2011-2012 Issue

Page 1

Volume 7 | 2011-2012 Northwestern University

CONTENTS Political Science Religious Studies

Northwestern Undergraduate Research Journal VOLUME SEVEN | 2011-2012

India and Singapore: The Impact of Elite Choice and Public Support on PostColonial Democratic Success | Shaon Ahsan


Healing More than a Disease: Catholic FBOs in Africa’s Era of HIV/AIDS | Anna Martin


Report from Paris: The 12th century Tomb Slab of Queen Frédégonde | Luke Fidler


US-China Trade: A Vector Error Correction Model | Brandon Zaharoff


Fluctuating and Directional Asymmetry: Skeletal Evidence for Life History Theory and Human Evolutionary Ecology in Archaeological South Dakota Arikara Samples Blake Erickson


Singing in Chains: Dylan Thomas and His Resistance Toward Death | Brandon Ng


Southwest to the Rescue? An Investigation of Hub Premiums and Southwest Airlines Suzanne Chang


Biological Sciences

Targeting MircoRNA-21 for Therapy Against Prostate Cancer Progression and Metastasis | James Lee



Cultivating Community: Space and Capacity in Urban Gardens | Emily Wright


ROOTS of EARTH: A New Genre of Mythic Performance | Britt Banaszynski


Female Entrepreneurship in Dakar, Senegal: Factors, Pathways, and Obstacles Katherine Northcott


Liberty, Equality, Brotherhood… and Secularism? The Codification of Cultural Values in France | Patricia Radkowski


An analysis of limb element asymmetry in an Ancestral Puebloan population Kendra Sirak


Watch What You Say: Spoken Self-Statements, Emotion, and Behavior | Alcina Lidder


Civic Participation and the Environment: An exploration of volunteering motives of college-aged students | Pavan Krishnamurthy and Emma Solanki


Leptin Levels in Lean Adult Filipino Populations | Omar Jamil


Art History MMSS Anthropology

English Literature Economics

Theater Economics and African Studies Legal Studies Anthropology Psychology Environmental Policy and Culture Anthropology

Acknowledgments and Staff


From the Editors


About NURJ


Research: Get Involved


About the Contributors


You can also view the journal online at http://groups.northwestern.edu/nurj

ACKNOWLEDGEMENTS The staff of the Northwestern Undergraduate Research Journal would like to express its appreciation of all those who recognize and contribute to our endeavors. Without their support, we would be unable to produce the 2011-2012 edition of the Journal. First, we would like to thank Morton Schapiro, President of Northwestern University, along with Provost Daniel I. Linzer and Ronald R. Braeutigam, the Associate Provost for Undergraduate Education, for their generous patronage. We are especially appreciative of our faculty adviser, Professor Allen Taflove of the Electrical Engineering and Computer Science Department, for his unwavering dedication to NURJ as a whole. His direction and guidance allow us to produce the best version of the Journal possible. We value the work of our Chief Designer, Chrissy Lee, who did a fantastic job designing the Journal on especially short notice. Thank you also to our cover designer, Vasiliki Valkanas, our webmaster, Nic Roth, and the staff of Quartet Copies for their quality print job. Finally, we would like to acknowledge the members of the Faculty Review Board for contributing their time and expertise to maintaining the quality and integrity of the 2011-2012 Northwestern Undergraduate Research Journal. NURJ OFFICE TECHNOLOGICAL INSTITUTE, ROOM M471 2145 SHERIDAN ROAD EVANSTON, IL 60201 EMAIL NORTHWESTERN.URJ@GMAIL.COM SUBMISSIONS.NURJ@GMAIL.COM

Northwestern Undergraduate Research Journal VOLUME SEVEN 2011 - 2012


Mission Statement The Northwestern Undergraduate Research Journal provides students with the opportunity to experience writing and submitting original research. The goals of the Journal are to encourage dissemination of ideas, increase undergraduate involvement in research, and recognize the impressive work being performed by undergraduates at NU. The views, statements, and conclusions expressed in the Northwestern Undergraduate Research Journal are the authors’ own and not necessarily those of the Journal or of Northwestern University.


FROM THE EDITORS To the Northwestern Community: Whether you picked up a copy of this Journal as an undergraduate, postgrad, faculty member, or administrator, we are certainly glad you did! This year we have decided to print an unprecedented number of articles and abstracts from the widest range of academic fields. Our hope in doing so is to allow our readers to experience in full the diversity of research being performed by undergraduates at Northwestern. Within these pages, we invite you to explore the process of creating a unique theatrical experience, to follow the research being done on prostate cancer, to consider the effectiveness of Southwest Airline’s marketing strategy, and to examine a 12th-century tomb slab from Paris. As you peruse the abstracts and articles, we invite you to consider starting your own research project. The Northwestern community is full of opportunities to get involved in research. As a starting point, we would point you to undergradresearch.northwestern.edu, where you can engage in the dialogue of URGs, Language Grants, Circumnavigators Travel-Study Grants, and more! Or if you’re already engaged in research, we encourage you to submit your work for consideration in next year’s Journal to share it with your Northwestern peers. We hope you enjoy the 2011-2012 edition of the Northwestern Undergraduate Research Journal.


Alina Dunbar

Angelica Kielbus

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INDIA & SINGAPORE: The Impact of Elite Choice and Public Support on Post-Colonial Democratic Success

Shaon Ahsan



Conventional theories discussing homogeneity, wealth, and a British colonial legacy as factors determining democratic success have failed to describe political development in democratic India and authoritarian Singapore. In “India and Singapore: The Impact of Elite Choice and Public Support on Post-Colonial Democratic Success”, a paper detailing results from a departmental honors thesis in Political Science, the author uses a wide variety of primary and secondary sources to answer the question of why democracy has succeeded in India yet has failed in Singapore. She argues that the decisions made by the respective political elites of India and Singapore, namely their first prime ministers after independence, determined their democratic success. The choices of these elites, made within the context of post-colonial challenges, were later reinforced by segments of their respective populations. By outlining these processes, the author hopes to fill a substantial gap in Political Science literature as it relates to democratic success.

India and Singapore are anomalies in Political Science. Conventional theories, describing homogeneity, wealth, and a British colonial legacy as factors contributing to a state’s democratic success or their abilities to consolidate a democracy, fail to explain why India is democratic and Singapore, authoritarian. In attempting to fill a significant gap in Political Science literature, I argued in my honors thesis that democratic success in India and Singapore was largely determined by the political elites, who made conscious choices to pursue a certain regime after independence; their decisions were reinforced, over time, by segments of their respective population. This paper summarizes many of the findings described in that thesis. Why has democracy succeeded in India yet has failed in Singapore? Some political scientists argue that homogeneous states are more likely to achieve democratic success than heterogeneous ones as homogeneity prevents “political entrepreneurs” from fragmenting society based on ethnolinguistic and religious concerns.1 Quite often, political entrepreneurs encourage conflict among different communities thereby destroying the values of “compromise and consensus” needed for democracy to flourish.2 Though many homogeneous countries have experienced democratic success, this theory fails to describe the reality in heterogeneous and democratic India, which boasts 22 national languages and practitioners of five major reli8


gions, and homogeneous and authoritarian Singapore, where three-quarters of the population descends from mainland China.3 In comparison, other scholars such as Seymour Martin Lipset highlight that rich states, not poor ones, tend to find democratic success as their populations experience “occupational specialization, urbanization, and higher education levels”, factors correlated with greater acceptance of democratic ideals.4 Still, this theory does not account for the differences in democratic success as India formed a democratic state in spite of being one of the poorest countries in the world: “More of the world’s poor live in India than in all of sub-Saharan Africa” and 456 million people out of a population of one billion live “below the international poverty line of $1.25 a day”.5 In contrast, authoritarian Singapore is the 27th most developed state in the world, according to the United Nations, and contains an overwhelmingly middle class population, with more than two-thirds to three-fourths of the “working population” earning $3,600 per month.6 Finally, some scholars including Myron Weiner and Diamond et al. have argued that former British colonies are also predisposed to democracy as the British had taught the indigenous elites about democratic ideals such as “imposing limits on government, of establishing norms for conduct of those who exercise power, and of creating procedures for management of conflict” during the colonial period.7 They also encouraged

RESEARCH the indigenous population to participate in elections, creating “democratic patterns of behavior and trust in competition”, which enabled democratic success after independence.8 Though both India and Singapore were British colonies from 1858 to 1947 and 1819 to 1963, respectively, elite choice and public support rather than a British colonial legacy determined their democratic success. The impact of elite choice and public support on democratic success Unlike those who emphasize heterogeneity, wealth, and a British colonial legacy, I assert, like Dankwart Rustow, that decisions made by elites, particularly after independence, matter for democratic success.9 In the cases of India and Singapore, namely those choices made by their countries’ founding prime ministers, Jawaharlal Nehru (r. 1947-1964) and Lee Kuan Yew (r. 1959-1990), respectively, were primarily responsible for differences in democratic success. In both of these countries, these men transitioned their states to particular regimes in order to undercut certain sociopolitical or economic problems present after independence. Nehru, for instance, turned to democracy as the solution to undermine ethnolinguistic and religious conflict, while Lee chose authoritarianism as a means undermine threats from communal and communist elements and jumpstart economic development. I argue that public support for the existing regime also determines democratic success. For instance, in a democratic state such as India, public support reinforced the regime in times of great stress, enabling it to endure as had occurred during the elections of 1977. Two years earlier Nehru’s daughter, the late Prime Minister Indira Gandhi (r. 1966-1977; 1980-1984), imposed authoritarianism in India in response to supposed political chaos. In the 1977 elections, the Indian electorate dissatisfied with authoritarian policies and ever committed to democratic rule voted her and the Congress Party out of office. In contrast to democratic India, the middle class’s support for authoritarianism in Singapore helped to further entrench the regime thereby preventing democratization. Indeed, Singapore’s middle class have not showed any interest in democracy as they continue to benefit from their authoritarian leaders’ economic policies. Methodology In my original thesis, I used a combination of primary and secondary sources, many of which were reused for this paper, describing the impact of Nehru and Lee’s decision to pursue a democratic or authoritarian regime after their respective independence and the reasons these regimes persist. I incorporated Nehru and Lee’s published essays and interviews, speeches, and memoirs, and census and other statistical data to better VOLUME 7, 2011-2012

understand the reasons behind their decision to establish either democratic or authoritarian rule. Furthermore, I used constitutions, polling data, and articles from national and international publications to learn of the outcomes and public reactions to their policies. In addition, I depended on biographies to learn more about the personalities of these leaders and consulted histories of India and Singapore to learn about the important political trends that had occurred since Indian and Singaporean independence. I supplemented all of these sources with articles and books that concerned democratic theories, British colonialism, and postindependence regimes in former British colonies. It is important to note that I limited my discussion on elite choice to those decisions made under Nehru and Lee instead of other elites in India and Singapore. Most of the histories and other source material described their overwhelming influence on determining the regimes in their respective states. Indeed, many others influenced the political outcomes for both of these states, but little compared to Nehru and Lee. Even after Nehru’s death and Lee’s retirement in the 1990s, their respective ideals and institutions continued to impact politics in their respective states. India After India received its independence from Great Britain, Nehru labored tirelessly to establish democratic rule in order to undermine a number of serious problems facing his state. One of these problems came in the form of Hindu, Muslim, and Sikh communalism, which had resulted in an extremely violent and emotionally devastating Partition around the time of independence. Fearing that lingering tensions among these communities would fragment the Indian state even further, Nehru called on his compatriots to forgo “narrow-mindedness”, which oft fueled communalism.10 Though he remained committed to diffusing tensions among India’s religious communities, incidents such as Hindu nationalist Nathuram Godse’s assassination of his friend Mahatma Gandhi and the formation of a Sikh separatist movement in north India confirmed that hostilities remained.11 In addition to communal tensions, numerous ethnolinguistic groups pressured Nehru to create for them semi-autonomous polities or ‘states’. Given the fragile sociopolitical climate after independence, he hesitated since he felt that the formation of such states might result in greater fragmentation in India: “The country had just been divided on the basis of religion; would not dividing it further on the basis of language merely encourage the break-up of the Indian Union”.12 Though he succeeded in persuading certain political leaders of the logic behind his decision, ethnolinguistic communities such as the Kannada, Marathi, and Telegu continued to push for them. Owing to the threat of fragmentation from the reliNORTHWESTERN UNDERGRADUATE RESEARCH JOURNAL


RESEARCH gious and ethnolinguistic communities of India, Nehru, an idealistic but pragmatic leader, believed democratic rule could reestablish and further entrench the “tolerance of heterodoxy and pluralism”, which had allowed these elements to coexist for two millennia. 13 In a speech entitled “Free India is One Year Old”, he called on his countrymen to “build up a free and democratic India, where the interest of the masses of our people has always [been] the first place to which all other interests must submit”.14 He continued that “Freedom has no meaning unless it brings relief to these masses from their many burdens. Democracy means tolerance, tolerance not merely of those who agree with us, but of those who do not agree with us”.15 In the years following this speech, Nehru, who was part of the Constituent Assembly, worked with his colleagues to incorporate these principles into India’s Constitution. Using the Constitution to establish democratic rule Using the Constitution, Nehru and his colleagues in the Constituent Assembly tried to manage the problem of heterogeneity, which often hampers democratization. They incorporated various ‘provisions’ into the Constitution in order to address the concerns of these diverse communities and prevent the rise of the divisive political entrepreneurs. The various ethnolinguistic and religious groups of India, particularly minorities, were provided with full protection under the law, the abilities to govern their cultural and religious affairs, proportional representation in the parliament and cabinets, and even a minority veto, which would allow minorities to “block any attempts to eliminate or reduce” their autonomy.16 Truly, their efforts, particularly Nehru’s, helped to further transition India into democratic rule. Support for democratic rule from the Indian electorate The Indian electorate has reinforced Nehru’s decision to pursue democracy over time, particularly when they ousted his daughter from office in 1977. Two years before this incident, Prime Minister Gandhi declared a state of emergency, whence she suspended “all political freedoms” such as the freedom of speech and participation in elections and the parliament, arrested all political dissidents, and subjected the lower classes to forced sterilization and housing demolition campaigns.17 Convinced the members of the opposition were actively trying to oust her from power after they had accused her of fraud, tried to assassinate her, and succeeded in assassinating a minister in her government, she announced that “some authoritarianism was needed to thwart a ‘deep-rooted conspiracy that would have ‘led to economic chaos and collapse’”.18 However, making a surprising move on January 18, 1977, Gandhi declared that elections would be held later that year as India had achieved some measure of political ‘stability’. Because the election date had been set for the 10


middle of March, only two months after she had made the announcement, Gandhi assumed she would easily win and thereby solidify her rule. 19 After all, the opposition parties were deeply divided on key issues and were not given enough time to unite against her. To her surprise, several of these national and regional parties that formed the opposition joined together to form a coalition called the Janata Alliance under the leadership of her old foe, Morarji Desai. Fearing “an electoral defeat [against her] would probably ensure the institutionalization of authoritarian measures”, the parties in the Janata Alliance not only united against Gandhi but also turned the election into a referendum on authoritarianism. 20 The results of the election, in which 194 million people out of 320 million registered voters turned out to the polls, resulted in an overwhelming defeat for Prime Minister Gandhi. Her opponents in the Janata Alliance won 51 percent of the popular vote while Gandhi’s Congress Party received 30 percent and their first defeat in Indian history.21 The Janata Alliance also swept elections in the northern Indian states such as “Haryana, Himachal Pradesh, Rajasthan, Orissa and Delhi”, which had been a Congress Party stronghold for decades and achieved significant majorities in the south.22 Moreover, Prime Minister Gandhi lost her parliamentary seat in Rae Bareli district by a margin of 55,000 votes.23 The election results clearly demonstrate the Indian electorate’s discontent with authoritarian policies in addition to their commitment to democratic rule. Because Gandhi had suspended political freedoms such as the freedom of speech and participation in elections and closed parliament, the Indian electorate could neither influence the creation of public policies nor remove them if they were unfavorable; thus, they were made to suffer due to harmful policies such as forced sterilization and urban housing demolition.24 In addition to their dissatisfaction with authoritarian policies, the Indian electorate also felt committed to democratic rule as it best safeguarded their rights. Under the authoritarianism, certain government officials often denied the public crucial services if they did not conform to harmful government policies.25 In contrast, democratic rule would allow them to restore their power over elected officials: “the decline of the elected official made the vulnerable to arbitrary authority, and that even corrupt elected officials [who could be voted out of office] were preferable to the authoritarian regime under which they were now living”.26 Singapore Like India, newly independent Singapore also faced serious challenges. After Singapore left the Malaya Federation in 1965, which they joined shortly after their independence from Great Britain two years prior, Lee turned to authoritarianism to remedy a number of problems facing the state including communalism. In his memoirs, he describes that people fleeing communal

