped after both the sociology and political science courses, while after taking the economics course student estimates actually increased. Sociology students’ estimates after taking the course were closest to the actual poverty line, which suggests that the discussion of poverty may have had at least a minimal effect on students’ knowledge of what it means to be poor. III. Causes of Poverty Tables 6.1, 6.2, and 6.3 show some changes in what students thought were the most important causes of poverty in each class. Students in the economics class demonstrated the largest shifts in attitude. After taking the course, fewer named shortage of jobs as a major cause of poverty (Table 6.1). Shortage of jobs was the named as a major cause of poverty most often in the initial survey, so this decrease in support is particularly notable. It is likely that decreased support for shortage of jobs may come from the course material. In economics, economies are presented as having a natural rate of unemployment. This suggests that poor people’s inability to find jobs may not be the result of not enough jobs, but rather a natural phenomenon. Sociology students also saw some large changes in what they saw as the most important causes of poverty. The proportion of students who said that drugs and medical bills were major causes of poverty greatly increased,

Major Cause Minor Cause Not a Cause

Before 64% 33% 3%

After 48% 44% 8%

Pr(|T|<|t|) 0.0268

Table 6.1. Shortage of jobs as a cause of poverty, economics.

Major Cause Minor Cause Not a Cause

Before 41% 53% 5%

After 57% 35% 7%

Table 6.2. Drug abuse as a cause of poverty, sociology.

Major Cause Minor Cause Not a Cause

Before 47% 50% 3%

After 79% 14% 7%

Table 6.3. Medical bills as a cause of poverty, sociology.

POLITICAL SCIENCE while those who saw too many immigrants as a problem essentially disappeared. This is relatively consistent with the themes of the course. The high cost of medical care and drugs were both mentioned during the class discussion of poverty, while the immigrant experience was discussed at a different point in the class. In this instance, it appears that the issues discussed in class did have an strong impact on student opinions. Political science saw minimal changes in what students thought were the most important causes of poverty. There were no statistically significant changes. IV. Remedies for Poverty Tables 6.4, 6.5, 6.6, and 6.7 demonstrate the changes in which remedies students preferred to address poverty before and after taking the courses. In economics, students significantly decreased their support for several structural remedies for poverty, such as food stamps (Table 6.4) and tax credits for low-income workers (Table 6.5). This significant decrease in support for policies that require government intervention appears to be in line with the general attitudes presented in class—that the free market alone works better with minimal government intervention. Sociology students also experienced major changes in attitudes. They increased their support for subsidized daycare and housing for poor people (Tables 6.6 and 6.7). These increases reflect the structural attitude toward poverty presented in the class. The increased support for expanding subsidized daycare is especially notable because sociology students were initially statistically significantly less likely than economics and political science students to support this policy. This nearly-20% increase in support, with the accompanying increase in support for public housing suggests that the ideas about poverty presented in the sociology class did indeed have an influence on students’ views. Finally, support for remedies for poverty changed very little after the political science course, reflecting poverty’s absence in the course material. Conclusion Overall, the hypotheses about disciplines mostly held true. Sociology, economics, and political science each utilized different approaches to address poverty. Sociology had the most discussion. Both political science and economics largely ignored the subject, though political science lectures did address inequality in a way that economics did not. Unfortunately, there was some difficulty in gauging the results due to the small size of the sociology “After” sample. Nonetheless, there were results of note. There were no large-scale general shifts, suggesting that one course alone may not have that much of an effect on students’ political opinions or attitudes. Several specific policies did exhibit significant changes. In economics, support declined for expanding food stamps, tax credits for the poor, and subsidized daycare. In contrast, sociology students tended to increase their support for such policies after the course. Political science, which neither

espoused a specific economic view nor made mention of specific policy saw hardly any changes at all. This suggests that mentioning certain policies in classes may have an effect on what students think about those policies and policies similar to them. The different way that government intervention was portrayed in sociology and economics was also reflected in the way students’ attitudes toward government policy changed after taking each course. Before





Approximately Same



Cut Back



Pr(|T|<|t|) 0.0492

Table 6.4. Should food stamps be expanded? Economics. Before








Pr(|T|<|t|) 0.0175

Table 6.5. Support for increasing tax credits for low-income workers, economics. Before








Table 6.6. Support for expanding subsidized daycare, sociology. Before








Table 6.7. Support for spending more for housing for poor people, sociology.


Arum, Richard, and Josipa Roska. Academically Adrift: Limited Learning on College Campuses. Chicago: University of Chicago Press, 2011. Burawoy, Michael. “For Public Sociology.” American Sociological Review, 2005. Furnham, Adrian. “The perception of poverty among adolescents.” Journal of Adolescence, 1982: 135-147. “Gallup Poll.” iPOLL Databank. The Roper Center for Public Opinion Research, University of Connecticut, January 2013. Giddens, Anthony. Sociology. Malden, MA: Polity Press, 2006. Hochschild, Jennifer. What’s Fair?: American Beliefs about Distributive Justice. Cambridge, MA: Harvard University Press, 1981. Janda, Kenneth, Jeffrey Berry, and Jerry Goldman. The Challenge of Democracy: American Government in a Global World. Boston: Wadsworth Cengage Learning, 2008. Krugman, Paul, Robin Wells, and Kathryn Graddy. Essentials of Economics. New York: Worth Publishers, 2011. Lowi, Theodore, Benjamin Ginsberg, Kenneth Shepsle, and Stephen Ansolabehere. American Government: Power and Purpose. New York: W. W. Norton & Company Inc., 2012. Mankiw, N. Gregory. Principles of Macroeconomics. 2012. Mariani, Mack D., and Gordon J. Hewitt. “Indoctrination U.? Faculty Ideology and Changes in Student Political Orientation.” PS: Political Science & Politics, 2008: 773-783. O’Connor, Alice. Poverty Knowledge: Social Science, Social Policy, and the Poor in Twentieth-Century U.S. History. Princeton, NJ: Princeton University Press, 2001. U.S. Census Bureau. “The Research: Supplemental Poverty Measure, 2011.” 2012. —. “USA Quick Facts.” United States Census Bureau. March 14, 2013. http://quickfacts. census.gov/qfd/states/00000.html. “Yale/George Mason University Poll.” iPOLL Databank. The Roper Center for Public Opinion Research, University of Connecticut, 2008.

VOLUME 09, 2013 – 2014



A Self Assembled Organic/Inorganic Nanostructure for Photovoltaic Applications Julian Minuzzo Samuel I. Stupp


FACULTY ADVISOR Board of Trustees Professor of Materials Science, Chemistry, & Medicine PhD, Northwestern University

David Herman

POSTDOCTORAL MENTOR Low-cost, scalable photovoltaics are of particular importance because they may allow for the widespread implementation of solar energy. Herein, a low-cost self assembly process is used to fabricate ordered heterojunction solar cells in the form of a lamellar structure of alternating organic/inorganic domains. The domains grow as high-aspect ratio wires on a transparent PEDOT:PSS-coated indium tin oxide (ITO) substrate. The lamellar structure is oriented such that domains of a small, light-absorbing organic molecule and inorganic zinc oxide provide perpendicularly aligned pathways for holes and electrons to reach their respective electrodes after exciton splitting occurs at the interface between the two materials. SEM, TEM, and small angle X-ray scattering are used to probe film morphology, structure of the active layer, and perpendicular orientation of the high aspect ratio wires, respectively. Th e first ever lamellar organic-inorganic solar cell was fabricated; the best device obtained an overall conversion efficiency of 0.04% along with an open circuit voltage of 0.53 V and a short circuit current of 0.25mA/cm 2.



MCCORMICK Introduction The world consumes the equivalent of 88 billion barrels of oil each year.1 With energy usage only projected to increase, talk of an energy crisis has become commonplace. Greenhouse gas-emitting fossil fuels currently comprise the vast majority of energy sources, and while they are abundant, they are not unlimited and will eventually be depleted. Border wars and national security concerns that are closely tied to the control of fossil fuels pose another complication. Because of the inherent problems associated with fossil fuels and crude oil, exploring new methods of energy production must be a strong focus for researchers in the years to come. While currently still in their

Figure 1. Diagram of area required by five-percent efficient solar cells (represented by six black dots) to power the planet.4

infancy, renewable energy sources like solar and wind energy have the potential to provide enough energy to meet the world’s current and future energy needs. Solar energy is the world’s fastest growing renewable energy technology at an annual growth rate of 30 percent.2 Nonetheless, renewable energy (including solar, wind, and geothermal), currently comprises less than one percent of the worldwide energy supply.3 Although renewable energy production is not a large portion of the world’s overall current energy supply, it may hold the potential to avert a worldwide energy crisis. Solar energy is a renewable energy that has enormous potential. Figure 1 manifests this potential; if solar cells with an efficiency of just five percent were placed in the areas represented by black dots, they would produce enough energy to power the world.4 Solar photovoltaics—which convert the sun’s photons directly to electricity—come in many forms. Commercially available cells are usually made of silicon and achieve moderate efficiencies of 10-20 percent.5 However, the high purity of silicon 1Lior, N. The ECOS 2009 World Energy Panel: An introduction to the Panel and to the present (2009) situation in sustainable energy development. Energy 36, 3620–3628 (2011). 2 Lewis, N. Basic Research Needs for Solar Energy Utilization. (U.S. Department of Energy). at <http://www.sc.doe.gov/bes/reports/files/SEU_rpt.pdf> 3 Key World Energy Statistics 2010. (International Energy Agency, 2010). at <http://www.iea.org/textbase/nppdf/free/2010/key_stats_2010.pdf> 4 Loster, M. Total Primary Energy Supply From Sunlight. (2010). 5 Green, M. A., Emery, K., Hishikawa, Y., Warta, W. & Dunlop, E. D. Solar cell efficiency tables (version 39). Progress in Photovoltaics: Research and Applications 20, 12–20 (2012).

required to achieve these efficiencies, the high energy processes used to make silicon cells (including expensive vapour deposition techniques), and their inherent bulkiness are burdensome. Other types of solar photovoltaics include multi-junction, dye sensitized, organic, and inorganic/organic hybrid solar cells. Each of these technologies uses different materials to achieve the same goal: electricity from sunlight. However, the chief characteristic that will determine which solar technology becomes the most economically feasible is the total cost per watt of electricity generated. This cost includes raw materials, processing, and maintenance costs. Thus, simple, low-cost processes that create moderate to high performing solar cells may be able to provide the low cost solar power that we desperately need. Photovoltaic Electricity Generation One method to improve performance without incurring higher materials or processing costs is to improve solar device geometry at the nano-level. Excitons are electron-hole pairs that are created when a photon strikes the active, light absorbing layer in a solar cell. Upon formation, excitons must diffuse to the interface between the electron acceptor and electron donor material of the cell before they can be split into electrons and holes and harvested for energy at the electrodes of the cell. Because excitons can only diffuse between 5-20 nm before they recombine and their energy is lost, solar geometries that have the electron donating and electron accepting material apart by this length scale will reach the highest efficiency.6 Types of Solar Cell Geometries Three types of solar geometries, along with explanations of each, are shown in Figure 2. As discussed in Figure 2, the most desirable geometry is that of the ordered heterojunction (Figure 2, bottom image). The ordered heterojunction avoids Figure 2. (Left) Three different solar cell geometries. While the planar geometry (top) is the most common, it suffers from losses in efficiency because excitons can be created too far away from the acceptor/donor interface to be harvested for energy and it also has a low interfacial area between the donor and acceptor. While the bulk heterojunction geometry (middle) has a higher interfacial area between the donor and acceptor, it suffers from charge entrapment in “islands” of donor or acceptor material that are not in contact with either the cathode or anode—leading to a loss in efficiency. The ordered heterojunction (bottom) maintains a high interfacial surface area while avoiding charge entrapment—leading to the highest theoretical efficiency. 6 Scully, S. R. & McGehee, M. D. Effects of optical interference and energy transfer on exciton diffusion length measurements in organic semiconductors. Journal of Applied Physics 100, 034907 –034907–5 (2006).

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MCCORMICK both the low surface of the planar architecture as well as the charge entrapment of the bulk heterojunction. Because ordered heterojunctions can hypothetically be tuned such that no photoactive section of the cell is outside of the 20 nm exciton diffusion length, more excitons are harvested and more energy is produced. Furthermore, if the ordered regimes of a heterojunction are arranged perpendicular to the top and bottom electrodes, holes and electrons will reach their respective electrodes as fast as possible due to the straight path that is available—lowering the chances of charge recombination considerably. Previous examples of ordered heterojunctions include nanowire and nanotube arrays,7 8 nano-porous films filled with absorbing material, 9 10 and block copolymer assemblies,11 among others. Self Assembly to Achieve an Ordered Heterojunction Self assembly is defined as the organization of the components in a disordered system into a hierarchical pattern or structure via inter-component interactions and without external interference. A schematic diagram of a self assembled process is shown in Figure 3. Self assembly can take place on any length scale, from atoms to molecules to full-size robots. Examples of self assembly in nature include phospholipid bilayers, phase separation of materials, and DNA transcription. It is easy to see how self assembly on all length scales can lead to new shapes and functionalities that were not initially present in the disordered system. Because they involve no external interference, self assembled processes are also highly scalable. On the molecular level, self assembly occurs via intermolecular forces. This type of self assembly, known as supramolecular self assembly, is facilitated by noncovalent intermolecular interactions including hydrogen bonds, pi-pi stacking, and dipole interac-

Figure 3. Schematic diagram of a self assembly process. The disordered system on the left achieves an order structure without any external interference due to the interactions between the red spheres in the middle of each structural unit. 7 Tsakalakos, L. et al. Silicon nanowire solar cells. Applied Physics Letters 91, 233117 –233117–3 (2007). 8 Paulose, M., Shankar, K., Varghese, O. K., Mor, G. K. & Grimes, C. A. Application of highly-ordered TiO2 nanotube-arrays in heterojunction dye-sensitized solar cells. Journal of Physics D: Applied Physics 39, 2498–2503 (2006). 9 Zhu, R., Jiang, C.-Y., Liu, B. & Ramakrishna, S. Highly Efficient Nanoporous TiO2-Polythiophene Hybrid Solar Cells Based on Interfacial Modification Using a Metal-Free Organic Dye. Advanced Materials 21, 994–1000 (2009). 10 Coakley, K. M., Liu, Y., Goh, C. & McGehee, M. D. Ordered organic-inorganic bulk heterojunction photovoltaic cells. MRS Bulletin 30, 37–40 (2005). 11 Hadziioannou, G. Semiconducting Block Copolymers for Self-Assembled Photovoltaic Devices. MRS Bulletin 27, 456–460 (2002).



tions. Through these forces, hierarchical structures with novel functionalities can be formed spontaneously. Thus, if donor and acceptor materials can be arranged on the nano-level via self-assembly, the benefits of an ordered structure can be attained without a complicated multi-step procedure. Layered Double Hydroxides Layered double hydroxides, or LDHs, provide a promising structure with which to achieve the bulk heterojunction nanostructure. LDHs, schematically represented in Figure 4, are metal hydroxides that form large, positively charged two-dimensional sheets approximately 5-20 nm apart over large length scales.12 Because of their positive charge, LDHs can store many different types of negatively charged compounds between sheets, including atoms, molecules, and even larger compounds such as DNA.13 With regards to photovoltaic technology, layered double hydroxides can template the growth of light-absorbing negatively charged small molecules between positively charged LDH sheets. Once light-absorbing materials are incorporated into the voids between LDH sheets, however, they must be able to donate photo-excited electrons to a good electronic conductor. While metal hydroxides are poor conductors of electrons, metal oxides are often excellent electron conductors. Because it can readily form the LDH structure and be converted to a metal oxide by simply annealing at 150° C, Zn(OH)2 is a good electron-acceptor material for use in bulk heterojunction photovoltaic devices.14

Figure 4. Layered Double Hydroxide (LDH) structure. Imperfections in the metal hydroxide structure lead to a positive charge on the surface of the LDH sheets, allowing negatively charged anions (indicated by X- in the figure) to fill the area between sheets.

Small Organic Molecules for Light Harvesting The next step in creating a nanoscale heterojunction is to incorporate a light-absorbing electron donating material between the electron accepting ZnO LDH sheets. Because of 12 Evans, D. G. & Slade, R. C. T. in Layered Double Hydroxides (Duan, X. & Evans, D. G.) 1–87 (Springer Berlin Heidelberg, 2006). at <http://link.springer.com/ chapter/10.1007/430_005> 13 Meyn, M., Beneke, K. & Lagaly, G. Anion-exchange reactions of layered double hydroxides. Inorg. Chem. 29, 5201–5207 (1990). 14 Sofos, M. et al. A synergistic assembly of nanoscale lamellar photoconductor hybrids. Nature Materials 8, 68–75 (2009).

MCCORMICK their relatively low cost of production, exciton diffusion length of 5-40 nm, and high absorption coefficients, organic molecules are a good candidate for an embedded light harvesting component between Zn(OH)2 LDH layers. 15 Hybrid (i.e. inorganic and organic) composite films on the order of hundreds of nanometers thick where small organic molecules are introduced between Zn(OH)2 LDH sheets that have been previously achieved via electrochemical self assembly. These structures are formed by utilizing negatively charged side-groups on the organic molecules to insert them between positively charged Zn(OH)2 sheets, but no working solar devices have yet been achieved with the hybrid films.16 One of the challenges in forming a solar device from a ZnO/small organic molecule hybrid lamellar structure is to ensure that the small organic molecule has both good optical properties and can absorb well in the visible regime. As a general rule, the larger the organic molecule, the better its absorption properties due to delocalization of electrons (and thus a smaller bandgap). Conversely, the larger the organic molecule, the more difficult it is to insert in the LDH structure of the ZnO electron acceptor. Thus, the goal is to introduce the organic molecule with the most delocalization of electrons possible into the Zn(OH)2 LDH voids while ensuring that the molecule is mobile enough to pack densely within the voids. The organic electron donating material chosen for this work was dicarboxylic acid 3- methylquinquethiophene (5TmDCA), shown in Figure 5. 5TmDCA absorbs light in the near-UV range, with an absorption peak around 380 nm, which is where a large portion of sun’s emitted power lies in the electromagnetic spectrum. Perpendicular Orientation for Efficient Charge Transfer

Figure 5. Structure of dicarboxylic acid 3- methylquinquethiophene (5TmDCA). 5TmDCA is the organic molecule used as the light absorber and electron donating material in the ordered heterojunction solar cells reported in this work.

In order to fully reap the benefits of the nanoscale lamellar structure of inorganic ZnO and organic light-harvesting small molecules, the alternating layers must be oriented with their faces perpendicular to the electrodes of the solar cell instead of parallel or randomly oriented (see Figure 6). This orientation allows for the straightest and quickest path for charge carriers to reach their respective electrodes, lowering the probability of charge recombination. Previous experiments showed that electrodeposited Zn(OH)2 and organic molecules assemble themselves on an indium tin oxide (ITO) substrate in a random manner, without perpendicular orientation. 17However, by 15 Rand, B. P., Genoe, J., Heremans, P. & Poortmans, J. Solar cells utilizing small molecular weight organic semiconductors. Progress in Photovoltaics: Research and Applications 15, 659–676 (2007). 16 Choi, K.-S. & Steinmiller, E. M. P. Electrochemical synthesis of lamellar structured ZnO films via electrochemical interfacial surfactant templating. Electrochimica Acta 53, 6953–6960 (2008). 17 Gan, X., Gao, X., Qiu, J. & Li, X. Growth and characterization of ZnO-SDS hybrid thin films prepared by electrochemical self-assembly method. Applied

Image: Dr. Dave Herman Figure 6. Schematic diagram of hybrid lamellar domains (each domain containing a layer of light absorbing small organic molecules [white] between inorganic electron accepting ZnO [blue]) oriented randomly (a) and perpendicular to the electrode surface, facilitating the best charge transport (b). In reality, these domains are much more densely packed to form a 500-1000 nm thick film atop the substrate (shown in gray).

coating the ITO surface (which acts as the bottom electrode in a solar cell) with poly(3,4-ethylenedioxythiophene) poly(styrenesulfonate) (PEDOT:PSS, a commonly used polymer in organic photovoltaics), the surface energy is altered and perpendicular orientation of the lamellar structure is more readily obtained as a result.18 Along with increasing overall efficiency due to the previously mentioned charge separation properties, a perpendicularly-oriented lamellar structure can also lead to increased film smoothness. A smooth film is important when applying the top electrode of a solar cell, because if the top of the film is very rough the top electrode will not contact the top of every active material domain, leading to a drop in efficiency. Through the implementation of small organic molecules between Zn(OH)2 LDH sheets via electrodeposition on PEDOT:PSS modified ITO, a relatively perpendicular lamellar array can form that has the ideal geometry for solar photovoltaic devices. Results and Discussion The first ever working solar cell made of a lamellar ordered heterojunction containing 5TmDCA and ZnO was created by the following self-assembly process. Shown in Figure 7, the self-assembly of 5TmDCA and ZnO takes place through a simple electrodeposition experiment. Initially, a solution containing 5TmDCA molecules, Zn2+ ions, NO3ions, water, and dimethyl sulfoxide (DMSO, an organic solvent) is heated to 80°C. Addition of a base to the solution then deprotonates the H atoms from either side of the 5TmDCA molecules, leaving the molecules with a negative charge. A negative voltage bias is then applied to the poly(3,4-ethylenedioxythiophene) poly(styrenesulfonate) (PEDOT:PSS) coated indium tin Figure 7. Experimental set up oxide (ITO) used to facilitate the self-assemworking electrode relative to bly of 5TmDCA and Zn(OH)2. the zinc counter electrode. The Zn(OH)2 is converted to ZnO negative bias reduces NO3 ions in upon annealing at 150°C. solution to NO2- ions, producing Surface Science 254, 3839–3844 (2008). 18 Herman, D. J., Goldberger, J. E., Chao, S., Martin, D. T. & Stupp, S. I. Orienting Periodic Organic−Inorganic Nanoscale Domains Through One-Step Electrodeposition. ACS Nano 5, 565–573 (2010).

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MCCORMICK base (OH-) in the process (Equation 1). NO3- + H2O + 2e- NO2- + 2OH-(1) The basic OH- ions then combine with the Zn2+ ions in solution to form Zn(OH)2. The solid Zn(OH)2 that forms on the surface of the working electrode grows as positively charged sheets (the positive charge arises due to vacancies and charge imbalance during growth) with their normal vectors parallel to the ITO substrate, shown in Figure 8. Because the sheets are positively charged, the negatively charged deprotonated 5TmDCA molecules self-assemble such that their negative ends link two adjacent Zn(OH)2 sheets, forming a lamellar structure. Films are grown for two hours and reach a final thickness of 500-600 nm. Finally, Zn(OH)2 is converted to ZnO (a much better electronic conductor) upon annealing films at 150°C for 12 hours. Scanning electron microscopy (SEM) was used to determine general film morphology, transmission electron microscopy (TEM) was used to observe the nanoscale lamellar structure of 5TmDCA and ZnO, and grazing incidence small angle X-ray scattering (GISAXS) was used to determine the angle that the lamellar structure formed in relation to the ITO substrate. Shown in Figure 9, GISAXS measures the angle of reflection of a very small angle incoming X-ray beam to determine which orientation the lamellar structure possesses. SEM and TEM images of films are shown in Figure 10. SEM, TEM, and GISAXS revealed that films grown via the electrodeposition method previously described are composed of perpendicularly aligned (normal parallel to the ITO substrate) nanoscale “wires.” Inside of each wire is the lamellar, ordered heterojunction structure that is highly desirable for solar cells. Solar cells were fabricated from the ordered heterojunction films by first depositing a silver electrode on top of the active 5TmDCA/ZnO active layer. Cells were then illuminated with a 1.5 air-mass solar simulator. Measurement of the current-voltage characteristics of fabricated devices upon illumination verified the first ever working organic/inorganic ordered heterojunction solar cell with a nanoscale lamellar structure. The best solar cell achieved an efficiency of 0.040 percent, an open circuit voltage (VOC) of 0.53V, and a short-circuit current (JSC) of 0.25mA.

Conclusion By subsequently optimizing electrodeposition growth conditions and device fabrication, the first ordered organic/ inorganic grown using one-step electrodeposition was fabricated. This result is extremely exciting and should spur much more work in the field of organic/inorganic ordered heterojunction solar cells. Future work will include further optimizing of growth conditions and introducing a new organic molecule with a peak absorption more in the visible light range into the lamellar structure.



Figure 8. (Below) Schematic diagram positively charged of Zn(OH)2 sheets that form during the application of a negative bias to the ITO electrode. Negatively charged 5TmDCA molecules self-assemble inside of the Zn(OH)2 sheets such that their negatively charged ends link to two adjacent Zn(OH)2 sheets.

Figure 9. (Above) Schematic diagram showing how GISAXS provides information about the orientation of films composed of a lamellar structure. Isotropic orientations (a) produce rings on the X-ray film, parallel orientations (b, undesirable for solar cells) produce images along the y-axis of the X-ray film, and perpendicularly aligned (c, desirable for solar cell) films show images along the x-axis of the film. Figure 10. (Below) SEM (left) and TEM (inset, right) images of electrodeposition-grown films of 5TmDCA and ZnO (after annealing). The SEM image shows that films are composed of nanometer-scale “wires,” while TEM images reveal that each wire is composed of the desired lamellar structure. In the TEM image of a single wire, the organic 5TmDCA layers are lighter while inorganic ZnO layers are darker.


Functional Inequalities for Gaussian and Log-Canconave Probability Measures Ewain Gwynne MATHEMATICS

Elton Hsu

FACULTY ADVISOR PhD, Stanford University

We give three proofs of a functional inequality for the standard Gaussian measure originally due to William Beckner, which interpolates between the Poincare and logarithmic Sobolev inequalities. The first uses the central limit theorem and a tensorial property of the inequality. The second uses the Ornstein-Uhlenbeck semigroup, and the third uses the heat semigroup. These latter two proofs yield a more general inequality than the one Beckner originally proved. We then generalize our new inequality to log-concave probability measures using an analogue of the Ornstein-Uhlenbeck semigroup, study the relationship between this inequality and a generalized logarithmic Sobolev inequality, and prove several other inequalities for log-concave probability measures, including Brascamp and Lieb’s sharpened Poincare inequality and Bobkov and Ledoux’s sharpened logarithmic Sobolev inequality of the same form (the latter under a stronger hypothesis on the measure). Along the way, we also prove invertibility of our generalized Ornstein-Uhlenbeck operator on the space of functions with zero mean, and give counterexamples to show that the Bobkov-Ledoux inequality cannot hold in full generality. We also discuss some of the potential applications of our work in economics.

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“I Know Where is an Hynde” Wyatt’s Rebellious (Sub)Version of Masculine Erotics


Laurie Shannon

FACULTY ADVISOR JD, Harvard Law School PhD, University of Chicago

Who so list to hounte I know where is an hynde but as for me helas I may no more the vayne travail hath weried me so sore I ame of theim that farthest cometh behinde yet may I by no meanes my weried mynde drawe from the Diere but as she fleeth afore faynting I folowe I leve of therefor sethens in a nett I seke to hold the wynde Who list her hount I put him owte of dowbte as well as I may spend his tyme in vain and graven with Diamondes in letters plain There is written her faier neck rounde abowte Noli me tangere for Cesars I ame and wylde for to hold though I seme tame1

A white doe on the green grass appeared to me, with two golden horns, between two rivers, in the shade of a laurel, when the sun was rising in the unripe season. Her look was so sweet and proud that to follow her I left every task, like the miser who as he seeks treasure sweetens his trouble with delight. “Let no one touch me,” she bore written with diamonds and topazes around her lovely neck. “It has pleased my Caesar to make me free. And the sun had already turned at midday; my eyes were tired by looking but not sated, when I fell into the water, and she disappeared.2 LISBY / PHOTO 1. Richard Harrier, The Canon of Sir Thomas Wyatt’s Poetry (Cambridge: Harvard University Press, 1975), 104. 2. Francesco Petrarca, Petrarch’s Lyric Poems: The Rime Sparse and Other Lyrics, trans. Robert M. Durling (Cambridge, Massachusetts: Harvard University Press, 1976), 336. 32


ENGLISH LITERATURE III. The Failure of Petrarchan Desire While marking a shift from the pensive woodland idiom of Petrarch, the sonnet’s royal forest preserve and the hunting performed therein evoke a different sylvan trope central to the Mediterranean tradition of erotic verse: the Greco-Roman myth of Diana and Actaeon, crystallized in Ovid’s Metamorphoses. The sixteenth-century development of Anglophone humanism demonstrates the specific relevance of Ovid’s text to Henrician manuscript poetry. Deliberately reconstructing a literary lineage with classical Greek and Roman texts, Renaissance humanists, of whom Petrarch may represent the first important student, spread classical studies from Italy to Northern Europe.3 Joanna Martindale has argued that “the classics perhaps reached the zenith of their influence on European culture in this period,” since endorsements and imitations of classical life and letters appear so explicitly.4 Thomas Elyot’s The boke named the gouernor offers one of the first English accounts of humanist pedagogical method and exalts the importance of Ovid’s text. After Homer’s Iliad and Virgil’s Aeneid, Elyot “wolde set nexte unto [a young gentleman] two bokes of Ouid / the one called Metamorphoses…the oether is intitled De fastis…bothe right necessary for the understandynge of poetes,” revealing a probable interface between Ovid’s tropes and the high-born writers and readers of “Who so list to hounte.”5 The classical Greek narrative unfolds within the woodlands reigned over by the huntress-goddess Artemis where she and the hunter Actaeon encounter each other. In Ovid’s retelling, Diana functions as the Latin equivalent of Artemis, endowed with a palimpsest of determinations networked to Greek and Roman mythologies. As a woodland huntress-goddess of the Greco-Roman imaginary, her virginal sexual status serves, Rober Pogue Harrison argues, as a metaphor for the purity of her spatial domain: she “belonged to those dark and inaccessible regions where wild animals enjoyed sanctuary from all human disturbance except the most intrepid hunters…Her virginity does not suggest so much asexuality as the primordial chastity of this sylvan retreat.” 6 The mythology sexualizes the woodland space by correlating the disturbing force of those “intrepid hunters” (read: Actaeon) with a sort of masculine penetration. After Actaeon (perhaps accidentally) spots Diana bathing nude in the forest, Diana punishes this voyeuristic violation of her body by transfiguring his body into that of a stag.7 Underscoring the transformation of Actaeon is a marked loss of speech and bodily dismemberment by the teeth of his previously subordinate hounds. Diana declares to Actaeon, “Now make thy vaunt among thy Mates, thou sawste Diana bare. / Tell if thou can: I give thee leave: tell hardily: doe not spare,” whereupon his hounds “did gainecope him as he came, and held their Master still / Untill that all the rest came in, and fastned on him too. / No part of 3. Joanna Martindale, ed. English Humanism: From Wyatt to Cowley, World and Word (Sydney: Croom Helm, 1985), 19. 4. English Humanism: From Wyatt to Cowley, 20. 5. Thomas Elyot, Sir, The Boke Named the Gouernour / Deuised by [Sir?] Thomas Elyot Knight (London: Tho. Bertheleti, 1531), Electronic reproduction of microfilm, 34. 6. Robert Pogue Harrison, Forests: The Shadow of Civilization (Chicago: University of Chicago Press, 1992), 25. 7. Robert Pogue Harrison, Forests: The Shadow of Civilization (Chicago: University of Chicago Press, 1992), 25.

him was free from wound.”8 With his body metamorphosed into that of a stag, Actaeon is unrecognizable to his hounds and his hunting cohort; Actaeon proves incapable of disclosing his identity to them, and, moreover, he cannot “tell hardily” of Diana’s naked body. In other words, “in a realm governed by appearances,” as Harrison terms it, Actaeon’s invisible self becomes entirely incapacitated, powerless to prevent his violent death.9 And highlighting the implications of a scopophilic model of erotic desire, the transformation bars Actaeon from verbally continuing his voyeuristic assault on Diana’s nude body. Still, the silencing dimension of the punitive metamorphosis from man to beast does not explain Actaeon’s particular transfiguration into a deer. The woodland setting works as a key determinant here, since the metamorphosis occurs where “Great slaughter had bene made / Of sundrie sortes of savage beasts one morning”— not the legalized forest of the Wyatt sonnet but certainly its sylvan locale.10 While illuminating assumptions on the nexus between speech and manhood, the metamorphosis to a stag enables Actaeon’s hounds to tear him apart, as they had been trained to do. Reversing the sovereign agency ascribed to the male gaze, Diana creates a disabled, dismembered figure of masculinity. Petrarch employs a poetic strategy directly responsive to the Diana-Actaeon myth in order to subvert the imagined silencing and dismemberment consequent to his voyeuristic lyric. Nancy J. Vickers notes, “Diana’s pronouncement simultaneously posits telling (description) as the probable outcome of Actaeon’s glance and negates the possibility of that telling…What awaits him is annihilation through dismemberment.”11 Because Petrarch’s poems rely heavily on scopophilic descriptions of a desired, female body, the Petrarchan speaker appropriates and extends the very voyeuristic valences punished by Diana in the Ovidian myth. He even embodies Actaeon as lover-poet in a handful of Rime sparse poems, and Vickers argues his “response to the threat of imminent dismemberment is the neutralization, through descriptive dismemberment, of the threat. He transforms the visible totality [of his beloved] into scattered words, the body into signs.”12 The female beloved, whose fragmented body parts are continually fetishized by the Petrarchan speaker, becomes entirely voiceless through the poet’s writerly transformation of her into abstracted signs, for “bodies fetishized by a poetic voice logically do not have a voice of their own; the world of making words, of making texts, is not theirs.”13 In turn, the Petrarchan speaker rescues his manhood, under imagined assault by a punitive silencing, in demonstrating that the world of making texts is resolutely his. The result of this descriptive dismemberment is a mute beloved whom the lover effectively violates through 8. Ovid’s Metamorphoses, 67, ll. 227-8; 69, ll. 83-5. 9. Harrison, Forests: The Shadow of Civilization, 25. Harrison elaborates, “Human vision is privative in nature; it does not see directly into the nature of things but sees only the outward surface of phenomenal appearances,” which is linked to the post-Socratic redefinition of “the essence of phenomena… in terms of form or outward appearance (eidos), and no longer in terms of elemental matter.” See: Forests: The Shadow of Civilization, 27. 10. Ovid, Ovid’s Metamorphoses, 65, ll. 165-6. 11. Nancy J. Vickers, “Diana Described: Scattered Woman and Scattered Rhyme,” Critical Inquiry 8, no. 2 (1981): 269. 12. “Diana Described: Scattered Woman and Scattered Rhyme,” 273. 13. “Diana Described: Scattered Woman and Scattered Rhyme,” 273. VOLUME 09, 2013 – 2014


ENGLISH LITERATURE poetry, representing a defenseless, female object of desire whose body may be routinely read/violated by a host of male readers. Vickers goes further, claiming that these readers “will enter into collusion with, even become, yet another Actaeon,” and in turn men are represented as the autonomous producers of manhood.14 That the reader, both rhetorically and historically positioned as upper-class male, is immediately implicated in the poem’s erotic politics seems an appropriate paradigm against which one may interpret the relationship between speaker and reader established in the Wyatt sonnet’s convening declaration, “Who so list to hounte I know where is an hynde.” Like readers of Petrarch who come to embody another Actaeon—and are thereby positioned as both masculine and heterosexually desirous—readers of the Wyatt sonnet are promptly involved in the pursuit. Yet, unlike the securely-empowered Actaeon-reader, whose security and empowerment is guaranteed by the muting and dismemberment of the desired woman, the readers of the Wyatt sonnet are beckoned to by the speaker only for an ultimate experience of futility. In other words, the speaker asks for the reader’s participation only to reveal finally that such participation was in vain, that such engagement in the pursuit can only end with the monarch’s (violent) censure. The speaker calls forth to an ambiguous plurality of bodies with the first words, announcing, “Who so list to hounte I know where is an hynde.”15 No direct or individuated address appears in the poem, nor does an unequivocal reference to the reader, but the opening “Who so” conjures a wide field of potential parties. By sharing knowledge of the desired object’s location, the speaker calls to a mass of hunters who may or may not choose to hunt her. And the ambiguity of address asks the reader to deliberate on the topic: Is he talking to me? Do I desire to hunt a hind? Implicating its reader in the poem’s drama, the sonnet masculinizes him/her within a heterosexual and aristocratic frame, and, in the process, hunting mirrors the reading of erotic verse; the opening address conjoins the courtly practices of organized reading coteries and the ritual hunt.16 Unlike the threatened Petrarchan speaker and readers, these masculinized, heterosexually desirous, aristocratic readers need not fear dismemberment, for there exists no seen woman; from the sonnet’s very first line, the female object of desire appears only as a hind of the royal forest, possessed by the monarch and disconnected from the eventual violence enacted on her body. Notwithstanding the prolific tradition of sonnet-writing that emphatically constitutes itself as the poetry of erotic desire, the scale and force of the hunt-conceit camouflages the Wyatt sonnet’s erotic valences by sequestering them entirely 14. “Diana Described: Scattered Woman and Scattered Rhyme,” 274. 15. Harrier, The Canon of Sir Thomas Wyatt’s Poetry, 104, l. 1. 16. On this position of the masculinized reader, Marguerite Waller writes, “Sir Thomas Wyatt’s sonnet ‘Whoso list to hunt; I know where is an hind’ inscribes a very obvious absence…This absence is so obvious that when it is missed, or unselfconsciously repeated, I suspect that a nontrivial ideological operation is taking place. This textual effect, which is often repeated but rarely ‘seen’ in the criticism of the poem over that last forty years, is none other than the denial of the position of any reader who is not male, heterosexual, and politically privileged. Or rather, if a position cannot be denied which was never implied, then a great many readers of this poem, be they sixteenth-century aristocratic or twentieth-century American women, contemplate an image of their own nonidentity or noncoincidence with themselves when they try to read themselves as readers of this poem” in Marguerite Waller, “Academic Tootsie: The Denial of Difference and the Difference It Makes,” Diacritics 17, no. 1 (1987): 5-6. 34


to an allegorical register. Yet the speaker’s language functions undoubtedly as the language of desire—with far more resentment than Petrarch—and the remaining question concerns how the conceit constitutes and animates this desire. The sonnet’s octave and sestet commence with the nearly identical phrases, “Who so list to hounte,” and “Who list her hount,” drawing attention to their echo and in turn the seemingly minute changes between them. 17 These changes occur between “Who so” and “Who,” and “to hounte” and “her hount,” such that the only term of desire—“list”—remains constant.18 One can argue further that the metrical placements of “list” solidify the force of desire, rendering it stable. Regardless of the various scansions possible for the first line, “list” moves from the milder weight of the second stressed syllable to, in the ninth line, the robust force of the first stressed syllable. The shifts surrounding “list”—“Who so” to “Who;” “to hounte” to “her hount”—also serve to heighten both the speaker’s and the readers’ sense of directional desire by compressing affective desire, the desired object, and the activity of the pursuit. The alliteration achieved through the compression, “Who list her hount,” displays the active desire through prosodic contrast; the move also displaces the initial ambiguity of the addressed mass by closing in on those who have since decided they “list her hount” and “corrects” the metrical ambiguity of the first line. The speaker effectively shapes the subjective desires of his readers, for the reader is implicitly included in this second group, with or without his/her consent. These shifts that surround “list” effectively move the hind from the role of an ancillary body necessary for whoever may “list to hounte”—a general object required by the sport— to that of the specified, disembodied object of desire, pursued by masculine agents. In this process of displaying active desire and specifying the desirers, the hind transforms into “her,” a gendered pronoun wedged between “list” and “hount.”19 The effect suggestively conflates those “who list her” with those “who list her hounte,” disclosing the (heterosexual) desire operating through the conceit. Additionally, replacing the initial “Who so list to hounte” with “Who list her hounte” results in tighter rhythmic parallels between “list” and “hounte.”20 Mirroring the two activities of desiring and hunting in a kind of staccato, the tighter rhythm results from a lack of the metric ambiguity exhibited in the first line. “List” also works here as a pun on the prescribed language used to incite the hounds of the hunt: 17. I use these stanzaic structural terms loosely since, although the Petrarchan sonnet form generally follows an octave/sestet pattern, the Wyatt sonnet shows little strict allegiance to this structure. 18. Harrier, The Canon of Sir Thomas Wyatt’s Poetry, 104, ll. 1, 9. The Oxford English Dictionary glosses list as “to desire, like, wish, to do something” in Oxford English Dictionary, “List, V.1” (Oxford University Press). According to the sole extant concordance of Wyatt’s poetic oeuvre (as demarcated by A.K. Foxwell in the 1914 The Poems of Sir Thomas Wiat), “list” appears at least once in thirty-nine different works of poetry; see: Eva Catherine Hangen, ed. A Concordance to the Complete Poetical Works of Sir Thomas Wyatt (Chicago: University of Chicago Press, 1941), 250-1. The term’s extensive use for describing a variety of affective activities foregrounds the general fungibility of desire and its developing specificity in “Who so list to hounte.” 19. “list” appears at least once in thirty-nine different works of poetry; see: Eva Catherine Hangen, ed. A Concordance to the Complete Poetical Works of Sir Thomas Wyatt (Chicago: University of Chicago Press, 1941), 250-1. The term’s extensive use for describing a variety of affective activities foregrounds the general fungibility of desire and its developing specificity in “Who so list to hounte.”Harrier, The Canon of Sir Thomas Wyatt’s Poetry, 104, l. 9. 20. The Canon of Sir Thomas Wyatt’s Poetry, 104, l. 9.

ENGLISH LITERATURE “When [a huntsman’s] co[m]paignions shall heare him beginne to hallowe [that is, call the hounds to action], they shall uncouple their houndes & crie, lyst hallow, hyke hallow, lyst, lyst, lyst.”21 .” The repetition of the term in the sonnet thus solidifies the parallel between the active hunt and the active desire, inciting the pursuit in its deployment. By slowly guiding the masculinized reader from the routine act of hunting to the identified pursuit of a disembodied female, the speaker shapes and positions the masculinized reader’s desire for the fetishized object. At first, the speaker simply discloses the hind’s location to whoever may engage in the hunt; subsequently, this speaker attaches the desired body, abstracted into a gendered pronoun, as a sort of target, an achieved telos, to the masculinized reader’s line of pursuit, or vector of desire. Yet, in a classic pivot that thwarts our expectations, the repetition of the opening declaration, while constituting the reader’s desire, also asserts the pursuit’s futility by reversing the speaker’s demonstrated agency. Establishing his agential position, the speaker calls forth to others in the opening declaration to disclose that he “know[s] where is an hynde.”22 The speaker constitutes his autonomous knowledge by posing it against the ambiguous, and theoretically unknowing, mass. Even though he qualifies this assertion with, “but as for me helas I may no more,” the speaker does not apparently discourage others from embarking on such a pursuit.23 Yet at the second declaration, the speaker summarily asserts the vanity of the hunt’s activity: “Who list her hount I put him owte of dowbte / as well as I may spend his time in vain.” 24 Tracing the repetition here, the opening assertion, “I know where is an hynde,” becomes “I put him owte of dowbte,” the implication in the latter ironically being that the hunters, without doubt, might as well “leve of” as the speaker has decided.25 The very knowledge offering certainty of the kill metamorphoses into a knowledge that reveals with certainty the pursuit’s futility. This change suggests to the hunter-reader, whose reading thus far has been guided by the speaker’s implicit (and misleading) promise to disclose the hind’s location, that the very act of reading the sonnet similarly functions as a useless exercise, in Petrarchan terms. There certainly lies within it no capture; and, in the absence of capture, the sonnet also lacks the descriptive dismemberment that would satisfy the masculinized, voyeuristic reader. Instead, the female object of desire in the figure of the hind serves to confirm the futility of this exercise in the face of “ordeyned” possession.26 The reader who “as well as [the speaker] may spend his tyme in vain” wonders whether the time spent refers to the hot pursuit itself or the sonnet-reading 21. George Gascoigne, The Noble Arte of Venerie or Hunting : Vvherein Is Handled and Set out the Vertues, Nature, and Properties of Fiutene Sundrie Chaces Togither, with the Order and Maner How to Hunte and Kill Euery One of Them. Translated and Collected for the Pleasure of All Noblemen and Gentlemen, out of the Best Approued Authors, Which Haue Written Any Thing Concerning the Same: And Reduced into Such Order and Proper Termes as Are Vsed Here, in This Noble Realme of England. The Contentes Vvhereof Shall More Playnely Appeare in the Page Next Followyng. (London: Henry Bynneman, for Christopher Barker, 1575), Electronic reproduction of microfilm, frontispiece; 31. 22. Harrier, The Canon of Sir Thomas Wyatt’s Poetry, 104, l. 1. 23. The Canon of Sir Thomas Wyatt’s Poetry, l. 2. 24. The Canon of Sir Thomas Wyatt’s Poetry, ll. 9-10. 25. The Canon of Sir Thomas Wyatt’s Poetry, ll. 1, 9, 7. 26. Gascoigne, The Noble Arte of Venerie or Hunting, 49.

ensued from the first line—or both.27 Patricia Thomson has argued that describing the pursuit (whether physical or readerly) as time spent “in vain” serves “to aim a blow at the foundation of the sentiment of courtly love common to Petrarch and the Petrarchans,” itself a trope traced to late medieval Provençal poetry and informed by the feudal relationship between great lady and servant.28 In light of such criticism, it seems the sonnet’s ultimate frustration of masculine desire troubles arguments that men living within an intensely rigid hierarchy animated by prescribed behaviors of courtly love may sublimate their desire for heteropatriarchal power through writing. Arthur Marotti argues that Petrarchan lyric poetry worked as “imaginative heterocosms within which ambitious men would fantasize a kind of mastery they lacked in their actual experience.”29 Yet the sonnet examined here, on the contrary, explicitly and dramatically asserts that the structure of Petrarchan desire fails to provide a fantastic heterocosm, instead offering only a painfully repetitive microcosm of the Henrician court. The rhyme scheme of the sonnet, for example, follows the cyclicality of the Petrarchan octave (ABBA ABBA) but displaces the growing momentum of the Petrarchan sestet (CDE CDE) with the abrupt monotony of rhyming couplets (CDD CDD), coinciding with the abrasive revelation of the monarch’s possession of the hind. In its demonstration of the futility of Petrarchan desire, the sonnet simultaneously attempts to persuade its readers to abandon Petrarchan assumptions and reconsider masculine erotics. Thomson also aptly notes the general, though not absolute, absence of women in Wyatt poetry, as an abstract object of desire or fragmented body. She argues, “the aureate speciality, the description of a mistress’s beauty and virtue, is almost entirely lacking in Wyatt,” which raises questions on how exactly the object of desire does figure in this verse categorically representing the erotic pursuit.30 “Who so list to hounte” continues to draw the reader forth to the desired hind by explicitly introducing a “written” text to him/her.31 After demonstrating the pursuit’s doubtless vanity, the speaker tells, “graven with Diamondes in letters plain / There is written her faier neck rounde abowte,” literally framing the final approach as one towards a written text.32 Although the historical, Alexandrian image of the collared hind and the described engraving of the diamond letters no doubt suggest a collar in the Wyatt sonnet, the conspicuous absence of any term for collar magnifies the desired hind’s body, now localized or fragmented into the neck, as the site of writing.33 In doing so, the speaker fragments the female object of desire into a dismembered body part, but that part is a text on which her captivity is written. The fragmented body part becomes the figurative manuscript paper for the forthcoming text, representing writing as an inscription of captivity that 27. Harrier, The Canon of Sir Thomas Wyatt’s Poetry, l. 10. 28. Patricia Thomson, Sir Thomas Wyatt and His Background (Suffolk: Richard Clay and Company, Ltd, 1964), 197, 12. 29. Arthur F. Marotti, “”Love Is Not Love”: Elizabethan Sonnet Sequences and the Social Order,” ELH 49, no. 2 (1982), 398. 30. Thomson, Sir Thomas Wyatt and His Background, 130. 31. Harrier, The Canon of Sir Thomas Wyatt’s Poetry, 104, l. 12. 32. The Canon of Sir Thomas Wyatt’s Poetry, ll. 11-12 33. Although I read these implications as figurative and do locate a collar in the sonnet’s narrative, I do not wish to preclude the possibility of reading the diamond letters as directly engraved onto the hind as a sort of flamboyant branding of her body. VOLUME 09, 2013 – 2014


ENGLISH LITERATURE veils the inevitable kill. This representation works to clarify the simultaneous counsel to forsake Petrarchan assumptions: writing cannot provide (erotic) sublimation if it locks the object of desire into impenetrable captivity. The speaker represents the enclosed text itself with bitter irony, revealing a disjuncture between the written production of text and its read meaning. He first introduces the “letters” by their specific means of production, “and graven with Diamondes,” before using the broader term “written” in the following line.34 The letters cut into the collar and emblazoned in diamond simultaneously suggest a violent process of inscription and a visual display of wealth, power, and betrothal. The very process of writing the collar’s text appears as incision and ornamentation at once.35 Yet, at the end of the line, the speaker somewhat bluntly describes these emblazoned diamonds as “letters plain.”The description of the letters as apparently both diamond and plain creates irony out of the latter adjective’s multiple denotations. Plain most obviously suggests letters that are “not embellished, adorned, or elaborate,” instantiating the contradiction with the description of the diamond adornments.36 Yet plain may also describe a surface as “smooth, even; free from roughness, wrinkles, etc.,” which would suggest the skillful mastery of the collar’s engraver.37 This denotation introduces yet another intermediary between the speaker and the hind. No longer does solely the monarch’s voice, layered onto the hind, intervene between the speaker and his desired object; one must now consider the implied engraver whose material labor has produced the written text and, though subordinate to the monarch, speaks for him! A third meaning, however, reorients the text towards the reader. Plain signifies that the meaning of the letters “is evident; simple, easily intelligible, readily understood.”38 Alongside the speaker’s representation of the written text as an incised embellishment and itself the material labor of yet another (male) writer, the speaker reassures the reader that his /her interpretive capabilities will suffice—the meaning, so says the speaker, is utterly obvious. The extravagance and mastery invested in the writing by multiple men of various accesses to power, the accumulated mediation so to speak, therefore has little effect on the letters’ allegedly self-evident meaning. And in a visual or scopophilic dynamic, in which the speaker and reader can never “have” or touch the object of desire, reading at a distance should allow the speaker and reader to grasp metaphorically what they cannot grasp physically. Yet the meaning so manifest to the sonnet’s speaker is of course that the hind exists as the exclusive possession of the monarch. After his illustrative preface to the reader, the speaker (re)writes the text on the collar: “Noli me tangere for Cesars I ame

/ and wylde for to hold though I seme tame.”39 These words prevent any man but the monarch from possessing the hind, including the reader. But the Latin literacy required of the reader reveals a potential unintelligibility incongruous with the speaker’s previous assertion that the meaning is “plain”: the very edict constituting the pursuit’s futility requires knowledge of Latin. This departure from the Petrarchan text, which consistently deploys the vernacular Italian, unequivocally positions the reader as educated in the humanist tradition, and therefore an implied member of the educated circles around the Henrician court. However, Cathy Shrank confronts the problematic Latin by arguing, “The immediate answer is that those are the words used in the commentary,” that is, Vellutello’s biographically-arranged Il Petrarca; for “not only was it the work which Wyatt was probably using…it was also the means by which his Tudor readers were likely to receive their Petrarch.”40 Nonetheless, that the speaker previously reassured the reader of his interpretive capabilities only reinforces the claim that the speaker speaks quite deliberately to courtly men; and even if a Petrarchan editor initially made the move from the vernacular to the Latin, the reproduction of such bilingualism in the English imitation deserves attention. Martindale notes, “Boys learnt to read and to write English, Latin and Greek, generally in that order and with the greatest attention being paid to Latin…The aim of the [humanist] system was rhetorical expertise…Hence all the innumerable exercises in translating from one language to another.”41 As a “translation” from Italian, the sonnet itself functions as the product of a humanist exercise; the collar’s switching between Latin and English within the sonnet requires humanist expertise of its reader, implying that the text of the prohibition intentionally addresses courtly men, closest among men to the monarch’s sphere of power. Emphasizing rhetorical ability as the mark of inclusion, the conceit of the hunt underscores the exclusive character of the speaker’s drama and intimates the speaker’s attempts at situating Petrarchan desire within the Henrician court. The expected “rhetorical expertise”also recalls Berry’s description of hunting as a “verbal sport, and one in which the mastery of words implied both power over nature and society.”42 The mastery required of hunters ranged from “The termes of the treading or footing of all beastes of chace and Venerie” to “The Sundrie noyses of houndes, and the termes proper for the same,” demanding a nuanced, intricate attention to language. Despite their shared stress on rhetorical skill, the nobility initially posed hunting and humanism as opposing practices. In Humanism and the Social Order in Tudor England, Fritz Caspari notes a dinner table argument first recorded in 1517—just as Wyatt commenced his studies

34. Harrier, The Canon of Sir Thomas Wyatt’s Poetry, 104, l. 11-12. 35. Another poem attributed to Wyatt in the Egerton manuscript, “Marvaill no more,” exhibits the only other use of “graven” in Wyatt’s poetic oeuvre. See: Hangen, A Concordance to the Complete Poetical Works of Sir Thomas Wyatt, 180. Interestingly, the speaker uses the term similarly to describe the inscription of letters, emphasizing the material force of the incision: “And in my hert also/is graven with l[ett]res diepe/a thousand sighes & mo/a flod of teeres to wepe” in Harrier, The Canon of Sir Thomas Wyatt’s Poetry, 144, ll. 5-8. The use of “with” here—“graven with l[ett]res”—helps clarify “graven with Diamondes” by suggesting that the inscription does not accompany the diamonds but is formed by them. 36. Oxford English Dictionary, “Plain, Adj.1” (Oxford University Press). 37. “Plain, Adj.1” 38. “Plain, Adj.1”

39. Harrier, The Canon of Sir Thomas Wyatt’s Poetry, 104, ll. 13-14. 40. Cathy Shrank, “’But I, That Knew What Harbred in That Hed’: Sir Thomas Wyatt and His Posthumous ‘Interpreters’,” in 2007 Lectures, ed. Ron Johnston, Proceedings of the British Academy (Oxford: Oxford University Press, 2007), 392-4. Why Vellutello chose to write these words in Latin remains a mystery. However, Susan Brigden suggests an alternative basis for the Latin text: “It was probably during his first visit to the English court that Holbein painted his dramatic, sublime Noli me tangere. In the garden at first light, Mary Magdalen encounters her Saviour. As she reaches out to Him, incredulous, imploring, He draws back… Uncertainty surrounds this work, but there is reason to believe that Holbein painted it in 1526-8, the time when Henry Wyatt and Henry Guildford were his patrons,” in Brigden, Thomas Wyatt: The Heart’s Forest, 161. 41. Martindale, English Humanism: From Wyatt to Cowley, 27. 42. Edward Berry, Shakespeare and the Hunt: A Cultural and Social Study (Cambridge: Cambridge University Press, 2001), 17.