RESEARCH unrest in neighboring countries frequently relocated to Singapore, seeking refuge with family members and friends, and would relay them news of violent ethnic conflicts, which would in return spur violence in the state.27 Such had occurred after the Malaysian elections of 1969, when Malays there were allegedly “attacked” by “Chinese groups”, resulting in “‘a violent anti-Chinese’ reaction and several deaths”.28 After members of the Malaysian Chinese fled to Singapore, they recounted stories of brutalities the Malays inflicted upon their communities, which spurred violence against the minority Malay community in Singapore.29 Because members of the Singaporean armed forces were biased towards their respective ethnic communities, law and order become difficult, creating a chaotic and hostile atmosphere.30 In addition to communal unrest, Lee believed communism would continue to threaten newly independent Singapore. Though not as serious as the communalism, communist groups had started challenging the establishment during the colonial period and had not subsided after independence.31 The communists, particularly from mainland China, had cultural or familial ties to the Chinese in Singapore and, thus, had a network of individuals from which to recruit new members to carry out communist activities such as conducting demonstrations against the government, hampering Lee’s ability to rule.32 Moreover, Lee also noticed that Singapore suffered from a continued lack of economic development after independence; it had “less than 100 million [dollars] in the kitty”.33 Indeed, it had neither directly benefited from international trade that occurred on the island during the colonial period nor profited economically from their participation in the Malaya Federation.34 Furthermore, Singapore was also “faced with a lack of physical resources and a small domestic market”, both of which affected Singapore’s economic growth.35 Given this combination of challenges, Lee experienced a significant psychological and ideological transformation.36 He feared that Singapore may not survive as it no longer had a foreign power on whom to depend for support to remedy the various problems in the state: “There is no British army and, much as the Malaysians think that they can step in, I think they will find that this is a real hornet’s nest if they do step in”.37 According to Randolph Kluver and Ian Webber, “the nation has had to define its role from a defensive posture”, and around the time of independence Lee had to forgo the goal of democracy in order to pursue authoritarianism, which would allow for the rapid creation and implementation of public policies to ensure political order and foster economic development.38 Using the courts to establish authoritarianism in Singapore Lee tried to establish his authoritarianism through the limitation of public discourse. In order to establish VOLUME 7, 2011-2012

the level of conformity needed to ensure the successful and swift implementation of his public policies, he used libel suits to impose “harsh financial penalties and restrictions” on his critics, including those in the media and in the Parliament.39 For instance, he sued the Far East Economic Review (FEER) and its editor, Derek Davies, for “quoting a renegade priest” that claimed the “government had attacked the Catholic Church” after they arrested more than seventeen of its members for being “Marxist conspirators”.40 In his memoirs, Lee maintains the courts fined both FEER and Davies for their transgressions as they had meddled in “Singapore’s domestic affairs”.41 Furthermore, he also filed two major libel suits against opposition member, J.B. Jeyaretnam, in the span of two decades; the first, to punish Jeyaretnam for calling Lee “unfit to be prime minister” and, the second, for suggesting that he had encouraged a government minister to commit suicide.42 Both criticisms, he maintains, could have hurt his credibility as a leader, and in return convinced some Singaporeans not to cooperate with his policies.43 Indeed, such libel suits had a significant impact on transitioning Singapore to an authoritarian regime. Support for authoritarianism from the Singaporean middle class Authoritarianism in Singapore has endured for over four decades due to the support it has received from the middle class, the reason for which can be attributed to some of the highly beneficial economic policies the leaders of the ruling party, the People’s Action Party (PAP), which resulted in economic growth. Shortly after independence, they actively tried to persuade multinational companies to use Singapore’s bevy of low-skilled laborer’s “to produce electronics such as tape-recorders, televisions, and computers for export”.44 Through their efforts they were able to cut unemployment in half; however, when Singapore faced “stiff [and often debilitating] competition” from other Asian countries, they quickly turned to creating a “new industrial policy”, which focused on developing high tech, high growth industries such as “computer and computer peripherals, auto parts, and organic chemicals”.45 Because the government was able to generate high profits, they were able to increase wages for their employees, which allowed them to have access to better housing, education, social status, and ultimately a better quality of life. Catherine Lim maintains as more and more Singaporeans joined the middle class over time, they developed an attitude called “moneytheism” or an “attachment to influence”.46 Her assessment is consistent with the results of a survey conducted by the Singapore 21 Committee in 1997, in which middle class Singaporeans indicated that they equated wealth with success, and 60 percent would choose higher salaries over career satisfaction.47 Keiko Tamura asserts based on this survey that the “Singaporean dream” is “to obtain the 4Cs: a credit card, club NORTHWESTERN UNDERGRADUATE RESEARCH JOURNAL


RESEARCH membership, condominium, and a car”.48 She continues that “becoming rich and obtaining the 4Cs means working in some sort of professional or managerial job that provides a high salary, and this means getting drawn onto the side of” their authoritarian leaders, who have both created and continually provided them with opportunities to expand their wealth.49 Indeed, it must be reasserted that the middle class in Singapore has not been a major driver of the economic growth that has increased their wealth; instead, they have depended on the “strategic government-owned corporations” especially in the first few decades after independence, when the predominately impoverished population received opportunities to become better educated and thereby increase their wealth.50 David Brown and David Martin Jones maintain that this has created the feeling in the Singaporean middle class “owes” much to their authoritarian leaders for their success and that the continuation of authoritarianism would mean that political leaders would provide them with more benefits in return for their support.51 Lam Peng Er argues that their continued dependence on their authoritarian leaders is the prime reason that Singapore has not democratized in spite of their tremendous wealth.52 For democratization to occur in such a developed state, a segment of the population, preferably the middle class must be “autonomous” from their authoritarian rulers in order to develop political attitudes that are in opposition to the regime.53 However, a truly independent middle class is yet to be developed in Singapore. Conclusion Thus, elite choices and differences in public support for the existing regime determined levels of democratic success in India and Singapore after independence. In India, Nehru made the decision to pursue democratic rule in India in order to undermine the threats from ethnolinguistic and religious communities. Over time, the Indian electorate reinforced democratic rule and sent a message to future leaders that they would not accept authoritarianism. In contrast, Lee established authoritarianism to combat the serious problems of communalism and communism and limited economic development. Authoritarianism remains in Singapore because the middle class continues to give it support in exchange for material benefits. In the future, it will be interesting to see the impact of elite choices and public support on democratic success in these two countries.

4 5 6 7 8 9 10 11 12 13 14 15 16

17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47

Acknowledgements I would like to thank Dr. Wendy Pearlman, Dr. Jeffrey Winters, and the Weinberg College of Arts & Sciences for helping me complete this paper.

48 49 50


51 52



2 3

Fish, M. S., & Brooks, R. S. (2004). Does Diversity Hurt Democracy? Journal of Democracy, 15(1).



Ibid. The National Portal of India. (n.d.). Retrieved from http://india.gov.in/ Department of Statistics, Singapore. (n.d.). Retrieved from http://www.singstat.gov.sg/ Lipset, S. M. (1959). Some Social Requisites of Democracy. American Political Science Review, 69-105. Burke, J. (2001, July 14). More of World’s Poor Live in India than in All Sub-Saharan Africa, Says Study. The Guardian. World Bank. (n.d.). India - New Global Poverty Estimates. Retrieved from http://go.worldbank.org/51QB3OCFU0 United Nations Development Programme. (2010). Human Development Index (HDI) 2010 Rankings. Retrieved from http://hdr.undp.org/en/statistics/ Tan, E. S. (2004). Does Class Matter? Social Stratification and Orientations in Singapore (p. 11). Weiner, M. (1987). Empirical Democratic Theory. In M. Weiner & E. Özbudun (Eds.), Competitive Elections in Developing Countries (p. 20) [Introduction]. Diamond, L., Lipset, S., & Linz, J. (1987, Summer). Building and Sustaining Democratic Government in Developing Countries: Some Tentative Findings. World Affairs, 150(1), 7. Rustow, D. A. (1970, April). Transitions to Democracy: Toward a Dynamic Model. Comparative Politics, 2(3), 337-363. Nehru, J. (1971).The Appointed Day. In Independence and After: a Collection of Speeches, 1946-1949 (p. 11). Guha, R. (2008). India after Gandhi: the History of the World’s Largest Democracy. New York: Harper Perennial. Ibid., 190. Sen, A. (2005). The Argumentative Indian: Writings on Indian History, Culture, and Identity (p. 80). New York: Farrar, Straus and Giroux. Nehru, J. (1971). Free India is One Year Old. In Independence and After: a Collection of Speeches, 1946-1949 (p. 13). Ibid. Part III: Fundamental Rights [Constitution of India]. (n.d.). Retrieved from http:// lawmin.nic.in/olwing/coi/coi-english/Const.Pock%202Pg.Rom8Fsss(6).pdf Lijphart, A. (1994). The Puzzle of Indian Democracy: A Reinterpretation. Unpublished manuscript. Retrieved from http://www.rgics.org/pdf1/wpo-18.pdf Indira Gandhi’s Dictatorship Digs In. (1977, July 14). Time Magazine. Ibid. Weiner, M. (1977, July). The 1977 Parliamentary Elections in India. Asian Survey, 17(7), 619. Ibid. Ibid. Jnapathy, V. (2005). Indira Gandhi: Woman of India’s Destiny (p. 101). Statistical Report on General Elections in India, 1977. (1978). Retrieved from Election Commission of India website: http://eci.nic.in/eci_main/StatisticalReports/LS_1977/Vol_I_LS_77.pdf Guha, 498-500. Weiner, 623. Brass, P. R. (1994). The Politics of India Since Independence (p. 44). Cambridge: Cambridge University. Lee, K. Y. (2000). From Third World to First: The Singapore Story, 1965-2000. New York: HarperCollins Publishers, Inc. Bass, J. R. (1970, February). Malaysia: Continuity or Change? Asian Survey, 10(2), 152. Lee, 22. Ibid., 23. Nam, T. Y. (1969-1970, Winter). Singapore’s One-Party System: Its Relationship to Democracy and Political Stability. Pacific Affairs, 42(4), 467. Christie, C. J. (2001). The Cold War and the Ideological Foundations of NonAlignment. In Ideology and Revolution in Southeast Asia, 1900-1980: Political Ideas of the Anti-Colonial Era (p. 187). Sundby, K. (2010, August 6). Lee Kuan Yew News - New York Times. Richardson, M. (1992, July 2). Singapore Asks: Why Do We Need An Opposition? New York Times. U.S. Department of State. (2011, December 2). Background Note: Singapore. Barr, M. D. (2000). Lee Kuan Yew: The Beliefs Behind the Man (p. 31). Ibid., 32. Kluver, R., & Webber, I. (2003, October). Journal of Communication Inquiry. Patriotism and the Limits of Globalization: Renegotiating Citizenship in Singapore, 27(4), 371-388. Riegel, 83. Means, G. P. (1996). Soft Authoritarianism in Malaysia and Singapore. Journal of Democracy, 7(4). Lee, 129. Means. Lee., 158-159. Ibid. Lee, E. (2008). Singapore:TheUnexpectedNation (p. 271). Singapore: Institute of Southeast Asian Studies. Krause, L. B., Tee, K. A., & Yuan, L. (1987). The Singapore Economy Reconsidered (p. 62). Lim, C. (1994, September 3). The PAP and the People – A Great Affective Divide. Strait Times. Retrieved from http://catherinelim.sg/1994/09/03/the-pap-and-the-peoplea-great-affective-divide Tamura, K. T. (2003, June). The Emergence and Political Consciousness of the Middle Class in Singapore. The Developing Economies, 41(2), 195. Ibid. Ibid. U.S. Department of State. Brown, D., & Jones, D. M. (1996). Democratization and the Myth of the Liberalizing Middle Classes. In D. A. Bell, D. Brown, K. Jayasuriya, & D. M. Jones (Eds.), Towards Illiberal Democracy in Pacific Asia. Macmillan. Ibid. Lam, P. E. (1999). Singapore: Rich State, Illiberal Regime. In J. W. Morley (Ed.), Driven by Growth: Political Change in the Asia Pacific Region. Armonk, NY: M.E. Sharpe. Ibid.


Healing More than a


Catholic FBOs in Africa’s Era of HIV/AIDS ABRIDGED VERSION Sub-Saharan Africa contains 68 percent of all AIDS cases but only 10 percent of the world’s total population. Over the years, fund raising and awareness of HIV/ AIDS has increased drastically, but epidemiologists have failed to produce consistent success in lowing HIV/AIDS prevalence rates in developing countries. My research examines Catholic faith-based organizations (FBOs) providing HIV/ AIDs care because of their heavy involvement in Africa and their view regarding contraceptives. Opponents of FBOs fear that the religious will impose their ideas regarding sexual purity on the marginalized and create more obstacles in HIV/ AIDS prevention by propagating stigmas and presenting an unrealistic strategic plan. However, my research shows that Catholics can be an effective governmental partner and in some cases have an advantage in fighting HIV/AIDS. Personal accounts of fieldwork in Africa indicate that practices on the ground concentrate on issues other than sexuality, and an analysis of ethics show that historic views on contraceptives may be waning. Furthermore, global health studies indicate that the disease has social, economic, and cultural components that are strongly influenced by the surrounding environment and that these factors must be addressed for successful prevention and treatment. Catholics have established ties in African communities and have a commitment to infrastructure development which has given them strength in addressing all aspects of the disease. My research concludes that all future HIV/AIDS strategies need to consider the disease beyond biomedical parameters. Introduction Today over 33.3 million people are infected with HIV/AIDS and another 25 million have already died from HIV/AIDS.1 In the past two decades, remarkable progress has been made. The developed world aptly reduced HIV/AIDS prevalence rates among its own citizens, but similar campaigns in Africa have failed to produce consistent success. In 2003, President Bush created the President’s Emergency Plan for AIDS Relief (PEPFAR) which dramatically increased US governmental HIV/AIDS spending and primarily supported twelve different countries in Africa.2 Controversy surrounded his decision to award aid to faith based organizations (FBO), since HIV/AIDS prevention depends on responsible sexual behavior.3 Under the Obama administration starting in 2008, FBOs have continued to receive a large share of PEPFAR funding with Catholic Relief Services, the third largest recipient, receiving $103,000,000.4 VOLUME 7, 2011-2012

Anna Martin



Despite their heavy involvement, Catholics have the most incompatible beliefs with secular HIV/AIDS prevention strategies because they view contraceptives as intrinsically evil. Official Catholic policy considers the use of condoms between sero-discordant marriage partners in which case one partner is HIV-positive and the other HIV-negative as illegitimate. Protestants also promote abstinence before marriage policies but do not object to birth control within a marriage between serodiscordant couples. While I do not want to dismiss the need for or importance of condoms in the battle against HIV/AIDS, I intend to show that developed countries’ obsession with sexual freedom and the power of medicine distorts the appropriate response. The culture-war on sexuality primarily resides in developed countries and obscures the benefits that FBOs contribute on the ground in developing countries. This disease has sociological, cultural, and economic components that need an appropriate NORTHWESTERN UNDERGRADUATE RESEARCH JOURNAL


RESEARCH degree of consideration if either prevention or disease management is to succeed. I will show why HIV/AIDS strategies cannot follow a strictly biomedical solution, reveal the strengths that FBOs provide, and examine official Catholic policy on contraceptives. Through my validation of Catholic FBOs, whose beliefs appear the most problematic, I hope to simultaneously validate the participation and actions of FBOs from other religious affiliations. African Specific Obstacles It is essential to identify country specific behaviors and beliefs that foster the spread of HIV/AIDS in order to understand how to create successful prevention and treatment plans. I. Gender In sub-Saharan Africa women account for 60 percent of HIV/AIDS cases.5 African societies “encourage the abuse of women … [and] view sex as male conquest” which creates a greater need to provide support directed towards marginalized women.6 When combating poverty and starvation, women are more vulnerable to contracting HIV/AIDS due to their increased probability of engaging in for-profit sex.7 Biologically, women also face an added threat because of the increased amount of surface area exposed on female’s genitalia compared to male’s, the greater amount of semen present during sex compared to vaginal fluid, and the increased amount of HIV in semen compared to vaginal fluids.8 These social and biological factors help to explain why HIV/AIDS affects women most severely in sub-Saharan Africa Furthermore, the migratory labor pattern in Africa increases sexual concurrency and threatens traditional familial units.9 When combined with women’s social status, the results are detrimental to African women’s ability to protect themselves from HIV/AIDS. A study among Zambian women showed that “only 11% of women believed that they had the right to ask their husbands to use a condom.”10 As a means for preventing infection, condoms are not a complete solution, because they require the consent of the male sexual partner, women-controlled prevention techniques are needed.11 II. Scientific Model of Healing For medical ailments, Westerners often look for a scientific explanation and derive a technical solution, whether it is a pill, vaccine, or surgery.12 In many cases, physicians have achieved great success when implementing Western healing to other contexts. It seems only natural that physicians follow a similar model for HIV/AIDS, with condoms providing the solution to prevention and antiretroviral drugs (ARVs) prolonging the life of HIV-positive patients. However, medical approaches to HIV/AIDS differ 14


from other cases in biomedical healing because a cure does not exist. ARV treatment requires lifelong treatment that is exponentially costly due to unpredictable future complications, whether disease remission or contraction of a different infection. This difference is crucial because Africans possess an inherent skepticism towards a strictly technical model of healing. Historically, African models of healing encompass the total person with “the real cause … in the social, religious realm.”13 Given a distrust of modern medicine, disease prevention methods and chronic disease management prove problematic. Regular condom use requires behavior change. Additionally, ARVs are more cumbersome than one vaccination. Patients need to take medicine continuously, visit their local hospital and clinic, and possibly attend continuous counseling. This new, endless method of medical treatment appears like a completely foreign process. III. Cultural Obstacle to Treatment Many African patients completely avoid diagnostic testing and treatment. In part, this may result from poor healthcare access, but it also results from cultural beliefs and the stigmatization of HIV/AIDS. Most diseases merely shorten one’s life or impair proper bodily functioning. HIV/AIDS is more deadly because it also compromises one’s ability to produce a viable lineage. HIV/AIDS not only disrupts sex, a lifegiving process, it uses this process to transmit death.14 Thus, HIV/AIDS not only prevents one from producing their own offspring but also represents a failure to continue their ancestors’ legacy. Thus, an infected person will not only suffer as an individual but will also have detrimental effects on his community and its future. In Africa, a diseased individual traditionally represents the physical manifestation of a disordered community, the result of unhealthy relationships among the living or dead members of the community.15 Africans must question the foundation of their community in order to determine the deeper significance. A sick community means no cure and no hope for the future which makes HIV/AIDS highly stigmatized and feared. This fear may deter many from seeking diagnosis. Africa’s history of colonialism and racial conflict also discourage many Africans from seeking out medical help and adhering to medical advice. Due to the sophistication of medicine, the average African has no manner in which to gauge the accuracy of the physician’s advice. Their instinct, based on the knowledge of an imperialistic past, ultimately influences their decisions and serves to disrupt Africans’ trust of ARVs, medicines developed by foreign whites.16 Because HIV/AIDS prevention and treatment require lifelong commitment and behavior change to produce effective results, this distrust – whether slightly or deeply ingrained – decreases the likelihood that Africans will adhere to only modern