ENGLISH LITERATURE at Cambridge—between Richard Pace, Henry VIII’s secretary of state, and a courtly gentleman: the gentleman declared, “gentlemen’s sons ought to be able to blow their horn skillfully, to hunt well, and to carry and train a hawk elegantly; but the study of letters is to be left to the sons of peasants,” to which Pace purportedly replied, “then you and other noble men must be content, that your children may wind their hornes and keepe their Haukes, while the children of meane men do manage matters of estate.”43 The sonnet speaker’s exasperation with the hunt and his representation of its endgame logic takes Pace’s argument one step further, deploying humanism to demonstrate the “vayne travail” of the ritual hunt, and in turn suggesting the vanity of Petrarchan pursuit. If one notes humanism’s role in constituting a particular Renaissance manhood, the literal rehearsal of humanist practice in the sonnet appears to establish both the speaker’s and his readers’ manhood through the bilingual disclosure of the monarch’s ownership of the hind. Martindale emphasizes the importance placed on language by Renaissance humanists by pointing to Erasmus’s argument in Opera Omnia that “language is the basic civilizing act, which distinguishes man from beast.”44 Thus, the speaker’s use of a mute hind as the female object of desire dramatizes the pursuit’s constitution of a Renaissance masculinity while also exposing the elaborate “traffic in women” necessitated by such a constitution.45 The speaker’s appropriative representation of the king’s language mutes the desired“woman”for a mock demonstration of humanist proficiency between the king and the men of court, representing men as the only producers of masculinity and locating the desired “woman’s” body as the site of that production; she is manuscript rather than penning hand. By writing the collar’s words in the sonnet’s final couplet, the speakerguides the masculinized reader’s desire to the fetishized object only to ask the reader to read his exclusion from the capture, rendering the readerly pursuit a useless practice when unattainability moves from the imaginative to the legal. Like the speaker, the reader may tell and tell and tell of the hind but to what end? Unlike the sublimation achieved by the Petrarchan speaker and readers who may continually tell and read of the desired and seen woman’s body, the desires of the speaker and readers of the Wyatt sonnet experience continual frustration, thwarting, and obstruction— even as they are complicit in the pursuit.

Appendix: “190” by Francesco Petrarca\ Una candida cerva sopra l’erba verde m’apparve con duo corna d’oro, fra due riviere all’ombra d’un alloro, levando ‘l sole a ;a stagione acerba. Era sua vista sì dolce superba chi’ I’ lasciai per seguirla ogni lavoro, come l’avaro che ‘n cercar Tesoro con diletto l’affanno disacerba. “Nessun mi tocchi,” al bel collo d’intorno scritto avea di diamanti et di topazi. “Libera farmi al mio Cesare parve.” Et era ‘l sol già vòlto al mezzo giorno, gli occhi miei stanchi di mirar, non sazi, quand’ io caddi ne l’acqua et ella sparve. [A white doe on the green grass appeared to me, with two golden horns, between two rivers, in the shade of a laurel, when the sun was rising in the unripe season. Her look was so sweet and proud that to follow her I left every task, like the miser who as he seeks treasure sweetens his trouble with delight. “Let no one touch me,” she bore written with diamonds and topazes around her lovely neck. “It has pleased my Caesar to make me free. And the sun had already turned at midday; my eyes were tired by looking but not sated, when I fell into the water, and she disappeared.” Bibliography Berry, Edward. Shakespeare and the Hunt: A Cultural and Social Study. Cambridge: Cambridge University Press, 2001. Caspari, Fritz. Humanism and the Social Order in Tudor England. Chicago: University of Chicago Press, 1954.

Dictionary, Oxford English. “Plain, Adj.1” [in English]. Oxford University Press. Elyot, Thomas, Sir. The Boke Named the Gouernour / Deuised by [Sir?] Thomas Elyot Knight. London: Tho. Bertheleti, 1531. Electronic reproduction of microfilm. Foxwell, A.K. The Poems of Sir Thomas Wiat. 2 vols. Vol. 1, London: University of London Press, 1913. Gascoigne, George. The Noble Arte of Venerie or Hunting : Vvherein Is Handled and Set out the Vertues, Nature, and Properties of Fiutene Sundrie Chaces Togither, with the Order and Maner How to Hunte and Kill Euery One of Them. Translated and Collected for the Pleasure of All Noblemen and Gentlemen, out of the Best Approued Authors, Which Haue Written Any Thing Concerning the Same: And Reduced into Such Order and Proper Termes as Are Vsed Here, in This Noble Realme of England. The Contentes Vvhereof Shall More Playnely Appeare in the Page Next Followyng. London: Henry Bynneman, for Christopher Barker, 1575. Electronic reproduction of microfilm. Hangen, Eva Catherine, ed. A Concordance to the Complete Poetical Works of Sir Thomas Wyatt. Chicago: University of Chicago Press, 1941. Harrier, Richard. The Canon of Sir Thomas Wyatt’s Poetry. Cambridge: Harvard University Press, 1975. Harrison, Robert Pogue. Forests: The Shadow of Civilization. Chicago: University of Chicago Press, 1992. Marotti, Arthur F. “”Love Is Not Love”: Elizabethan Sonnet Sequences and the Social Order.” ELH 49, no. 2 (1982): 396-428.

43. Fritz Caspari, Humanism and the Social Order in Tudor England (Chicago: University of Chicago Press, 1954), 136-37. 44. Martindale, English Humanism: From Wyatt to Cowley, 22. 45. Gayle Rubin’s term, “the traffic in women,” evolves out of her anthropological discussion of kinship systems as they relate to a given society’s sex/gender system, describing “ethnographic and historical examples” in which “women are given in marriage, taken in battle, exchanged for favors, sent as tribute, traded, bought, and sold,” and in which “it is the men who give and take [the women] who are linked, the women being a conduit of a relationship rather than a partner to it.” While I do not wish to rehearse the universalism of superimposing anthropological structures at whim, I do think Rubin’s concept may help to illuminate the gender politics dramatized in the sonnet. Furthermore, the phrase gains traction considering that hunted venison, like courtly women, was used as a gift to solidify alliances and relationships. See: Gayle Rubin, “The Traffic in Women,” in Literary Theory: An Anthology, ed. Julie and Michael Ryan Rivkin (Malden: Blackwell Publishing, 2004), 779; Berry, Shakespeare and the Hunt: A Cultural and Social Study, 21.

———. “Patronage, Poetry, and Print.” The Yearbook of English Studies 21, no. Politics, Patronage and Literature in England 1558-1658 (1991): 1-26. Martindale, Joanna, ed. English Humanism: From Wyatt to Cowley. edited by Isobel Armstrong, World and Word. Sydney: Croom Helm, 1985. Ovid. Ovid’s Metamorphoses. Translated by Arthur Golding. Philadelphia: Paul Dry Books, 2000. 1567. Petrarca, Francesco. Petrarch’s Lyric Poems: The Rime Sparse and Other Lyrics. Translated by Robert M. Durling. Cambridge, Massachusetts: Harvard University Press, 1976. Rubin, Gayle. “The Traffic in Women.” In Literary Theory: An Anthology, edited by Julie and Michael Ryan Rivkin, 770-94. Malden: Blackwell Publishing, 2004. Shrank, Cathy. “’But I, That Knew What Harbred in That Hed’: Sir Thomas Wyatt and His Posthumous ‘Interpreters’.” Chap. ‘But I, that knew what harbred in that hed’: Sir THomas Wyatt and his Posthumous ‘Interpreters’ In 2007 Lectures, edited by Ron Johnston. Proceedings of the British Academy, 375-401. Oxford: Oxford University Press, 2007. Thomson, Patricia. Sir Thomas Wyatt and His Background. Suffolk: Richard Clay and Company, Ltd, 1964. Vickers, Nancy J. “Diana Described: Scattered Woman and Scattered Rhyme.” Critical Inquiry 8, no. 2 (1981): 265-79. Waller, Marguerite. “Academic Tootsie: The Denial of Difference and the Difference It Makes.”Dia-

VOLUME 09, 2013 – 2014



Trinuclear Ruthenium Clusters for Electrochemical Biosensor Development Hsiao-Tieh Hsu

Amanda L. Eckermann

Thomas J. Meade

Daniel J. Feld


FACULTY ADVISOR PhD, Ohio State University Introduction 1. Biosensors A biosensor is a non-invasive device that can detect biomolecular analytes associated with diseases.1,2 Electrochemical biosensors are useful due to their low cost, ease of use, and remarkable reproducibility.3 Previous studies show that electron transfer between electrodes and surfaceconfined redox molecules obeys the Marcus Theory of Electron Transfer.4,5,6 Therefore , changes in the system caused by interactions between redox molecules and the analytes they are sensing could translate into quantifiable changes of electrochemical signals such as electron transfer rate and overpotential.3 2. Theoretical Background To aid the development of electrochemical biosensors, the work presented here studies the weak interactions that govern ligand-receptor binding using trinuclear ruthenium clusters.7 Weak interactions between proteins and small molecules are important to biological processes such as photosynthesis and DNA damage and repair, but they are difficult to measure directly. Weak interactions affect the static dielectric constant (εs) of a system, which is a part of reorganization energy (λ).8 The Marcus Equation of Electron Transfer relates λ to electron transfer rate (kET).9 Therefore, the changes in weak interactions can be inferred by the changes in λ by measuring kET using electrochemistry.10




Reorganization energy (λ) is the energy required to force the reactants from their equilibrium configuration into the equilibrium configuration of the products before electron transfer actually occurs. 8 According to The Marcus Theory of Electron Transfer, reorganization energy is the sum of outer sphere (λo) and inner sphere reorganization energy (λi) (Equation 1).9 λo depends on several variables: 1) the radii of the electron donor and acceptor (rA and rD), 2) the distance between the donor and acceptor (dAD), 3) the charge transferred (e), 4) the optical dielectric constant (εop) and 5) the static dielectric constant (εs) (Equation 2).8,11,12 εop is approximately constant between different systems while εs differs and gives information on weak interactions. According to the Marcus Equation, kET depends on λ (Equation 3).8 If the protein binding ligand is modified with a redox center, the potential, current and total amount of charge transferred in a redox event can be measured with cyclic voltammetry (CV). By fitting the CV data, λ and kET can be derived.13 Upon protein binding, overpotential (E1/2, the average of anodic and cathodic peak potential), λ, and kET are expected to shift. To investigate the change in electrochemical parameters upon protein binding, the biotin/avidin system was used in the work presented here. This system was chosen because biotin and avidin form specific, strong non-covalent interactions, with a dissociation constant of 10-15 M.18 Avidin is a stable tetrameric glycoprotein that is widely used in biotechnological and medical research. It can bind to multiple ligands, which allows systematic studies for ligand-receptor binding. 14 3. Experimental Design In previous work, biotinylated iron- and rutheniummodified complexes, such as [Fe(BMB)(CN)4]2- and [(4-BMP) NRu(NH3)5]2+,10,15 were used for electrochemical detection of avidin binding. However, due to the small size of the metal complex, the protein decreased the coupling between the metal center and the electrode, subsequently interfering with the electron transfer process and leading to the loss of current

CHEMISTRY signal in the CV. Additionally, these CV experiments were done in solution, so the slow diffusion of the protein to the electrode contributed to the signal loss. To solve these problems, trinuclear ruthenium clusters were used to modify the avidinbinding ligand biotin. Since these clusters are larger, protein binding is less likely to interfere with the coupling between the metal centers and the electrode. The target molecules were incorporated into self-assembled monolayers to overcome the poor diffusion of avidin in solution. CV was performed to analyze the species on the monolayer. CV is an electrochemical technique that scans the potential and measures the current in a redox event.13,15,16 λ and kET can be derived from plotting the CV data into a Tafel plot. The curvature is indicative of λ, and the y-intercept of the plot is kET. 13,17 A modified Marcus Equation, which applies to species on monolayers, can be used to simulate the CV data to give electronic coupling (HAB), λ and kET. (Equation 4).13,16,17,18,19 CV experiments were performed on trinuclear ruthenium clusters (Table 1) before and after avidin addition to measure the changes in electrochemical properties of the systems upon protein binding. Ru(py)2(C16SH) was used as a control system because it does not have an avidin binding ligand. Bovine Serum Albumin (BSA), a protein that does not bind to biotin, was also added to the trinuclear ruthenium cluster systems as a negative control to verify that the changes in electrochemical properties were caused by biotin-avidin interactions. Finally, the solvent polarity of CV experiments was altered by titrating DMF in the electrochemical cell to simulate the environment after protein binding.


The BMP System The Pyridine System

Compound [Ru3O(OAc)6(H2O)3]+ [Ru3O(OAc)6(CO)(MeOH)2]0 [Ru3O(OAc)6(CO)(4-BMP)(MeOH)]0

Abbreviation Ru(H2O)3 Ru(CO)(MeOH)2 Ru(CO)(BMP)(MeOH)

[Ru3O(OAc)6(CO)(py)(MeOH)]0 [Ru3O(OAc)6(CO)(4-BMP)(4-AMP(CO)(CH2)15SH)]0 [Ru3O(OAc)6(CO)(py)(4-AMP(CO) (CH2)15SH)]0 [Ru3O(OAc)6(4-BMP)2(4-AMP(CO) (CH2)15SH)]+ [Ru3O(OAc)6(4-BMP)(py)(4-AMP(CO)(CH2)15SH)]+ [Ru3O(OAc)6(py)2(4-AMP(CO) (CH2)15SH)]+

Ru(CO)(py)(MeOH) Ru(CO)(BMP)(C16SH) Ru(CO)(py)(C16SH)

temperature under argon. When the reaction was completed, DMF was removed using rotary evaporation. The product was purified with column chromatography on silica in 10% MeOH/ CHCl3 and modified by TLC and Pt stain. The first band that stained dark brown was collected. The final product appeared to be a light yellow, oily solid. (Scheme 1).10 Yield: 61 %. 1H NMR (500 MHz, CDCl3) δ 8.44 (t, 2H), 7.28 (d, 1H), 4.48-4.42 (m, 1H), 4.38 (s, 2H), 4.26-4.22 (m, 1H), 3.31-3.23 (m, 2H), 2.88 (dt, 1H), 2.28 (dq, 2H), 1.

Scheme 1. Synthesis of 4-BMP

2. Synthesis of (4-AMP)CO(CH2)15SH 98.2 mg (0.340 mmol ) of HS(CH2)15COOH (16-mercaptohexadecanoic acid), 75.8 mg (0.367 mmole) of dicyclohexylcarbodiimide (DCC), and 38 μL (0.369 mmole) of distilled 4-AMP were dissolved in 10 mL 4:1 anhydrous, degassed CH2Cl2/acetone. The solution was stirred under a blanket of argon for 72 hours, during which time a white dicyclohexylurea precipitate and the product, (4-AMP) CO(CH2)15SH, were formed. The product was purified by filtration, followed by column chromatography on silica in 5% MeOH/CHCl3 and monitored by TLC and Pt stain. The first band that stained dark brown was collect. The product appeared to be a white solid (Scheme 2). Yield: 61%. 1H NMR (500 MHz, CDCl3) δ 8.52 (d, 2H), 7.17 (d, 2H), 5.91 (s, 1H), 4.45 (d, 2H), 2.57-2.51 (m, 2H), 2.29-2.25 (m, 2H), 1.85-1.58 (m, 8H), 1.50-1.42 (m, 8H), 1.40-1.32 (m, 22H). MS (ESI+) m/z calculated for (4-AMP)CO(CH2)15SH + H+ is 379.62, found 379.2, (4-AMP) CO(CH2)15SH + Na+ is 401.60, found 401.2.

Ru(BMP)2(C16SH) Ru(BMP)(py)(C16SH) Ru(py)2(C16SH)

Table 1.Trinuclear ruthenium clusters used in this study and their abbreviations.

Methodology A. Modification of ligands 1. Synthesis of 4-BMP 684.1 mg (2.800 mmol) of biotin and 1019.5 mg (3.386 mmol) of TSTU were dissolved in 10 mL of DMF while stirring. 1 mL of Et3N was added to the stirring solution, and the resulting solution was stirred for 1 hour, during which time the color of the solution turned from orange to dark brown. 288 μL (2.798 mmole) of distilled 4-(aminomethyl)pyridine (4-AMP) was added and the solution was stirred overnight at room

Scheme 2. Synthesis of (4-AMP)CO(CH2)15SH

B. Trinuclear Ruthenium Clusters The syntheses of trinuclear ruthenium clusters are summarized in the following scheme: 1. Synthesis of Ru(H2O)3 991.0 mg (4.78 mmole) of RuCl3•xH2O, 2.206 g (24.7 mmole) of sodium acetate and 25 mL of glacial acetic acid were

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CHEMISTRY dissolved in 25 mL of absolute ethanol and refluxed overnight in the dark, during which time the color of the solution turned from dark brown to dark green. The mixture was cooled to room temperature and centrifuged at 2500 rpm for 20 minutes to remove the excess salt. The supernatant was filtered and EtOH was removed using rotary evaporation. The obtained solid was dissolved in 50 mL MeOH and filtered. MeOH was then removed using rotary evaporation and Ru(H2O)3, a dark green solid, was obtained.21,22 Yield: 67 %. UV-visible (MeOH) λmax = 699 nm. 2. Synthesis of Ru(CO)(MeOH)2 1.0 g (1.32 mmole) of Ru(H2O)3 was dissolved in 50 mL MeOH and the solution was degassed for 30 minutes. A few pieces of Zn/Hg (~8 g) were added to the solution with stirring. The solution was stirred for 2.5 hours under Ar, during which time the color of the solution turned more yellow. The airsensitive solution was then cannulated to an argon-purged Schlenk flask to remove the Zn/Hg amalgam. CO was bubbled into the cannulated solution for 45 minutes. The solution was then stirred under a CO atmosphere at room temperature in the dark overnight, during which time [Ru(CO)(MeOH)2]0 was formed and the color of the solution turned from dark green to dark purple. The product was purified with column chromatography on silica in 10% MeOH/CHCl3 and appeared to be a purple solid upon rotary evaporation. 21,22 Yield: 57%. UV-visible (MeOH) λmax = ~ 560 nm. 3. Synthesis of Ru(CO)(L)(MeOH), L = BMP (3a) or pyridine (3b) 0.8 equivalents of L (154.7 mg of 4-BMP, or 12.5 μL of pyridine) was dissolved in 100 mL 1:1 MeOH/CH2Cl2. Once dissolved, 440.9 mg (0.580 mmole) of Ru(CO)(MeOH)2 was added to the stirring solution. The reaction was stirred at room temperature in the dark for 3 days to form Ru(CO)(L)(MeOH). The product was purified with column chromatography on silica in 10% MeOH/CHCl3 and appeared to be a purplish blue solid. L = BMP: Yield: 47%. 1H NMR (500 MHz, MeOD) δ 8.95 (d, 2H), 7.98 (d, 2H), 4.82 (s, 2H), 4.38 (m, 1H), 4.20 (m, 1H), 3.13 (q, 2H), 2.82 (dt, 1H), 2.55 (dq, 1H) 2.35 (t, 4H), 1.85 (s, 6H), 1.80 (s, 6H), 1.75-1.50 (m, 10H), 1.50-1.35 (m, 2H). UV-visible (MeOH) λmax = 568 nm. L = pyridine: Yield: 52.3 %. 1H NMR (500 MHz, MeOD) δ 9.05 (d, 2H), 8.28 (t, 2H), 8.08 (dd, 2H), 1.98 (m, 6H), 1.92 (m, 6H), 1.64 (m, 6H), 1.51 (m, 6H). 4. Synthesis of Ru(CO)(L)(C16SH), L = BMP (4a) or pyridine (4b) Ru(CO)(L)(MeOH) and 1.2 equivalents of (4-AMP) CO(CH2)15SH were dissolved in 100 mL of degassed 1:1 MeOH/ CHCl3 solution. The resulting solution was stirred under a

Scheme 3. Syntheses of trinuclear ruthenium clusters.



blanket of Ar at room temperature in the dark overnight, during which time the color turned more blue. The final product, Ru(CO)(L)(C16SH), was purified by column chromatography on silica in 5% MeOH/CHCl3 and appeared to be a blue solid. L = BMP: Yield: 79%. 1H NMR (500 MHz, CDCl3) δ 8.93 (d, 2H), 7.98 (s, 2H), 4.85 (s, 1H), 4.38 (m, 1H), 4.22 (m, 1H), 3.13 (q, 1H), 2.82 (dd, 1H), 2.55-2.50 (m, 3H), 2.38-2.23 (m, 4H), 1.86 (s, 12H), 1.751.48 (m, 16H), 1.48-1.38 (m, 4H), 1.36-1.10 (m, 22H). UV-visible (MeOH) λmax = 585 nm. L = pyridine: Yield: 45 %. 1H NMR (500 MHz, CDCl3) δ 9.10 (d, 2H), 9.00 (d, 2H), 8.19 (t, 1H), 8.04 (t, 2H), 7.92 (d, 2H), 4.91 (s, 2H), 2.49 (t, 2H), 2.38 (t, 2H), 2.09 (s, 12H), 1.81 (s, 6H), 1.75 (m, 2H), 1.63 (m, br, 4H), 1.4-1.1 (m 20H). UVvisible (MeOH) λmax = 582 nm. 5. Electrochemical Formation of Ru(L1)(L2)(C16SH), L1, L2 = BMP (5a), pyridine (5b) Gold ball electrodes were made from 7 cm pieces of 0.127 mm diameter, 99% gold wire (Alfa Aesar). The first 2 cm of each 7 cm piece was melted in a Bunsen burner flame to form a gold ball with radius of 0.04 cm. The gold ball electrodes were cleaned in 1 M H2SO4(aq) with CV using a CH Instruments 660A electrochemical workstation to remove contamination on the surface of the gold ball. The potential was cycled between 0V and 1.6V until a constant current was observed. After being cleaned, electrodes were rinsed with H2O and ethanol. The electrodes were soaked in a 20:1 HO(CH2)11SH: Ru(CO) (L1)(C16SH) solution (2 mM total thiol in EtOH, L1 = BMP or pyridine) overnight so that monolayers could be formed. CV was performed using the CH Instruments 660A electrochemical workstation in pH 7 PBS buffer with 100 mM NaCl under room temperature to oxidize the cluster electrochemically. The buffer was degassed with N2 before all experiments. The reference electrode was Ag/AgCl and the counter electrode was a platinum wire. The potential was scanned between -0.6 V and 0.8 V for 20 minutes until the current of newly formed species no longer increased. The CO ligand became and was replaced by a H2O molecule. The gold ball electrodes were then soaked in either 1 mM 4-BMP or pyridine/ H2O solution to form Ru(BMP)2(C16SH), Ru(BMP)(py)(C16SH) (5a), Ru(py)2(C16SH) (5b). C. CV Experiments CV experiments were performed on the trinuclear ruthenium clusters in pH 7 PBS buffer with 100 mM NaCl at room temperature on the CH Instruments 660A workstation. The working electrode was the gold ball electrode with the monolayer, the reference electrode was Ag/AgCl, and the

CHEMISTRY counter electrode was a platinum wire. In CV Ru(BMP)2(C16SH) Ru(BMP)(py)(C16SH) experiments, scan rates ranging from 0.01 E1/2 (V) Before -0.066 -0.046 V/s to 2500 V/s were applied, and the anodic and cathodic peak potential, peak current, avidin and total amount of charge transferred were After -0.109 -0.052 measured. avidin After the initial electrochemical measurements, all the gold electrodes Δ E1/2 (V) -0.043 -0.006 were soaked in 30 μM avidin solution Table 2. E1/2 values for BMP systems before and after avidin binding. at 37°C overnight. For BSA studies, the Ru(BMP)2(C16SH) system was soaked in 30 attaching the ruthenium clusters to a monolayer facilitates μM BSA solution at 37°C overnight. Afterward, the same set analysis of the electrochemical properties of the system. By of electrochemical experiments was performed on the gold using this new system, current signals in CV were maintained electrodes to see if the electrochemical parameters changed after avidin bound to the binding ligand, which allowed further after avidin binding. experiments and analyses that were not possible with the D. DMF Study CV experiments of Ru(BMP)2(C16SH) were performed in 10% previous, mononuclear systems using the various trinuclear ruthenium clusters. ,20%, 30%, 40%, and 50% DMF in pH 7 PBS buffer solution with 2. CV: Overpotential (E1/2 ) 100 mM NaCl at room temperature using the CH Instruments Table 2 summarizes E1/2 values for the BMP systems before 660A electrochemical workstation. Different scan rates, ranging and after avidin binding. In the Ru(BMP)2(C16SH) system, there from 0.01 V/s to 2500 V/s were applied, and the anodic and was an observable change in E1/2 upon avidin addition (-43 cathodic peak potential, peak current, and total amount of mV). The negative shift in E1/2 indicated that the oxidized form charge transferred were measured. of the cluster is more stable in the environment of avidin. In the other system, the change in E1/2 was negligible compared to Results and Discussion the experimental error range of approximately 10 mV. 1. CV: Peak Current In the CV traces, a decrease in peak current was observed In the CV traces of Ru(BMP)2(C16SH) and Ru(BMP)(py) upon avidin addition. In order to investigate the cause of (C16SH), the peak currents were still observable after avidin this current decrease and to verify that the changes in E1/2 addition. This result suggests that the current loss observed observed in the Ru(BMP)2(C16SH) system was caused by in the single-centered biotinylated iron and ruthenium biotin-avidin interactions, the same set of CV experiments were complexes was resolved by using trinuclear ruthenium conducted on Ru(py)2(C16SH), a trinuclear ruthenium cluster clusters incorporated into monolayers. Since the clusters with no ligand that could bind to avidin. After the first set of are significantly larger than the mononuclear iron and CV measurements, electrodes with Ru(py)2(C16SH) monolayer ruthenium complexes, avidin binding is likely to have less were soaked in avidin solution and water separately overnight, effect on coupling between the cluster metal centers and the and the CV experiments were repeated. In the CV data of electrode. In addition, it is known that, in these clusters, the Ru(py)2(C16SH) soaked in avidin solution, the peak potential 23 electron density is delocalized over all three metal centers. did not shift. This was expected, since there was no binding Therefore, electronic coupling and electron transfer were between avidin and Ru(py)2(C16SH). This result confirmed that maintained, and current signals could still be observed the shift of -43 mV in E1/2 observed in the Ru(BMP)2(C16SH) after avidin addition. Furthermore, since the clusters were system was caused by specific binding between avidin and incorporated into monolayers on the electrode, the avidinbiotin rather than non-specific binding or other changes in the cluster complexes would not have to diffuse to the electrode monolayer. Similar to what was observed in the BMP system, for electron transfer. Hence, the slow diffusion problem the peak current decreased after avidin addition. In the CV data observed in the previous study was solved. Additionally, Figure 2. (Below) CV traces for (a) Ru(py)2(C16SH) before (black) and after (red) avidin addition, and (b) Ru(py)2(C16SH) before (black) and after (red) being soaked in water.

Figure 1. (Above) The CV traces at 250 mV/s before (black) and after (red) avidin binding for (a) Ru(BMP)2(C16SH) and (b) Ru(BMP)(py)(C16SH).

VOLUME 09, 2013 – 2014


CHEMISTRY for Ru(py)2(C16SH) soaked in water, the peak potential did not shift, and the peak current remained the same (Figure 2). Since Ru(py)2(C16SH) cannot bind to avidin and the current remained the same at the absence of avidin, this observation suggested that the current decrease in all trinuclear ruthenium cluster systems was caused by nonspecific binding between avidin and the monolayer, rather than interactions between biotin and avidin. 3. CV: Tafel Plots The Tafel plots of Ru(BMP)2(C16SH) and Ru(BMP)(py) (C16SH) before and after protein binding were overlaid on each other (Figure 3). The overlapping plots showed unobservable changes in curvature and y-intercept, which suggested that there was little change in 位 and kET for both systems after avidin binding. These results were different from the expectation that 位 and kET would change upon avidin binding. A possible explanation is the metal-centered nature of the +1/0 redox pair of the tri-nuclear ruthenium cluster. It is known that in these clusters, electrons are delocalized over all three metal centers but not to the binding ligands. Since there is little electron density on the binding ligands, protein binding is less likely to affect electron transfer, 位 and kET, compared to a system where electron delocalization is extended to the binding ligands. Another possible reason for this observation is that, since the charge is delocalized over three Ru centers, the formal charge difference of the reduced and oxidized forms is 1/3 for each Ru center. This change could be too small for the electrochemical techniques to measure.

become more favored than the charged, oxidized form of the cluster. As a result, the redox potential was expected to increase . However, the experimental results showed the opposite. A possible explanation for this observation is that, when DMF concentration is low, solubility of the neutral cluster is not favored in the polar solvent, water, and, hence, it interacts more with the hydrophobic monolayer. As the DMF concentration increases, the polarity of the solvent decreases and the neutral cluster no longer interacts with the monolayer as strongly. Overall, the solvent is expected to be more polar than the monolayer even after DMF addition. As a result, as DMF concentration increases, the polarity of the environment around the cluster actually increases due to decreasing

Figure 4. CV traces for Ru(BMP)2(C16SH) before (black) and after (red) BSA addition.

Figure 3. Tafel plots for (a) Ru(BMP)2(C16SH) and (b) Ru(BMP)(py)(C16SH) before (blue) and after (red) avidin addition.

4. BSA Control The CV trace for Ru(BMP)2(C16SH) remained almost identical before and after the addition of BSA (Figure 4). Since BSA does not bind to biotin, this experiment verified that the change in E1/2 observed in the previous experiment was caused by the interactions between biotin and avidin. No current decrease was observed after BSA addition, which indicated that there was no nonspecific binding between BSA and the monolayer. 5. DMF Study In the DMF study, E1/2 decreased as DMF concentration increased (Figure 5). A shift of -43 mV in E1/2 was observed from 0% DMF to 50% DMF at scan rate 250 mV/s, and the shift was consistent between scan rate 50 mV/s and 1000 mV/s (Figure 6). As DMF concentration increases, E1/2 was expected to shift positively. As the polarity of the environment decreases, the neutral, reduced form of this cluster will



Figure 5. E1/2 vs. DMF concentration plot for Ru(BMP)2(C16SH) at 250 mV/s.

Figure 6. E1/2 vs. DMF concentration plot for Ru(BMP)2(C16SH) at different scan rates.

CHEMISTRY interactions between the cluster and the hydrophobic monolayer, which makes E1/2 shift negatively. Further, this experiment showed that it is possible to simulate protein binding by changing the polarity of the solvent. The results showed that avidin binding is similar to 50% DMF because under both conditions, E1/2 decreased by 43 mV. Conclusion and Future Work In the work presented here, trinuclear ruthenium clusters Ru(BMP)2(C16SH), Ru(BMP)(py)(C16SH), and Ru(py)2(C16SH) were successfully synthesized and incorporated into selfassembled monolayers on gold ball electrodes. These large clusters and monolayer systems successfully overcame the current signal loss in CV observed previously in the biotinylated iron and ruthenium complexes. The CV traces for Ru(BMP)2(C16SH) after avidin binding showed a change of -43 mV in E1/2. However, in the Ru(BMP) (py)(C16SH) system, the CV traces showed no observable change in E1/2 upon avidin addition. In addition to these two clusters, CV experiments were performed on Ru(py)2(C16SH), a cluster that cannot bind to avidin. A decrease in peak current was observed after Ru(py)2(C16SH) was soaked in avidin overnight, but the current remained the same after it was soaked in water. This result showed that the decrease in peak current was caused by the nonspecific binding between avidin and the monolayer rather than the interactions between avidin and biotin. The lack of shift in E1/2 indicated that the shift observed for the Ru(BMP)2(C16SH) system is due to avidin binding. The CV data were used to generate Tafel plots for Ru(BMP)2(C16SH) and Ru(BMP)(py)(C16SH). No significant change in the curvature or the y-intercept of the plots was observed after avidin addition, which indicated that, upon protein binding, there was no change in λ and kET, respectively. In order to confirm that the change in E1/2 in the Ru(BMP)2(C16SH) was caused by the avidin/biotin interaction, CV experiments were performed on Ru(BMP)2(C16SH) before and after the clusters were soaked in BSA, a protein that does not bind to biotin. The CV traces remained the same after BSA addition, which verified that the change in E1/2 was caused by binding interaction. Additionally, the peak current did not decrease, which suggested that there is no nonspecific binding between BSA and the monolayer. To simulate the conditions of protein binding, CV experiments were performed on Ru(BMP)2(C16SH) in various DMF concentrations. The results show that E1/2 decreased linearly as DMF concentration increased between 0% and 50%. In 50% DMF, a shift of -43 mV in E1/2 was observed (as compared to 0% DMF), which was similar to avidin binding. The linear change in E1/2 was consistent between different scan rates. E1/2 was expected to increase with increasing DMF concentration (and decreasing solvent polarity), but the experimental result showed the opposite. This could be caused by decreasing interaction of the cluster with the hydrophobic monolayer as DMF concentration increases. In the future the sensitivity of the Ru(BMP)2(C16SH) system,

will be improved by tuning electrochemical parameters of the system to enhance the changes in electrochemical signals upon avidin binding. The greater the changes are, the more sensitive the system is, and the more likely it can be applied to aid the development of electrochemical biosensors. Ru(NO) (4-BMP)20/-, which is isoeletronic to Ru(BMP)2(C16SH)+/0, can be used as well, because its electrons are known to be delocalized over the entire molecule.23 Finally, the biotinavidin model system can be extended to molecules that are more biologically relevant, such as the Crizotinib-anaplastic lymphoma kinase (ALK) system. Anaplastic lymphoma kinase (ALK) is an oncological biomarker because overexpression of ALK can cause lung cancer.24 Crizotinib is a commercially available ALK inhibiter, and the binding between Crizotinib and ALK is well studied.25 Therefore, the Crizotinib-ALK ligandreceptor system can be utilized in the trinuclear ruthenium cluster system for biosensor design. References

1. Cheng, A. K. H.; Sen, D.; Yu, H.-Z. Biochemistry 2009, 77(1), 1-12. 2. Campanella, L. National Research Project PRIN 2005 (http://dipcia.unica.it/superf/researchsensors_0.html). 3. Song, S.; Xu, H.; Fan, C. Int. J. Nanomedicine. 2006, 1(4), 433-440. 4. Fan, C.; Plaxco, K.W.; Heeger, A. J. Proc. Natl. Acad. Sci. U.S.A. 2003, 100(16), 9134-9137. 5. Wosnick, J. H.; Swager, T. M. Curr. Opin. Chem. Biol. 2000, 4(6), 715-720. 6. Adams, D. A.; Brus, L.; Chidsey, C. E. D.; Creager, S.; Creutz, C.; Kagan, C. R.; Kamat, P. V.; Lieberman, M.; Lindsay, S.; Marcus, R. A.; Metzger, R. M.; Michel-Beyerle, M. E.; Miller, J. R.; Newton, M. D.; Rolison, D. R.; Sankey, O.; Schanze, K. S.; Yardley, J.; Zhu, X. Y. J. Phys. Chem. B. 2003, 107, 6668-6697. 7. Helm, C. A.; Knoll, W.; Israelachvili, J. N. Proc. Natl. Acad. Sci. U.S.A. 1991, 88, 81698173. 8. Barbara, P. F.; Meyer, T. J.; Ratner, M. A. J. Phys. Chem. 1996, 100(31), 13148-13168. 9. Marcus, R. A. J. Chem. Phys. 1956, 24, 966-978. 10. Eckermann, A. L.; Barker, K. D.; Hartings, M. R.; Ratner, M. A.; Meade, T. J. J. Am. Chem. Soc. 2005, 127(34), 11880-11881. 11. Marcus, R.A. Annu. Rev. Phys. Chem. 1964, 15, 155. 12. Marcus, R. A.; Sutin, N.; Biochim. Biophys. Acta. 1985, 811(3), 265-322. 13. Eckermann, A. L.; Feld, D. J.; Shaw, J. A.; Meade, T. J. Coord. Chem Rev. 2010, 254, 15-16. 14. Barker, K. D.; Eckermann, A. L.; Sazinsky, M. H.; Hartings, M. R.; Abajian, C.; Georganopoulou, D.; Ratner, M. A.; Rosenzweig, A. C.; Meade, T. J. Bioconjugate Chem. 2009, 20, 1930-1939. 15. Eckermann, A. L.; Barker, K. D.; Hartings, M. R.; Ratner, M. A.; Meade, T. J. J. Am. Chem. Soc. 2005, 127(34), 11880-11881. 16. Bard A. J.; Faulkner, R. Larry. Electrochemical Methods: Fundamentals and Applications, 2nd ed.; John Wiley & Sons, Inc., New York, 2001; p 833. 17. Chidsey, C. E. D. Science 1991, 251(4996), 919-922. 18. Tender, L.; Carter, M. T.; Murray, R. W. Anal. Chem. 1994, 66, 3173. 19. Weber, K.; Creager, S. E. Anal. Chem. 1994, 66, 3164. 20. Creager, S. E.; Wooster, T. T. Anal. Chem. 1994, 70(20), 4257-4263. 21. Goeltz, J. G.; Glover, S. D.; Hauk, J.; Kubiak, C. P.; Putman, R. D.; Rauchfuss, T. B. Inorg. Synth. 2010, 35, 156-160. 22. Baumann, J. A.; Salmon D. J.; Wilson, S. T.; Meyer T. J.; Hatfield W. E. Inorg. Chem. 1978, 17(12), 3342–3350. 23. Goeltz, J. G.; Benson, E. E.; Kubiak, C. P. J. Phys. Chem. B 2010, 114, 14729-14734. 24. Chiarle, R.; Voena, C.; Ambrogio, C.; Piva, R.; Inghirami, G. Nat. Rev. Cancer. 2008, 8, 11-23. 25. Sun, H.; Ji, F. Biochem. Biophys. Res. Commun. 2012 423(2), 319-324

VOLUME 09, 2013 – 2014



Charles W Mills

FACULTY ADVISOR John Evans Professor of Moral & Intellectual Philosophy PhD, University of Toronto MA, University of Toronto

World White Web There is no race. There are no genders. There is no age. There are no infirmities. There are only minds. Utopia? No. The Internet. —MCI advertisement, “Anthem.” 1994. DFACTORY / PHOTO


To any progressive regular of various online fora,1 the above epigraph sounds hopelessly out of touch with reality. Some might even be inclined to say that the opposite is the case: There is no place more racist, more sexist than the Internet.2 Nowhere are we more trapped in our bodies than on the web.3 The early promise of the Internet as a harbinger of democracy and equality was never realized, and instead, ‘cyberspace’ is riddled with all the same contradictions as ‘meatspace.’ In this essay I will analyze why this might be the case, focusing primarily on the question of racism. I will argue that MCI’s advertisement is actually closer to the truth than it may seem—not in the Utopian sense, but in the sense that race, gender, and other forms of difference are invisible on the Internet. Further, I will argue 1. Here I am using the broad definition of a forum as any public place for open discussion, not specifically the message board format that is usually called an ‘Internet forum.’ 2. For example, Tony Manfred claims: “The Internet is overflowing with overt, savage, relentless racism . . . the real world isn’t like that.” Tony Manfred, “Why is the Internet so racist?,” Business Insider. Last modified May 24, 2012. http:// www.businessins ider.com/internet-racism-2012-5 . Similarly, Jessica Valenti observes: “Extreme instances of stalking, death threats and hate speech are now prevalent, as well as all the everyday harassment that women have traditionally faced in the outside world.” Jessica Valenti, “How the web became a sexists’ paradise,” The Guardian. Last modified April 5, 2007. http://www. guardian.co.uk/world/2007/apr/06/gender.blogging. 3. Echoing Frantz Fanon: “The Black, at certain moments, is trapped in his body” (translated by the author). Frantz Fanon, Peau noire, masques blancs (Paris: Éditions du Seuil, 1952), PDF e-book, “En guise de conclusion.”



that it is precisely this invisibility which makes racism and sexism more apparent on the Internet than IRL (In Real Life). In order to do this, I will conceptualize the Internet as a public sphere, drawing inspiration from the work of Jürgen Habermas. In particular, I will adopt a version of his early formulation in The Structural Transformation of the Public Sphere.4 There, he defines the bourgeois public sphere [bürgerliche Öffentlichkeit], in brief, as “the sphere of private people come together as a public . . . [via the medium of ] people’s public use of their reason.”5 This characterization of the Internet as a public sphere is neither new nor controversial. However, for this argument to be feasible, I will need to narrow which portions of the Internet are subject to my analysis. For example, it is quite obvious that digital banking services do not fall under this definition. Thus I will focus primarily on what Howard Rheingold has termed a ‘virtual communities’: “social aggregations that emerge from the Net when enough people carry on . . . public discussions . . . with sufficient human feeling . . . to form webs of personal 4 . Jürgen Habermas, The Structural Transformation of the Public Sphere: An Inquiry into a Category of Bourgeois Society, trans. Thomas Burger (Cambridge MA: MIT Press, 1991). For his later treatment of the question, I will also reference Jürgen Habermas, Reason and the Rationalization of Society, vol. 1 of The Theory of Communicative Action, trans. Thomas McCarthy (Boston: Beacon Press, 1987), PDF e-book; Jürgen Habermas, Lifeworld and System: A Critique of Functionalist Reason, vol. 2 of The Theory of Communicative Action, trans. Thomas McCarthy (Boston: Beacon Press, 1987), PDF e-book. 5. Habermas, The Structural Transformation of the Public Sphere, 27.

PHILOSOPHY relationships in cyberspace.”6 Paradigmatic examples include The WELL, MUDs, IRC, and reddit.7 Given my focus on the Internet as a public sphere, I will pay little attention to the ‘human feeling’ and ‘personal relationship’ aspects of the virtual community, devoting most of my thoughts to the aspect of public discussion. At the broadest level, I will be analyzing any online space in which social interaction takes place. When I use the words ‘Internet,’ ‘cyberspace,’ and other near-synonyms, it should be assumed that this is what I mean, unless I explicitly say otherwise. Due to some shortcomings of Habermas’ version of the public sphere, I will also be making extensive use of Nancy Fraser’s feminist critiques of Habermas. In particular, I will be drawing from two of her essays: “What’s Critical About Critical Theory?”8 and “Rethinking the Public Sphere.9 I will build on the argument that certain roles in society are ‘gendered,’ so that “the citizen role in male-dominated classical capitalism is a masculine role.”10 I will add that the citizen role is also raced. Hence, I will argue that the role of the ‘Netizen’—the citizen of the virtual public sphere, when conceived as a totalizing unity—is a white role. Throughout my paper, I will be working with a constructivist theory of race, as defined by Charles Mills: “a view of race as both real and unreal, not ‘realist’ but still objectivist.11 I will assume race to have “an objective ontological status . . . which arises out of intersubjectivity.”12 I will use the materialist13 version of constructivism, which views race and racism as grounded in differences in the material realities of people. Not their biological material realities, as in essentialist theories of race, but their historically placed socio-economic material realities. Identity on the Net

Being black on reddit is like being a pet in a [f***ing] zoo. —homeboy5925, reddit.com

Like many in my generation, one of my first experiences with the social aspect of the Internet was through RuneScape, a massive multiplayer online role-playing game (MMORPG) in which users immerse themselves in a medieval European fantasy world typical of role-playing games. I was about 12 6. Howard Rheingold. The Virtual Community (Cambridge MA: MIT Press, 1993), 5. 7. Of all these communities, the only one I will reference at length is reddit, a social news aggregator with comments pages which allows users to create their own communities. The WELL is mostly known for its online fora, in which users can converse by posting messages to a conversation ‘thread.’ MUDs, or Multi-User 8. Dungeons, are largely text-based virtual worlds, a combination of role-playing games and online chat. IRC, or Internet Relay Chat, is the group chat technology par excellence. It allows various users connected to a ‘channel’ to converse in real time. Nancy Fraser, “What’s Critical About Critical Theory? The Case of Habermas and Gender,” in Feminists Read Habermas, ed. by Johanna Meehan (New York: Routledge, 9. Nancy Fraser, “Rethinking the Public Sphere: A Contribution to the Critique of Actually Existing Democracy,” in Habermas and the Public Sphere, ed. Craig Calhoun (Cambridge, MA: MIT Press, 1991), 109-142. 10. Fraser, “What’s Critical About Critical Theory?,” 34. 11. Charles W. Mills, Blackness Visible (Ithaca NY: Cornell University Press, 1998), 47. 12. Ibid., 48. 13. Ibid.

when I joined, and I recall spending quite a bit of time trying to get my avatar to look as similar to the real me as possible. There were only a few shades of skin color, none of which really fit me, so I settled for a tone quite a bit darker than my real skin. At the time I identified most strongly with the Arab side of my family, so I figured if I had lived a few centuries ago I would have looked a bit more Moorish. I soon struck up a friendship with a girl about my age, let us call her Roxy, who said she was from the United Kingdom. Her avatar in the game was blonde, and her skin the lightest color allowed by the game’s minimal palette. This seemed to match what I would have expected from a British person. We kept conversing over several days through RuneScape’s private messaging system. This proved cumbersome after a while, so I offered to switch to a more standard instant messaging client, to which she happily agreed. Imagine my surprise when I was greeted by a Black girl, who turned out to be a recent West African immigrant to London trying to make some friends on the Internet. At the time I was quite confused—I simply could not understand why anyone would want an avatar that looked so different from their real self. Now that I have seen all the hate and harassment directed toward Blacks and women on the Internet, perhaps what would really surprise me is that she was brave enough to even choose a female avatar. What I have just described was my first experience with what I would much later learn is known as ‘racial passing.’ Far from this being an isolated incident, only possible in communities where users depict themselves graphically through an avatar, I will argue that semi-conscious passing as white is in fact the default for most minorities in online communities.14 I will then analyze what this means for racial identity on the Net, and greater implications for virtual public spheres. There is a famous adage that perfectly captures the kind of pseudonymity users of virtual communities typically enjoy: “On the Internet, nobody knows you’re a dog.” It is not too common for users to be completely anonymous.15 They instead create their own identities through their self-descriptions and write themselves into being, to paraphrase danah boyd.16 This is sometimes done by means of a conscious self-presentation in an official ‘profile page,’ a portion of the website designed specifically for users to share information about themselves with their fellow users. But even when this feature is lacking, users still write themselves into being through what they say of themselves in their conversations with other users. For example, if a user comments: “My wife goes running to Navy Pier every morning,” his audience will conclude that they are married, most likely male, at least in their late twenties, and that they live in Chicago. This is not necessarily correct, but it is enough for users to get a picture of whom they are interacting with. On reddit, one is able to go through a user’s old comments in their user page, so an interested person may 14. The terminology I use for passing is drawn from Mills’ discussion of “Racial Transgressives” in Mills, 55-66. 15. The most notable exception is the infamous 4chan.org. 16. danah boyd, “Taken Out of Context: American Teen Sociality in Networked Publics,” (PhD diss., UC Berkeley, 2008), 119.

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PHILOSOPHY piece together quite a bit of information about another user. In our real lives, we can and do infer much from a person’s visible identity. In Alcoff’s words, “it is an indisputable fact about the social reality of mainstream North America that racial consciousness works through learned practices and habits of visual discrimination and visible marks on the body.”17 In the Internet, or at least its text-based spheres, all visual cues are erased, and what we have left is only the person’s textual identity. Users have good reasons to hide their race and their gender on the Net in order to protect themselves against harassment. In “A Rape in Cyberspace,” now a classic of the history of virtual communities, Julian Dibbell tells the story of a mass ‘rape’ in the virtual world of LambdaMOO. A user forced the avatars of other members of the community to perform sexual acts without their consent through an exploit18 of the community’s code. This violation made at least one other user upset enough to cry—“a real-life fact that should suffice to prove that the words’ emotional content was no mere playacting,” in the author’s words.19 As we should expect, attacks of this nature tend to target subordinate groups more often than dominant groups. For example, a recent study showed that silent IRC users with ‘female’ names received 163.0 malicious private messages per day, often of a sexual nature, compared to only 27.5 for users with ‘male’ names and 65.0 for users with ambiguous names.20 It is fairly common for women to choose gender-neutral or even male names, and it is rare for people to bring up their race at all, unless it is relevant to the discussion. A Korean-American woman told Lisa Nakamura in an interview that she “never outright . . . said [she] was Asian, because [she] felt that IRL . . . people already have stereotypes and felt that it would be at least as bad there [in her virtual community], and [she] wanted to have a character that was free from that.”21 Absent any signal that the user one interacts with belongs to any racial or gender group, it seems that the reasonable choice would be to withhold judgment regarding these matters. I would submit, however, that the habit of visual discrimination is so ingrained in the consciousness of members of our society, in their ‘common sense,’ that this does not mean that people who refuse to identify with their race are somehow ‘raceless’ while they are online. Instead, users are assigned a race by default, depending on their virtual sphere. Nakamura’s interviewee continued: “It bugs me that people just assume you’re white if you don’t say otherwise.”22 This is what Nakamura calls ‘default whiteness,’ a term I will adopt and generalize. I argue that the default race will be whichever one is hegemonic in any given sphere, and in 17. Alcoff, 195. 18. Exploit is the noun used in computer security to refer to a piece of software that takes advantage of a vulnerability in another piece of software. 19. Julian Dibbell, “A Rape in Cyberspace: How an Evil Clown, a Haitian Trickster Spirit, Two Wizards, and a Cast of Dozens Turned a Database Into a Society,” The Village Voice (2005), accessed March 10, 2013, http://www.villagevoice. com/2005-10-18/specials/a-rape-in-cyberspace/full/. 20. Robert Meyer and Michel Cukier, “Assessing the Attack Threat Due to IRC Channels,” International Conference on Dependable Systems and Networks (2006), 471. 21. Nakamura, 47. 22. Ibid.



particular, that in spheres that are not catering specifically to a subordinate group or to the culture of subordinate groups,23 the default race will always be the dominant race. To continue with this distinction, following Fraser, let us call alternative publics formed by subordinated social groups subaltern counterpublics.24 From here on, when I use the term ‘public sphere’ without qualification, it should be understood in the traditional Habermasian sense, as a space in which issues debated are of “common concern” as defined by the participants, i.e. excluding the particular concerns of minorities.25 For this I will adopt Louis Althusser’s argument that “ideology interpellates individuals into subjects.”26 This means that one becomes a particular kind of subject only through ideology– that there is no essential being that makes us a subject outside of our (ideologically mediated) social context. For example, imagine I am walking down the street and see a man drop his wallet. I will call him, “Excuse me, sir!” Thus, I refer to this specific person only through the mediation of ideology, an ideology that asks me to address males older than myself as ‘sir,’ and he recognizes that I am addressing him also through the mediation of this shared ideology. Althusser uses the example of religious ideology to show that ideology interpellates subjects already with various roles, tasks, social positions assigned. The ‘voice’ of religion speaks to an individual called Pierre, and tells him: “Here is who you are . . . ! Here is your origin . . . ! Here is your place in the world! Here is what you should do!”27 In a society where ideology is raced and gendered, the subjects interpellated by ideology are also raced and gendered, and subjects must necessarily be assigned the roles and positions given to raced and gendered beings. Note that this is a much thicker notion of interpellation than simply addressing someone as ‘sir.’ It is more akin to the religious interpellation, in that a significant part of one’s social identity is already contained in the call of ideology—already mixed with stereotypes and norms that determine how one must act and interact with others.28 So even when we lack the visible cues to assign an individual with the ‘correct’ race and gender, we still do it out of unconscious reflex, although we often err. Some might say they are truly color-blind, and that they can escape ideology, perhaps through some combination of education and training. And it may be true for some people. However, there are also some who claim to be color-blind, and yet act in racist ways in certain occasions. Several studies have shown the discrepancy between the actions and words of people when it comes to race, especially when they believe they are in a private setting, or when they believe they can get away with it by using euphemisms. 29 Gramsci can help us 23. For example, a forum about hip hop music might have Blackness as default. A white friend of mine recently told me he tends to pass as Black when he participates in such forums. 24. Fraser, “Rethinking the Public Sphere,” 67. 25. Habermas, Structural Transformation, 36. 26. Louis Althusser, “Idéologie et appareils idéologiques d’État. (Notes pour une recherche), ” Les classiques dessciences sociales (1970), 50. All translations from this text by the author. 27. Ibid., 52. 28. I again thank Charles W. Mills for forcing me to clarify this. 29. Cf. the studies in part III of Doane and Bonilla-Silva.

PHILOSOPHY understand this discrepancy between actions and professed beliefs with his discussion of common sense. He believes it is not enough to explain it away as ‘self-deception,’ except in individual cases. Instead he claims:

In these cases the contrast between thought and action cannot but be the expression of profounder contrasts of a social historical order. It signifies that the social group in question may indeed have its own conception of the world, even if only embryonic; a conception which manifests itself in action, but occasionally and in flashes—when, that is, the group is acting as an organic totality.