RESEARCH medical treatment. Many experiment with traditional African healing since healers claim to have a cure to HIV/AIDS.17 Alternating between medical and African healing causes additional difficulties because ARVs will not produce the desired results, further impairing Africans’ trust in the foreign man’s advice. The beliefs regarding the motives of the foreign doctor, the fate of an HIV victim, and the limitations of medicine all have a presence in African culture and need proper consideration. Even if sufficient funding existed to provide Africans with condoms, ARVs, and proper medical attention from physicians, HIV/AIDS transmissions and deaths would likely persist. In order for Africa to achieve significant progress, the social and cultural components of the problem also need attention. Catholic Response I. Strengths The Catholic Church complements medicine by promoting the social aspects of HIV/AIDS treatment and offering a comprehensive model for healing. Technical healing addresses the physical component of the disease, and African healing aims to cure the disease by targeting the disharmony and disorder present in the community. Christian healing shares similarities with both: healing is ... the involvement with Jesus…with everything that diminishes our humanity, the powers of evil, the various contemporary idols of death. Health is therefore more than a mere absence of illness in whatever form, but implies wholeness, fullness of life.18

The story of the Gospel acknowledges that a complete process of healing requires patience, friendship, and love.19 Furthermore, Catholics believe that the Body of Christ connects the diseased with the healthy.20 Instead of occupying a distinct space from the healthy, this approach to healing directly promotes solidarity with patients and helps to eliminate HIV/AIDS related stigmas. The Church approaches healing as a lifelong process that needs broad community-based support rather than a single-factor based solution. This approach complements Africans’ perception of health in which one’s community is directly linked to healing.21 In addition to providing a holistic model of healing, the Church has a long history of protecting the marginalized. The disadvantaged have the least ability to obtain the medical attention they need, but they have the highest risk of disease contraction. In addition to healthcare, Catholic FBOs cover a full range of services from education to micro financing. Their commitment to social justice enables them to target the social and economic components of the disease by empowering women and eliminating poverty. The Church looks for people in need and acts as their advocate without any other agenda. The Catholic Church’s last major strength lies in its VOLUME 7, 2011-2012

extensive grass root ties. It established itself in Africa long before the HIV/AIDS crisis began and has already gained trust and community support: “Catholic masses in Africa…are not American priests in Africa; these are African priests in African parishes. I was the only white in the entire church.”22 With the leadership of the Catholic Churches in the power of Africans, it is apparent that the Catholic Church has gained the trust and support of African communities. Trust will enable agencies to help change social norms and values regarding sexuality, gender, and disease management. II. Contraceptives While the Catholic Church may effectively address the certain components, objections arise due to Catholics’ opposition to contraceptives. Even if condom use is not a panacea, a complete denial of its importance blocks progress. The Catholic Church believes that all people have the ability to abstain from sex until marriage and maintain fidelity within marriage, but we can conclude from simple observation that people do not unanimously adhere to Catholic teachings in practice. Additionally, condoms prevent the spread of HIV between sero-discodant couples within a marriage, and medical clinicians recommend the use of condoms during sexual relations between two HIV positive people in order to prevent re-infection.23 Thus, even in a chaste and faithful marriage, condoms have a necessary place if one or both partners are HIV positive. Observations and evaluations indicate that Catholic FBO volunteers focus on different issues when in the field than those residing in developed countries. Problems such as disease, poverty, death, and hunger prove far more pressing than issues of sexual freedom.24 Chris Carroll, a Northwestern sociology graduate student, described that during his fieldwork in South Africa the nuns heavily focused on ways in which they could stop the HIV/AIDS epidemic, and depending on the location, some nuns would keep condoms in their parishes to distribute.25 New York Times journalist, Nicholas Kristof, has observed similar practices on the ground, one priest whom he met said “that if he were pope, he would build a condom factory in the Vatican to save lives.”26 Practicality, rationality, and sympathy outweigh orthodox policy in the midst of the HIV/AIDS epidemic. Instead of focusing on issues of sexuality, Catholic FBOs focus on solving social and structural inequalities. Many FBOs still teach traditional programs geared towards abstinence. This type of program helps to provide a long-term methodological approach for addressing behavior change. In order to achieve a 90 percent reduction in HIV/AIDS prevalence rates by 2031, a global health forecasting report indicates that the average number of sexual partners needs to decrease by 70 percent.27



RESEARCH III. Encyclical Letter of Humanae Vitae The differing stances on condoms, between the orthodox and Catholic FBOs, produce a culture of hypocrisy.28 In order to ensure consistency in HIV/AIDS pastoral advice, several Catholic ethicists have already developed a new framework built on an African paradigm. Before we consider this new theological approach, we should first examine Catholics’ view on contraceptives in 1968 encyclical letter Humanae Vitae and dynamism within Catholic ethics. It is important to note that when this encyclical letter was written, AIDS was not an epidemic that captured the concern of the world. The main focus of this encyclical letter, the use of contraceptives to prevent pregnancy, rests on two important assumptions. Firstly, the Catholic Church believes that humans have the capability to abstain from sex outside of marriage and practice sex appropriately within a marriage. Marriage does not serve as an outlet to confine human sin, but rather it acts to create human life. Based on the church’s definitions of marriage, the text states that sex within marriage is a “noble and worthy” act.29 The important components of marriage, based on scriptural evidence, consist of a “unitive significance and procreative significance,” or a relationship based on total sharing and fecundity.30 The Church believes that sex fulfills both components in marriage since it helps to unite the couple and has the potential to produce offspring. Thus, sex is not only “noble and worthy” but necessary for “true mutual love.”31 While the Pope realizes that sex does not always produce human life, the document concludes that one must recognize and preserve the “intrinsic relationship [that sex has] to the procreation of human life.”32 Section thirteen, “Faithfulness to God’s Design,” considers why the “procreative significance” of sex matters. The premise of this sub-argument assumes that God designed all of our body parts to have a biological purpose and significance. To block the function of our body parts would be tantamount to blocking God’s design and working against God’s will. Just as God’s commandments regulate human actions in other spheres of life, sexual reproduction should also follow God’s will.33 Since blocking the functionality of our body parts defies God’s will, it only follows that the church deems any kind of contraceptive or sterilization immoral. Furthermore, the Church directs couples to maintain their family size through periodic abstinence which makes contraceptives unnecessary.34 This encyclical letter portrays condoms as intrinsically evil because they block contraception. A complete denial of condoms importance inhibits progress and effective prevention strategies. Yet, as noted before, this document aims to address a different audience than those primarily at risk in the AIDS epidemic. 16


IV. Dynamism in Catholic Ethics Church documents such as Dei Verbum and Lumen Gentium promote a dynamic Church tradition and continuous analysis of beliefs and moral teachings.35 At first, an incorporation of a newly justifiable act may appear as a radical move for an established religion to make “because it seems to imply that right and wrong changes depending on the decade we live in.”36 However, the development of a new view is acceptable if the meaning of the principle is expanded rather than abandoned.37 A shift takes time and progresses slowly so that new ideas and definitions naturally enter society rather than abruptly reshaping them. Since the intent of condoms has changed in the context of the HIV/ AIDS epidemic, it appears appropriate to reconsider the Church’s teaching of condoms in which the main intent is to prevent the spread of disease. Section fifteen in the 1968 encyclical letter of Humanae Viatae validates condoms when used as a therapy to cure a disease.38 For example, a hysterectomy is permissible when an agent intends to cure a disease rather than prevent future pregnancy upon the discovery of a tumor. The issue of controversy within the HIV/AIDS context questions whether disease prevention equates to the cure of a disease. The pope has denied this equivalence in the past. Yet, the Catholic FBOs that keep and distribute condoms indicates the multiple viewpoints on condoms within Catholicism and demonstrates a need to reexamine condoms from the context of the HIV/AIDS epidemic. Rather than questioning the meaning of the words “cure” and “prevention”, I will focus on how the expansion of a different principle can justify the use of condoms within marriage when the situation involves HIV/AIDS prevention. Historically, moral principles have served to provide meaning and direction when faced with moral dilemmas, and the 1968 encyclical letter of Humanae Viatae considers the morality of condoms from this perspective.39 In the context of HIV/AIDS, the perspective should change because pain and suffering are intricately involved. Medical anthropology recognizes that little meaning may exist in situations of suffering and instead, emphasis is placed on the need for survival.40 Note, “principles, however important are seen to be at the service of the fuller truth,” and in the context of HIV/AIDS the larger significance questions the quality of life and survival of humanity.41 By using the paradigm of suffering and placing importance on survival rather than meaning ethicists may gain a different perspective on the use of condoms. From this new paradigm, several ethicists have applied the principle of double effect to justify condoms. In the principle of double effect, a morally good or neutral act in which the agent intends a good end but also produces an unintended evil side effect is justified so long as the evil side effect does not act as means to the

RESEARCH good end and the degree of good produced proportionally outweighs the evil of the side effect.42 Therefore, the neutral act of using a condom within a marriage in which one or both partners have HIV/AIDS is used for the purpose of a good end, the prevention disease transmission. Contraception is merely a side effect. Ethicists reach this reevaluation – which states that an agent may use a condom to prevent disease transmission so long as the agent does not intend for its use to result in contraception –through a shift in focus (not abandonment) on Church traditions and scripture. Many principles of contraceptives remain unchanged. For example, this view would still condemn condoms for the purpose of contraception within or outside of a marriage. Pope Benedict XVI has not authorized the view of condoms from this paradigm. However, progress within the Church follows a slow and arduous path.43 The increased support among Catholic ethicists and actions of Catholic missionaries suggest that the moral teachings of contraceptives have the potential for great change and that opposition to condoms may gradually diminish. An eventual acceptance of condoms in the context of HIV/AIDS would help to unite “official” and “unofficial” policy and dispel confusion. Conclusion My research has shown that Catholics can be an effective governmental partner and in some cases have an advantage in fighting HIV/AIDS. Global health studies indicate that the disease has social, economic, and cultural components that are strongly influenced by the surrounding environment and that these factors must be addressed for successful prevention and treatment. Catholics have established ties in African communities and a commitment to development giving them much strength in addressing all aspects of the disease. Personal accounts of fieldwork in Africa indicate that practices on the ground concentrate on issues other than sexuality, and an analysis of ethics show that historic views on contraceptive may be waning and a new ethical approach already exists. The Catholic Church has abilities and strengths that science cannot target alone. Therefore, the Catholic Church’s resources, knowledge, and past experiences should be utilized when creating approaches for addressing the HIV/AIDS epidemic.

7 8 9 10 11 12 13 14 15 16 17 18 19 20

21 22 23 24 25 26 27 28 29

30 31 32 33 34 35 36 37 38 39 40 41 42 43 44

UNAIDS, “The Global HIV Challenge,” 88 “Women and HIV/AIDS,” The National Women’s Health Information Center, last modified March 4, 2009, accessed March 13, 2011, http://www.womenshealth.gov/hiv/ gender/index.cfm#biological. The AIDS2031 Consortium, AIDS, 9. Maria Cimperman, When God’s People Have HIV/AIDS: An Approach to Ethics (Maryknoll, New York: Orbis Books, 2005), 13. Paul Farmer, “Condoms, Coups, Ideology of Prevention: Facing Failure in Rural Haiti in Catholic Ethicists on HIV/AIDS, eds. James F. Keenan et al., 188 (New York: Continuum, 2000). Willem Saayman, “Aids, Healing and Culture in Africa: A Christian Mission Perspective,” Journal of Theology for Southern Africa, (March 1, 1992): 44, accessed March 9, 2011, Saayman,”Aids, Healing and Culture in Africa,” 45. Steinberg, Sizwe’s Test, 251 Saayman, “Aids, Healing and Culture in Africa,” 43. Steinberg, Sizwe’s Test, 139. Steinberg, Sizwe’s Test, 91. Saayman, “Aids, Healing and Culture in Africa,” 41. Katongle, “AIDS, Africa, and the ‘Age of Miraculous Medicine’,” 145. Bertrand Lebouche, Jean-Francois Malherbe, Christian Trepo, and Raymond Lemieux, “Religion in the AIDS Crisis: Irrelevance, Adversary, or Ally?,” in Applied Ethics in a World Church: The Padua Conference, ed. Linda Hogan, 174 (Maryknoll, New York: Orbis Books, 2008). Paul Chummar, “HIV/AIDS in Africa,” in Applied Ethics in a World Church: The Padua Conference, ed. Linda Hogan, 155 (Maryknoll, New York: Orbis Books, 2008). Andrew Natsios, interviewed by Luis Lugo, “Religion and International Development: A Conversation with Andrew Natsios,” The Pew Forum on Religion and Public Life, March 1, 2006. Stuart C. Bate, “Counseling: Differences in Confessional Advice in South Africa,” in Catholic Ethicists on HIV/AIDS, eds. James F. Keenan et al., 213 (New York: Continuum, 2000). Farmer, “Condoms, Coups, Ideology,” 109. Chris Carroll (Northwestern sociology graduate student), in discussion with the author, November 2010 Nicholas D. Kristof, “A Church Mary Can Love,” New York Times, April 17, 2010, accessed February 26, 2011, http://www.nytimes.com/2010/04/18/opinion/18kristof. html?scp=1&sq=catholic%20church%20mary&st=cse. The AIDS2031 Consortium, AIDS, 25. Bate, “Counseling,” 217. Pope Paul VI, Humanae Vitae, Encyclical letter on the regulation of birth (July 25, 1968). Vatican Website, accessed November 23, 2010, http://www.vatican.va/ holy_father/paul_vi/encyclicals/documents/hf_p-vi_enc_25071968_humanaevitae_en.html, para 5. Paul VI, Humanae Vitae, para 5. Paul VI, Humanae Vitae, para 5. Paul VI, Humanae Vitae, para 5. Paul VI, Humanae Vitae, para 14. Paul VI, Humanae Vitae, para 21. Marciano Vidal, “Progress in the Moral Tradition,” in Catholic Ethicists on HIV/AIDS, eds. James F. Keenan et al., 259 (New York: Continuum, 2000). Gallagher, “Catholic Medical Ethics,” 279. Gallagher, “Catholic Medical Ethics,” 273. Paul VI, Humanae Vitae, para 15. Gallagher, “Catholic Medical Ethics,” 281. Gallagher, “Catholic Medical Ethics,” 281. Gallagher, “Catholic Medical Ethics,” 281. James F. Keenan, “The Function of the Principle of Double Effect,” Theological Studies 54, no.2 (1993), 300. Gallagher, “Catholic Medical Ethics,” 315. Gallagher, “Catholic Medical Ethics,” 315.

Endnotes 1 2 3 4 5 6

The AIDS2031 Consortium, AIDS: Taking a Long-Term View (Saddle River, New Jersey: Financial Times Press Science, 2011), xi. “President’s Emergency Plan for AIDS Relief (PEPFAR),”AVERT(Averting HIV and AIDS), accessed March 5, 2011, http://www.avert.org/pepfar.htm. Scott H Evertz, the Council for Global Equality, “How Ideology Trumped Science,” (January 2010): 2, accessed March 13, 2011, http://www.americanprogress.org/ issues/2010/01/pdf/pepfar.pdf. “President’s Emergency Plan for AIDS Relief (PEPFAR).” UNAIDS, “The Global HIV Challenge,” 88 Emmanuel Katongle, “AIDS, Africa, and the ‘Age of Miraculous Medicine’,” in Applied Ethics in a World Church: The Padua Conference, ed. Linda Hogan, 144 ((Maryknoll, New York: Orbis Books, 2008).

VOLUME 7, 2011-2012




Report from Paris: THE 12TH CENTURY

Tomb Slab of Queen Frédégonde





Fig. 1. Tomb slab of Queen Frédégonde. Photo by the author.


s the monks of 12th century St-Germain-desPrés attempted to distinguish themselves from the profusion of religious institutions in medieval Paris, they commissioned effigies of the Merovingian kings who had, according to tradition, founded their church. In similar fashion to a contemporary project at the abbey church of St-Denis, this production of a royal necropolis used figural effigies to craft a particular narrative of history, memory, and power in order to enhance the church’s prestige. Unlike St-Denis, however, the St-Germain-des-Prés ensemble included an effigy for a woman, the Merovingian Queen Frédégonde. My current research project examines both the unusual decision to introduce a female ruler into a 12th century royal necropolis, and the anomalous rendering of the queen’s image. In December, 2011, I received an Undergraduate Research Grant to cover the costs of a research trip to Paris. I proposed to examine how the extensive sculptural and architectural activity at the abbey church of



St-Denis in the mid-12th century turned on the problem of death. Historians of medieval art and thought have traditionally used the explosion of innovation at St-Denis to mark the onset of the ‘gothic.’2 The demarcation of the church as a royal burial space at this seminal moment deserves further scholarly attention. In Paris, I surveyed a wealth of material evidence, focusing on the holdings of the Musée de Cluny and several medieval churches: the abbey church of St-Denis, StGermain-des-Prés, and St-Étienne-du-Mont. I also traveled to England, where I surveyed the holdings of the Ashmolean Museum in Oxford, and analyzed contemporary developments in tomb sculpture (the Temple Church in London) and pilgrimage architecture (Christ Church Cathedral in Oxford). My research suggests that the twelfth-century competition between St-Germain-des-Prés and St-Denis stimulated the commissioning of royal tomb programs in both churches, with the former emphasizing a connection with the Merovingian kings and the latter

ABSTRACT claiming ties to the Capetian rulers. Scholars have demonstrated that the two churches were in close dialogue during the mid-twelfth century.3 Why, then, did the monks of St-Germain-des-Prés take the unusual step of commissioning the effigy of a queen for their church, given that St-Denis commissioned no counterpart? Rendered in a hybrid of mosaic and enamel techniques (fig. 1), the tomb slab of Frédégonde baffles the few scholars who examine it. In marked contrast to the rest of the effigies in St-Germain-des-Prés and St-Denis, the effigy is two-dimensional. Although the slab is a cenotaph, commissioned by the monks for a long-dead queen, the tomb slabs of several contemporary queens suggest points of comparison.4 My research thus currently positions the anomalous effigy in a narrative of Capetian queenship. The slab material (precious stones and copper) resonates with propagandistic attempts to represent queens as saintly figures; in the theological rhetoric of the day, saints were metaphorically described as possessing bodies of “gold, silver, and precious gems.”5 Frédégonde’s position as a polarizing figure in the dynastic history of the Merovingians makes this attempt all the more unusual. A palace maid and concubine, she overcame her lowly station to marry King Chilperic I around 568. The monks at St-Germain-des-Prés would have interpreted her legacy through historical accounts that figured her as a monstrous exemplar; Gregory of Tours, in his widely read account, described her as a murderous, adulterous woman who “showed no fear of God.”6 Significantly, however, chronicles such as the later Liber Historiae Francorum also emphasized Frédégonde’s role as the matriarch whose machinations ensured both the royal prestige of St-Germain-des-Prés and the survival of her children, who constituted the surviving line of the Merovingian kings. Her burial in St-Germain-des-Prés presented the 12th-century monks with an incentive to rehabilitate her legacy. Ultimately, the tomb will offer significant insights into how scholars map questions of style and femininity onto the mid-12th century intersection of art and death. Even as the monks chose to render Frédégonde’s cenotaph in the anomalous format described above, they commissioned three-dimensional effigies for her husband and male counterparts. Clearly, the project of representing and rehabilitating a dead female queen suggested a new challenge for the monks; one they tackled in a highly distinctive way that can tell us much.