Gramsci is speaking of a case in which the unconscious collective action—class struggle— represents the ‘good sense,’ the embryo of a more elevated perspective, and consciousness is the old, traditional common sense which people only adopt “for reasons of submission and intellectual subordination.”31 In the case of proclaimed color-blindness and discriminatory actions we have a case of the opposite, in which the good sense is the conscious and the common sense is the unconscious. However, his analysis still holds, and the discrepancy still represents a contrast of “social historical order.” This contrast is the role that various groups played in the building of American racial hegemony. This hegemony was neither built by crude ideological manipulation from the (white) ruling class, nor by pure force of the state, but by “the combination of force and consent, which balance each other reciprocally, without force predominating excessively over consent.”32 At times this meant giving special privileges to whites and suppressing Blacks, while at others it meant making room for Black civil rights within the established order.33 This system still persists today in the form of discrimination in the labor market and the criminal justice system, the difference in wealth between Black and white families, and continued segregation in schools and neighborhoods. Thus whites are stuck in a position in which the social historical order still affords them relative privileges when compared to Blacks (although no longer formally), and yet they are expected to treat Blacks as equals in public, as hegemony in its current incarnation demands. And yet this order of subordination of Blacks must still be rationalized ideologically, if only in private or by euphemisms. Thus Blacks are seen as being lazy, as having criminal tendencies, as being unable to maintain a traditional bourgeois family, or as being intellectually lesser. At the same time, this implies that whites are the opposite. I must insist: this does not mean every white person believes this, or even that any one person believes this all the time, but merely that when acting as a collective they have a tendency to express these common sense attitudes. It is for these reasons that common sense asks that we assign a race to individuals we interact with in the virtual public sphere. Race still carries a lot of meaning for our social relations within this hegemonic system of Black subordination. Which race we assign to others by default will be determined by the ideology that permeates the space in which we encounter 30

30. Gramsci, 326-7 31. Ibid. 32. Gramsci, 80n49. 33. For a helpful discussion of the building of racial hegemony in the United States, see Michael Omi and Howard Winant, Racial Formation in the United States: From the 1960s to the 1980s. (New York: Routledge, 1986), 78-82.

them. For example, the dominant race is hegemonic in the public sphere. It then follows that in an encounter with a Netizen of the virtual public sphere, I will assume by default that this person is white. Going back to our Althusserian vocabulary, we can say that public spheres interpellate their Netizens as white (and, I would add, also male, heterosexual, cisgendered, etc.). The conclusion from this is that, unless they openly tout their race to the public, minorities will be passing as white by default in whitedominated publics. Somebody might object that when we do this we are merely making reasonable guesses by applying statistical inference, and that all this talk about ideology and interpellation is pure mystification. But there are many other aspects of a person’s identity that we never bother to take guesses at, at least not on a regular basis. Think for example of marital status, a significant enough form of identity to appear on most identification cards. It is fairly rare, in my experience, for users to simply assume someone’s marital or relationship status, though it is quite common for them to ask. However, for most virtual communities it is fairly safe to assume that most users are unmarried, given that the majority tend to be in their twenties. Our objector might say that the difference is that marital status is not necessary to visualize our interlocutors, so we do not need to assume anything about it. However, think of other aspects of a person’s looks which people also tend to make few assumptions about, such as hair or eye color. It seems like a fair assumption that most people have black hair, and yet you will probably never find users forced to correct others on their right hair or eye color, nor will you find users surprised that others’ hair color is different from what they expected. This objection obscures the very problem I am trying to thematize with the discussion of ideology and interpellation. Why do we make inferences about race and gender, and not other aspects of a person’s identity? Whether the inference is statistical or not, we only need to make it in the first place because race and gender are thought to be significant to an individual’s identity as a subject. This is not natural, it is not just a “reasonable guess,” but the product of ideology, which subjectifies individuals already as raced and gendered. This is what it means for individuals to be “always already subjects.” 34 Individuals are always already subjectified by ideology in a particular way, which is dependent on social and historical context. On the other hand, ideology is itself constituted by its subjects.35 An ideology which interpellates individuals as whites is then constituted by whiteness, i.e. the ideology itself is also white. Then public spheres in which white ideology is hegemonic ought to be considered white in themselves, and not merely white-dominated. To illustrate this, consider a reverse example. danah boyd interviewed teenagers across the country on their reasons to switch from MySpace to Facebook. One particular respondent said: “It’s not really racist, but I guess you could say that. I’m not really into racism, but I think that MySpace now is more like ghetto or whatever.”36 Through 34. Ibid., 50. 35. Ibid., 46. 36. danah boyd, “White Flight in Networked Publics? How Race and Class

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PHILOSOPHY her obviously racialized use of the word ghetto to refer to MySpace, boyd’s interviewee shows how spaces themselves can be raced. This usage is fairly common in speech, though often through euphemisms such as ‘ghetto,’ ‘urban,’ or ‘inner city.’ We say that universities are white, neighborhoods are ghetto (as an adjective), schools are inner city. This mode of expression is not merely accidental, but shows that race is in some sense constitutive of these spaces–it is part of their character. We associate all kinds of secondary characteristics to places according to their racial character, the same way we do with people. An inner city neighborhood conjures up images of urban blight, violence, crime, and poverty, which flow out of their racial characterization. Thus a white public poses an ontological barrier to the integration of minorities. Blacks wishing to participate in a white public are faced with a double strain: they are interpellated as white, so that they are forced into default passing; and they are entering a white space, so they do not belong in the ontological sense of not being the kind of person for whom the space exists. Blacks may still participate in a white public, but only with considerable strain on their identity. This is what reddit user homeboy5925 was expressing in the epigraph of this section: Being Black on reddit is like being a pet in a zoo in that one feels constantly out of place, like a penguin in San Francisco, so to speak. Earlier in the comment, he also said “Reddit: a place where you literally cannot be a minority and exist without having the fact that you’re a minority shoved in your face/made fun of.37 A Black person in a white public is forced into the contradictory state of being invisible and yet all too conspicuous, to pass as white on the Net while simultaneously being hyperaware of the Blackness of their material body. It is because of this, then, that it sometimes appears that the Internet is more racist than IRL, and that Blacks are more trapped in their bodies than before they log on. IRL, Blacks are interpellated as Black, and the common sense racism of whites is more hidden. In spaces in the virtual world in which whiteness is hegemonic, which is to say most spaces, they have access to an aspect of the racial order which is typically only visible in the intimate spheres of whites, i.e. in white spaces in which individuals are interpellated as white. They have access to the white side of the hegemonic order. This is the kind of barrier to entry that cannot be removed by simply tweaking a rule or two, the kind of barrier that no merely formal change can break. These barriers involve deep-seated beliefs and feelings as well as structural forms of domination that permeate the social order. To challenge these barriers to white domination in the virtual public sphere will require a long struggle against white hegemony, both on the Internet and outside of it. Shaped American Teen Engagement With MySpace and Facebook,” in Race After the Internet, ed. Linda Nakamura and Peter Chow-White (New York: Routledge, 2012), 203. 37. homeboy5925 comments on My new best friend,” reddit.com, accessed March 10, 2013, http://www.reddit.com/r/aww/comments/13pwit/my_new_ best_friend/c768oqu. The comment was posted in response to a myriad of racist comments in response to a simple picture of a Black man holding a puppy.



Bibliography Alcoff. Linda. Visible Identities: Race, Gender, and the Self. New York: Oxford University Press, 2006. Alexander, Michelle. The New Jim Crow. New York: New Press, 2012. Althusser, Louis. “Idéologie et appareils idéologiques d’État. (Notes pour une recherche).” Les classiques des sciences sociales (1970). Barlow, John Perry. “A Declaration of the Independence of Cyberspace.” In Crypto Anarchy, Cyberstates, and Pirate Utopias. Edited by Peter Ludlow, 27-30. Cambridge, MA: MIT Press, 2001. boyd, danah. “Taken Out of Context: American Teen Sociality in Networked Publics.” PhD dissertation, UC Berkeley, 2008. ———. “White Flight in Networked Publics? How Race and Class Shaped American Teen Engagement With MySpace and Facebook.” In Race After the Internet. Edited by Linda Nakamura and Peter Chow-White. New York: Routledge, 2012. Brown, Michael, et al., Whitewashing Race: The myth of a color-blind society. Berkeley: University of California Press, 2003. Dahlberg, Lincoln. “The Internet and democratic discourse: Exploring the prospects of online deliberative forums extending the public sphere.” Information, Communication & Society 4, no. 4 (2001): 615-633. Dahlgren, Peter. “The Internet, public spheres, and political communication: Dispersion and deliberation.” Political Communication 22, no. 2 (2005): 147-162. Davis, Darren. “Nonrandom Measurement Error and Race of Interviewer Effects Among African Americans.” The Public Opinion Quarterly 61, no. 1 (1997): 183-207. Dibbell, Julian. “A Rape in Cyberspace: How an Evil Clown, a Haitian Trickster Spirit, Two Wizards, and a Cast of Dozens Turned a Database Into a Society/” The Village Voice (2005). Accessed March 10, 2013. http://www.villagevoice.com/2005-10-18/specials/a-rape-in-cyberspace/full/. Doane, Ashley and Eduardo Bonilla-Silva. White Out. New York: Routledge, 2003. Dreyfus, Hubert. On the Internet. New York: Routledge, 2009. Eley, Geoff. “Nations, Public, and Political Cultures: Placing Habermas in the Nineteenth Century.” In Habermas and the Public Sphere. Edited by Craig Calhoun, 289-339. Cambridge, MA: MIT Press, 1991. Fanon, Frantz. Peau noire, masques blancs. Paris: Éditions du Seuil, 1952. PDF e-book. Fraser, Nancy. “Rethinking the Public Sphere: A Contribution to the Critique of Actually Existing Democracy.” In Habermas and the Public Sphere. Edited by Craig Calhoun, 109142. Cambridge, MA: MIT Press, 1991. ———. “What’s Critical About Critical Theory?” In Feminists Read Habermas. Edited by Johanna Meehan, 21-55. New York: Routledge, 1995. Gimmler, Antje. “Deliberative democracy, the public sphere and the internet.” Philosophy & Social Criticism 27, no. 4 (2001): 21-39. Gramsci, Antonio. Selections from the Prison Notebooks. Edited and translated by Quintin Hoare and Geoffrey Nowell Smith. New York: International Publishers, 1971. Habermas, Jürgen. Lifeworld and System: A Critique of Functionalist Reason, vol. 2 of The Theory of Communicative Action. Translated by Thomas McCarthy. Boston: Beacon Press, 1987. PDF e-book. ———. “Political Communication in Media Society: Does Democracy Still Enjoy an Epistemic Dimension? The Impact of Normative Theory on Empirical Research .” Communication Theory 16 (2006): 411-426. ———. Reason and the Rationalization of Society, vol. 1 of The Theory of Communicative Action. Translated by Thomas McCarthy. Boston: Beacon Press, 1987. PDF e-book. ———. The Structural Transformation of the Public Sphere: An Inquiry into a Category of Bourgeois Society. Translated by Thomas Burger. Cambridge MA: MIT Press, 1991. “homeboy5925 comments on My new best friend.” reddit.com. Accessed March 10, 2013, http://www.reddit.com/r/aww/comments/13pwit/my_new_best_friend/c768oqu. Manfred, Tony. “Why is the Internet so racist?” Business Insider. Last modified May 24, 2012. http://www.businessinsider.com/internet-racism-2012-5. Meyer, Robert and Michel Cukier. “Assessing the Attack Threat Due to IRC Channels.” International Conference on Dependable Systems and Networks (2006). Mills, Charles W. Blackness Visible. Ithaca NY: Cornell University Press, 1998. Nakamura, Lisa. Cybertypes: Race, Ethnicity, and Identity on the Internet. New York: Routledge, 2002. Omi, Michael and Howard Winant. Racial Formation in the United States: From the 1960s to the 1980s. New York: Routledge, 1986. Papacharissi, Zizi. “The virtual sphere: The internet as a public sphere.” New Media & Society 4, no. 1 (2002): 9-27. Poster, Mark. “Cyberdemocracy: Internet and the public sphere.” In Internet culture, edited by David Porter, 201-18. New York: Routledge, 1996. Rheingold, Howard. The Virtual Community. Cambridge MA: MIT Press, 1993. Song, Felicia, Virtual communities: bowling alone, online together. New York: Peter Lang Publishing, 2009. Valenti, Jessica. “How the web became a sexists’ paradise.” The Guardian. Last modified April 5, 2007. http://www.guardian.co.uk/world/2007/apr/06/gender.blogging. Zickuhr, Kathryn and Aaron Smith. “Digital differences.” Pew Internet (2012).


On the Specificity of Perceptual-Motor Sequence Learning Motor skill expertise developed through practice is supported by implicit learning that leads to gradually improving performance. Previous studies examining this type of learning in the lab have used perceptual-motor sequence learning tasks, such as the Serial Interception Sequence Learning (SISL) task. In the SISL task participants respond to scrolling visual cues that follow a covertly-embedded repeating sequence, and gradually develop improved performance of a specific motor sequence through training. Previous work has demonstrated that altering any component of the motor sequence (e.g. timing) completely disrupts performance, suggesting that this knowledge is extremely inflexible. To test the hypothesis that this specificity extends to the perceptual stimulus component of the sequence, in the current experiment the perceptual information available to participants was selectively manipulated in a test condition that differed from training, while the motor response sequence was left intact. Participants were randomly assigned to train in either the Standard cue condition, with three to four cues on the screen at any time, or the Isolated cue condition, where increased cue velocity only allowed one cue on the screen at any given time. Compared to the sequence expression exhibited during the test that matched their training condition, participants in both conditions exhibited weak transfer to the untrained perceptual condition (~25-30%). This suggests that implicit skill learning leads to integration of information within and across modalities, suggesting that implicit learning will generally be specific to the training context and full transfer of knowledge to different contexts will be difficult to achieve.

Eric N. Yarnik Paul J. Reber COGNITIVE SCIENCE

Athletes train extensively to perfect the motor skills necessary to succeed at their chosen sport. When practicing, an athlete focuses on a particular skill in order to achieve the desired improvement. The directed practice that leads to motor skill expertise relies on two memory systems. The explicit memory system is responsible for instruction and top-down control; this is the system that typically comes to mind when one thinks of memory because it is how we store facts and events. Explicit knowledge is generally conscious and verbalizable, and is able to be used in a number of contexts (i.e. is flexible). The other memory system is implicit and supports performance improvements through repeated practice (Milner, Squire, & Kandel, 1998; Squire & Knowlton, 2000). This implicit system is generally unconscious, and produces knowledge that is hard to verbalize. The lack of access to implicit knowledge also tends to be less flexible because there is no conscious access to the representation (Dienes & Berry, 1997). During skill learning, one uses explicit instructions to learn the rules or guidelines of a motor-skill, such as understanding the basics to hit a serve in tennis (throwing the ball in the air, timing your swing at the ball with the correct coordination, etc.). Through continued practice, one gains implicit knowledge which leads to improved motor skill performance that eventually becomes automated. Those skills that once were not polished continually improve, and it is difficult to explain what exactly within this continued practice is causing the improvement. These improvements that underlie motor skill expertise are believed to rely on this inflexible, implicit learning. However, it is unclear if this practice will effectively help any other similar skills. For example, even though both a forehand and backhand tennis swing use similar techniques, it is difficult to know how much training your backhand will help your forehand. An athlete would hope to receive overall benefits from that practiced skill by being able to transfer that

FACULTY ADVISOR PhD, Carnegie Mellon University knowledge to similar contexts that contain some of the same components. Perceptual-motor sequence learning has served as an effective task for studying knowledge transfer in skill learning due to its relative simplicity while also allowing for separately manipulable perceptual and response elements. Participants’ learned sequence performance improvements that underlie motor skill expertise are believed to rely on implicit learning. Skill learning is theorized to be developed implicitly through several individual components being learned, such as motorresponses, timing, and perception. By manipulating task demands of perceptual-motor learning tasks, it has been possible to demonstrate learning of individual sequence components and reinforce the separability of component processes. Research has examined which components can be learned during practiced perceptual-motor sequence knowledge, but the transferability and expression of that knowledge is still in question. Models of transfer are based on the idea that transfer depends on the degree to which the component processes overlap between practice and performance. This is not a novel concept, and in fact is an idea that dates back over 100 years (Woodworth & Thorndike, 1901). Evidence concerning the underlying component processes in complex skill learning tasks can be found by examining transfer effects or failures to transfer from training to test conditions. Limitations in transfer following skill learning likely reflect the inflexibility of implicit knowledge that is best understood using a framework based on examining the overlapping knowledge components between the training context and a performance test. Sanchez, Gobel, & Reber (2010) demonstrated that the Serial Interception Sequence Learning (SISL) task is a reliable test of implicit perceptual-motor sequence learning. The SISL task is a videogame-like task where participants make timed keypress responses to vertically-scrolling cues on a

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COGNITIVE SCIENCE computer screen. Unknown to the participants, the cues contain an embedded, intermittent, but repeating sequence to which their performance becomes improved compared to a random sequence of cues. Participants learned their repeated sequence over the course of the experiment and could not reliably indicate which sequence they had trained on. There was no explicit sequence knowledge developed, and participants were only able to express their learned sequence via performance. Gobel, Sanchez, & Reber (2011) previously found that changing either the order or timing of a learned motor performance in the SISL task eliminates previous practice effects. This result implied a fully integrated representation of action order and timing information that had not been observed in similarly structured studies using a slightly different paradigm (Shin & Ivry, 2002). If transfer is not always predicted simply by the overlapping components, it may also be necessary to account for the possibility of integration of information. If there is learning integration across components, transfer may require consistent information across multiple components. By changing one component of the sequence knowledge, both the transfer of that type of information along with any integrated representations on which it depends are significantly disrupted. This suggests that transfer will often be limited, and indicates that training gains may be restricted to contexts that contain very similar characteristics to training. Other previous perceptual-motor learning tasks have claimed that learned motor sequence knowledge is entirely represented in response locations (Willingham, Nissen, & Bullemer, 1989; Willingham et al., 2000), which would predict that transfer of knowledge across different conditions would be dependent on maintaining this single component. A perceptual-motor sequence study altered the stimulus presentation from a centrally-located digit during training to four spatially-mapped locations during a transfer test and found reliable sequence knowledge expression in the transfer condition (Willingham, 1999). While this result supports the learning of response location as a key component of sequence knowledge, the actual amount of transfer was not examined, which opens the possibility that knowledge expression was weaker after the perceptual change. Additional research has shown the importance of the perceptual-motor component in skill learning, while also examining the specificity of this knowledge. Robust learning of perceptual visual information has been reported (Fiser & Aslin, 2002) and sequence learning studies have found perceptual information to be a learnable sequence component (Deroost & Soetens, 2006). Beilock and Carr (2001) demonstrated that individual knowledge representations can be integral in the performance of learned skill knowledge. Slight changes to perceptual representations (in this case, the shape of a golf putter) while maintaining the exact same weight and motor-response necessary significantly impaired performance. However, there are some additional benefits to using the SISL task as a measure of implicit skill learning compared



to other perceptual-motor learning tasks. Multiple cues are visible on the screen at once which displays perceptual information across multiple sequence items that are specific to the trained sequence. This adds additional contextual information across sequence items and allows for motor planning of upcoming responses, making this information more useful for response completion and thereby potentially making it more likely to become a learned component when compared to other perceptual-motor learning tasks. This suggests that implicit learning processes operating on this more global perceptual information may be acquiring contextual effects of the overall stimuli presentation (JimĂŠnez, Vaquero, & LupiĂĄĂąez, 2006), contributing to the set of component processes that must overlap at test in order for trained performance to transfer. Although it is possible that separate component processes are learning these independent representations, more recent theories propose that an integration mechanism, like the one we propose operates on timing and order in the SISL task, is likely to be binding information across both the stimulus and response information. Integration may be due to learning both separable components and across them (Keele, Ivry, Mayr, Hazeltine, & Heuer, 2003). However, while this predicts learning across separable components, there are no predictions concerning the cost in performance or knowledge execution that may come from a transformation to any of the component processes. Given the previous studies that found little to no transfer of knowledge in order and timing components, this study would like to examine the learning and following transfer of perceptual component knowledge. The current goal is to test the hypothesis that changing the perceptual characteristics of the task will lead to lower performance in the transfer conditions due to implicit skill learning being specific to training contexts. This experiment will utilize a novel version of the SISL task where only a single cue is visible at a time, compared to the Standard SISL task, where multiple cues are visible on the screen at any time. This experiment selectively manipulates the perceptual information across conditions while maintaining the exact motor response sequence in both (without any change in the order or timing of sequential motor responses). Because this motor response sequence is completely maintained, we would expect to see robust transfer across training and test conditions. However, if there is also integration across perceptual and motor learning components, we would expect the level of transfer to be reduced reflecting learning at the integration level as well as within the individual component processes. Methods Participants Thirty participants from the Northwestern University community received $15 for 90-minutes of participation. Two participants were excluded; one due to technical issues during participation and the other did not finish due to leaving early. The data reported are from twenty-eight total participants (19 female, Mage = 20.5, 26 right-handed).

COGNITIVE SCIENCE Materials The Serial Interception Sequence Learning (SISL) task. This experiment was written in MATLABŠ (The Mathworks Inc., 2009) using the Psychophysics Toolbox extensions (Brainard, D. H., 1997). Participants observed circular cues scrolling vertically down a monitor in one of four horizontal locations towards corresponding yellow target rings located near the bottom of the screen. Participants were instructed to use the keyboard and respond with timed keypresses as the cues overlapped the target rings. The responses to cues were performed in correspondence to the keyboard buttons labeled (D,F,J,K). Positive and negative feedback were provided by turning the corresponding ring green if the response was correct or red if the response was incorrect. Response feedback and cue velocity adjustments were based on the correctness of both order and timing. A response provided positive feedback and counted towards an increase in cue velocity if the correct button was pressed within half a short inter-stimulus interval length (initial short ISI, 400 ms) either before or after the cue was optimally-lined up with the target location. If the wrong button was pressed or the correct button was pressed outside of this timing window, then negative feedback was provided and it counted towards a decrease in cue velocity. Performance was assessed every 12 trials throughout training and test, and performance of over 75% correct led to an increase in speed of 5.0%, while performance of 50% correct or worse resulted in a 5.0% decrease in speed. Two variations of the SISL task were used to alter perceptual characteristics of the task while retaining spatial compatibility information and all sequence order and timing response information. The conditions varied by the amount of perceptual information, or the number of cues, on a screen at a time. In both conditions, the cues scrolled down the screen in one of four horizontally-spaced columns, as previously described. In the Standard perceptual condition, there are multiple cues visible on the screen at a time (roughly 3). The Isolated perceptual condition varies in that it only has a single cue visible scrolling down the screen at a time. In other words, the following cue did not appear on the screen until the previous one had disappeared. The timing between responses was kept exactly the same as the Standard version by increasing the overall cue velocity. Thus, the physical distance between cues differs between the conditions in order to alter how many cues are visible at any given time, but the velocity the cues travel at varies between conditions in order to keep the timing between sequence items consistent (see Figure 1). The distance between the tops of two cues separated by a short inter-stimulus interval (ISI) is 130 pixels (two cue lengths), and the initial time it takes the cues to travel across the screen is 1180 ms. However, in the Isolated version the distance between the tops of cues is 465 pixels (7.2 cue lengths) and the initial time it takes the cues to travel across the screen is 330 ms. In both cases, the short ISI is 400 ms. Procedures The current experiment was conducted in one session that lasted no longer than 90 minutes. Participants first completed

short demonstrations of both variations of the SISL task, which each included twenty-four random cues. Participants were then randomly assigned to one of two training conditions, the Standard, multiple-visible cue condition or the Isolated, single-visible cue condition. In addition, each participant was assigned a 12-item SOC training sequence. The SISL training portion consisted of six 480-trial blocks total. Within each training block there was 384 trials of the training sequence, and 96 trials of novel, non-repeating sequences. Directly after training, participants completed SISL tests of both the Standard and Isolated cue conditions, which were counterbalanced across participants to control for order effects. The SISL tests followed directly after training, and no indication that a test was being administered was provided to the participants. Participants completed four 540-trial test blocks; two blocks on each condition. The first block of each test contained 180-trials of novel, non-repeating sequence trials to allow for cue velocity adjustments between conditions. The remaining 900 trials of each test contained 25 repetitions each of the trained sequence, and two foil sequences, in 60-trial sub-blocks (five sequence repetitions). Participants received 60-second selfterminated rest breaks between all training and test blocks to reduce fatigue. After completing the SISL training and test portions, participants were informed that a repeating sequence was present in the task they had just completed. All participants then were instructed to complete both a recognition test and a cue-order recall test to assess conscious, explicit, knowledge of the trained sequence. The recognition test consisted of participants observing and performing two sequence repetitions of the SISL task with their trained sequence and also four completely novel order and timing sequences, all of which were presented randomly. Additionally, the test was

Figure 1. SISL task in Standard and Isolated cue variants. In both versions of the task, the cues scroll down one of four columns towards four rings that are displayed in a spatially-compatible layout that correspond to the response locations on the keyboard (D,F,J,K). In both of the task variants above, only stimuli within the white space are visible to the participant. a) In the Standard version of the task, multiple cues are visible on the screen at a time. b) In the Isolated cue version of the task, only a single cue is visible at a time. This change is made by increasing the physical distance between the cues while also increasing the velocity the cues are scrolling at, so that the inter-stimulus timing between cues remains the same between conditions. Note that the cue with the dashed-outline in the grey area of the figure is not visible to the participant, but is being used to display how the distance between cues changes between conditions.

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COGNITIVE SCIENCE presented in the participants’ trained SISL condition (Standard or Isolated). After each sequence, participants rated how likely the sequence they had just performed was or was not the repeating sequence from their training. Participants rated their confidence on a scale from -10 (absolutely not the trained sequence) to 10 (absolutely was the trained sequence). After the recognition test, participants completed an explicit recall task. Participants were shown the same screen as before, with the yellow target rings, however there were no circle cues scrolling down the screen. They were instructed to attempt to generate the trained sequence using the same keypress responses from the SISL task. The recall test ended after the participant entered 24 responses and was scored according to the longest matching subsequence between the participant’s order response and the actual trained sequence order. In order to control for variable abilities in participant recall, we assessed baseline recall knowledge. The participants’ generated sequence was compared to the remaining 201 novel secondorder conditional sequences (of 256, as 55 had already been used for novel training sequences and tests) and the average matching subsequence was contrasted for these foils with the target sequence match. Additionally, the recognition and recall tests were counterbalanced for order effects. Results SISL Performance Sequence-specific performance improvements were calculated as the percentage correct difference between the trained sequence and the novel, non-repeating segments across training. A mixed 2x6 ANOVA of condition (Standard, Isolated) and training block (1 through 6) revealed that the sequence-specific benefit increased in a linear trend across training, F(1,26) = 21.94, p < .001, ηρ² = .46, and that there was also a main effect of training condition, F(1, 26) = 7.64, p < . 05, ηρ² = .23, and a significant interaction effect, F(5, 130) = 2.32, p < .05, ηρ² = .08, suggesting that learning rates differed between training groups (see Figure 2). To further examine the high sequence-specific performance advantage in the Isolated condition (M = 32.89%, SE = 6.05%) compared to the Standard condition (M = 18.09%, SE = 3.54%) at the end of training, the performance on the training sequence and novel non-repeating sequences was assessed. The trained sequence performance at the end of training in the Isolated condition (M = 69.83%, SE = .74%) was similar to the trained sequence performance in the Standard condition (M = 68.51%, SE = .93%), t(26) = 1.09, p = .29. However, the novel non-repeating sequences were performed much worse in the Isolated condition (M = 36.94%, SE = 5.45%) compared to the Standard condition (M = 50.42%, SE = 2.97%), t(26) = 2.25, p < .05. Sequence performance at test was assessed with a 2x2x2 mixed ANOVA of training condition (Standard, Isolated), sequence type (trained, novel), and test type (same perceptual condition, transfer perceptual condition). Main effects were found for sequence type, F(1,26) = 58.14, p = < .001, ηρ² = .69, and test type, F(1,26) = 10.12, p = < .01, ηρ² = .28, but not training condition, F < 1. The main effect of sequence type reflects the sequence-specific performance



advantage for the trained sequence compared to the foils, and the main effect of test type was due to SISL performance being higher for the trained test condition than the transfer condition. A significant interaction between sequence type and test type, F(1,26) = 35.66, p = < .001, ηρ² = .58, but no other significant interactions, reflected that the sequence-specific benefit at test was similar across training conditions, and better during the trained condition compared to the transfer condition, as can be seen in Figure 2. During the test condition where the stimulus display was the same as during training, there were similar sequence-specific performance benefits exhibited by participants in both the Standard training condition (M = 16.28%, SE = 2.03%) and the Isolated training condition (M = 20.82%, SE = 4.30%), ts > 4.85, ps < .001. As reflected in the interaction effect, this benefit was reduced during the transfer test in both the Standard (M = 4.74%, SE = 1.28%) and Isolated conditions (M = 5.49%, SE = 2.82%). The sequence-specific performance transfer was significant for participants in the Standard condition, t(14) = 3.43, p < .01, and while the sequence-specific performance benefit was higher in the transfer condition for the Isolated training participants, the difference only trended towards significance, t(12) = 1.95, p = .08. Non-sequence specific learning was assessed as the cue velocity set by the adaptive velocity adjustments. Cue velocity has previously been measured as the time-to-target, but because this variable was manipulated across conditions in order to maintain sequential inter-stimulus-interval timing, the velocity measure reported here is the short inter-stimulus interval. A 2x6 mixed ANOVA (training condition, training block) revealed that the short ISI decreased in a linear trend across training in both conditions, F(1,26) = 20.49, p < .001, ηρ² = .44. There was also a main effect of training condition, F(1,26) = 47.75, p < .001, ηρ² = .65, but the interaction did not reach significance, F < 1, suggesting that while both groups had increases in general task performance, the overall velocity

Figure 2. Sequence-specific performance advantage during training and test. Both the Standard and Isolated cue training conditions show a linear increase in sequence-specific performance improvements over training, with significantly more sequence-specific performance benefit expressed during test with the trained condition, compared to the transfer condition.