VOLUME 7, 2011-2012

Notes 1

2 3 4 5 6

The study resulting in this paper was assisted by a grant from the Undergraduate Research Grant Program which is administered by Northwestern University’s Office of the Provost. However, the conclusions, opinions, and other statements in this paper are the author’s and not necessarily those of the sponsoring institution. See Erwin Panofsky’s landmark publications Gothic Architecture and Scholasticism (New York, NY: Meridian Books, 1957) and Abbot Suger on the Abbey Church of St. Denis and its Art Treasures (Princeton, NJ: Princeton University Press, 1946). See William Clark, “Defining National Historical Memory in Parisian Architecture (1130-1160),” In Grégoire de Tours et l’espace gaulois: actes du congrés international, Tours, 3-5 novembre, 1994 (1997): 345-58. See Kathleen Nolan, “The Tomb of Adelaide of Maurienne and the Visual Imagery of Capetian Queenship,” in Capetian Women, ed. Nolan (New York: Palgrave MacMillan, 2003), 45-76. Jacques Le Goff, The Birth of Purgatory, trans. Arthur Goldhammer (Chicago: University of Chicago Press, 1984), 142. Gregory of Tours, The Merovingians, ed. and trans. Alexander Callander Murray (Peterborough: Broadview Press, 2006), 149.




US-CHINA TRADE: A Vector Error Correction Model Brandon Zaharoff


Robert Coen FACULTY ADVISOR DEPARTMENT OF ECONOMICS This paper uses vector error correction analysis in addition to standard regression analysis to study the long-run relationship of the US-China trade balance as well as exchange rates, relative prices, and real gross domestic product of China, the US, and OECDX (OECD excluding the US). The results indicate that an RMB appreciation would have a significant long-term effect on the real GDPs of the US, OECDX, and China as well as the US-OECDX real exchange rate and the US-China trade balance. There is also clear evidence for the J-curve effect and that the Marshall-Lerner condition is met for the US-China trade relationship. This study also highlights the evolution of Chinese trade policy over this time period and the implications of an appreciation on firms in both China and the US. Overall, the study suggests that a RMB appreciation would have a positive effect on the US-China trade balance and US and OECDX real GDP but a large negative effect on China’s real GDP. Still, an appreciation may be beneficial for China insofar as it increases the government’s ability to tackle inflation and asset price bubbles. The RMB appreciation would also have the effect of decreasing the cost of foreign goods and inputs in production to Chinese consumers and producers, respectively. If this effect was large enough, it would cause the shift to an economy based more upon domestic demand and less on exports in China. This would make it less vulnerable to economic shocks in the rest of the world and sustain their growth regardless of the troubles of the United States. Acknowledgments I would like to thank Professor Robert Coen for all of his support as my faculty adviser. His guidance, through weekly meetings and e-mails, was crucial in both the creating and interpreting of my models. Without his help I would not have learned as much about international trade and econometric modeling as I have. I would also like to thank Professor Joseph Ferrie and Sarah Muir Ferrer for their help in organizing thesis meetings and everything else that they have done to ensure that the MMSS thesis program continues to run smoothly. Additionally, I must thank all of my peers and professors, especially Professor Richard Walker, for challenging and inspiring me to learn as much as I can in every subject. For their help in aiding my data collection, I must thank Jaime Marquez from the Division of International Finance at the Federal Reserve Board and Professor Tuck Cheong Tang at the Monash University School of Business. Finally, I must thank my parents for their constant encouragement and support in my education and listening to me talk about my thesis ad nauseam. Section I. Introduction The United States’ bilateral trade deficit with China has come under increased scrutiny from academics and politicians alike over the past few years as it has increased to $258 billion in 2007.1 This has spurred much debate about global imbalances and whether they were a cause of the 2008-2009 financial crisis. Also, many leaders across 1  Source: Data from Census.gov



RESEARCH the world have called for China to allow the Renminbi to appreciate but the US has stopped short of branding China a currency manipulator. The president of the People’s Republic of China, Wen Jiabao, has rejected foreign pressure so far but recently Zhou Xiaochuan, governor of the People’s Bank of China, alluded to the peg of the RMB to the dollar being temporary—possibly setting the stage for an appreciation.2 However, it is unclear whether an appreciation of the RMB would be advantageous for China due to the decline in value of their large holdings of US Treasury bills as well as the decline in trade that an appreciation would cause. Demand theory predicts that if the price of China’s exports to the United States relative to US domestic goods increases, then the quantity of China’s exports demanded by the US will decrease as a result of relative price changes or nominal exchange rate changes. In international trade, the value of trade flows has been shown to follow a J-curve— initially the value of trade actually increases after the relative price of imports increases because trade quantities do not adjust immediately. Usually after an adjustment period varying from a couple months to a few years the quantity of imports demanded adjusts and the value decreases. The relative price increase will decrease the trade balance only if the Marshall-Lerner condition is met, namely the difference between the price elasticities of import demand and export demand is greater than one. This paper applies three frameworks to China that have been used previously to study trade relationships in several other countries but separates the nominal exchange rate and relative price variables in order to account for possible differences in elasticities and adjustment rates. In addition, I use a vector error correction model to study possible endogeneity and feedback effects within the model. These variables include the real exchange rates between the US and China as well as between the US and the OECD minus the US (henceforth referred to as OECDX), real GDP of these three areas, and the US-China bilateral trade balance. I find evidence that the China-US trade relationship does satisfy the Marshall-Lerner condition. Thus, an increase in the real exchange rate would lead to a decrease in the magnitude of the trade deficit between the US and China. I also find evidence of the J-curve and a decrease in the value of imports within two years in response to a relative price increase of Chinese goods. Furthermore, I find that the value of China’s imports to the United States adjusts more quickly but less strongly to changes in the nominal exchange rate than to changes in relative prices. The third part of the model shows the sensitivity of China’s real GDP to the value of its exports. The remainder of the paper is organized into six sections as follows: Section II summarizes previous research related to the topic and discusses where this paper builds upon the current research; Section III describes the data as well as their possible shortcomings; Section IV describes the vector error correction models and discuses those results; Section V concludes and suggests how the findings should affect China’s and the US’s trade policies and possible areas for further research. Section II. Literature Review While the effects of real exchange rates on trade flows have been widely studied by economists, there are no universal truths about the ways in which trade flows behave. Paul Krugman constructs a demand equation for the United States’ exports to the rest of the world and one for imports to the United States in order to study the US’s growing trade deficit, especially with Japan, despite the weakening dollar.3 He finds that from 1977 to 1985 the import elasticity of real US expenditure to be 2.78 and the elasticity of the real exchange rate to be .92. For US exports he finds a foreign income elasticity of 2.47 and an elasticity of -1.40 for the real exchange rate using the foreign economy as the rest of the world. These two equations show that US exports are more responsive to the real exchange rate than its imports, which suggests that any real appreciation of the dollar will decrease net exports. Another model of international trade is the vector error correction model used by Yusoff to estimate the effects of real gross domestic product of both Malaysia and its foreign trade partners and the real exchange rate on the bilateral trade balance.4 Yusoff also uses a two-step model that allows him to determine whether a bilateral trade relationship satisfies the Marshall-Lerner condition. By separating the trade balance regression into an equation for exports and an equation for imports, he averts the problem of having to take the log of the trade balance when it is negative. Narayan and Narayan also use an error correction model in their analysis of Fiji’s import demand function.5 They first-difference all of the variables in their model and include an error correction term to account for any unit-roots and any shocks to the system. The independent variables in the import demand function include lagged imports, domestic real GDP and the price of imports relative to domestic prices. Indeed, my own vector error correction model is very similar as it is derived from the same logic that Narayan and Narayan use to construct their model, though I apply it to China, the US, and the OECDX. 2  3  4  5

Dyer, Geoff. “FT.com / China - Beijing studies severing peg to US dollar.” 11 Mar 2010. Krugman, Paul et al. “The Persistence of the U.S. Trade Deficit.” Brookings Papers on Economic Activity. Vol. 1 (1987). Yusoff, Mohammed. “Bilateral Trade Balance, Exchange Rates, and Income: Evidence from Malaysia.” Global Economy Journal. Vol. 9, Iss. 4 (2009): Article 7. Narayan, Paresh and Seema Narayan. “Estimating Income and Price Elasticities of Imports for Fiji in a Cointegration Framework.” Economic Modelling. Vol. 22 (2005): 423– 438.

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Section III. Data All data have been obtained for the years 1984 to 2007. Imports and exports are annual data obtained from Comtrade, a United Nations publication, and are reported in nominal US dollars. Exchange rate data were obtained from the International Monetary Fund’s publication, International Financial Statistics. Real GDP, the GDP deflator, and Consumer Price Index data were obtained from the IMF’s World Economic Outlook database. The manufacturing price index used to construct a relative price index uses value-added data and was obtained from the Bureau of Economic Analysis’s National Economic Accounts. The availability of data for only twenty-four years on an annual basis for all variables is a limiting factor in my regression analysis especially due to several lagged variables, yet in his study previously mentioned, Tuck finds very significant results using only thirty years starting in 1970, when Chinese data are even less reliable. As far as the reliability of my own data goes, I am skeptical of China’s reporting of data in general as the authoritarian government has incentive to misrepresent figures in order to maintain a good image. Thus, I have constructed my framework so that I may rely on data from United States sources or international organizations when possible. The Chinese data that I do use, especially consumer price index, have been released by the IMF, so I believe them to be the best available. Ideally, I would be able to use quarterly or even monthly data to increase the number of observations and trace the effects of exchange rate and price adjustments that occur during only part of a given year. This would be especially important as I believe that the effect of Chinese price data may have been skewed by the two inflationary spikes that occurred in late 1988 and into 1989 as well as 1993 through 1995. Section IV. Vector Error Correction Model Economic theory tell us that there should be interaction between the real GDPs, relative prices, nominal exchange rates and trade balances both within and between countries via trade. These variables potentially contain feedback loops in which an effect on one variable affects another, which affects another until the singular change has an effect on the entire system. One problem with this analysis is that the short-term dynamics and interaction between the variables is unclear. To study the short-term effects, I used my model to create impulse response graphs for each of the variables to show how they would react to a nominal appreciation or a real increase in Chinese prices relative to those in the US. However, within each year the dynamics of the variables are unknown due to the fact that only annual data are available for China over the entire time period. The vector error correction model can be used to correct for non-stationarity in variables as discussed above. In order to construct a functional vector error correction model several choices had to be made including the number of lagged independent variables as well as the number of cointegrating vectors to include. These decisions were constricted by the limitations in the size of the data set as each lag or cointegrating vector represents a valuable degree of freedom for estimating the model. To make these decisions, I used Johansen’s test for the number of cointegrating vectors as shown below. Using a similar methodology to Yusoff (2009), the vector error correction model for US-China trade can be written as:

ΔZt = β0 + λ ECTt-1+ β1 ΔTBt-1+ β2 ΔlnCRGDP t-1+ β3ΔlnUSRGDPt-1 + β4ΔlnRERt-1 + εt where Δ is the first-difference operator, Z = {TB lnCRGDP lnUSRGDP lnRER}, with one lag for each of the explanatory variables, and ECT is the error-correction term. TB is the value in trillions of dollars of US net exports to China, lnCRGDP, is the natural logarithm of China’s real GDP denominated in trillions of RMB, lnUSRGDP is the natural logarithm of real GDP of the US denominated in trillions of dollars, and lnRER is the natural logarithm of the real exchange rate calculated by multiplying the nominal exchange rate in Dollars per Yuan by China’s GDP deflator (a proxy for prices in China) and dividing by the US GDP deflator (a proxy for US prices). In order to decide how many cointegrating vectors to use in the vector error correction model, I used Johansen’s test for the number of cointegrating vectors. This test rejected at the 5% confidence level the hypothesis that no cointegrating equations are present in the model but failed to reject the hypothesis that at most one cointegrating equation should be included. The 5% critical value is the value above which you can reject the hypothesis with 95%




confidence. I chose to use one cointegrating equation due to the limited size of the dataset and the very limited benefit of using more than one.

Johansen’s Test for the Number of Cointegrating Vectors Hypothesized


5 Percent

1 Percent

No. of CE(s)



Critical Value

Critical Value

None *





At most 1





At most 2





At most 3





* denotes rejection of the hypothesis at the 5% level

Effect of Renminbi Appreciation on US Real GDP In order to look at the long-run effects of the different endogenous variables on the real GDP of the US, I estimated the following equation using a vector error correction model. The fitted equation is: lnUSRGDP = .5071 lnRMBUSD + -1.0303 lnRPUSC + .7087 lnUSORER + .9970 lnCRGDP + -3.0067lnORGDP + 32.4234 (.0190) (.0292) (.0160) (.0462) (.0555)

This analysis suggests that a 10% appreciation of the RMB would lead to a 5% increase in long run US real GDP. The impulse response analysis indicates that this effect would occur primarily over the first four years. Similarly, a 10% increase in Chinese prices relative to US prices is expected to increase US real GDP by 10.3%. Due to the effect of the increase in Chinese prices, Chinese consumers would purchase more goods from the US, and US consumers would purchase more goods domestically in place of the relatively more expensive Chinese goods. The fact that the effect of a relative price increase is larger than an equal nominal appreciation may be accounted for in the interaction between the two variables. For example, a nominal appreciation could lead prices to decrease and diminish the effects of the appreciation, whereas the RMB-USD exchange rate being fixed means that the nominal exchange rate could not adjust to diminish the effects of a relative price increase of Chinese goods. On one hand, I expected a nominal appreciation to be associated with a relative decrease in Chinese prices as imports become cheaper because Chinese exporters have been found to sacrifice profit margins (i.e., prices) in the face of a nominal appreciation. On the other hand, it is possible that this may be more of a short-term effect, and in the medium term the decreased price of foreign inputs that are used for domestic production will make Chinese goods cheaper domestically. This would create an increase in domestic demand that would lead domestic prices to increase. The impulse response analysis reveals that the relative price of US goods to Chinese goods would initially increase slightly, but by year four the effect would be significantly negative until it levels out around the ninth year following the nominal appreciation. This would support the logic that initially Chinese domestic prices do decrease due to the decrease in prices of imports as a result of the stronger currency. US prices would increase, though at a lesser magnitude due to the fact that trade with China represents a much smaller portion of the US economy than the portion of China’s economy that trade with the US represents. Then, as discussed above, in the medium term Chinese demand for domestic goods would increase and cause prices to increase. The appreciation will also have a positive effect on the real GDP of other OECD countries as consumers in the US and the OECDX (and the rest of the world) substitute goods from OECD countries in place of the relatively more expensive Chinese goods. Again, this effect will level out after four years, but there is an underlying assumption that there is a sufficiently high degree of substitution between goods from OECDX countries and those from China as previously discussed.

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RESEARCH Section VII. Conclusion This paper used data on US-China trade since 1984 to study the effects of an appreciation of the Renminbi on the trade balance as well as the real GDP’s of the two countries. The topic of US-China trade has come under increased scrutiny over the past couple years since the US trade deficit has ballooned. Still, there is no consensus on what the precise effects of an appreciation of the RMB would be. While the results of this paper support the hypothesis that an appreciation of the RMB would significantly decrease the magnitude of the US-China trade balance, they also show that China’s export sector and overall economy would suffer. However, in the medium term this might be a positive development in so far as it helps China control inflation and achieve its goal of decreasing its reliance on foreign demand for economic growth. Regardless, this analysis does not suggest that China should allow the RMB to float; an evaluation of the merits of floating is beyond the scope of this paper. Additionally, as suggested by the impulse response analysis, an appreciation of the RMB would have significant though limited benefit for the US economy. It also suggests that the rest of the OECD might have the most to gain from an appreciation of the RMB due to the substitution to their goods and away from Chinese goods. The significant positive effect on the real GDP of both the US and the rest of the OECD that has been withheld by the Chinese government’s refusal to allow the RMB to appreciate indicates that these policies should be considered mercantilist and treated as such. From the US perspective, this study emphasizes that the US government should not expect China’s appreciation to be the magic impetus that revives the US economy. Indeed, the analysis indicates that the full effects of a gradual appreciation will only be felt over a period of 2-4 years. Thus, more focus should be placed internally on job creation instead of placing blame externally, especially since this has proved to be counterproductive in dealing with a Chinese government determined not to appear influenced by the US. From the Chinese perspective, an appreciation will have some negative effects on its real GDP growth rate, but it will have many positive side effects. These include the beginning of a shift from reliance on exports to an economy driven by domestic demand, which would make it less vulnerable to foreign economic shocks. The appreciation would also help control domestic inflation and asset bubbles that can be particularly dangerous to China’s economy given the frailty of the banking sector. Finally, it would aid in decreasing the income gap between the upper class that includes the owners of exporting firms that are benefitting from the undervaluation of the RMB to the average Chinese consumer who is still quite poor despite three decades of rapid economic growth. In order to inform policy decisions in the future and in other areas, further research is necessary on the effects of a floating exchange rate using the vector error correction models that I use in my paper. In addition, improvements in data collection are essential in ensuring the accuracy of these future studies. More research will decrease the uncertainty associated with international trade and allow consumers and companies across the world to make investment decisions more efficiently, thereby increasing economic growth rates. References Ahmed, Shaghil. “Are Chinese Exports Sensitive to Changes in the Exchange Rate?” International Finance Discussion Papers. Vol. 987 (2009). Bahmani-Oskooee, M. “Nominal and Real Exchange Rates of the Middle Eastern Countries and their Trade Performances.” Applied Economics. Vol. 33 (2001): 89-96. Baxter, Marianne, and Alan C. Stockman. “Business Cycles and the Exchange Rate Regime.” Journal of Monetary Economics. Vol. 23 (1989): 377-400. Breslin, Shaun. “Reforming China’s Embedded Socialist Compromise: China and the WTO.” Global Change, Peace, and Security. Vol. 15, Iss 3 (2003): 213-229. Bussière, Matthieu and Schnatz, Bernd. “Evaluating China’s Integration in World Trade with a Gravity Model Based Benchmark.” Open Econ Rev. Iss 20 (2009): 85–111. Dyer, Geoff. “FT.com / China - Beijing Studies Severing Peg to US dollar.” 11 Mar 2010. Edwards, S. Real Exchange Rates, Devaluation, and Adjustments: Exchange Rate Policy in Developing Countries. Cambridge Mass: MIT Press, 1989. Faruqee, Hamid. “Measuring the Trade Effects of EMU.” IMF Working Paper. 04/154. (2004) “Flawed Study on China Jobs, Focus on Currency Distract from Real Issues, USCBC Says.” Retrieved 30 Mar 2010 from <http://www.uschina.org>. Frankel, Jeffrey. “On the Renminbi: The Choice Between Adjustment Under a Fixed Exchange Rate and Adjustment Under a Flexible Rate.” Seminar on Foreign Exchange System, Dalian, China, May 26-27, 2004. French, Shaun, Andrew Leyshon, and Nigel Thrift. “A Very Geographical Crisis: The Making and Breaking of the 2007-2008 Financial Crisis.” Cambridge Journal of Regions, Economy and Society. Vol 2, Iss 2 (2009): 287-302. Houthakker, H. S., and Stephen P. Magee. “Income and Price Elasticities in World Trade.” The Review of Economics and Statistics. Vol. 51, No. 2 (1969): 111-125. Hsing, Yu. “A Study of the J-Curve for Seven Selected Latin American Countries.” Global Economy Journal. Vol. 8, Iss. 4 (2008): Article 6. Krugman, Paul et al. “The Persistence of the U.S. Trade Deficit.” Brookings Papers on Economic Activity. Vol. 1 (1987). Liu, Chinhui and O’Farrell, Grace. “China and U.S. Financial Ratio Comparison.” International Journal of Business, Accounting, and Finance. Vol. 3, No. 2 (2009). Makin, Anthony J. “The Inflexible Yuan and Global Imbalances.” Global Economy Journal. Vol. 8, Iss. 3 (2008): Article 7. Marquez, Jamie and John Schindler. “Exchange Rate Effects on China’s Trade.” Review of International Economics. Vol. 15, No. 5 (2007): 837-853. MacKinnon, J.G. “Critical Values for Cointegration Tests.” in R.F. Engle and C.W.J. Granger (eds.), Long-Run Economic Relationships. Oxford University Press, Oxford : 1991. 267-276. Morrison, Wayne. “China-U.S. Trade Issues,” CRS Report for Congress. September 2009. Narayan, Paresh and Seema Narayan. “Estimating Income and Price Elasticities of Imports for Fiji in a Cointegration Framework.” Economic Modeling. Vol. 2, Iss. 2 (2005): 423– 438. Nelson, Charles R., and Charles I. Plosser, “Trends and Random Walks in Macroeconomic Time Series: Some Evidence and Implications.” Journal of Monetary Economics. Vol. 10 (1982): 139-162. Obstfeld, Maurice, and Kenneth Rogoff. “The Mirage of Fixed Exchange Rates.” The Journal of Economic Perspectives. Vol. 9, Iss. 4 (1995): 73-96. Reinhart, C. M. “Devaluation, Relative Prices and International Trade – Evidence from Developing Countries.” IMF Staff Papers. Vol. 42 (1995): 290-312. Roberts, Ivan and Rod Tyers. “China’s Exchange Rate Policy: The Case for Greater Flexibility,” Asian Economic Journal. Vol. 17, No. 2 (2003).



RESEARCH Rose, A. K. “Exchange Rates and the Trade Balance: Some Evidence from Developing Countries.” Economic letters. Vol. 34 (1990): 217-275. Rose, A. K. “The role of exchange rates in a popular model of international trade- Does Marshall-Lerner condition hold?” Journal of International Economics. Vol. 30 (1991): 301-316. Senhadji, Abdelhak, and Claudio E. Montenegro. “Time Series Analysis of Export Demand Equations: A Cross-Country Analysis.” IMF Staff Papers. Vol. 46, No. 3 (1999): 259-273. Tang, Tuck. “An Empirical Analysis of China’s Import Demand Function.” China Economic Review. Vol. 14 (2003): 142– 163. Taylor, John. “Discretion Versus Policy Rules in Practice.” Carnagie-Rochester Conference Series on Public Policy. Vol. 39. (1993). Tatom, John A.”The US-China Currency Dispute: Is a Rise in the Yuan Necessary, Inevitable or Desirable?” Global Economy Journal. Vol. 7, Iss. 3 (2007): Article 2. Yusoff, Mohammed. “Bilateral Trade Balance, Exchange Rates, and Income: Evidence from Malaysia,” Global Economy Journal. Vol. 9, Iss. 4 (2009): Article 7.

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ASYMME TR Y Skeletal Evidence for Life History Theory and Human Evolutionary Ecology in Archaeological South Dakota Arikara Samples




This study uses life history theory and human evolutionary ecology to address evidence of fluctuating and directional asymmetry in South Dakota Arikara skeletal remains originating from 700CE to 1862CE. According to life history theory, disruptions that force the youthful, developing body to divert energy away from growth in favor of survival and maintenance produce fluctuating asymmetry (Palmer 1994). Fluctuating asymmetry is defined as deviation from perfect bilateral symmetry of the body caused by environmental stress, developmental instability, and genetic problems during development (Leung et al. 2000). In turn, human evolutionary ecology is founded on the premise that the biological human body is affected by cultural factors such as physical activity patterns. Engaging in strenuous activity favoring one side of the body results in larger, longer muscles and bones on the given side. The co-option of muscle and remodeling of bone thus lead to directional asymmetry, or asymmetry that favors one side of the body (Blackburn 2011; West-Eberhard 2005). As a whole, this research correlates environmental stressors and activity patterns with physical trends in asymmetry. It highlights how human skeletal variation can reveal cultural activity patterns and environmental conditions in archaeological populations.




ight and left lengths of the humerus, radius, femur, and tibia were recorded for 308 archaeological samples. Percent differences between the same class of bones on the left and right sides of the body were calculated for each individual. These percent differences were used as measures of the degree of asymmetry for each bone. Individuals were separated by age and sex in order to analyze whether skeletal symmetry changes over growth and development and whether males and females are equally asymmetrical. Statistical analysis of asymmetry patterns produced a number of interesting conclusions. Results indicate that infants are symmetrical. I contend that this is due to the fact that infants are less likely to demonstrate the effects of environmental insult as compared to individuals from older age categories because they are less subject to strenuous, unimanual tasks, disease, and food shortages. For example, infants have a consistent source of food in the form of antibody-laden breast milk which also helps to ward off disease (Owsley and Jantz 1985). In turn, children exhibit fluctuating asymmetry while adolescents and adults exhibit directional asymmetry. Childhood is a period of significant growth. When this period is interrupted by disease and malnutrition, fluctuating asymmetry appears in the skeleton. The directional asymmetry seen in adolescent and adult samples is the result of consistent and intense physical and/or cultural activities that stress one side of the body (Blackburn 2011). Adult Arikara females are more asymmetric on average in upper limb bones (humerus and radius) than adult males. This is attributed to greater adult Arikara female involvement in agriculture and manufacturing tasks. A cross-cultural comparison was also performed between Arikara and ancestral New Mexico Puebloan remains. Adult male Arikara exhibit more asymmetric humeri than adult male Puebloans while adult female Arikara exhibit more asymmetric humeri than their adult female Puebloan counterparts. These results indicate that adult Arikara men and women engaged in more stressful, unimanual activities than their respective ancestral Puebloan counterparts. This research is significant to the fields of physical and biological anthropology because it builds upon the science of skeletal and muscular change due to environmental stress. By documenting bodily asymmetry and the environmental conditions in which it is seen, this study sheds light upon the external conditions that induce human skeletal variation. Also, this research is significant to archaeology. Archaeologists who employ skeletal analysis to examine body use patterns and their associations with distinct work environments will find this work useful in establishing connections between culture and biology.

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Literature Cited Blackburn A. 2011. Bilateral Asymmetry of the Humerus During Growth and Development. American Journal of Physical Anthropology 145(4):639-646. Leung B, Forbes MR, and Houle D. 2000. Fluctuating asymmetry as a bioindicator of stress: Comparing efficacy of analyses involving multiple traits. American Naturalist 155(1):101115. Owsley DW, and Jantz RL. 1985. Long-Bone Lengths Gestational-Age Distributions of Post-Contact Period Arikara Indian Perinatal Infant Skeletons. American Journal of Physical Anthropology 68(3):321-328. Palmer AR. 1994. Fluctuating Asymmetry Analyses: A Primer. In: Markow TA, editor. Developmental Instability: Its Origins and Evolutionary Implications. Kluwer, Dordrecht, Netherlands. p 335-364. West-Eberhard M. 2005. Phenotypic Accommodation: Adaptive Innovation Due to Developmental Plasticity. Journal of Experimental Zoology 304B:610-618.




Singing in

Dylan Thomas and His Resistance Toward Death Brandon Ng


Emily Rohrbach

Christopher Lane



While Dylan Thomas, a 20th century poet, inherited many characteristics of his Romantic predecessors from the 19th century, his writing also diverged greatly from the traditional Romantic paradigm, specifically with respect to attitudes toward death. Death was a prominent concept in the Romantic tradition, particularly in the work of William Wordsworth and Percy Shelley, and these writers did not hesitate to write about the melancholia that death brings. However, writers in the Romantic tradition did not remain fixated on the ominous presence of death, since they ultimately conceptualized human mortality as a path to spiritual transcendence, as an intermediary between human nature and the grand eternal cycle of Nature itself. Dylan Thomas, however, resists this type of solace. Though he writes about death frequently, he conceives of death as an absolute destroyer, as a constraining force that terminates a linear human existence. A more extensive examination of Thomas’s treatment of death, in contrast to his Romantic predecessors, sheds light on his identity as a Neo-Romantic and the psychological issues he confronts in his work.

1. The Paradox of Youth: “Green and Dying” In Dylan Thomas’s late poem “Fern Hill,” the adult speaker characterizes not only his present self but also the “lamb white days” of his youth as animated equally by growth and decay, by life and the death toward which life is always tending: “Nothing I cared, in the lamb white days, that time would take me,” the speaker recounts (Thomas 46). He concludes, however, with the more-complex understanding of those days that now has replaced that carefree thinking: “Time held me green and dying / Though I sang in my chains like the sea” (53-54). “Nothing I cared” then about time, the speaker declares, but now a perception of youthful days as paradoxically “green and dying,” creating and destroying, is the speaker’s central concern. This vision of life animates virtually all of Dylan Thomas’s poetry. Albeit acknowledging the splendor of the natural scene surrounding him and the “young” and “easy” days that human existence allows, the speaker of 28


“Fern Hill” experiences an intense anxiety toward human mortality. In Thomas’s poetry, every day of lively “green” youth is equally one step closer to death, which he conceives exclusively as an absolute ending to human experience and thus a force to be resisted. The resistance to the death concept, to the pressures of human mortality, take shape in a poetry that both inherits Romantic paradigms of thinking about death and revises them. Inspired by the quintessential Romantic poets of the turn of the nineteenth century, Thomas’s work revealed similar themes to his Romantic antecedents, such as the sublime quality of the natural world, as well as the dynamic interaction felt between it and the human mind. Despite these marked similarities, however, the fundamental revisions Thomas made to Romanticism are often overlooked. His poetry revised Romantic thought and poetics specifically in respect to the treatment of death and human existence—a phenomenon that Thomas stressed greatly in his work, as

RESEARCH well as a topic about which Wordsworth and Shelley, in particular, wrote extensively. Although each of these poets initially expressed melancholia about the prospect of death, in the poetry of Wordsworth and Shelley the speakers ultimately assuage their feelings of lament by reinterpreting death as a path to spiritual transcendence. Thomas, on the other hand, refuses this type of solace. Instead, he conceptualized death exclusively as an evil, constraining force that ultimately does nothing more than reduce human beings to their material existence. Moreover, Thomas conceived of human existence in a linear fashion, beginning with birth and ending with death, from which no transcendence can evade. It is this attitude toward human mortality that constitutes a key divergence from the Romantic paradigm. 2. Establishing the Romantic Paradigm M. H. Abrams summarizes the Romantic exploration of the relationship between the human mind and nature in Natural Supernaturalism, in the context of discussing Wordsworth’s The Prelude and Milton’s Paradise Lost: “The vision is that of the awesome depths and height of the human mind, and of the power of that mind as in itself adequate, by consummating a holy marriage with the external universe, to create out of the world of all of us, in a quotidian and recurrent miracle, a new world which is the equivalent of paradise” (28). In this sense, the intercourse between human beings and the natural world is the path through which the mind attains “awesome depths and height.” As Abrams asserts, through this “holy marriage,” Wordsworth envisions that a sense of “paradise” will ensue in which mankind is capable of reaching its full potential, its full capacity for thought and feeling. Abrams writes that through the “culminating and procreative marriage between mind and nature,” humans attain a more transcendent existence. Marriage, or “the song,” as Wordsworth calls it, “will be an evangel to effect a spiritual resurrection among mankind—it will ‘arouse the sensual from their sleep / Of death’—merely by showing what lies within any man’s power to accomplish, as he is here and now” (qtd. in Abrams 27). In this sense, Abrams avers that through merging with the natural world, which is so much greater than one man, humankind can triumph over death and achieve a sense of rebirth and eternal life. Romantic preoccupation with the relationship between humanity and the natural world resurfaced in the twentieth century, as a new generation of writers became interested once more in the concerns of Romanticism. In fact, the central themes of Romanticism have recurred over and again, as Jonathan Bate poignantly summarizes: “Romanticism has remained a living legacy because, like a fit Darwinian organism, it has proved singularly adaptable to a succession of new environments, whether Victorian medievalism […] or the counter-reading of 1980s ideologism” (Bate 436). VOLUME 7, 2011-2012

The rebirth of Romanticism in the twentieth century, which critics often call “Neo-Romanticism,” represents this newfound inheritance of the Romantic tradition, but also reflects the changing, modern social and intellectual context in which this new generation of writers found itself. As Abrams asserts, though works may offer a “drastically altered perspective on man and nature and human life,” it is through this exploration that they “continue to embody Romantic innovations in ideas and design” (Abrams 32; see Ramazani 1-2). In this sense, Neo-Romanticism is a useful term for conceptualizing some twentieth century-writers’ shared fascination with the human mind and its relationship to the natural world. Thomas inherited his fascination with nature from his Romantic precursors, for through his poetry he freely elaborates on the complex relationship between human existence and the natural world. But even so, though he works within the paradigm of pondering the relation between human nature and nature, he also distinguishes himself from the Romantics by conceiving of death not as a threshold to eternity, but as the decisive endpoint of a linear human trajectory, a viewpoint embraced very much by classicism. T. E. Hulme, a twentieth-century modernist, in his 1911 essay “Romanticism and Classicism,” remarks on the fundamental difference between the two schools of thought, albeit harshly denouncing Romanticism in the process: “Here is the root of all Romanticism: that man, the individual, is an infinite reservoir of possibilities […] One can define the classical quite clearly as the exact opposite of this. Man is an extraordinarily fixed and limited animal whose nature is absolutely constant” (115). Arguably in few places is the manifestation of man’s restrictive and bounded existence more pronounced than in Thomas’s poetry, which attributes the “fixed” and “limited” nature of human existence to the formidable force of death that all humans must face. Although the speaker in “Fern Hill” tries to break the inescapable cycle of human life by reminiscing on the beautiful “green” and “golden” days of his youth that leave him singing at the end of the poem, ultimately he is unable to escape his pending fate—the force of death that leaves him in chains. To Hulme, it is precisely this inescapability, this inevitability of man’s limitations that characterizes a classical conception of human nature. Although human beings may see glimpses of a transcendent path to break free from their bounded existence, he argues that classicists accept that this path does not—and never will— exist. He remarks, “What I mean by classical in verse, then, is this. That even in the most imaginative flights there is always a holding back, a reservation. The classical poet never forgets this finiteness, this limit of man […] He may jump, but he always returns back; he never flies away into the circumambient gas” (119). ThroughNORTHWESTERN UNDERGRADUATE RESEARCH JOURNAL


RESEARCH out Thomas’s poetry, death is the inhibitor that prevents humans from flying “into the circumambient gas,” from realizing their boundless potential beyond the material world. For his Romantic predecessors, however, death was not viewed as an inhibitor, but rather as a means for humans to transcend material existence and live forever. 3. The Death Concept in Wordsworth and Shelley For Thomas’s predecessors, death was not an absolute ending, but rather an intermediary to the merging of humanity with the eternal natural world. The “spiritual resurrection” that results from the unity of man and nature takes shape in Wordsworth’s “A Slumber Did My Spirit Seal,” in the context of a speaker confronting the pain of human mortality firsthand (qtd. in Abrams 27). The speaker describes a young girl that has died, though she initially appeared timeless: A slumber did my spirit seal; I had no human fears: She seemed a thing that could not feel The touch of earthly years No motion has she now, no force; She neither hears not sees; Rolled round in earth’s diurnal course, With rocks, and stones, and trees. (ll. 1-8)