COGNITIVE SCIENCE at which the participants performed the task differed across groups. From the initial short ISI of 400 ms, by the end of training participants in the Isolated condition were performing the task with a short ISI of 345 ms (SE = 16) while participants in the Standard condition had a mean short ISI of 226 ms (SE = 5.8). This difference in velocity was reflected during test across all participants as well, as the Standard version of the SISL task was performed with a much faster short ISI (M = 254 ms, SE = 15), compared to the Isolated version of the SISL task (M = 402 ms, SE = 7.7). Explicit Knowledge A mixed 2x2 ANOVA of sequence type (trained, foils) and training condition (Standard, Isolated) on the recognition test revealed a main effect of sequence type, F(1,26) = 38.64, p < . 001, ηρ² = .60, suggesting that participants were capable of recognizing their trained sequence. However, a significant interaction effect, F(1,26) = 5.98, p < .05, ηρ² = .19, reflects that the difference in confidence ratings provided by the Standard group to the trained sequence (M = 4.13, SE = 1.19) and foil sequences (M = -.15, SE = 1.11) was not as large as the difference in confidence ratings by the Isolated group (trained, M = 6.46, SE = 1.25; foils, M = -3.35, SE = 1.29), suggesting that participants in the Isolated training condition were significantly better at recognizing their trained sequence. The main effect of training condition was not significant. A 2x2 ANOVA of the recall data showed significant main effects for both sequence type (trained, foils), F(1,26) = 8.54, p < . 01, ηρ² = .25, and training condition (Standard, Isolated), F(1,26) = 5.68, p < . 05, ηρ² = .18 and a significant interaction effect, F(1,26) = 4.59, p < . 05, ηρ² = .15. The ANOVA reflects the longest matching subsequence recalled by participants in the Isolated condition matched the trained sequence (M = 6.92 items, SE = 1.00) significantly better than foil sequences (M = 4.41 items, SE = .06), t(12) = 2.49, p < .05, while the participants in the Standard condition recalled a subsequence that matched both the trained sequence (M = 4.67 items, SE = .32) and foil sequences (M = 4.28 items, SE = .08) at roughly similar levels, t(15) = 1.29, p = .22. In order to assess the potential effect of explicit knowledge on the ability to transfer sequence performance across conditions, the two groups were median split based on their recognition scores into a high explicit knowledge group (n = 15) and a low explicit knowledge group (n = 13). The difference in confidence ratings provided to the trained sequence and foil sequences in the low explicit knowledge group was much lower (M = 1.58, SE = .67) than participants in the high explicit knowledge group (M = 11.42, SE = 1.37). However, the amount of performance transfer exhibited in the low explicit knowledge group (M = 4.95%, SE = 2.00%) similar to the transfer exhibited by the high explicit knowledge group (M = 5.21%, SE = 2.14%), t < 1, suggesting that sequence performance transfer was not driven by explicit knowledge. Discussion In both the Standard and Isolated perceptual training conditions, participants demonstrated a clear sequencespecific performance advantage for their repeated sequence, showing that they learned and performed the repeating

sequence better than the non-sequence trials. During the transfer test when participants switched to the condition that used the unfamiliar presentation method, participants exhibited a significant drop in performance of their learned sequence even though they were performing the identical motor response sequence. Performance in the transfer condition was still better for the trained sequence than for novel foils, indicating that there was partial transfer of sequence knowledge when the amount of perceptual information on screen was modified. The expression of sequence knowledge in the transfer condition was roughly 25% to 30% despite maintaining the spatial compatibility and motor response characteristics across conditions. The lack of transferable sequence knowledge when the perceptual display was changed was much higher than would be expected if perceptual learning of the stimulus display were a separate component of the sequence representation that is not integrated along with the overall representation. These results provide evidence for the specificity of motorsequence knowledge, and suggest that the integration of the components is crucial to models of implicit skill learning transfer. A simple transfer model of overlapping components would predict more robust transfer because all motor action components were identical for training and test. The large cost in knowledge transfer suggests that this visuospatial information is not only learned, but that there is also a component of integration between perceptual and motor components that is necessary to maintain for the maximum transfer of knowledge. These results support a model of performance transfer whereby there is integration across separate component processes that are operating during perceptual-motor sequence learning. A sequence knowledge representation that consists of both separate component processes and integration across them is most consistent with the dual-system model of sequence learning put forward by Keele et al. (2003) and expanded upon recently by Abrahamse et al. (2010). In this integrative approach, the success of the sequence representation ultimately depends on how knowledge is stored. The two components of this dual system are the uni-dimensional and multi-dimensional components, which are learned and integrated simultaneously during implicit learning. The uni-dimensional components are defined as the individual aspects contained within the learning of a sequence, such as perception, motor affecter, etc., that are learned implicitly. The multi-dimensional components allow for the connections within and across the smaller dimensions, representing the integration process. Regardless, both play an equally important role during the representation of knowledge. This model suggests that the representation of knowledge depends upon how stimuli are processed and responded to during training. Thus, the overlapping component theory of perceptualmotor sequence learning proposed here can be paralleled to the uni-andmulti-dimensional idea in sequence representation proposed by Keele et al. (2003) and Abrahamse

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COGNITIVE SCIENCE et al. (2010). The individual components are similar to the unidimensional items and the components integration through the overlapping of knowledge and simultaneous learning is similar to the multi-dimensional simultaneous representation of the overall network. This allows for a possible explanation as to why expression of sequence knowledge is so inhibited in similar conditions of transfer. If one aspect of the perceptual information is changed, such as the arrangement or the amount of information, it drastically changes how the entire stimuli and response representation is processed and integrated. This may explain why only a fraction of sequence knowledge is expressed. In addition to the visuospatial component that interrupted transfer across conditions, another potential component that may have led to a lack of transfer was the variance in response characteristics across conditions. Due to the cue velocity in the Isolated cue condition, participants were required to respond shortly after the cue entered the screen, making the interception response more sensitive to reaction time. Thus, while both conditions required participants to intercept the cue as it passed through the target zone, the velocity in the Isolated condition required responding more similar to a reaction time style response, as opposed to the more fluid interception responding in the Standard condition. If this variance in response characteristics became a learned component, it may have become integrated along with the overall sequence representation, and contributed toward the overall specificity of the representation. Of note, participants in the Isolated condition also had significantly higher levels of explicit knowledge for their trained sequence, and slightly higher sequence-specific performance benefits at test. This increase in explicit knowledge and subsequent possible benefit to sequence performance stands in stark contrast to previous results with the SISL task (Sanchez & Reber, 2013), but is similar to effects seen in reaction time measures of sequence learning such as with the Serial Reaction Time task (Frensch & Miner, 1994). However, this explicit knowledge did not affect transfer of sequence performance in this condition, suggesting that the transfer capabilities are not dependent on explicit knowledge. Thus, the model of transfer proposed here is based on specificity in an implicit learning system. Overall, the results suggest that practice produces knowledge that is very specific to what is trained. There was only partial transfer of this specific sequence knowledge across transfer test conditions that share very slight differences, when more benefits from the practiced knowledge were expected. When an aspect of the perceptual response was manipulated, such as the amount of perceptual cues on the screen in this case, the changes led to dramatic reductions in performance of their trained sequence even while keeping the motor responses consistent. These results further support multiple components of sequence knowledge that together can be integrated to form specific procedural knowledge. However, these mechanisms may be partially expressed depending on the certain task demands. In the current study, the task manipulations were fairly



similar across conditions, so the results of partial transfer are surprising considering significant training does not necessarily lead to expressible sequence knowledge across these similar conditions. Even with the known specificity of procedural learning, these results suggest that there indeed might be some flexible knowledge in certain conditions of sequence learning. In general, when practicing forehands in tennis the motor-skill knowledge gained is very specific. However, maybe the mechanisms involved will help improve other similar and related motor skill mechanisms in the next practice. Extensive practice on forehands may help an athlete’s backhand technique in a minor capacity, but it probably helps less than desired, thus making extensive backhand practice equally important. Research on the specificity of other mechanisms of timing or perception of sequence learning would further address the questions of specificity. The specificity of motor and perceptual components again suggests that practice is needed for every mechanism in order to learn procedural knowledge, and that integration of all of these components is just as important. Ultimately, the results support the claim that one should practice what he or she wants to learn. When one minor component is changed, the entire integrated representation is affected, leading to the inflexibility of implicitly learned knowledge to very similar contexts. Bibliography Abrahamse, E. L., Jiménez, L., Verwey, W. B., & Clegg, B. A. (2010). Representing serial action and perception. Psychonomic Bulletin & Review, 17(5), 603-623. Beilock, S. L., & Carr, T. H. (2001). On the fragility of skilled performance: What governs choking under pressure? Journal of Experimental Psychology: General, 130(4), 701-725. Brainard, D. H. (1997). The psychophysics toolbox. Spatial vision, 10(4), 433-436. Deroost, N., & Soetens, E. (2006). Perceptual or motor learning in SRT tasks with complex sequence structures. Psychological Research, 70(2), 88-102. Dienes, Z., & Berry, D. (1997). Implicit learning: Below the subjective threshold. Psychonomic Bulletin & Review, 4(1), 3-23. Fiser, J., & Aslin, R. N. (2002). Statistical learning of higher-order temportal structure from visual shape sequences. Journal of Experimental Psychology-Learning Memory and Cognition, 28(3), 458-467. Frensch, P., & Miner, C. (1994). Effects of presentation rate and individual differences in short-term memory capacity on an indirect measure of serial learning. Memory & Cognition, 22(1), 95-110. Gobel, E. W., Sanchez, D. J., & Reber, P. J. (2011). Integration of temporal and ordinal information during sequential interception sequence learning. Journal of Experimental Psychology: Learning, Memory, & Cognition, 37(4), 994-1000. Jiménez, L., Vaquero, J. M. M., & Lupiáñez, J. (2006). Qualitative differences between implicit and explicit sequence learning. Journal of Experimental Psychology: Learning, Memory, and Cognition, 32(3), 475–490. Karni, A., Meyer, G., Rey-Hipolito, C., Jezzard, P., Adams, M. M., Turner, R., et al. (1998). The acquisition of skilled motor performance: fast and slow experience-driven changes in primary motor cortex. Proceedings of the National Academy of Sciences of the United States of America, 95(3), 861-868. Keele, S. W., Ivry, R., Mayr, U., Hazeltine, E., & Heuer, H. (2003). The cognitive and neural architecture of sequence representation. Psychological Review, 110(2), 316-339. Milner B., Squire L.R., Kandel E.R. (1998). Cognitive neuroscience and the study of memory. Neuron, 20, 445–468. Sanchez, D. J., Gobel, E. W., & Reber, P. J. (2010). Performing the unexplainable: Implicit task performance reveals individually reliable sequence learning without explicit knowledge. Psychonomic Bulletin & Review, 17, 790–796. Sanchez, D. J., & Reber, P. J. (2013). Explicit pre-training instruction does not improve implicit perceptual-motor sequence learning. Cognition, 126(3), 341-351. Shin, J. C., & Ivry, R. B. (2002). Concurrent learning of temporal and spatial sequences. Journal of Experimental Psychology: Learning, Memory, and Cognition, 28(3), 445-457. Squire, L. R., & Knowlton, B. J. (2000). The medial temporal lobe, the hippocampus, and the memory systems of the brain. The new cognitive neurosciences, 765-779. Willingham, D. B. (1999). Implicit motor sequence learning is not purely perceptual. Memory & Cognition, 27, 561–572. Willingham, D. B., Nissen, M. J., & Bullemer, P. (1989). On the development of procedural knowledge. Journal of Experimental Psychology: Learning, Memory, and Cognition, 15(6), 1047-1060. Willingham, D. B., Wells, L. A., Farrell, J. M., & Stemwedel, M. E. (2000). Implicit motor sequence learning is represented in response locations. Memory & Cognition, 28, 366–375. Woodworth, R. S., & Thorndike, E. L. (1901). The influence of improvement in one mental function upon the efficiency of other functions. (I). Psychological Review, 8(3), 247-261.


William Rogerson

FACULTY ADVISOR Chair, Department of Economics Director, Program in MMSS PhD, California Institute of Technology

Testing the Minimax Theorm in the Field The Interaction between Pitcher and Batter in Baseball


John von Neumann’s Minimax Theorem is a central result in game theory, but its practical applicability is questionable. While laboratory studies have often rejected its conclusions, recent field studies have achieved more favorable results. This thesis adds to the growing body of field studies by turning to the game of baseball. Two models are presented and developed, one based on pitch location and the other based on pitch type. Hypotheses are formed from assumptions on each model and then tested with data from Major League Baseball, yielding evidence in favor of the Minimax Theorem. Introduction John von Neumann’s Minimax Theorem states that in any two-player zero-sum game of perfect information with finitely many strategies, there is an optimal mixed strategy solution. Furthermore, by performing according to this solution, each player maximizes her minimum possible payoff, and this payoff is unique in the sense that no other outcome involving optimal play can make either player better or worse off. The Minimax Theorem is an essential result in game theory and its application has greatly influenced the social sciences.1 However, the practical applicability of the Minimax 1 Casti, John L., Five Golden Rules, pp. 16-19, 23-26.

Theorem is a controversial matter. The Minimax Theorem relies on each player performing a mixed strategy, which involves a random choice of action. While we might expect players to use mixed strategies to deceive their opponents, there are a number of reasons to doubt that mixed strategies are plausible. In order for a mixed strategy solution to be played, each player must choose a strategy to make the other player indifferent. It is counterintuitive that players choose their strategies based only on their opponents’ payoffs. Furthermore, even if players attempt to play mixed strategies, true randomization may be impossible due to unconscious biases. Lastly, the Minimax Theorem prescribes a solution that is highly unstable. It is difficult to see how such a solution could naturally arise.

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MMSS In summary, it is unclear whether the Minimax Theorem can adequately describe human behavior. This is the central question that will be addressed in this paper. This study uses the interaction between the pitcher and the batter in the game of baseball to test whether experts perform as prescribed by the Minimax Theorem. The remainder of the paper will be structured as follows: we will first present the existing literature on the viability of the Minimax Theorem, differentiating between laboratory and field experiments. We will next present two separate models based on pitch location and pitch type along with justifiable assumptions about the strategies and payoffs. We will then use the Minimax Theorem to formulate hypotheses for each of the two models. Finally, we will test our hypotheses using empirical data and conclude. Literature Review The existing research on the viability of the Minimax Theorem can be divided into two separate categories: laboratory experiments and field experiments. Initially, researchers exclusively used laboratory experiments, in which participants were asked to play a simple game repeatedly to generate a large number of trials. However, the participants in these studies may have been unable to develop good strategies in the allotted time. Thus we cannot form conclusions about competitive situations involving agents with years of experience based on laboratory experiments alone. For this reason, recent research has turned to field experiments, focusing on professionals at work. However, since field experiments lack the experimental control of laboratory experiments, it is important that we consider both types of research. Labaoratory Experiments Most laboratory experiments on the Minimax Theorem have rejected it. The most well-known of these experiments, performed by Barry O’Neill, initially concluded in favor of the Minimax Theorem.2 However, further examination of O’Neill’s own study revealed that the study’s results actually contradicted the Minimax Theorem.3 Furthermore, research on the relationship between humans and randomness revealed a human tendency to fallaciously expect alternation in random sequences, giving weight to some of the concerns surrounding the Minimax Theorem.4 These laboratory experiments gave rise to alternative methods for modeling human behavior in games. Ido Erev and Alvin Roth developed a model of adaptive play, in which players learn about their opponents over time and respond accordingly. Through empirical testing, they found that the predictions of their model outperformed the predictions of the Minimax Theorem.5 2 O’Neill, Barry. “Nonmetric test of the minimax theory of two-person zerosum games.” Proceedings of the National Academy of Sciences, 84.7 (1987): 21062109. 3 Brown, James N. and Robert W. Rosenthal. “Testing the Minimax Hypothesis: A Re-examination of O’Neill’s Game Experiment.” Econometrica, 58.5 (1990): 1065-1081. 4 Bar-Hillel, Maya and Willem A. Wagenaar. “The Perception of Randomness.” Advances in Applied Mathematics, 12.4 (1991): 428-454. 5 Erev, Ido, and Alvin E. Roth. “Predicting how people play games: Reinforcement learning in experimental games with unique, mixed strategy equilibria.”



Field Experiments Field experiments have generally offered positive evidence for the Minimax Theorem. In 2001, Mark Walker and John Wooders performed the first of these experiments by turning to the world of sports. They used the interaction between server and returner in tennis and found evidence mostly in favor of the Minimax Theorem, although they noted that players alternated too often between their actions.6 Following their lead, later researchers used penalty kicks in soccer and found positive results.7,8 A second study using tennis serves affirmed the results from Walker and Wooders and found that servers exhibited serial independence across serves.9 However, a recent study by Kenneth Kovash and Steven Levitt has cast doubt on these earlier field studies. After pointing out the small sample sizes in previous field studies, Kovash and Levitt found evidence against the Minimax Theorem by studying baseball and football, which provided large data sets.10 However, Kovash and Levitt did not present a fully developed model to support their results. Thus baseball is worth a re-examination. Models and Assumptions The Game Every event in baseball begins with an interaction between a single pitcher and a single batter. Since each player’s goal is to help his team win, the pitcher and the batter have directly conflicting goals, which allows us to model this interaction as a zero-sum game. On every pitch, the pitcher aims for a particular location and chooses to throw a particular type of pitch. The pitcher’s strategy is then a choice of a pitch location and a pitch type. Once the pitch is thrown, the batter chooses whether or not to swing, but this choice is a reaction to the pitcher’s strategy. We can instead describe his strategy based on his mental approach prior to the pitch. Professional baseball players have affirmed that anticipation is an important part of hitting.11 The batter’s strategy can then be described as the decision to anticipate a particular pitch and to prepare for that pitch in a certain way. Thus we have a description of the strategies for each player. The pitcher’s strategy contains two basic elements: pitch type, which is perfectly observable, and pitch location, which is only partially observable since the pitcher is not perfectly accurate. The batter’s strategy contains a single complex element: the choice of mental approach before the pitch, which may be American economic review (1998): 848-881. 6 Walker, Mark and John Wooders. “Minimax Play at Wimbledon.” American Economic Review, 91.5 (2001): 1521-1538. 7 Chiappori, Pierre-Andre; Steven Levitt and Timothy Groseclose. “Testing Mixed Strategy Equilibria When Players Are Heterogenous: The case of Penalty Kicks in Soccer.” The American Economic Review, 92.4 (2002): 1138-1151. 8 Palacios-Huerta, Ignacio. “Professionals play minimax.” The Review of Economic Studies 70.2 (2003): 395-415. 9 Hsu, Shih-Hsun, Chen-Ying Huang, and Cheng-Tao Tang. “Minimax play at wimbledon: comment.” The American Economic Review 97.1 (2007): 517-523. 10 Kovash, Kenneth and Steven Levitt. “Professionals Do Not Play Minimax: Evidence from Major League Baseball and the National Football League.” NBER Working Paper Series, No. 15347 (2009). 11 Williams, Ted, and John Underwood. The Science of Hitting. New York: Simon & Schuster, 1986.

MMSS partially observable through the batter’s reaction to the pitch. As previously mentioned, each player is attempting to maximize his own team’s chance of winning. Each player’s payoff for any particular event can then be viewed as his team’s resultant probability of winning. It is important to note that this interpretation somewhat complicates the matter. Even between the same pitcher and batter, not all pitches will give rise to the same payoff matrix. A number of factors, such as runners on base, balls, strikes, outs, score, and inning all change how much a particular event influences each team’s chances of winning. This will clearly affect modeling and testing and must be taken into account. We have now come to understand how we might generally model the interaction between pitcher and batter as a game. We will now consider two specific models for the game of baseball: a model based on pitch location and a model based on pitch type. Pitch Location Model In this model, each player has two strategies. The pitcher can choose to attempt to throw the ball either inside the strike zone (“strike”) or outside the strike zone (“ball”). The batter can choose to take either an “aggressive” approach or a “conservative” approach. This interpretation of the batter’s strategy can be understood as follows: we can view the batter’s initial glimpse of the pitch as a signal which induces a probability distribution over all possible pitch locations. We can then consider the batter’s strategy as a map, which, for every possible signal, chooses either “swing” (in which case the batter swings) or “take” (in which case the batter does not swing). Strategies that fall under the category of “aggressive” are those in which the batter swings for more signals, while strategies that fall under the category of “conservative” are those in which the batter swings for fewer signals. In a mixed strategy equilibrium, the batter will randomize across these maps. We will now consider the payoffs in our model. Each strategy profile induces a probability distribution over all possible outcomes of an at-bat. By taking into account the impact of each possible outcome on win probability, we can more simply represent the result from each strategy profile as the pitching team’s expected probability of winning after the pitch. It is clear that the batter will attempt to minimize this probability while the pitcher will attempt to maximize it. The matrix for the game can be seen in Figure 1, where πxy denotes the pitching team’s probability of winning when the pitcher plays X and the batter plays Y. We should recall that these payoffs depend on the particular pitcher, batter, and game situation. We can now make assumptions on the model which hold for every possible game situation and pair of players.

Some of the assumptions compare payoffs from situations that are identical with the exception of the number of balls. Specifically, these assumptions compare 2-2 counts (2 balls and 2 strikes) and 3-2 counts (3 balls and 2 strikes). When this is the case, πxy1 denotes the payoff that results from the pitcher playing X and the batter playing Y on a 2-2 count, while πxy2 denotes the payoff that results from the pitcher playing X and the batter playing Y on a 3-2 count. Our eight assumptions on the pitch location model are presented in Figure 2. We will briefly consider the justification for each of these assumptions.

Assumptions (1)-(4) hold for all counts. Assumptions (1) and (2) come from considering the perspective of the batter. Assumption (1) states that if the pitcher attempts to throw a ball, the batter will on average achieve a better result by being conservative. Assumption (2) states that if the pitcher attempts to throw a strike, the batter will on average achieve a better result by being aggressive. Assumptions (3) and (4) require the perspective of the pitcher rather than the batter. Assumption (3) states that the pitcher is better off playing “strike” if the batter is being conservative, while Assumption (4) states that the pitcher is better off playing “ball” if the batter is being aggressive. These results are intuitive, but can be formally justified as well. Assumptions (5)-(8) compare 2-2 and 3-2 counts. Balls are always bad for the pitcher. Therefore, in situations with more balls, the pitcher’s probability of winning is lower for all possible strategy profiles. We can identify which strategy profiles will be affected most from the increased number of balls by considering the particular nature of the distribution induced by each strategy profile. For any particular strategy profile, the move from a 2-2 count to a 3-2 count can affect payoffs only through the increased probability of a walk. Therefore, payoffs will be influenced more by the extra ball in 3-2 counts for strategy profiles that induce a higher probability of a ball. A ball is most likely when the pitcher plays “ball” and the batter plays “conservative,” and least likely when the pitcher plays “strike” and the batter plays “aggressive.” Therefore, in moving from a 2-2 count to a 3-2 count, πBC, πBA, πSC, and πSA will all decrease, but πBC will decrease the most, while πSA will decrease the least. These results, along with a few simple manipulations, give us Assumptions (5)-(8). Assumptions (5)-(8) make intuitive sense as well. Consider Assumptions (5) and (6). We can think of πBA - πBC

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MMSS as the advantage the batter gains from being “right” on a ball and πSC - πSA as the advantage the batter gains from being “right” on a strike. In this context, our assumptions are equivalent to the following statement: on 3-2 counts compared to 2-2 counts, the batter gains a greater advantage from being right when the pitcher plays “ball” (Assumption (5)), but a lesser advantage from being right when the pitcher plays “strike” (Assumption (6)). When batters are right on an attempted ball on 3-2 counts, they get the extra advantage of a likely walk as opposed to merely an extra pitch with a more favorable count. In the case of an attempted strike, guessing wrong can still be good for the batter if the pitcher misses his target. When the batter guesses right on an attempted strike but the pitcher misses his target, the batter often loses out on a chance for a ball. Balls are more rewarding on 3-2 counts, making it less beneficial to guess right on an attempted strike. Assumptions (7) and (8) can be justified similarly. Pitch Type Model Each player has two strategies in this model as well. The pitcher can choose to throw either a fastball (“fastball”) or an off-speed pitch (“off-speed”), while the batter can choose to look for either a fastball (“fastball”) or an off-speed pitch (“off-speed”). A fastball is a fast pitch which typically takes a fairly straight path to the batter, whereas an off-speed pitch is any pitch thrown at significantly reduced velocity, often with movement. Every type of pitch can be labeled as either a fastball or off-speed pitch. Our interpretation of payoffs is the same as it was in the first model. Each strategy profile induces some probability distribution over outcomes, which can be summarized by the resultant expected win probability for the pitching team. The

strategy as (pS , pB) where pS and pB are the probabilities that the pitcher plays S and B, respectively, and the batter’s strategy as (hA , hC ) where hA and hC are the probabilities that the batter plays A and C, respectively. Since ps + pB = 1 and hA + hC = 1, we can fully describe each player’s equilibrium strategy with just one of these two probabilities. Through some straightforward manipulation, we can arrive at the equilibrium solution displayed in Figure 4. Using the equilibrium solution displayed above alongside the assumptions presented in the previous section, we can form the four hypotheses (labeled H1-H4) presented in Figure 5. In H4, (Strike, Swing) denotes the outcome where the pitcher throws a strike and the batter swings, while (Ball, Take) denotes the outcome where the pitcher throws a ball and the batter does not swing. The formal derivation of these hypotheses is complicated and is therefore omitted, but the basic theory behind each hypothesis is straightforward. We can think of H1 as follows: in 3-2 counts, the batter has an increased incentive to play “conservative.” If the pitcher were to use his equilibrium strategy for 2-2 counts on 3-2 counts, the batter would achieve optimal play by always playing “conservative.” To return the batter to indifference, the pitcher must then play “strike” with greater frequency to incentivize “aggressive” relative to “conservative” for the batter. H2 and H3 can be considered similarly. In a 3-2 count, the pitcher has less incentive to play “ball.” Thus if the batter did not adjust his

payoff matrix for this model is shown in Figure 3. Once again, πxy denotes the payoff that results when the pitcher plays X and the batter plays Y. This matrix also depends on the game situation and pair of players. While we cannot form useful assumptions as easily in this case, we can perfectly observe the pitcher’s strategy in the pitch type model. As we will see in the next section, this will allow us to directly apply the Minimax Theorem to form hypotheses.

strategy, the pitcher would play the pure strategy “strike.” The batter must then play “aggressive” more frequently to incentivize “ball” relative to “strike.” The combination of the batter playing “aggressive” more often and the pitcher playing “strike” more often on 3-2 counts should result in a higher frequency of swings from the batter, both in general and for a given pitch location. H4 follows from the other three hypotheses. It should be noted that H1 and H4 are not surprising results. In contrast, H2 and H3 are fairly counterintuitive results. It seems that the batter should be looking for a walk more on 3-2 counts and should thus be less likely to swing at pitches outside the strike zone, but this intuition runs counter to H3. Our tests of H2 and H3 will therefore provide more valuable results.