While the girl initially seemed a thing that “could not feel / The touch of earthly years,” in fact the speaker is reminded of her humanity upon her death, for she is now buried in the earth—indeed, she has “no motion,” “no force,” and “neither hears nor sees” (3-4, 5-6). Wordsworth’s use of words connoting stagnation generates a sense of peacefulness throughout the poem, elucidating the girl’s newfound state of being. She is indeed in her grave now, rolling “round in earth’s diurnal course / With rocks, and stones, and trees” (7-8). In this way, despite the fact that the girl’s material state of being has ended, Wordsworth writes that she continues to live on by returning to the soil from whence she came. Her death is not final, but serves as a means to eternal life. As a result of the girl’s reunion with nature, she effectively lives forever, now part of the never-ending cycle of Earth that repeats itself with the course of each and every day and year. Wordsworth’s use of the words implying circular, endless motion, such as “around” and “diurnal,” is particularly significant since it suggests the girl’s newfound endlessness, of human nature’s integration into Nature (7). In this sense, his presentation of death is not one in which earthly death represents an absolute ending to a linear human experience beginning with birth. Instead, it is an intermediary that transforms the individual to a state beyond the bounds of a linear existence. In Wordsworth’s poem, death provides not an end, but an entry into the cyclical processes of nature. Shelley demonstrates the ability to reappraise the tragic ending that death creates in Adonais, a poem 30


written shortly after the death of John Keats. Shelley’s pastoral elegy records the drama of his psychological reaction to his friend’s death, transforming from initial shock, depression, and rumination to an eventual acceptance. At the beginning of the poem, Shelley’s portrayal of death is identical to Thomas’s experience in “Fern Hill,” for the speaker fixates on the immense loss and melancholia he experiences, manifesting his internal angst: O, weep for Adonais! Though our tears Thaw not the frost which binds so dear a head! And thou, sad Hour, selected from all years To mourn our loss, rouse thy obscure compeers, And teach them thine own sorrow, say: with me Died Adonais […]. (Shelley ll. 2-7)

The speaker expresses the tragic magnitude of Keats’s death, amplifying his importance through using the very name “Adonais,” a name that typically refers to a God or god-like figure. However, despite the speaker’s divine reverence for Keats, his portrayal consists exclusively of Keats’s cold mortal head resting in his grave. The speaker’s fixation on the lone material imagery of Keats’s bare “head” manifests his despondency and extreme lament. Indeed, the speaker remarks that no amount of tears cried for Keats can “thaw” the perpetual “frost” that binds Keats in death. The melancholia present in the opening stanza of the poem only escalates as the speaker begins to turn his focus outward on the natural world, thereby expressing the true tragedy of Keats’s death: Thy extreme hope, the loveliest and the last, The bloom, whose petals nipt before they blew Died on the promise of the fruit, is waste; The broken lily lies—the storm is overpast. (ll. 47-54)

The speaker reflects on the great tragedy of Keats’s untimely death at the age of twenty-five, before his artistic talent could reach its prime, by comparing Keats with a prematurely dead flower. So young was Keats when he died that his talent did not reach fruition, much like a flower that was destroyed before it could bloom fully. Indeed, although Keats represented “the hope,” “the loveliest,” and “the last,” his petals were “nipt before they blew.” Shelley’s tone toward death is pessimistic and verging on fearful, schematizing it as a “storm” that left a “broken lily” in its aftermath. This rumination, however, does not serve as the speaker’s final conclusion. Through additional reflection, he eventually comes to re-conceptualize death as the beginning of a more glorified existence. Although the first half of Adonais reveals the speaker’s intense internal angst and pessimistic characterization of death, the speaker is ultimately able to achieve a sense of reconciliation toward death, reinterpreting Keats’s tragedy not solely as an absolute end to his human existence, but more as a bridge between human life and eternal life. The speaker changes his perspective by reevaluating the relation between death and memory.

RESEARCH Though Shelley expresses much grief toward the death of his friend, at the end of the poem he no longer views death as a fixed ending of human existence, but rather as a path to spiritual transcendence, achieving a new meaning of death that, as we shall see, Thomas denies in his poetry. The speaker avers: […] keep thy heart light lest it make thee sink When hope has kindled hope, and lured thee to the brink. Or go to Rome, which is the sepulcher Oh, not of him, but of our joy: ’tis nought That ages, empires, and religions there Lie buried in the ravage they have wrought […] he is gathered to the kings of thought Who waged contention with their time’s decay, And of the past are all that cannot pass away. (ll. 422-32)

Diverging from the despondent nature at the beginning of Adonais, Shelley’s speaker directs these lines to the mourners of Keats’ death, instructing them not to mourn ceaselessly over him, but rather to maintain positivity, to “keep thy heart light.” When grief overpowers them, he tells them to go to Rome, where Keats is buried, and to marvel at him and all of the other powerful minds who are buried there, the people of various “ages,” “empires,” and “religions.” Although they are gone from the earth now, the speaker tells the mourners not to think of them as such, but rather to view the dead as eternal, “wag[ing] contention with their time’s decay.” In other words, death serves to monumentalize the deceased, for though their bodies may physically be gone, death serves as a vehicle for us to honor them forever and hold fast to their timeless ideas within the confines of our minds—within the memories that we have of them. Shelley asserts that through memory, the spirits of the dead remain glorified within us, preventing them from ever truly dying: The breath whose might I have invoked in song Descends on me; my spirit’s bark is driven Far from the shore, far from the trembling throng Whose sails were never to the tempest given; The massy earth and spherèd skies are riven! I am borne darkly, fearfully, afar; Whilst burning through the inmost veil of Heaven, The soul of Adonais, like a star, Beacons from the abode where the Eternal are. (ll. 487-495)

As Shelley’s speaker is composing the poem, the spirit of Keats apparently is descending upon him, and he is captivated by the thought. He describes remembering his friend’s presence as being on a journey that drives him “far from the shore, far from the trembling throng.” The speaker epitomizes this idea through the final lines of the poem, describing Keats’ spiritual presence in his mind as being illuminating, “like a star,” never truly gone from being, but rather “beacons from the abode where the Eternal are.” In this way, he glorifies the death of his friend, conceptualizing death as a continuation of life. While Thomas explains death in a linear fashion, as a marked and finite ending to human life, Shelley does not grant death this power. As his speaker VOLUME 7, 2011-2012

avers, death is not the ending of a rigid existence that begins with birth and ends with death, but rather the intermediary to a more glorified existence, for through death, we remember the lives of the deceased, monumentalizing them within the mind. 4. Thomas as Neo-Romantic Although Wordsworth, Keats, and Shelley were all forced to confront the horrors and grief of death, they ultimately accepted it and reinterpreted it, leading to an eventual attaining of solace. Indeed, though in quite different ways, each of these Romantics asserted that humans can triumph over death and reach a sense of the infinite. This conceptualization of death, however, is one that Thomas resists entirely, viewing death as an ultimate ending with no possibility for reappraisal. In “Fern Hill,” one of Thomas’s most prominent poems, he reflects on the extreme sorrow of human existence, for though we are initially enthralled in the temporary joys of life during our youth, ultimately death destroys all of us. Throughout most of the poem, Thomas reflects on the beauty and gloriousness of his days of his youth, employing rich imagery to characterize his idyllic experiences running along the fields of “Fern Hill.” He writes, Now as I was young and easy under the apple boughs About the lilting house and happy as the grass was green […] And honored among wagons I was prince of the apple towns And once below a time I lordly had the trees and leaves Trail with daisies and barley Down the rivers of the windfall light. (Thomas ll. 1-9)

Rich imagery abounds in the first stanza of the poem, as Thomas reflects nostalgically on his childhood. He describes his past self as a royal, majestic figure, “prince of the apple towns” and “honored” by everyone and everything in the natural scene surrounding him. Though such comparisons are clearly hyperbolic, as Thomas was only a child at the time, through depicting his childhood experience in such a grandiose and elevated manner, he portrays the fond emotions of his seemingly perfect upbringing. Imagery of the natural beauty surrounding him is ubiquitous in the first stanza, notably the richness of the “apple boughs,” the “trail with daisies and barley,” and the “rivers of the windfall light.” Indeed, throughout the first half of the poem, Thomas associates youth with happiness, remarking that he was in fact both “green and golden” during the days of his childhood in Fern Hill (15). Thomas’s limitless bliss during his youthful years is also reflected in the pace of the poem at the beginning. During the sections in which the speaker describes the jubilant days of boyhood, the poem moves incredibly quickly through the use of enjambment, letting each verse flow into the next, as opposed to pausing through the use of punctuation. For example, Thomas writes: “All the sun long it was running, it was lovely, the hay/ Fields high as the house, the tunes from the chimneys, it NORTHWESTERN UNDERGRADUATE RESEARCH JOURNAL


RESEARCH was air/ And playing, lovely and watery/ And fire green as grass” (19-22). Indeed the speaker’s description of the natural scene around him does seem to be “running.” He describes the different components of the scene, such as the sun, hay fields, and air through enjambed staccato verses of primarily monosyllabic syllables, and uses the connective “and” frequently to link verses, as opposed to adopting more marked pauses (i.e. a comma, semicolon, or period). As the poem progresses, symbolizing the passage of time, Thomas’s tone shifts drastically. In retrospect, Thomas’s speaker realizes death’s presence and duplicity, as he writes, “Time let me play and be/ Golden in the mercy of his means” (13-14). Although death disguised itself through a seemingly generous time that granted “mercy” during his youth, Thomas is now fully aware that the mercy was only temporary, for every day of his majestic youth moved him one step closer to death: And nothing I cared, at my sky blue trades, that time allows In all his tuneful turning so few and such morning songs Before the children green and golden Follow him out of grace. Nothing I cared in the lamb white days, that time would take me Up to the swallow thronged loft by the shadow of my hand, In the moon that is always rising, Nor that I riding to sleep I should hear him fly with the high fields And wake to the farm forever fled from the childless land. (4251, emphasis added)

The scene portrayed here epitomizes Thomas’s realization of the ominous nature of death. His discovery of falling “out of grace” is incredibly disturbing and exemplifies his conception of death as a merciless “destroyer.” The speaker’s portrayal of death verges on that of a seductress, leading him unknowingly to the “swallow thronged loft.” Alas, the days of his youth have passed all too quickly, and the speaker now finds himself trapped in the grudgingly lonely days of adulthood. The speaker at this point is now an old man, anxiously awaiting death. Though death managed to fool him during his younger days, he is now fully aware of life’s paradoxical nature: “Oh as I was young and easy in the mercy of his means, / Time held me green and dying/ Though I sang in my chains like the sea” (52-54). The speaker acknowledges the limitations that time imposes because he perceives death as a fixed and absolute end. Though time once held him “green,” he realizes now that it simultaneously holds him “dying,” for its progression moves incessantly toward the end of human existence. Romantic writers, though expressing a similar lament in response to the initial pain of death, nevertheless felt themselves able to transcend the boundaries of mortality. The speaker in “A Slumber Did My Spirit Seal” observes that through the young girl’s unity with Eternal Nature, she in effect becomes eternal herself. Shelley’s speaker remarks that Keats’s death actually brings about a more-elevated form of existence through his being re32


membered by countless generations thereafter. Thomas, however, resists all such reappraisal. At the end of his poem, though he finds himself “singing,” fighting with all of his might against inevitable death, he admits that he is ultimately in “chains,” forever bound to the fixed material fate that time has given him. 5. Conclusion Although modern criticism regularly analyzes Thomas’s work relative to the inspiration he drew from the Romantics, such analysis overlooks many of the subtle revisions he made to that paradigm. The similarities, marked most saliently by a shared curiosity about the relation between the mind and natural world, and between Thomas, Shelley, and Wordsworth, can hardly be doubted. Nevertheless, when examining the poetry of these poets through the lens of death, Thomas clearly distinguishes himself from those that came before him. Both Wordsworth and Shelley were able to mitigate their sorrow by reappraising death—by assigning it alternate meaning not limited to an absolute or finite ending to human experience. Rather, they were able to construe it as a path to spiritual transcendence, as a positive force that, albeit ending life, opens up a new realm of existence that should be revered—“where the eternal are,” as Shelley claims eloquently in Adonais. Thomas, by contrast, never attained that consolation or sense of reassurance in his poetry; he held on instead to anxiety, angst, and his many qualms about death. Although Thomas repeatedly sought the solace that Wordsworth and Shelley attained their poetry, ultimately he could never break free of his preoccupation with death, the formidable “chains” of a material understanding of human existence. Works Cited

Abrams, M. H. Natural Supernaturalism. New York: Norton & Company, Inc., 1971. Bate, Jonathan. “Living with the Weather.” Studies in Romanticism 35.3 (1996): 431-47. Ferguson, Margaret, Mary Jo Salter, and Jon Stallworthy, eds. The Norton Anthology of Poetry. New York: Norton, 2005. Hulme, T. E. “Romanticism and Classicism.” Speculations: Essays on Humanism and the Philosophy of Art. Ed. Herbert Read. London: Kegan Paul, Trench, Trubner, 1936. 113-40. Ramazani, Jahan. Yeats and the Poetry of Death: Elegy, Self-Elegy,and the Sublime. New Haven: Yale University Press, 1990. Shelley, Percy Bysshe. Adonais. The Norton Anthology of Poetry. 879-91. Thomas, Dylan. “Fern Hill.” The Norton Anthology of Poetry. 1571. Wordsworth, William. “A Slumber Did My Spirit Seal.” The Norton Anthology of Poetry. 790.




An Investigation of Hub Premiums and Southwest Airlines Using a regression study of data comparing 2000 and 2010, this study investigates the effect of Southwest Airlines on the pricing strategy of the legacy air carriers (American, Continental, Delta, Northwest, US Airways, and United). Namely, it looks into if Southwest has curbed the ability of the legacy carriers to command a “hub premium” by charging higher prices for flights originating or terminating at their respective hub airports. Test results show that the hub premiums of the legacy carriers were large and significant in 2000 but had declined by 2010. However, the declines cannot be clearly attributed to the presence of Southwest Airlines at the legacy carriers’ respective hub airports. In fact, a Southwest presence seems to matter less in 2010 than in 2000. The research also examines whether Southwest Airlines extracts hub premiums of its own. Empirical evidence suggests that Southwest charges higher prices not only for its flights with an origin or destination at airports where it has its largest operations but also for its flights originating or ending at one of the legacy carrier hub airports.




I. Introduction Since the US Airline Deregulation Act of 1978, six legacy carriers, American, Continental, Delta, Northwest, US Airways, and United, and several strong low-cost carriers, notably Southwest, eventually emerged after a long succession of mergers and bankruptcies. The legacy airlines began in 1978 with a mix of hub operations and pointto-point linear routes between cities other than their hubs; gradually over time the linear routes were dropped and airlines centralized operations at a few hub airports serving a wide variety of destination or “spoke” airports. As a result, the notion of a “hub premium” has been popularized in airline pricing studies to capture a difference in air fares between flights originating or terminating at a hub airport and those that do not take off or land at a hub. Research on hub premiums has focused on either identifying the existence of hub premiums or attributing possible causes to the presumably existing premiums. Borenstein (1989) concludes that an airline’s dominance at hub airports leads to higher fares for passengers traveling to or from these airports. Lederman (2008) finds that both a hub premium and frequent flier program partnerships allow airlines to charge higher fares for flights that originated from places where their FFP partner was dominant. Berry, Carnall, and Siller (1996) attribute most of the hub premium to business travelers, who are more priceinelastic than non-business travelers, an assertion further supported by Lee and Luengo-Prado (2005). In contrast, a 2001 U.S. Department of Transportation study is highly critical of the position that the higher fares can be ascribed to passenger mix, despite its finding of a premium on prices at hub airports. It instead attributes the premium to airlines not meeting passenger demand for lower-fare seats in their hub markets. In short, while past studies agree on the existence of a hub premium, they do not necessarily agree on the driving forces behind the premium. Adding to the disagreement in research findings, Gordon and Jenkins (1999) actually document a hub discount with passengers on flights with an origin or destination at one of Northwest’s three hubs, Detroit, Memphis, and Minneapolis, paying fares about four percent less than passengers with an origin or destination elsewhere in Northwest’s network. Although Southwest’s operations first focused on smaller markets and at airports not dominated by the legacy VOLUME 7, 2011-2012



RESEARCH carriers, the company’s rapid expansion in the last decade has brought it into more markets in which the legacy carriers have large operations, such as Philadelphia (US Airways), Denver (United), Washington Dulles (United), and Minneapolis/St. Paul (Delta, previously Northwest). In addition, Chicago Midway is currently Southwest’s busiest airport in terms of airport departures, adding significant competition to American and United Airlines’ hub operations at Chicago O’Hare. With Southwest’s increasing presence in markets traditionally dominated by the legacy carriers, this study explores the notion that the legacy carriers have experienced a decline in their hub premiums and Southwest’s expansion into the hubbing carriers’ hub markets is the driving force behind this decline. Southwest’s operations at some airports have become so large that these airports could effectively be considered hubs for Southwest. Thus, this research also attempts to look into the plausibility that Southwest commands hub premiums of its own. Southwest, by operating at hubs of the legacy carriers, can follow the hubbing airlines by charging higher prices instead of imposing price-decreasing competition on flights with an endpoint at these hub airports. To explore the possibility that Southwest may benefit from such an umbrella effect (Borenstein, 1989), this study further examines the nature of competition between Southwest Airlines and the legacy carriers within the hub networks of these carriers. In short, this research, in studying the pricing practices of Southwest, intends to address if a Southwest effect exits, if Southwest commands hub premiums of its own, and if Southwest benefits from hub operations of the legacy carriers. II. Data and methodology Data The original source of the data is the U.S. Department of Transportation’s Domestic Origin and Destination Survey, Databank 1B (OD1B), which represents a 10 percent sample of airline tickets from reporting carriers. Data used in this study are for the second quarters of 2000 and 2010 of the HUBSup Low Level O&D Data provided by Data Base Products, Inc. The same quarters of each year are used in order to avoid seasonality effects. Methodology This paper employs a model similar to that used by Lee and Luengo-Prado (2005) and defines the hub premium as the ability of an airline to charge higher fares for flights to or from a hub than for similar flights in its own network that do not originate or end at a hub airport. The natural log of price, lnprice, is regressed on key variables and a set of controls. The key variables are as follows: • Share: variable with values between zero and one, capturing the carrier’s market share of O&D passengers measured as the total passengers on a route served by a given carrier divided by the total number of passengers flying on the same route served by all carriers. • Lowcost2: dummy variable equal to one if low-cost carriers, excluding Southwest (JetBlue, Frontier, Tower, AirTran, Midway, Legend, National, Vanguard, Spirit, ProAir, ATA, Access Air, and Sun Country), have greater than a 1% share of O&D passengers in a market, zero otherwise. • Hub: A dummy variable with a value one if the origin or destination was a hub for the marketing carrier, zero otherwise. For Southwest, the hubs are identified as the top 10 airports based on percentage of passengers who are making a connection. • WN (Southwest’s carrier code): A dummy variable with a value of one if the origin or destination airport was a top 20 Southwest airport or near a top 20 Southwest airport, as determined by the number of flights departing from an airport. • AA, CO, DL, NW, UA, and US: dummy variables for each legacy carrier that take on the value of one if the origin or destination of the route is at or near a hub of the given legacy carrier, zero otherwise. Southwest Effect Model In an effort to recognize the possibility that any significant changes in the hub premiums of the legacy carriers from 2000 to 2010 may be attributed to the operations of Southwest, models used by Lee and Luengo-Prado (2005) are modified into Equation (1). lnprice=α+β1hub+β2WN+β3lowcost2+β4share+βicontrolsi+βjslotsj+ε


where controlsi is the set of control variables (lnmiles, lnmktpax, and owprop) and slotsj is the set of dummies for the slot-restricted airports. The intent of the lowcost2 and WN dummies is to capture a Southwest effect without incurring the risk of mistaking a general effect of lowcost carriers as a Southwest effect. 34


RESEARCH Southwest Carrier Models To explore the existence of a Southwest hub premium and the possibility of Southwest to benefit from an umbrella effect from the legacy carriers, the study takes a close look at some of Southwest’s pricing practices. As a result, regression models expressed in Equations (2) and (3) are formed. lnprice=α+β1hub+β2lowcost2+β3share+βilegacy_carrieri+βjcontrolsj+ε




where legacy_carrieri is the set of dummy variables for each legacy carrier (AA, CO, DL, NW, UA, and US), legacy_ carrier _hubi is a set of dummy variables for all the legacy carrier hub airports, and controlsj is a set of control variables (lnmiles, lnmktpax, and owprop). As illustrated, both equations search for a hubbing effect on Southwest’s part. However, Equation (2) examines an umbrella effect within the legacy carriers’ entire networks while Equation (3) checks the effect at each individual hub airport of the legacy carriers. III. Empirical Results Southwest Effect Model Table 1 reports empirical results generated from regressions performed for the exploration of a Southwest effect (Equation 1). In 2000, the legacy carriers all demonstrate a hub premium ranging from Northwest’s 11.4% to US Airways’ 29.6%. The carrier regressions that showed significance for the Southwest dummy were Continental, Northwest, and United, with the largest negative effect for Continental at -13%. By 2010, the hub premium of all of the carriers decreased with a revised range from American’s 5.1% to Continental’s 17.6%. As for the Southwest dummy, the variable remained insignificant for US Airways and the larger apparent Southwest effect for Continental seemed to have disappeared by 2010. While a Southwest effect for United persisted in 2010, it exhibited a notable decrease in magnitude of about 7%. In contrast, a Southwest effect seems to have developed since 2000 for both American and Delta, although it is unclear if the change for Delta is from an increased presence of Southwest in Delta’s original networks or a side effect of Delta’s merger with Northwest, which already experienced a Southwest effect in 2000. The latter explanation is more logical because Southwest does not serve Atlanta or Cincinnati, Delta’s two largest hubs before the merger. Compared with the Southwest effect on legacy carriers, the other low-cost carriers presented more uniform behavior as demonstrated by lowcost2 in Table 1. In fact, the variable displays a significantly negative impact at the 1% significance level on all legacy carriers in 2010. Compared with empirical results for 2000, this represents an increasing negative influence for all legacy carriers except US Airways. For Continental, a negative effect has developed while for both American and United, the impact has transformed from insignificantly positive to significantly negative. In addition, the magnitudes of the other low-cost carriers’ negative influences on the legacy carrier fares uniformly exceeded those of Southwest in 2010. Thus, it seems a larger presence of low-cost carriers as a whole is more powerful in creating price-decreasing competition than the effect of Southwest alone. Considering the results and changes together, particularly those of American and Delta, a decreasing hub premium suggests that the development of a Southwest effect from 2000 to 2010 negatively influences other carriers’ pricing. Although some illustrated empirical results are not in line with the notion of a Southwest effect, they are not implausible. The disappearing Southwest effect for Continental could be a result of Southwest transitioning its largest operations to different airports. For example, Southwest’s operations at Houston Hobby were third on the list of Southwest’s airports in 2000 but fell to eighth as Southwest started service in Denver and increased the scope of its operations at Chicago Midway. The changes for US Airways and United are a little more puzzling, though, especially considering the fact that a Southwest effect for United has lessened while Southwest’s larger operations by 2010 were at or near all of the United hubs, Chicago O’Hare, Denver, Los Angeles, San Francisco, and Washington Dulles. Looking more closely at Southwest’s own pricing practices may provide some insight into these otherwise puzzling results. Southwest Carrier Models Table 2 presents empirical results derived from performing regressions on Southwest with legacy carrier dummies included as explanatory variables (Equation 2). The results for 2000 indicate that compared with the rest of its network, Southwest was charging premiums of about 6% for flights originating or ending at one of its so-called hubs. Moreover, Southwest is able to charge higher prices for its flights at the hub airports of three of the legacy carriers, American, Continental, and Northwest, with the highest premium of 9.4% at Northwest’s hubs. These findings VOLUME 7, 2011-2012



RESEARCH strongly support an umbrella effect in that when the dominant legacy carriers charge higher prices at their hubs, other carriers benefit because they can also charge higher prices without having to worry about losing passengers to cheaper airlines. It should be noted that the findings of an umbrella effect from the legacy carriers do not contradict the earlier findings of a negative effect of a presence of Southwest on the legacy carriers. That is, a negative Southwest effect for legacy carriers does not mean that Southwest has to charge lower prices on these routes than on Southwest’s other routes in its network. Southwest simply has to charge prices lower than those of the legacy carriers. Thus, Southwest can have a negative effect on the pricing power of legacy carriers while still benefiting from an umbrella effect from the legacy carriers’ patterns of charging higher prices on their hub routes. Table 3 covers empirical results generated from a separate set of regressions containing a dummy variable for each legacy carrier hub airport (Equation 3). Statistics reported in the table could bring more clarity as to what specific airports might be most responsible for the behavior of each legacy carrier’s dummy variable. Based on the table, Southwest seemed to extract large premiums from Dallas (14.8%), Detroit (9.4%), and Houston Hobby (8.7%) in 2000. The premium of Detroit matches that of the Northwest dummy listed in Table 3 for the previous regression because Detroit was the only Northwest hub at which Southwest had operations in 2000. Since Dallas (DAL) is close to Dallas Fort-Worth, an American hub, and Houston Hobby (HOU) is near Houston International (IAH), a Continental hub, the premiums found at the two Southwest airports can help explain the statistical significance of the American and Continental dummy variables. There are some notable changes from 2000 to 2010. First, Southwest’s hub premium has decreased by more than half to 3.5%. Another change that stands out and could possibly explain the noted decrease in Southwest’s hub premium is the increased significance of lowcost2. Empirical results in both Tables 2 and 3 indicate that a higher presence of other low-cost carriers had an impact of -4% on Southwest’s prices by 2010, a sharp contrast to the variable’s positive effect for 2000 as shown in Table 4 when it was significant at the 5% significance level. Although Southwest has been the most attention-grabbing low-cost carrier with its stable success and rapid expansion, it is certainly not the only low-cost carrier that has been expanding. Thus, Southwest is sure to have seen increased competition at airports at which it once enjoyed more dominance. Finally, the potential umbrella effects experienced by Southwest have also gone through some changes over the same time period. An umbrella effect from American Airlines has disappeared while a premium at Delta hubs of 6.5% has developed. This, however, could be the result of the Delta and Northwest merger since Northwest was demonstrating an umbrella effect for Southwest in 2000. The effect from Continental decreased slightly while there still does not seem to be any effect at United’s hubs. Southwest did not operate at or near any US Airways hubs in 2000 but new operations at Philadelphia and the development of a US Airways hub at Phoenix have not generated any benefit for Southwest in terms of its ability to charge premiums at these airports. In fact, the regression with the airport dummies shows that there is no significant pricing difference for Southwest’s flights to or from Phoenix or Philadelphia. A significant price premium of 4% has developed at Chicago-Midway. However, a premium for Southwest within American’s hub network seems to have disappeared due to a hub discount of -4.8% at Fort Lauderdale, which is near American’s Miami hub. Furthermore, Southwest lost a significant premium at Dallas, which was its most important premium-driving airport in 2000. The development of a premium within Delta’s hub network does seem due in most part to the merger of Delta with Northwest as Detroit continues to show signs of a premium (6.2%) and newly expanded operations in Minneapolis (MSP) from the Delta-Northwest merger have given Southwest its largest premium among legacy hub airports for 2010 at 11.2%. It is interesting that Southwest has not been able to charge a premium to its passengers with origin or destination at or near one of United’s airports. By 2010, Southwest had operations at or near all of United’s hub airports. Recalling earlier results that the effect of Southwest on United’s prices decreased from 2000 to 2010, the lack of an umbrella effect from United is a bit puzzling. One plausible explanation is fiercer competition between the two airlines, which would force both parties to charge lower fares at United’s hubs than for flights of similar length in their own networks. Another possible justification could be the baggage fees that the legacy airlines started to charge during the past couple of years. Baggage fees effectively increase the price of travel with a legacy carrier. The higher price, however, is not reflected in the ticket price in the data. Unlike the legacy carriers, Southwest continues to allow passengers to check in two bags for free. Thus, by 2010, the disparity in baggage fees may make fare comparisons difficult and could lead to misleading results. IV. Conclusion This study, in its attempt to add on to research on hub premiums, examines possible effects of Southwest Airlines on the hub premiums extracted by the legacy carriers. This research also explores Southwest’s pricing practices to see if it is able to charge a hub premium of its own and if it benefits from the hub operations of the legacy carriers. While empirical results show that the hub premium has decreased for all of the legacy carriers, the decreases can36


RESEARCH not be clearly attributed to an increased presence of Southwest. The changes for American and Delta were closest to what was expected. From 2000 to 2010, both airlines saw a decrease in their hub premiums that coincided with the development of a negative Southwest effect. Results for Continental, US Airways, and United do not support the same intuition. Most puzzling, however, is the lessening adverse effect of Southwest on United even though Southwest was in close competition with United, particularly at Denver and Los Angeles, by 2010. Perhaps the most intriguing findings are the pricing practices adopted by Southwest within the hub networks of the legacy carriers. The results show that Southwest demonstrated a hub premium of its own for both years. However, as with the legacy carriers, Southwest’s hub premium has decreased from 2000 to 2010, which may be due to an increased presence of other low-cost carriers since the lowcost2 variable gained significance during the same time period. Furthermore, Southwest is able to benefit from an umbrella effect from at least some of the legacy carriers, more so in 2000 than in 2010. Positive public perception about Southwest Airlines resides on its tendency to offer prices lower than those of the legacy carriers. However, this does not mean that Southwest cannot or does not charge higher prices at the legacy carrier hubs relative to other flights in Southwest’s network. That is, Southwest can undercut the legacy carriers while still offering higher prices of its own. Southwest’s current image seems to be that of a knight sweeping in to save consumers from price gauging habits of the legacy carriers. Southwest’s expansion in the airline industry has undoubtedly affected all the legacy carriers by bringing competition to their dominant markets. However, the effect does not appear to be uniform across the carriers. In addition, Southwest seems to also be absorbing consumer surplus by charging higher fares both at its larger airports and within the legacy carrier hub networks. Part of Southwest’s tendency to raise its ticket prices relative to the legacy carriers’ prices doubtlessly reflects the willingness of customers to pay a premium to fly Southwest to take advantage of its free baggage service. Extending this study of the relationships between Southwest and the remaining legacy carriers and the driving forces of airline hub premiums with the application of more sophisticated econometric methods, especially by addressing potential endogeneity of explanatory variables, serves as a future research topic, one that should bring additional clarity to the pricing strategies of major airlines. References

Berry, S., M. Carnall, and P. T. Spiller. “Airline Hubs: Costs, Markups, and the Implications of Customer Heterogeneity.” NBER Working Paper Series, 1996. Borenstein, S. “Hubs and High Fares: Airport Dominance and Market Power in the U.S. Airline Industry.” RAND Journal of Economics 20, no. 3 (1989): 344-65. Gordon, R.J. and D. Jenkins. “Hub and Network Pricing in the Northwest Airlines Domestic System,” Northwestern University (1999). http://faculty-web.at.northwestern.edu/economics/gordon/ gordon_jenkins_1.pdf Lederman, M. “Are Frequent Flyer Programs a Cause of the ‘Hub Premium’?” Journal of Economics and Management Strategy 17, no. 1 (2008): 35-66. Lee, D. and M.J. Luengo-Prado. “The Impact of Passenger Mix on Reported ‘Hub Premiums’ in the U.S. Airline Industry.” Southern Economic Journal 72, no. 2 (2005): 372-394. U.S. Department of Transportation. Dominated Hub Fares. Domestic Aviation Competition Series. Office of the Assistant Secretary for Aviation and International Affairs, Washington, DC, 2001.

Acknowledgments I would like to express my sincere gratitude to my advisors, Dr. Robert Gordon, for his time, invaluable insights, and patience, and Dr. Steffen Habermalz, for his encouragement and guidance throughout my research and writing process. My thanks also go to Data Base Products, Inc. for its generosity in providing me the research data free of charge. I could not have proceeded with my thesis without the data. Most importantly, I would like to thank my family for their unyielding support.

VOLUME 7, 2011-2012







Targeting MircoRNA-21 for Therapy Against Prostate Cancer Progression and Metastasis James Lee



Introduction With its ability to affect every organ and tissue through various mechanisms, cancer is one of the most complex diseases that we face. Prostate cancer is the most prevalent cancer in men; one in six men will be diagnosed with prostate cancer during his lifetime, and one in thirty-six men will die of the disease.1,2 The role of microRNA-21 (mir-21) in prostate cancer has not been clearly defined yet, and the goal of this experiment is to investigate how mir-21 affects prostate cancer progression and metastasis (invasion of other organs). Understanding its role might be a key in designing a new therapeutic approach to prostate cancer. Background MicroRNAs (miRNA) regulate gene expression by degrading messenger RNA (mRNA) that encode for proteins.3,4 A single miRNA molecule can interact with as many as hundreds of target mRNAs and can therefore orchestrate many different pathways at once to elicit a broader cellular response.3,4 A few of these modulators are deregulated in cancer, making miRNA a potential target for therapy.3 Cancer results from multiple perturbations of different genes and proteins.3 Within this context, miRNAs serve as pivotal centers, capable of concurrently regulating networks of related processes in cancer progression and metastasis (figure 1).3,5 Considering this unique ability of miRNA, miRNA-mediated cancer therapy will be more comprehensive than therapy targeting individual genes or proteins.3 Also, miRNA’s specificity VOLUME 7, 2011-2012

for mRNA sequences make miRNA treatment more effective than current chemotherapy that affects normal cells.3 Mir-21 is one of the miRNAs deregulated in cancer.5 Its over-expression is correlated with tumor growth, but its mechanism is not yet understood.5 Understanding mir-21’s role in prostate cancer can help develop a therapeutic approach targeting mir-21-mediated pathways. Previous research suggests that transforming growth factor beta (TGF-β) and Ras, two proteins involved in cancer, activate mir-21.4,5 In prostate cancer, Ras activation and aberrant TGF- β activity play significant roles in tumor progression, suggesting a relationship between these proteins and mir-21.5,6 Also, maspin, a key tumor suppressor, is believed to be downregulated by mir-21, contributing to tumor proliferation and invasion.2,7,8,9,10,11 Therefore I hypothesize that TGF- β and Ras induce mir-21 expression in prostate cancer. This in turn silences maspin, subsequently leading to prostate cancer progression and metastasis. Method First, the relationship between mir-21 and maspin will be investigated. Prostate cancer cells will be treated with anti-mir-21 that inhibits mir-21. Anti-mir21-treated cells with low mir-21 will be compared with untreated cells with high mir-21 for maspin expression. Then, to investigate the effect of mir-21 on tumor characteristics, assays that investigate cell proliferation, migration, and invasion will be conducted with cells expressing high vs. low mir-21 levels. Subsequently, to furNORTHWESTERN UNDERGRADUATE RESEARCH JOURNAL



Figure 1. MiRNAs Interactions in Cancer Pathways and Responses12

ther examine the mechanism of mir-21, prostate cancer cells will be integrated with TGF-β construct that can regulate TGF-β expression. Mir-21 levels will then be measured in cells with high vs. low TGF-β. The above experiments will be repeated with Ras construct. If the results confirm the hypothesis, TGF-β, Ras, mir-21, and maspin levels will be analyzed in prostate cancer patient samples of various disease types to confirm the relationships seen in vitro results. Significance This study can demonstrate the role of mir-21 in prostate cancer, which is not yet clear. Better understanding of how mir-21 regulates processes related to prostate cancer can be of tremendous implication considering its high prevalence and mortality, and the unique characteristics of miRNAs make mir-21 an important potential target for novel therapy for cancer.