Hypothesis Pitch Location Model We will first consider the hypotheses that result from the pitch location model. Since our game is a finite, two-player, zero-sum game with perfect information, there is a unique solution in mixed strategies. We can write the pitcher’s




Pitch Type Model We will now consider the hypotheses that come from the pitch type model. In this case, hypotheses can be derived directly from the Minimax Theorem. The two hypotheses on the pitch type model, which hold for a given batter and game situation, are presented in Figure 6. The derivation of these hypotheses from the Minimax Theorem is simple. We can justify H5 as follows: according to the Minimax Theorem, a pitcher who throws both fastballs and off-speed pitches in equilibrium must be indifferent between the two choices. If, for example, fastballs achieved consistently better results in a particular situation than off-speed pitches, an optimally-behaving pitcher would strictly prefer to throw fastballs in that situation. Therefore, in equilibrium, neither fastballs nor off-speed pitches should achieve consistently better results. The justification of H6 is similarly simple. The Minimax Theorem requires genuine randomization. An optimally-behaving batter would notice any patterns that might exist in a pitcher’s choices over time and exploit them to his advantage. Pitchers should then avoid serial correlation in their pitch sequences if they are behaving optimally. Data Analysis Data Our data set includes every pitch thrown in the 2012 Major League Baseball regular season. The data was purchased from Baseball Info Solutions, who are able to gather a wealth of information on every pitch thrown using advanced technology. For each pitch, the data set identifies the pitcher, batter, game situation (home and away team, inning, score, baserunners, outs, and count), pitch type, pitch location, pitch result, and the result of the at-bat in which the pitch was thrown. The data set identifies 9 different possible pitch locations and 8 different pitch types. The data set includes 705,321 pitches, 660 pitchers, and 960 batters. We use this data to test the six hypotheses laid out in the previous section. We reject our hypothesis that pitchers exhibit serial independence, but fail to reject the other five hypotheses. For the most part, these results provide support for the Minimax Theorem. Pitch Location Model We will begin with our tests for the hypotheses of the pitch location model. Testing these hypotheses requires restricting our data to only those pitches thrown on 2-2 or 3-2 counts. Our restricted data set contains 87,604 pitches. With a slight exception in the case of H3, we fail to reject our hypotheses on the pitch location model. Pitchers threw in the strike zone 41.83 percent of the time on 2-2 pitches compared to 52.96 percent of the time on 3-2 pitches, while batters swung 74.20 percent of the time on 3-2 counts

compared to 66.11 percent of the time on 2-2 counts. These differences were both significant at a 1-percent level and provide evidence in support of H1 and H2, respectively. For pitches inside the strike zone, batters swung 92.42 percent of the time on 3-2 counts and 90.04 percent of the time on 2-2 counts. For pitches outside the strike zone, batters swing 53.70 percent of the time on 3-2 counts compared to 48.90 percent of the time on 2-2 counts. Both of these differences are significant at a 1-percent level, which supports H3 for these two general pitch locations. When we consider more specific pitch locations outside the strike zone, we find one case where batters actually swung significantly (at a 5-percent level) more frequently on 2-2 counts. However, for six of the eight specific locations outside the strike zone, batters swung more frequently on 3-2 counts, with four of these obtaining significance at a 5-percent level or better. Thus with only one exception, H3 is supported by empirical testing. Finally, our test for H4 yields positive results as well. The outcome (Strike, Swing) occurs 48.94 percent of the time on 3-2 counts compared to 37.66 of the time on 2-2 counts, while the outcome (Ball, Take) occurs 21.78 percent of the time on 3-2 counts compared to 29.73 percent of the time on 2-2 counts. These results are significant at a 1-percent level. Pitch Type Model We will now review or tests of the hypotheses on the pitch type model. In order to test H5 and H6, we use only a subset of our data. For H5, we restrict our data set to only pitches that begin an at-bat. This restriction does not introduce any selection bias but still prevents any individual at-bat from being included more than once in our regression. For H6, we use only pitches that are not the first pitch of an at-bat. This allows us to consider the effect of the

pitcher’s previous choice of pitch on his current choice only within individual at-bats. With these restricted data sets, we were able to perform regression analyses to test H5 and H6. The general regression equations are presented in Figure 7. For both regression equations, k indexes a pitcher-batter pair and t indexes a pitch between the pair. Fastball is a fastball indicator variable in both equations, while δ and λ are pitcher-batter pair fixed effects and ε and u are errors terms. For H5*, we use either OPS (on-base plus slugging) or wOBA (weighted on-base average) for Outcome. The choice of outcome variable does not substantially affect our conclusions. The set of controls X in H5* includes indicator variables for the score (in terms of margin), inning, home

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MMSS team, baserunner configuration, and number of outs. The set of controls Y in H6* includes all the indicator variables in X with the addition of indicator variables for the count. For both H5* and H6*, we run some regressions with no fixed effects or controls, some with fixed effects but no controls, and some with both fixed effects and controls. Because the payoff matrix is different for each pitcher-batter pair and game situation, the models that include fixed effects and controls are most reliable. In both cases, we also sometimes further restrict our data sets for more reliable results. Although the details are omitted here, a more in-depth discussion of technical statistical issues and data restrictions can be found in the complete version of this paper. Our tests of the pitch type model yield somewhat mixed results. All of our tests fail to reject H5, with no test yielding a p-value less than .25. In contrast, most of our tests reject H6. Every test that included both fixed effects and controls found that pitchers alternated too frequently between fastballs and off-speed pitches. Our most complete model indicates that a pitcher is 12.6% less likely to throw a fastball if the previous pitch was a fastball. These results were significant at a 1-percent level. H5 is then supported by empirical evidence while H6 is rejected. Conclusion Summary of Results In conclusion, we obtained results mostly supportive of the Minimax Theorem. Our four hypotheses from the pitch location model were confirmed by data, including H2 and H3, which were somewhat counterintuitive. From the pitch type model, H5 was also confirmed through testing. However, we rejected the hypothesis of serial independence. Our results are thus in the same spirit as those obtained by Walker and Wooders in their study on tennis serves.12 Professional athletes seem to behave optimally except when it comes to avoiding patterns in repeated play. How should we interpret these results? Perhaps the pitcher’s errors are too small for the batter to identify and exploit. We know people do not have a good intuitive understanding of randomness, so it is not hard to imagine players might have difficulty recognizing whether or not a sequence of choices is truly random. Perhaps we should view the Minimax Theorem in this light: although people often fail to be perfectly rational, their behavior is rational enough that it largely conforms to the conclusions of the Minimax Theorem. However, other interpretations are certainly possible. Perhaps our simplified model fails to account for something that gives pitchers a good reason to avoid serial independence, or perhaps our results in favor of the Minimax Theorem are the result of chance or problems in our models. Future research should focus on further developing the pitch type and pitch location models and replicating our results, ideally with an even larger data set. More broadly, future research on the Minimax Theorem needs to investigate serial independence more closely. 12 Walker, Mark and John Wooders. “Minimax Play at Wimbledon.” American Economic Review, 91.5 (2001): 1521-1538.



We can only answer our question about the practical applicability of the Minimax Theorem once we understand how to interpret our results about serial independence. Acknowledgements

I would like to thank everyone who had a role in this paper’s completion. This begins with the Office of Undergraduate Research, who provided me with the funds necessary to complete this project, and everyone at Baseball Info Solutions, in particular Ben Jedlovec and Jeff Spoljaric, who provided me with data. I would like to especially thank Professor Jeffrey Ely for inspiring my interest in this particular topic, Kyra Sutton for providing edits, Derek Song for his help with Stata and econometrics, and Professor Joseph Ferrie for guiding me through the process. Finally, I would like to thank the MMSS program, especially Sarah Muir Ferrer and my advisor, Professor William Rogerson. To Sarah, thank you for always making the MMSS lounge a welcoming place. To Professor Rogerson, thank you for being my advisor, teacher, and program director for the past three years. I have your teaching to thank for my enthusiasm for game theory and your guidance to thank for the successful completion of this thesis.

References Bar-Hillel, Maya and Willem A. Wagenaar. “The Perception of Randomness.” Advances in Applied Mathematics, 12.4 (1991): 428-454. Beneventano, Philip, Paul D. Berger, and Bruce D. Weinberg. “Predicting Run Production and Run Prevention in Baseball: The Impact of Sabermetrics.” International Journal of Business, Humanities, and Technology, 2.4 (2012): 67-75. Brown, James N. and Robert W. Rosenthal. “Testing the Minimax Hypothesis: A Re-examination of O’Neill’s Game Experiment.” Econometrica, 58.5 (1990): 1065-1081. Casti, J. L. Five Golden Rules: Great Theories of 20th-century Mathematics and Why They Matter. New York: Wiley & Sons, 1996. Chiappori, Pierre-Andre; Steven Levitt and Timothy Groseclose. “Testing Mixed Strategy Equilibria When Players Are Heterogenous: The case of Penalty Kicks in Soccer.” The American Economic Review, 92.4 (2002): 11381151. Erev, Ido, and Alvin E. Roth. “Predicting how people play games: Reinforcement learning in experimental games with unique, mixed strategy equilibria.” American economic review (1998): 848-881. Hsu, Shih-Hsun, Chen-Ying Huang, and Cheng-Tao Tang. “Minimax play at wimbledon: comment.” The American Economic Review 97.1 (2007): 517523. Kovash, Kenneth and Steven Levitt. “Professionals Do Not Play Minimax: Evidence from Major League Baseball and the National Football League.” NBER Working Paper Series, No. 15347 (2009). Levitt, Steven D., John A. List, and David H. Reiley. “What happens in the field stays in the field: Exploring whether professionals play minimax in laboratory experiments.” Econometrica 78.4 (2010): 1413-1434. Ochs, Jack. “Games with unique, mixed strategy equilibria: An experimental study.” Games and Economic Behavior 10.1 (1995): 202-217. O’Neill, Barry. “Nonmetric test of the minimax theory of two-person zerosum games.” Proceedings of the National Academy of Sciences, 84.7 (1987): 2106-2109. Palacios-Huerta, Ignacio. “Professionals play minimax.” The Review of Economic Studies 70.2 (2003): 395-415. Palacios‐Huerta, Ignacio, and Oscar Volij. “Experientia docet: Professionals play minimax in laboratory experiments.” Econometrica 76.1 (2008): 71-115. Rapoport, Amnon and Richard B. Boebel. “Mixed strategies in strictly competitive games: a further test of the minimax hypothesis.” Games and Economic Behavior 4.2 (1992): 261-283. Walker, Mark and John Wooders. “Minimax Play at Wimbledon.” American Economic Review, 91.5 (2001): 1521-1538. Wooders, John. “Does experience teach? Professionals and minimax play in the lab.” Econometrica 78.3 (2010): 1143-1154. Williams, Ted, and John Underwood. The Science of Hitting. New York: Simon & Schuster, 1986.


Black Imprints Haitian Colonial Memory in Venezuelan Politics

Ayanna Legros


Sherwin Bryant

FACULTY ADVISOR PhD, Ohio State University MA, Ohio State University



Traditionally, scholars mapping the Haitian diaspora focus on migratory movements to Western nations, rendering the Haitian diaspora as a phenomenon outside of Latin America and the Caribbean. Conversely, diaspora theorists cite the Dominican Republic as a place worthy of study because it relates to questions of race, nation, and diaspora in Latin America. However, Haiti is left out geographically and conceptually on the margins of these issues. This paper argues for the significance of the study of the Haitian diaspora in Venezuela, as its growing presence is shifting understandings of racial geopolitics throughout the Americas. Tracing the expansion of the Haitian diaspora to and within Venezuela during Hugo Chavez’s administration (1999 to 2013), this thesis examines the ways that Chavez’s usage of Haitian-Venezuelan relations dating from the independence wars to the modern day allowed for his government to critique the United States’ hegemonic influence in the Americas during the twentieth and twenty-first century. Using Venezuela as a space for understanding post-colonial discourses and the Haitian diaspora, this thesis showcases the ways that colonial memory influences present day understandings of the Haitian diaspora and its entanglements with the geo-political aims of Latin American and Caribbean countries to extricate Western influence. Keywords: diaspora, colonialism, memory, race, imperialism, identity politics, sovereignty, transnationalism

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AFRICAN AMERICAN STUDIES Epigraph “Because of Haiti’s contribution to their liberation, Venezuela, Colombia, and Ecuador incorporated the Haitian blue and red colors into their flags. In honor of the solidarity that Haiti provided Latin America’s liberators, Miranda and Bolivar, the Venezuelan Consulate will host patriotic presentations to honor the Haitian flag’s 209th anniversary.”1

The island of Hispaniola, located in the Caribbean, consists of two nation-states: Haiti and the Dominican Republic. C.L.R. James’ The Black Jacobins: Toussaint L’Ouverture and the San Domingo Revolution states, “In 1789 the French West Indian colony of San Domingo supplied two-thirds of the overseas trade of France and was the greatest individual market for the European slave-trade.”2 Haiti, a French colony, was the largest plantation economy in the New World, producing 80,000 tons of sugar exports in 1791 alone.3 Known as the Pearl of the Antilles, Haiti became a site of envy among neighboring European colonial domains. Yet this “Pearl” became European colonizers’ worst nightmare in 1804, as Haiti successfully ended French colonial rule and became the first black republic in the New World. Ontologically, Haiti questioned European colonialism, imperialism, and slavery within the Americas. As Haiti challenged previous notions of black inferiority, militancy, and citizenship, “Spanish authorities in particular feared the spread of ‘seditious ideas’ following the example of Haiti (Saint Domingue).”4 Even though Haiti recognized itself as an independent state, the revolution shocked Western political sensibilities, causing Haiti’s sovereignty to remain in question for the majority of the nineteenth century and the first half of the twentieth century. Ultimately, one form of slavery replaced another, as Western powers asphyxiated Haiti’s political economy in response to white paranoia and fragility. France demanded 150 million Francs as the price for official recognition of the country, causing Haiti to spend about 1 billion dollars between 1825 and 1947 in reparations.5 Haiti’s status as a post-colonial sovereign nation continued to be challenged into the twentieth century, as it was occupied by the United States military from 1915 thru 1934, received blockade threats from France, Spain, and England, and experienced brutal Haitian dictatorships backed by the U.S. government.6 These economic, social, and political factors contribute to the dispersal of Haitians across the globe today. According to

1 Venezuelan Consulate. New York City. May 18

th 2012. 2 James, Cyriel Lionel Robert and Louverture François Dominique. Toussaint. The Black Jacobins: Toussaint L’Ouverture and the San Domingo Revolution. London: Secker & Warburg, 1938. Print. ix. 3 Andrews, George Reid. Afro-Latin America, 1800-2000. Oxford: Oxford UP, 2004. Print. 19. 4 Lasso, Marixa. Myths of Harmony: Race and Republicanism during the Age of Revolution, Colombia 1795-1831 (Pittsburgh: University of Pittsburgh Press, 2007). Print. 31. 5 Quigley, Bill. “Why the US Owes Haiti Billions – The Briefest History. Common Dreams: Building Progressive Communities, 17 Jan. 2010. Web. 11 May 2012. <https://www.commondreams.org/view/2010/01/17-6>.

6 Ibid. 1. 62


the Haitian Diaspora Foundation, it is estimated that one third of all Haitians today live outside of Haiti, including an estimated 2.5 million living across the United States alone.7 Robin Cohen in Global Diasporas: An Introduction refers to the Haitian diaspora as deterritorialized, as its members have experienced double or multiple displacements during a given period. Yet, Cohen’s focus on the Haitian diaspora within the United States, United Kingdom, Netherlands, and France, illustrates that it is still understood as a movement contingent on European nations’ reception of these populations. The phenomenon of the dispersal and movement of Haitian citizens from their homeland to other nations is known as the Haitian diaspora, which is embedded within a larger African diaspora. Geographic separatism and transnational communication are characteristic of the Haitian diaspora, as its members contribute to the political economy of Haiti, influencing state politics as much as those living within state borders.8 Researchers have often studied the border between Haiti and the Dominican Republic to understand racial governance and nation, European colonial legacies, blackness within the Americas, and the Haitian diaspora at large. However, this paper seeks to experiment with another avenue of telling the Haitian diaspora narrative—one that is centered around the state of Venezuela, a country located on the Northern coast of South America. I argue that Haitian and Venezuelan history within the field of African Diaspora Studies are too often separated, despite the fact that these two nations have produced major revolutionaries and anti-colonists such as Haitian generals Touissaint L’Ouverture and Alexandre Petion and Venezuelan generals Simon Bolivar and Sebastian Francisco de Miranda. The relationship between these two countries is often situated solely during the colonial period, yet they are once again forming allegiances to question U.S. hegemony, imperialism, and capitalism. While neoliberal practices in the Americas are no longer blatant in their imperial and colonial pursuits, Haitian and Venezuelan governments are increasingly becoming more cognizant of the fact that these practices have become institutionalized. Analyzing the Haitian diaspora in Venezuela and the relationship between the Haitian and Venezuelan governments tells a story about blackness, a condition familiar with the colonial struggle. This project draws from multiple fields of analyses, such as history, anthropology, political science, journalism, and diaspora studies. In my attempts to illuminate the dying processes of Western power in the Americas, I quickly discovered the hypocritical nature of my research. My reliance on Western authors is necessary, as fieldwork on Latin America and the Caribbean is typically conducted in three languages: French, Spanish, and English, with English at times dominating the Spanish literature that I read. This linguistic dominance illustrates how the hegemonic influence of the United States on global systems continues to permeate research and educational institutions. Most of the writing and reading of Haitian historiography assumes literacy 7 Haitian Diaspora Foundation. http://www.myhdf.org/the-Haitian-Diaspora. htm (accessed 4 Feb 2013) 8 In 2010, Haiti received about 1.5 million U.S dollars in remittances “Remittance Profile: Haiti.” Migration Policy Institute Data Hub. Migration Policy Institute, 2011.. <http://www.migrationinformation.org/datahub/remittances/Haiti.pdf>. (accessed. 13 Feb. 2013)

AFRICAN AMERICAN STUDIES and formal access to Western-language and culture, particularly French, ; two prerequisites that already exclude the majority of Haitians from direct participation in its production.9 Despite Haitian Creole’s recognition as an official language, the vast majority of history books about Saint-Domingue/Haiti [continues to be] written in French.10 The history of the Americas is often situated within Columbus’ journey to Hispaniola, as illustrated in the nursery rhyme, “In 1492, Columbus sailed the ocean blue.” Embedded in this nursery rhyme is the notion that the Americas do not have a history outside of European discovery. Michel Rolph Trouillot in his book, Silencing the Past: Power and Production of History states, “To call ‘discovery’ the first invasions of inhabited lands by Europeans is an exercise in Eurocentric power that already frames narratives of the event so described. Contact with the West is seen as the foundation of historicity of different cultures.”11 Matthew Restall’s Seven Myths of the Spanish Conquest problematizes approaches to studying European arrival to the Americas by highlighting inaccuracies that dominate the theorization of the events of the conquest. In order to understand race relations in Venezuela as they pertain to Afro-descended and indigenous peoples, the conquest in the Americas needs to be understood not as a one-time event, but as a historical process that ultimately builds racial formations in the Americas. This historical process, known as race and nation, is discussed in Marixa Lasso’s Myths of Harmony: Race and Republicanism during the Age of Revolution. Lasso analyzes the relationship between pardos (free people of African descent), whites, indigenous, and creole people, in Gran Colombia and the relationship between race, nation, and sovereignty from 17951831. Lasso problematizes romantic notions of race relations and concludes by arguing that colonialism’s legacy of race is infused within Latin American social life even today. While race and nation have specific histories internal to Latin American and Caribbean nations, Juliet Hooker’s “Ambas Américas: Race and Hemispheric Democracy in the Political Thought of Douglass and Sarmiento” demonstrates that nations seeking to gain independence from the Spanish Crown and U.S. imperialism were constantly in dialogue with one another. Studies of race and nation theory in Venezuela require Winthrop Wright’s Café con Leche: Race, Class, and National Image in Venezuela, as it illuminates Venezuelan race relations during the colonial period. While we usually think about Europe historiography and movements (specifically the Enlightenment) as influencing the Americas, Laurent Dubois’ A Colony of Citizens: Revolution & Slave Emancipation in the French Caribbean, 1787-1804, similarly to Hooker, argues that French Caribbean nations such as Martinique, Guadeloupe, and Haiti can be spaces to interrogate ideas about modernity, democracy, and republicanism that influence Western thought. While in other Latin American nations, the elimination of black bodies and importation of white bodies is seen as the 9 Trouillot, Michel-Rolph. Silencing the Past: Power and the Production of History. Boston, MA: Beacon, 1995. Print. 55. 10 Ibid. Print. 55. 11 Ibid. Print. 114.

resolution to race and nation problems, 12 Haiti’s selfgovernance requires systems outside of European colonial power. Paul Verna’s paper, La Revolucion Haitiana y sus Manifestaciones socio-juridicas en el Caribe y Venezuela (The Haitian Revolution and its Socio-Legal Manifestations in the Caribbean and Venezuela) links Haiti and the revolution to other Latin American nations seeking independence, and argues that Haiti is a site of inspiration for Bolivar, as an independent republic. Remembrance of Haiti within Venezuelan state politics is vital to Venezuela not only during the colonial period, but also into the Chavez administration in twenty-first century. Haiti’s importance within the Americas cannot be understood without conceptualizing the African diaspora. George Reid Andrews’ Afro Latin American History: 1800-2000 provides a history of European occupation of the Americas, battles for independence, United States’ military interventions in the region, and concludes by connecting the colonial period to the post-colonial state struggles and paradoxes of racial identity. Afro-Latin American identity requires an intersectional approach to race, class, and gender, as this group continues to be largely marginalized within the Americas. Sheila Walker’s Conocimiento desde Adentro: Los Afro-Sudamericanos Hablan de sus Pueblos y sus Historias analyzes Afro-descended South Americans and uses anthropological approaches to understand the socio-economic status within these countries. Racism towards black populations in the Americas can also be understood by looking at the policing of state borders. Jorge Durand’s “Capital étnico Y Migración De Relevo: Nuevos Y Viejos Patrones Migratorios En América Latina” (Ethnic Capital and Relay Migration: New and Old Migration Patterns in Latin America). Despite its restricted focus to the Haitian diaspora in the United States and the Dominican Republic, Durand’s piece is important because for provides an understanding of migratory movements within the Americas during the twentieth century. Finally, capitalist pursuits and intervention are characteristic of the U.S.’ relationship to Haiti which is argued in William Blum’s Killing Hope: U.S. Military and CIA Interventions since World War II. Blum highlights how maintaining order in Haiti is understood as a job that requires Western military and/or economic intervention. This thesis, centered on the study of the Haitian diaspora to Venezuela discontinues the legacy of dominance of the Dominican Republic and the United States in the ethnographic fieldwork of Haitian migration. Published literature on the Haitian diaspora to Venezuela is largely scarce. I relied on two books: Jesus Machado’s Migracion Haitiana En Venezuela: Estudio Exploratorio (Haitian Migration in Venezuela: An Exploratory Study), published in 2010, and Amanda Castillo Levison’s dissertation, La Migration Haitenne Au Venezuela, Un Cas D’Etude De L’Insertion A L’Integration (Haitian Migration to Venezuela: A Case Study of Insertion and Integration), published in 1987 to understand discourses about HaitianVenezuelan relations between state actors, such as ambassadors, as well as conversations that take place on the 12 Barnor Hesse argues that “Whiteness allows for the absence of race.” Questions of race only become illuminated when non-white bodies are located.

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AFRICAN AMERICAN STUDIES ground, through interviews and surveys. This twenty-three year gap between the publications caused me to rely on Haitian and Venezuelan news sources such as Rapadoo Observateur, Haiti Progrès, AlterPresse, El Universal, Ultimas Noticias, and Caracas Chronicles. Starting with Bolivar’s expedition to Haiti during the 1800’s, Machado looks at the historical relationship between these two countries and ends in the present. [through the publication of ] ?? the Jesuit Services of Refugees in Haiti. This further perpetuates the idea that Haitian migration to other nations is a problematic nuisance. My research approach seeks to methodologically disengage with these stereotypes and see the Haitian diaspora to Venezuela as an anti-colonial project centered on economic, political, and social peace making within the Americas. Amanda Castillo Levison’s dissertation, La Migration Haitenne Au Venezuela, Un Cas D’Etude De L’Insertion A L’Integration (Haitian Migration to Venezuela: A Case Study of Insertion and Integration), published in 1987, looks at political state actors such as Haitian politician, Rene Saint Fleur, who in 1982 referred to Venezuela as a “pays freur” (brothering country).13 This illustrates that Haitian-Venezuelan state actors have historically been involved in formulating discourses of colonial memory between these two countries. The complexity of Haitian migration to Latin American and Caribbean nations is focused on in Sarmiento’s, “Migraciones Caribenas Hacia Venezuela.” This piece, published in 2000 looks argues that Haitian migration to Venezuela is predominantly illegal and continues to depend on smugglers and false identification. I referred to Barry Cannon’s dissertation Class/Race Polarisation in Venezuela and the Electoral Success of Hugo Chavez in order to understand Haitian migration to Venezuela as it relates to the African diaspora, black politics and Afrodescendant people’s participation in Chavez’s electoral politics would be important. Chavez’s support is largely framed in regards to race and class, as he phenotypically identifies as black.14 Hugo Chavez’s identity and controversial persona are examined in Nikolas Kozloff’s Hugo Chavez: Oil, Politics, and the Challenge to the United States, published in 2008 and Rory Carroll’s Comandante, published in March of 2013. Both Kozloff and Carroll focus on Chavez’s dependency on oil, the exodus of Venezuelan elites, anti-American rhetoric, his fight against neoliberalism, and most importantly, his painting as a cultleader for Venezuela’s poor. More often than not, Chavez is painted as a villain, with arguably good reason. Chavez’s leadership is cited as responsible for socio-economic issues such as inflation, the exodus of thousands of upper class Venezuelans, the silencing of journalists and media outlets, and rigged elections.15 This 13 Levison, Amanda Castillo. La Migration Haitenne Au Venezuela, Un Cas D’Etude De L’Insertion A L’Integration. Diss. Universitie De Paris III Sorbonne Nouvelle Institut Des Hautes Etudes D’Amerique Latine, 1987. Paris, Julliet: n.p., 1987. Print.136. 14 Weathersbee, Tonyaa. “Why the Black and Poor Loved Hugo Chávez.” The Root. N.p., 06 Mar. 2013. Web. 11 Mar 2013. <http://www.theroot.com/views/ why-black-and-poor-loved-hugo-ch-vez>. 15 Human Rights Watch. “World Report 2013.” Venezuela. N.p., n.d. Web. 13 Jan



paper does not seek to engage in questions of whether or not Hugo Chavez’s economic, social, and political policies and practices were correct, but rather focuses on his desire to connect peoples of African descent as a form of defying U.S. hegemony in the Americas. Haitian-Venezuelan relations begin with the arrival of Simon Bolivar on December 24th, 1814 to Haiti via invitation from President Petion. Bolivar landed on the shores of Haiti and described it as “the land of liberty, [and the] victorious country of blacks and mulattoes”16 as Bolivar felt that Haiti possessed the necessary tools to liberate his country and South America.17 A year after Bolivar’s visit to Haiti, Venezuela declared its independence from Spain and was victorious in 1823. As a result of this history, Bolivar is remembered as “El Haitiano” or the Haitian18 in reference to his desire to embody Haitian liberators. During a trip to Port-Au-Prince, Haiti in 2010, Chavez stated, “It was time to encourage the union of our republics. It is an old project of Miranda’s and Bolivar’s...of Petion’s and of Louverture’s-all those who dreamed of a great nation, of a free nation.”19 Chavez’s connections and commemorations of these colonial histories bolster Haitian-Venezuelan relations of the present. Chavez often stated, “Haiti has no debt with Venezuela, but just the opposite: Venezuela has a historical debt with that nation, with people for whom we feel not pity but rather admiration. We share their faith [and] their hope.”20 By stating that Haiti does not have any debt to Venezuela, Chavez disrupts Haiti’s long history of poverty and reliance on loans from the United States and other Western governments. As a country that could not achieve liberation without the systematic debt to the French and U.S. governments, Chavez’s statement appropriates agency back to the Haitian government and people. Ultimately, colonial struggles of the past only affirm and give meaning to struggles of the present in Latin America and the Caribbean. The dismantling of Western hegemony in the Americas requires not only anti-American discourse and rhetoric, but also institutions that situate Latin American and Caribbean nations in powerful roles. Chavez’s pessimism about Euro-centric economic systems is embedded in his understanding of capitalism as a force that is tied to imperialism, racism, discrimination, and injustice.21 As a result of this pessimism, 2013. <http://www.hrw.org/world-report/2013/country-chapters/venezuela>. 16 Kozloff, Nikolas. “Haiti: Public Relations War and Historical Symbolism.” The Huffington Post. TheHuffingtonPost.com, 20 Feb. 2010. (accessed 13 Jan. 2013). <http://www.huffingtonpost.com/nikolas-kozloff/haiti-public-relations-wa_b_469918.html>. 17 Verna, Paul. La Revolucion Haitian y sus Manifestaciones socio-juridicas en el Caribe y Venezuela. Boletin de la Academia Nacional de la Historia. 12. accessed: 3/8/13. 18 Verna, Paul. La Revolucion Haitian y sus Manifestaciones socio-juridicas en el Caribe y Venezuela. 4. 19 Kozloff, Nikolas. “Haiti: Public Relations War and Historical Symbolism.” The Huffington Post. TheHuffingtonPost.com, 20 Feb. 2010. (accessed 13 Jan. 2013). <http://www.huffingtonpost.com/nikolas-kozloff/haiti-public-relations-wa_b_469918.html>. 20 “Chavez Writes Off Haiti’s Oil Debt to Venezuela.” Latin American Herald Tribune. N.p., 2009. (accessed 20 Feb) 2013.<http://www.laht.com/article.asp?CategoryId=10717&ArticleId=351054>. 21 Forero, Juan, and Steve Inskeep. “Hugo Chavez’s Legacy Looms Over

AFRICAN AMERICAN STUDIES Chavez in 2004 organized ALBA (Bolivarian Alliance for the Americas). ALBA seeks to serve as an alternative to the U.S.-led Free Trade Area of the Americas (Área de Libre Comercio de las Américas, ALCA) and other U.S. based organizations such as U.S. AID. In addition to ALBA, Chavez invests in PetroCaribe, which is an oil alliance that supplies energy resources to neighboring Latin American and Caribbean countries. According to a report on ALBA, Venezuela has a lead role in the institution. Venezuela is responsible for providing over 43% of energy needs of neighboring countries. Following the 2010 earthquake, Venezuela increased its pledge for aid to $2.4 billion to Haiti, has sent several tons of food and supplies, had its state oil company provide 225,000 barrels of fuel, supplied medicine, forgave over $400 billion of Haiti’s debt and was among the first to deliver emergency aid after the 2010 earthquake. In the aftermath of Hurricane Sandy, Venezuela sent over 1,800 tons of humanitarian aid to Haiti.22

Both institutions and donations function as forms of counter Western hegemony in the Americas. While one could argue that another loan further harms the Haitian government, these loans can alleviate economic stresses that can be traced back to the colonial period. Despite the expulsion of colonial powers in the Americas and the celebration of independence days from Spain in these countries, it is not uncommon to hear Latin Americans refer to Spain as the motherland. Chavez’s administration problematizes this idea by arguing for a need to see Africa as a homeland alongside of Spain. During an interview with Democracy Now Chavez states, “When they think of the motherland, it’s Spain that comes to mind, not Africa. These attitudes have their roots in the earliest days of the colonies. However we have discovered later in our lives that one of the greatest motherlands of all is no doubt Africa.23 This notion of lineage and homeland is apparent through the ways in which Venezuelans self-identify racially. Chavez argues that Latin Americans continue to struggle with their identity racially and geographically. The Chavez administration’s decision to dilute the Preamble of the Venezuelan Constitution in 1999, which stated that everyone is equal and that discrimination based on race does not exist24 illuminates the fact that racial harmony, a concept birthed during independence wars, continues to circulate within Latin American discourse and is even institutionalized. Chavez sought to challenge hegemonic notions of blackness within Venezuela by focusing on the fact that Latin American and Caribbean nations have historically ignored the contribution of African and indigenous peoples to its own history. Venezuelan Election.” NPR Morning Edition. NPR, 10 Apr. 2013. Web. 10 Apr. 2013. <http://www.npr.org/2013/04/10/176757042/hugo-chavezs-legacy-looms-over-venezuelan-election>. 22 Embassy of the Bolivarian Republic of Venezuela to the United States: Venezuela’s Continuing Aid to Haiti. <http://venezuela-us.org/live/wp-content/ uploads/2009/12/12.28.2012-Aid-to-Haiti.pdf > 23 “Democracy Now: Hugo Chavez Interview (09/19/2005).” YouTube. YouTube, 22 July 2012. Web. 02 Feb. 2013. <http://www.youtube.com/watch?v=HM4WthxAbXU>. 24 Comrie, Williams, Janvieve. President Hugo Chavez and Race: The Shift from Avoidance to Inclusion. Al Jazeera, 6 Mar. 2013. http://www.aljazeera.com/indepth/opinion/2013/03/201336151053865910.html (accessed 11. Mar. 2013)

As a result of Haiti’s historic significance within the Americas, after the earthquake that struck Haiti in 2010, Venezuela revised its immigration laws and registered an estimated 15,000 Haitians thought to be living illegally in the country.25 Although the United States is typically understood as the most desirable location for migration, particularly after political and environmental crises, the United States has historically denied asylum applications, particularly from Haitian migrants in states of emergency.26 Arguably, Chavez’s discourse of interstate partnerships between the Haitian and Venezuelan peoples does not apply to the lives of Haitians on the ground as linguistic, cultural, social, and religious norms are just a few factors that separate Haitians from even the Afro-Venezuelan community. Haitians are predominantly tied to the informal economy, as “the majority [of Haitians] ends up working local service jobs selling clothes, food, ice cream and coffee on the sweltering hot streets of Caracas.”27 While many Haitians arrive with intentions to study abroad or “modus operandi”, and can be found in multiple sectors, they largely dominate and monopolize the ice cream vendor industry. Martin Rangel, a depot for the ice cream brand EFE, states almost 70 percent of the vendors working for him are Haitian. They can earn good money without having to invest in equipment. The roughly 30,000-strong Haitian community in Venezuela has a near-monopoly on selling ice cream in the streets.28 Rangel later explains that Haitian migrants to Venezuela consist mostly of young men between ages 18-40, illustrating a gender divide within migratory patterns. The most problematic issue of the Haitian diaspora experience in Venezuela is the illegality of it, as it jeopardizes and abuses Haitians at times. Smugglers often force Haitians to share their ‘salaries’ with them in exchange for false documentation. But, even in the face of these challenges, the Ambassador of Haiti to Venezuela during Chavez’s administration, Leslie David, feels that Haitians are exposed to many opportunities. Ambassador David states, Haitians here are doing many things [in Venezuela]. Haitians are university professors, painters, artists, and engineers. I think they (ice cream vendors) do not feel abused. I believe their rights have been respected. Before it may have been different, but after the earthquake, with the decision made by President Hugo Chavez, who said Haitians had to be socially legalized and receive all the benefits like any Venezuelan, I think things have changed.29 25 Reporting., Simon Romero; María Eugenia Díaz And Sandra La Fuente P. Contributed. “In Venezuela, a New Wave of Foreigners.” The New York Times. The New York Times, 07 Nov. 2010 (accessed 10 Jan 2013) 26 According to Report on the Americas: Haitians at sea: Asylum Denied by Bill Frelick, during the 1991 coup of Jean Bertrand Aristide, “of the total 24,559 Haitians [that] had been picked up in international waters by the U.S. Coast Guard. Of that number, only 28 were allowed to pursue asylum claims. Curiously, only eight of these were admitted during the Duvalier family dictatorship and the anti-democratic regimes that succeeded it. 27 Devereux, Charlie. “Ice Cream Sales a Lifeline for Haitians in Caracas.” Reuters. Thomson Reuters, 22 Mar. 2010. http://www.reuters.com/article/2010/03/22/ us-venezuela-haiti-idUSTRE62L5GU20100322(accessed 29. Jan. 2013) 28 Ibid. Print. 22 29 Analisis365:Revista Digital “En Venezuela Todos Los Haitianos Son Legalmente Reconocidos: Entrevista al embajador de Haiti en Venezuela”http:// www.analisis365.com/2012/05/27/en-venezuela-todos-los-haitianos-son-legalmente-reconocidos/?utm_source=rss&utm_medium=rss&utm_cam-

VOLUME 09, 2013 – 2014


AFRICAN AMERICAN STUDIES Ambassador David’s rhetoric illustrates that the Haitian government seeks to maintain a positive relationship with the Venezuelan government and larger society. While some critics largely understand Chavez’s discourse as “a long theatrical war of words,” 30 Ambassador David’s statement illustrates that the overwhelming images of Haitians as ice cream vendors in Venezuela should not typify the entire Haitian diasporic experience. The Haitian diaspora experience is one centered on black pride and respect. Following Chavez’s death on March 5th, 2013, President Martelly of Haiti declared three days of national mourning. President Martelly stated, “Chavez was a great friend to Haiti who never missed the opportunity to express his solidarity with the Haitian people in their most difficult times” (both Lamothe and President Michel Martelly attended Chavez’s funeral).31 Arguably Chavez remains present and in power in Venezuela, as recordings of his voice continue to be played from loud speakers during congressional meetings.32 Chavez’s rise to power employs a different relationship to blackness and geo-politics and his discourse points to larger questions of understanding blackness and race in Latin America. Venezuela serves as a place for counter-hegemonic histories in regards to the United States in Latin America and the Caribbean, as Chavez’s administration deplores a legacy that used this region’s past to catapult its future politically, economically, and socially. By analyzing various legislations, discourses, and policies of Hugo Chavez with respect to Afro-descendant and indigenous populations, Haitian migration, colonial remembrance, diaspora, and memory it is clear that the Haitian diaspora in Venezuela can be looked at as a direct response to the Haitian Revolution, as a revolution that led to Haiti’s emancipation and nation-statehood, but imperial bondage from 1804 into the twenty-first century. Scholars have largely overlooked the Haitian migration to Venezuela, allowing the Dominican Republic and the United States to dominate narratives of the Haitian diaspora’s experience. The Haitian diaspora in Venezuela has larger implications for communication between the African diaspora in Latin America, as it offers another avenue for understanding race and nation in contemporary Latin America. Although Chavez has past away, he has left a legacy of unification embedded in rhetoric of unification across the African diaspora as well as previously colonized nation. The U.S.’ paranoia surrounding Venezuela articulates the continued legacy of Western nations’ desire to dictate regional politics. Chavez’s leadership questioned the very notion of post-colonialism. Haitian migration to Venezuela is built out of colonial remembrance, paign=en-venezuela-todos-los-haitianos-son-legalmente-reconocidos (accessed 5. Feb 2013) 30 Editorial.“Hugo Chavez’s Legacy”, Los Angeles Times, 7 Mar. 2013. http://articles.latimes.com/2013/mar/07/opinion/la-ed-chavez-20130307 (accessed 11 Mar. 2013) 31 “Haiti Using Funds from PetroCaribe to Finance Reconstruction | Relief and Reconstruction Watch.” Center for Economic Policy Research. N.p., 17 Apr. 2012. (accessed 9 Feb. 2013) <http://www.cepr.net/index.php/blogs/relief-and-reconstruction-watch/haiti-using-funds-from-petrocaribe-to-finance-reconstruction>. 32 Shoichet, Catherine E., Dana Ford, and Juan Carlos Lopez. “Chavez Gone, but Far from Forgotten as Venezuelan Presidential Campaigns Start.” CNN. Cable News Network, 12 Mar. 2013. Web. 12 Mar. 2013. <http://www.cnn. com/2013/03/11/world/americas/venezuela-elections>.



the unification of the African diaspora, and challenges the notion of the nation-state as a space that requires a linguistic, cultural, and racial homogeneity of its citizens. On April 18th, 2013, the Haitian government announced that it is going to rename Cap-Haitien International Airport to Hugo Chavez International Airport.33 This decision illustrates that Chavez’s legacy in the Americas will remain for years to come. As one of the few Latin Americans that identified as black, he is successful at building ties to Afro-descendent communities in Venezuela, Haiti, and the Americas at large. 33 “Haiti Renames Airport for Hugo Chavez.” Huffington Post. Huff Post World, 18 Apr. 2013. Web. 18 Apr. 2013. <http://www.huffingtonpost.com/huffwires/20130418/cb-haiti-chavez-airport/>.

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(accessed 30 Jan. 2013.) <http://migueleguedez.wordpress.com/2009/12/11/¡que-pasa-haiti/>. Gates, Henry Louis. Video: Black in Latin America | Watch Black in Latin America Online: Haiti and the Dominican Republic: An Island Divided. PBS.org. PBS Video, 27 July 2011. Web. 12 Oct. 2012. <http://video.pbs.org/video/1822481755>. Grandin, Greg. “On the Legacy of Hugo Chávez | The Nation.” 05 Mar. 2013. Web. accessed: 05 Mar. 2013. http://www.thenation.com/article/173212/legacy-hugo-chavez# Machado, Jesús E. Migracion Haitiana En Venezuela: Estudio Exploratorio. Caracas ,República Bolivariana De Venezuela: Servicio Jesuita a Refugiados, 2010. Print. 6. Margolis, Mac. “Is Hugo Chavez Really Back in Venezuela?” The Daily Beast. Newsweek/Daily Beast, 20 Feb. 2013. Web. 05 Mar 2013. <http://www.thedailybeast.com/articles/2013/02/20/is-hugo-ch-vezreally-back-in-venezuela.html>. “Minority Rights Group International, World Directory of Minorities and Indigenous Peoples - Venezuela.” Refworld. World Directory of Minorities and Indigenous Peoples - Venezuela : Overview, 2007. Web. 09 Jan. 2013. <http://www.refworld.org/cgi-bin/texis/vtx/rwmain?page=type>. Molina V, Jose E. “The Presidential and Parliamentary Elections of the Bolivarian Revolution in Venezuela: Change and Continuity (1998-2000).” Bulletin of Latin American Research 21.2 (2002): 21947. Print. Neuman, William. “Kerry Encourages Venezuela Recount.” The New York Times. The New York Times, 18 Apr. 2013. Web. 20 Apr. 2013. <http://www.nytimes.com/2013/04/18/world/americas/kerryencourages-recount-in- venezuela.html?_r=0>.

“News.” U.N.:500.000 Haitians Need Immediate Food Assistance. EFE, n.d. Web. 06 Feb. 2013. <http://www.efe.com/efe/noticias/english/world/500-000-haitians-need-immediate-foodassistance/4/2060/1944722>. Obituary of Hugo Chavez. The New York Times, 5 Mar. 2013. (accessed 6 Mar. 2013) <http://topics. nytimes.com/top/reference/timestopics/people/c/hugo_chavez/index.html>. “Political.” Haiti and Venezuela Most Corrupt Countries in Hemisphere. The Sentinel, 02 Dec. 2011. Web. 09 Sept 2012. <http://www.defend.ht/news/articles/political/2130-haiti-and-venezuela-mostcorrupt-countries-in-region>. “President Martelly Leaves for Venezuela and Panama 2/3/2012 (Full).” YouTube. YouTube, 03 Feb. 2012. Web. 10 Jan. 2013. <http://www.youtube.com/watch?v=d8jt7v1cnwA>. Quigley, Bill. “Why the US Owes Haiti Billions – The Briefest History. Common Dreams: Building Progressive Communities, 17 Jan. 2010. Web. 11 May 2012. <https://www.commondreams.org/ view/2010/01/17-6>. “Rapadoo Observateur.” Rapadoo Observateur. N.p., n.d. Web. 05 Jan 2013. <http://rapadoo. com/2012/03/06/le-nouvelliste-en-haiti-le-venezuela-offre-trois-cent-soixante-neuf-millions-dedollars-a-haiti/>. “Rebuilding Haiti: Open for Business.” The Economist. N.p., 07 Jan. 2012. Web. <http://www. economist.com/node/21542407>. ”Remittance Profile: Haiti.” Migration Policy Institute Data Hub. Migration Policy Institute, 2011.<http://www.migrationinformation.org/datahub/remittances/Haiti.pdf>. (accessed. 13 Feb. 2013) Restall, Matthew. Seven Myths of the Spanish Conquest. New York: Oxford UP, 2003. Print. Romero, Simon. “In Venezuela, a New Wave of Foreigners.” New York Times. New York Times, Nov. 2010. Web. <http://www.nytimes.com/2010/11/07/world/americas/07venez.html?pagewanted=all>. Sarmiento, Gitanjali S. “Migraciones Caribenas Hacia Venezuela.” Mundo Nuevo 20.66-67 (n.d.): 6667. Wisconsin Lending Library Services. Web. 18 Feb. 2013. Shaw, Robert. “Haitians in Venezuela:, Human Trafficking and the Shantytowns of Caracas.” AlterPresse, 19 Dec. 20 12 http://www.alterpresse.org/spip.php?article13855 .(accessed 21 Jan. 2013) Shelfer, Gil. “Jewish Community in Venezuela Shrinks by Half.” Www.JPost.com. The Jerusalem Post, 01 Sept. 2010. Web. 20 Oct 2012. <http://www.jpost.com/JewishWorld/JewishNews/Article. aspx?id=186636>. Shoichet, Catherine E., Dana Ford, and Juan Carlos Lopez. “Chavez Gone, but Far from Forgotten as Venezuelan Presidential Campaigns Start.” CNN. Cable News Network, 12 Mar. 2013. Web. 12 Mar. 2013. <http://www.cnn.com/2013/03/11/world/americas/venezuela-elections>. Silverblatt, Irene: “The Great Delusion: Race Thinking, Governance and the Colonial Origins of Modernity.” Seventh International Symposium: The Early Modern Atlantic World: Slavery, Race, Governance. Northwestern University Center for African American History. 4/19/13-4/20/13 “The World Factbook 2010:.” Google Books. 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Austin: University of Texas, 1990. Print “Venezuela’s Maduro Gets Firm Brazilian Backing, Trade.” Venezuela. Reuters, 09 May 2013. Web. 09 May 2013. <http://www.reuters.com/places/venezuela>. “Venezuela, Haiti the Only Countries in the Region in Recession - Daily News - EL UNIVERSAL.” Venezuela, Haiti the Only Countries in the Region in Recession - Daily News - EL UNIVERSAL. N.p., n.d. Web. 11 Mar 2013. <http://english.eluniversal.com/2010/11/25/en_eco_esp_ venezuela-haiti-the_25A4775891.shtml>. “Venezuela; Information on Mistreatment of Haitians.” UNHCR. Refworld. Immigration and Refugee Board of Canada, 1 Nov. 1991. Web. 09 Apr 2013. <http://www.refworld.org/cgi-bin/texis/vtx/ rwmain?page=topic>. “Venezuela Releases Chavez Photos.” The Daily Beast. Newsweek/Daily Beast, n.d. Web. 11 Apr 2013. <http://www.thedailybeast.com/cheats/2013/02/16/venezuela-releases-ch-vez-photos.html>. “Venezuela Y Haití Firman Acuerdo De Cooperación.” Ultimas Noticias. N.p., 02 June 2012. 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Yarrington, Landon. “The (Im)possibility of Time Travel: Haiti ’s Pre- and Post-Earthquake Futures.” The New West Indian GuideNieuwe West-Indische Gids 3-4 80 (2012): 302-08. Print.

VOLUME 09, 2013 – 2014



About the Contributors JULIAN MINUZZO Materials Science Engineering

BENJAMIN RATSKOFF Majors/Minors What have you been up to since graduation? How did you come up with your research question?

Who inspired you as you conducted your research?

Favorite class at NU? 68


English Literature / African American Studies

Chemistry & Linguistics

I am working as a high school English teacher in Orléans, France.

I am currently a PhD student in chemistry at Stanford University.

The sonnet had fascinated me for many years and I became very interested in exploring what the sonnet was actually doing as a manuscript text in the Henrician court, especially as notions of gender, humanity, and power were in a crucial period of flux. Laurie Shannon, my thesis advisor, really inspired and challenged me to reconsider radically the sonnet’s deer while, at the same time, coursework with Barnor Hesse was deeply influencing how I thought about the boundaries of the human.

Postcolonial African American Studies with Barnor Hesse


Diagnostics is an important field in medicine because it can help improve patient care, prevent expensive therapies, and increase the survival rate through conducting early treatment. Recently, the role of medical diagnostics has drawn more attention and the market has grown. After I joined Professor Meade’s research group, we decided to pursue research that will enhance the development of biosensors, a popular diagnostic tool, based on the previous work of the group on electron transfer and weak interactions. While I was doing research in the Meade group, I was really inspired by Prof. Meade’s passion in science and in applying chemistry to the medical field. Further, in my junior year summer, I interned at Amgen Inc., where I saw how scientific innovations were brought out from the laboratory to the market to treat the patients and really make a difference. This experience motivates me to continue my research from the Meade group by going to graduate school. Medicinal Chemistry: The Organic Chemistry of Drug Design and Action (taught by Prof. Richard Silverman)

Immediately after graduation, I stayed at Northwestern for the summer quarter to finish up my master’s thesis research for the BS/MS program. In August, I moved back to California (my home state) to start work at Tesla Motors as a battery engineer. I’ve been at Tesla for almost eight months now and am really enjoying being a part of the fast-paced, innovative Silicon Valley culture. I’ve always been really interested in renewable energy research. When I got to Northwestern I got in contact with a few professors who were doing research in batteries, solar cells, fuel cells, and other technologies. The research in the Stupp Lab seemed the most interesting to me so I got involved! My mentor, David Herman really inspired me. He was the PhD student I was working with throughout my undergraduate research career. I learned a lot valuable lessons about research and more from Dave and we still keep in contact today. My favorite class at NU was called “Emotional Intelligence.” It was a new course in McCormick my senior year and it dealt with topics that aren’t traditionally a part of an engineering degree like empathy, stress management, love, and social responsibility, among others. I think a similar class should be taken by every engineering student; the lessons I learned from Emotional Intelligence have been more important than those I learned in any traditional engineering course.

NURJ Interview 2012–13 “Best Senior Thesis” Winners




Mathematics / MMSS

Philosophy & Mathematics

Cognitive Science / Psychology

Ph.D in mathematics at MIT, specializing in probability theory.

I just started a job last week at Epic, a healthcare IT corporation.

I now work in downtown Chicago as a data analyst for an online marketing agency.

I became interested in probability and analysis as a result of my coursework. Professor Elton Hsu, a professor for one of my classes and my eventual advisor, suggested this topic as something which would be interesting yet accessible to an advanced undergraduate student.

The idea came from an attempt to merge my love for political philosophy with my love for the Internet, as well as my insistence that philosophy must be meaningful to people’s lives today.

I had been fortunate enough to have worked in Dr. Paul Reber’s lab and had been involved in conducting other studies exploring memory systems. As this was a natural interest of mine, I discussed potential options with Dr. Reber and this study became the next-step in further investigating this topic.

Many excellent professors in the math and MMSS departments.

The biggest influence was my thesis advisor, Prof. Charles W. Mills. He guided me throughout the whole process and even helped me come up with the idea.

Dr. Reber was such a great advisor to me during my time at NU. He was very supportive in teaching me and giving me the tools to conduct academic research and experience all that entails. Dr. Jaime Dominguez was my WCAS advisor who supported me while I was still finding my way academically, and also helped me take my first steps into academic research through the Posner Fellowship Program.

Hard to name just one. I especially enjoyed Math 321-1,2,3 (undergraduate analysis) and Math 410-1,2,3 (graduate analysis), and Math 450-2 (graduate probability)

Global History with Prof. Georgi Derluguian, it totally changed the course of my career.

My freshman seminar: Games, Theory, and the Brain taught by Dr. Reber. it was a fun and thoroughly interesting first introduction in the way the brain works while studying game theory and its applications.

Earth & Planetary Sciences, Integrated Science Program, & Environmental Science I am currently doing a DAAD research fellowship in Germany, studying the mechanics and turnover time of carbon cycling in soil at the Max Planck Institute for Biogeochemistry. I was interested in learning about the relationship between climate and the carbon cycle. My advisor, Professor Sageman, provided expert guidance in formulating a research question. My advisor Professor Sageman and also Professor Hurtgen and PhD students Maya and Young Ji.

I loved neurobiology, flamenco, all the plant biology and conservation classes, and all of the ISEN courses I took. VOLUME 09, 2013 – 2014



(Left Jasmine Jennings, Center Katie Singh, Top Right Christopher Rowe, Bottom Right Ayanna Legros)


Majors/Minors What have you been up to since graduation?

How did you come up with your research question?

Who inspired you as you conducted your research?

Favorite class at NU?





Art History & International Studies

Political Science / Global Health Studies

MMSS, Classics, & Mathematics

African American Studies & International Studies

I work at the Smithsonian American Art Museum as a curatorial assistant.

Since graduating, I have been writing about progressive politics in Texas.

I took a trip to Italy for a couple of months in the fall, which was great. I have been tutoring and interning at a Philadelphia-based research company while I figure out my next step.

I currently teach at a charter school in Harlem. This coming fall, I am entering a Masters Program in Africana Studies at NYU.

The director of my study abroad program in Buenos Aires is the former director of the Museo Nacional de Bellas Artes. On our first day he gave us a tour of the museum and I noticed Room 24 right away. It was begging to be written about!

I came up with the idea for my research after observing a disconnect between how poverty was treated in an academic setting versus how it was in real life.

I love baseball and game theory, so when I found a way to connect the two, I had to take advantage of it.

I’ve been really influenced by the philosophies of Emanuel Levinas, which discuss ways to confront something that is “other” from yourself. I expanded this to looking at groups of people who are considered “other” than the dominant society.

My thesis advisor, Ben Page, was really influential and helped me a great deal with the project.

Professor Rogerson, the director of MMSS and my thesis advisor, helped me at every step of the way. I first became really intrigued by game theory when I took his class in my junior year.

This research project was inspired by a trip to Venezuela with my parents in 2005, a talk given by the Venezuelan Consulate of New York City honoring Haitian independence in 2012, and a Black Politics in Latin America class that I took as an undergraduate at Northwestern. These three events challenged and forced me to deconstruct black identity in Latin America, as well as understand how race influences ideologies surrounding national identity, diaspora, and migration.

I enjoyed my seminars with the Brady Scholars Program immensely. That’s where I first learned of Levinas.

Sex and Scandal in Early Modern England.

This might be cheating, but writing a thesis was the best “class” I took. It was by far the most educational and rewarding experience I had at Northwestern.


1) Black Politics in Latin America 2) Race, Gender, and the Holocaust


Northwestern University offers several opportunities that are designed to assist undergraduates with independent research.

Office of Undergraduate Research

Office of Fellowships

Undergraduate Research Assistant Program (URAP)

Undergraduate Research and Arts Exposition

The Office of Undergraduate Research supports several undergraduate research programs, including Academic Year/ Summer Undergraduate Research Grants and the Circumnavigators Travel-Study Grant. It also provides valuable information on sources of research funding once you have an advisor and project in mind. <http://undergradresearch.northwestern.edu/> Among the best resources on research, internship and fellowship opportunities is the Office of Fellowships. With the support and guidance of the Office of Fellowships, countless Northwestern students have won national research grants, including the Fulbright U.S. Student Program. Browse the website and stop by the weekly Fellowships Forum, held every Thursday at 4 PM during the academic year. <http://www.northwestern.edu/fellowships/fellowships/for-research-internships/undergraduate-applicants.html> Through the URAP, students work with faculty members on their research and/or creative projects. The URAP is open to all undergraduates at Northwestern. It provides a great opportunity to gain research experience and receive mentoring. The projects are listed on the website allow interested students to submit applications and communicate directly with the professor. <http://undergradresearch.northwestern.edu/urap> Attend the Undergraduate Research and Arts Exposition and learn about original research and creative work conducted by Northwestern undergraduates. For students conducting research, consider submitting an application.


Humanities Research Workshops

Department Websites

The Office of the Provost has created a series of workshops for those interested in humanities research. The workshops provide background information on performing research and developing research proposals, as well as advising and mentorship. <http://undergradresearch.northwestern.edu/hrw> Ask your department about department-specific research opportunities. Also, look on the department website for a "Research" tab.

VOLUME 09, 2013 – 2014



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