References 1 2 3 4 5


7 8 9 10 11 12



Society, A. C. Prostate Cancer: Overview Guide. http://www.cancer.org/Cancer/ ProstateCancer/OverviewGuide/prostate-cancer-overview-key-statistics (accessed 9/22/11). Luo, J. L.; Tan, W.; Ricono, J. M.; Korchynskyi, O.; Zhang, M.; Gonias, S. L.; Cheresh, D. A.; Karin, M., Nuclear cytokine-activated IKKalpha controls prostate cancer metastasis by repressing Maspin. Nature 2007, 446 (7136), 690-4. Garzon, R.; Marcucci, G.; Croce, C. M., Targeting microRNAs in cancer: rationale, strategies and challenges. Nat Rev Drug Discov 2010, 9 (10), 775-89. Qian, B.; Katsaros, D.; Lu, L.; Preti, M.; Durando, A.; Arisio, R.; Mu, L.; Yu, H., High miR21 expression in breast cancer associated with poor disease-free survival in early stage disease and high TGF-beta1. Breast Cancer Res Treat 2009, 117 (1), 131-40. Frezzetti, D.; De Menna, M.; Zoppoli, P.; Guerra, C.; Ferraro, A.; Bello, A. M.; De Luca, P.; Calabrese, C.; Fusco, A.; Ceccarelli, M.; Zollo, M.; Barbacid, M.; Di Lauro, R.; De Vita, G., Upregulation of miR-21 by Ras in vivo and its role in tumor growth. Oncogene 2011, 30 (3), 275-86. Zhang, Q.; Helfand, B. T.; Jang, T. L.; Zhu, L. J.; Chen, L.; Yang, X. J.; Kozlowski, J.; Smith, N.; Kundu, S. D.; Yang, G.; Raji, A. A.; Javonovic, B.; Pins, M.; Lindholm, P.; Guo, Y.; Catalona, W. J.; Lee, C., Nuclear factor-kappaB-mediated transforming growth factor-beta-induced expression of vimentin is an independent predictor of biochemical recurrence after radical prostatectomy. Clin Cancer Res 2009, 15 (10), 3557-67. Zhang, M.; Volpert, O.; Shi, Y. H.; Bouck, N., Maspin is an angiogenesis inhibitor. Nat Med 2000, 6 (2), 196-199. Shi, H. Y.; Zhang, W.; Liang, R.; Abraham, S.; Kittrell, F. S.; Medina, D.; Zhang, M., Blocking tumor growth, invasion, and metastasis by maspin in a syngeneic breast cancer model. Cancer Res 2001, 61 (18), 6945-51. Latha, K.; Zhang, W.; Cella, N.; Shi, H. Y.; Zhang, M., Maspin mediates increased tumor cell apoptosis upon induction of the mitochondrial permeability transition. Mol Cell Biol 2005, 25 (5), 1737-48. Shao, L. J.; Shi, H. Y.; Ayala, G.; Rowley, D.; Zhang, M., Haploinsufficiency of the maspin tumor suppressor gene leads to hyperplastic lesions in prostate. Cancer Res 2008, 68 (13), 5143-51. Abraham, S.; Zhang, W.; Greenberg, N.; Zhang, M., Maspin functions as tumor suppressor by increasing cell adhesion to extracellular matrix in prostate tumor cells. J Urol 2003, 169 (3), 1157-61. Garzon, R., Marcucci, G. & Croce, C.M. Targeting microRNAs in cancer: rationale, strategies and challenges. Nature reviews. Drug discovery 9, 775-89 (2010).






Digging in the dirt, nurturing plants, and enjoying fresh air—these are basic experiences that people share in urban gardens, during which gardeners interact and establish relationships that form the foundation on which a community grows. However, the spatial design of a garden, such as physical layout and leadership structure, can impose barriers to building that community. This study examines the physical and symbolic elements in five urban garden spaces and analyzes the effects those elements have on the gardens’ community-building capacity. It concludes that collectivist garden spaces, which provide structure for shared responsibilities, decision-making, and benefits, have greater capacity to build community than individualistic garden spaces. Introduction Urban gardens across Chicago are envisioned as important spaces to build community. Characteristics typically associated with community gardens include communal growing plots, group workdays, and joint decision-making. These characteristics do indeed provide ample opportunities to build the four pillars of ‘community’, as put forth by McMillan and Chavis (1986): membership—an individual’s feeling of belonging; influence—each member’s equal contribution to the group; benefits—fulfillment of members’ needs through group resources; and a shared emotional connection through a common history, place, or experience. However, not all gardens have those typical characteristics and as a result, urban gardens vary in their capacity to build community. In a community garden, as Kuo, et. al. (1998) argue is the case in all urban common spaces, the physical VOLUME 7, 2011-2012

features of the space influence “the quantity and quality of informal social contact among neighbors,” in turn affecting the development of neighborhood social ties and the building of community (Kuo, et. al. 1998:826). Kuo, et. al. (1998) find that more lush and vegetative common spaces develop stronger communities in urban neighborhoods. Whether it is the amount of vegetation or the type of seating area, the construction of garden space plays a key role in determining the capacity of the garden to build community. This study examines the physical and symbolic space of five urban gardens in a Chicago neighborhood to understand: which spatial elements enhance or diminish a garden’s communitybuilding capacity, what progress has been made toward the gardens’ community-building goals, and how individual gardeners and their social positions within the neighborhood have shaped the garden space itself. Drawing on the theories of Lefebvre (1991) and NORTHWESTERN UNDERGRADUATE RESEARCH JOURNAL


RESEARCH Harvey (1973), this study approaches the gardens with two main theoretical concepts. First, there are different types of space, which this study characterizes as physical and symbolic. Physical space is comprised of tangible and material items, encompassing the land itself, the benches, signs, and other objects and features. Symbolic space is the collection of ideas, representations, words, and actions used to communicate about the garden, as well as structures serving as the media for the exchange of that communication, such as meetings and events. The second theoretical concept is that space is socially constructed and produced—humans construct space through their social relations and in turn, space alters those relations. It is a continual and cyclical process of re-analyzing, re-building, and re-shaping. Considering this theoretical framework, the neighborhood chosen for study provides a particularly complex setting in which to examine space and community. Historically, the area has been the entry point for various immigrant groups arriving to Chicago and it retains a strong ethnic culture today. Over the past forty years, the neighborhood experienced successive periods of arson, white flight, and disinvestment, all of which set the stage for the more recent advance of gentrification. This process is slowly displacing life-long residents from their homes, social networks, and livelihoods. The situation has re-ignited a long-standing campaign to claim neighborhood space for the current population and has fueled a strong tension between long-term residents and newcomers. Such contention about space and the composition of the “community” makes the study of community-building in urban gardens imperative to the vitality and sustainability of increasingly dynamic urban neighborhoods. Methods I conducted ethnographic fieldwork for this study from September 2010 to January 2011. All of the gardens were fallow for most of this time period. Therefore, instead of depending on informal, impromptu interviews in the gardens, I used a snowball sample to identify potential informants and conducted structured interviews in alternative settings. Additionally, my understanding and analysis of social relations between gardeners are based on interviews, local media pieces, and library research rather than observed interactions at garden sites. This approach proved surprisingly ef42


fective: gardeners appeared comfortable and willing to share thoughts that they may have not wanted to express in the presence of fellow gardeners. I interviewed eleven individuals associated with five gardens. I loosely structured the interviews, but allowed interviewees to lead the conversation, which generated their unique perspectives on common themes. In my analysis, I closely examined the verbal and non-verbal interactions among the gardeners in the physical and symbolic garden space, as reported by the interviewees. I then used these interactions to complement the data I collected through participant-observation of gardens’ physical characteristics and their surrounding area. In gardens, I noted their layout and presentation, signage and artwork, entrance and enclosure, and the ratio of growing area to open area. Finally, I compiled this data with observations and literature of the neighborhood to analyze the current construction of the garden space and the roles of the gardeners within the context of the surrounding area. Among the five gardens (referred to as A, B, C, D, and E), I collected the most abundant and detailed data on garden A, and thus, it was the focus of my analysis. However, the intricacy of the neighborhood gardening network and the frequency of gardens’ shared history meant that data from different gardens were complementary. While each garden ultimately retains its unique identity, they all exist in the same neighborhood context. As a result, the gardens could be viewed as case studies of space and community: by comparing and contrasting the gardens’ spatial constructions and magnitude of community, controlling for their histories, cultures, and dynamics, I could identify which spatial elements enhanced or diminished a garden’s capacity to build community. Here, I present the results according to specific physical and symbolic spatial attributes and the gardens’ community vitality. Results Physical Space Gardening Style: The spatial designs of the five gardens supported different gardening styles along a spectrum from communal to individual. Gardens with a purely communal gardening style have growing areas that are tilled, planted, maintained, and harvested by a collective group of people. Every gardener has the opportunity to participate in activities during all stages

RESEARCH of the gardening process. Everyone shares the garden’s products, unless they are donated to a food bank or similar organization. On the other end of the spectrum, gardens that have an individual gardening style designate specific growing areas to individual gardeners. Each gardener has her own plot to grow plants and she keeps all the products. This type of gardening style often requires gardeners to apply for a plot and pay a fee or due. Garden A has an individual gardening style. There are nine raised beds and one in-ground plot. Of these, four are designated to a local high school and the rest are distributed to individuals living in the immediate or adjacent neighborhoods. The gardeners tend to their own beds on their own schedules. As a result, it is rare for gardeners to encounter each other, as reported by an active gardener. Similarly, garden C has mainly individual beds, with a few small communal beds for herbs and perennials. The garden leader has observed that the gardeners maintain a narrow focus on their appropriated area, rather than considering the maintenance, development, and beautification of the entire site. Additionally, the leader is concerned by the limited opportunities for the community’s involvement with such few plots available. In contrast, gardens B, D, and E have spatial structures that support communal gardening. Garden B is mostly ornamental and is constructed more like a park than a garden, but has six small beds. Community youth tend to these beds and the rest of the space through an entrepreneurial program run by a local non-profit organization. Gardens D and E, both managed by a single development corporation, have a communal gardening style even further along the spectrum. The entire gardening space in both gardens is worked by anyone who is interested. There are specific workdays, usually on the weekends, and everyone—from neighbors to passersby—is invited to participate and receive a share of the harvest. Boundaries: All of the gardens studied have boundaries based on city lots, but the way in which they delineate and control those boundaries differ. The spectrum of this spatial construction ranges from low, picket fences without locks to high, metal gates that remain locked. Garden B has a spatial construction akin to the former end of the spectrum. A three-foot picket fence runs along the two borders it shares with the sidewalk, a seven-foot wooden fence lines the back of the lot, and VOLUME 7, 2011-2012

the interior side is bordered by the adjacent building. There is a small gate that remains unlocked, a purposeful move that the leader of the organization has made to ensure it is an open space for the community. Garden C has a similar border fence without a lock. The other gardens are closer to the opposite end of the spectrum. Garden A has a low picket fence surrounding one half of the garden space that has grass, benches, and ornamental plants rather than growing plots. This portion has neither a gate nor a lock. The other half of the space, which is the designated growing area, is surrounded by a tall, chain-linked fence and has a keyed lock. At the time of study, keys for this lock had not yet been distributed to the gardeners. Gardens D and E both have a high, black steel fence that runs along the entire border of the garden space. They are locked and are only opened during workdays or when other community events are held there. Everyone who is on the development corporation’s garden committee, which is open to residents of the corporation’s housing and non-residents alike, have a key to the garden. According to the head of the garden committee, people can call anyone on the garden committee and request that they open the garden at any time. Symbolic Space Leadership: The leadership structure of gardens varies according to several attributes: number of leadership roles, degree of formalization, and process of succession. Gardens A, B, and C all have a leader recognized by the neighborhood as the point of contact for their respective gardens. In garden A, a long-term resident who has been involved with the garden for over 10 years fills the leadership role. While her role is formalized, the succession of leadership is less so. The leader admits that she has been less active in the garden recently and would like to pass on the leadership. Yet, one gardener capable of playing that role who is a newer resident in the area and considers herself the most active in the garden, has hesitated to express her leadership interest for fear of disrespecting the current leader’s seniority. The process of identifying and choosing a new leader is informal, and it appears to be subject to the personal feelings and will of the current leader and gardeners. The leader of garden B is the youth program director and has been in his role for more than five years. He NORTHWESTERN UNDERGRADUATE RESEARCH JOURNAL


RESEARCH came into the position when the outgoing leader was looking for a community member who would continue working in the space and involve youth, which aligned with the current leader’s goals. As with garden A, this process was informal and subject to the previous leader’s discretion. This same informal succession process occurred several years ago with garden C: the previous leader passed on responsibilities to the current leader, who had similar goals. The leader has her own vision for the garden, which she follows when making decisions about the garden’s direction, but she often seeks the gardeners’ input, thus giving others an opportunity to play a leadership role. Gardens D and E are both led by a single garden committee. Both residents and non-residents of the corporation’s housing are able to sit on the committee and there is no formal process of election or succession. An employee of the development corporation that owns the garden property plays a coordination and facilitation role, ensuring that committee meetings and garden workdays are scheduled regularly. Investment: The main form of investment that gardeners contribute is their time. The spatial structure of gardeners’ time spent in the garden is closely linked to the physical gardening style. In gardens that have a communal style, many gardeners contribute their time during weekly scheduled workdays. Gardens with an individual gardening style depend on fewer gardeners to contribute time based on their own schedule. Thus, gardens A and C support individuals gardening on their own time, while gardens B, D, and E have collective workdays. Other forms of investment may be an agreement to follow norms or rules, dues or fees, or participation in the decision-making process. In garden C, the leader consulted with the gardeners to develop a list of norms that gardeners would sign and be expected to fulfill. This leader also asks gardeners to pay a due of an amount commensurate with their income, though few gardeners choose to contribute in this way. Gardeners from gardens D and E have the opportunity to invest more of their time by being on the garden committee, which enables them to reap greater rewards from their experience. Community Vitality Garden A: The community of garden A is representative of the neighborhood at-large in that it is diverse and rife with tension along residency lines. The garden44


ers who have lived in the area for a long time are more apt to perceive the infrequent gardening activity as a period of dormancy in the fluctuating history of the garden. They also tend to interpret the constructions of physical space pragmatically, such as viewing the chainlinked fence as a method to prevent people from throwing garbage and other litter into the gardening space. In contrast, gardeners who arrived more recently to the area or live in adjacent neighborhoods are more responsive to levels of gardening activity and physical constructions, viewing a lack of participation as a sign of disinterest and a chain-linked fence and lock as a barrier for other community members to participate. Furthermore, residency status seems to be hindering, to a certain degree, the logical succession of leadership to a resident who is the most active in the garden and a newcomer. Garden B: Garden B has a community distinct from the other gardens studied, since it is run by a non-profit organization and neighborhood youth are the gardeners. The garden leader, who is neither a long-term resident nor a newcomer, has indicated the positive progression of his role and status within the neighborhood community; since he first arrived and began his non- profit work, his neighbors have come to accept him as a part of their community. This acceptance lends legitimacy to the garden and its youth involvement. Garden C: Garden C has an equal number of longterm residents and newcomers. The garden leader has purposefully maintained this even composition in order to balance the needs of the gentrifying community. While there is a higher demand for plots by newcomers than long-term residents, the leader has been careful to reserve half of the beds for the latter group, acknowledging that the garden’s history in the neighborhood makes her want to ensure that they are included. This structure has not necessarily resulted in a strong, unified garden community. In fact, the gardeners are not as active and there is not as much interaction as the leader had hoped. However, the equal representation and the leader’s evolution toward a communal gardening style provide a growing number of opportunities for diverse gardeners to interact. The leader is hoping that a local community-based organization could take over the garden so it would become even more embedded in the neighborhood. Gardens D and E: Gardens D and E share a community that is diverse and they have had significant success

RESEARCH with community building. The gardeners have spent committee meetings, workdays, and special events interacting and learning about each other’s lifestyles, and thus have come to view each other as members of the community rather than long-term residents, newcomers, or other category. Furthermore, their communal gardening style fosters equality and shared responsibility. Discussion A physical garden space that supports communal gardening, such as in gardens B, D, and E, has greater community-building capacity than an individual gardening space. This type of spatial construction increases the amount of social interaction among gardeners by promoting cooperative planning, decision-making, and actions. Communal gardening also increases the amount of investment gardeners make by distributing work responsibilities evenly, which ensures that all gardeners receive benefits, such as a share of the harvest and social relationships. In contrast, individual gardening devolves planning and decision-making to separate actors, eliminating the discussion, debate, and collaboration so essential to the development of a community. Each gardener can construct the physical space of her plot in whichever way she so chooses. As a result, the individual gardener has the power to affect the community without the input of its members and has the ability to work separately during his own free time, possibly without ever interacting with his fellow gardeners. The effects of boundary delineation and control on a garden’s community-building capacity are less clear. Across all gardens, the dialogue about fences and locks presented several concerns. One issue that appears to be resolved or diminished by a fence and lock is the presence of undesirable behavior and material, including litter and drugs. In this respect, boundary protection can significantly improve the quality of garden space and community. However, many gardeners feel the negative impact on the community far outweighs any benefit: high fences and locks present a physical and symbolic barrier to individuals’ participation that directly contradicts the community-oriented purpose of a “community garden”. Based on the evidence gathered, the negative perceptions are stronger than positive ones. Therefore, boundary delineation and control slightly decrease a garden’s capacity to build community. A symbolic garden space that has multiple leadership roles and more opportunities for gardeners’ investment, such as in gardens D and E, is more capable of building community than a garden with a single leader and few investment opportunities. The former symbolic structure enables more fluid and open communication and interaction among gardeners. Organized workdays and committee meetings are forums that offer an even ground on which to relate. These settings let gardeners VOLUME 7, 2011-2012

set aside the political, economic, and social contexts that usually codify their words and actions and instead communicate within the garden space in a way that is less influenced by their social positions in the neighborhood and more determined by their shared interest in gardening and the goals of the gardens. As a result, the divisions that exist within the neighborhood are eroded in the garden space, thereby building the integrated community that the gardeners would like. Conclusion Ethnographic evidence from this study indicates that physical gardening style, leadership, and investment opportunities play a significant role in a garden’s capacity to build community. Physical boundary delineation and control play a role to a slightly lesser extent. Across all of these physical and symbolic attributes, the more collectivist the garden space, the greater its communitybuilding capacity. Conversely, the more individualistic the garden space, the lower its capacity. These results have impressive implications for new and existing urban gardens: they underscore the importance of spatial construction in a garden’s pursuit of its goals, especially if those include community building or the garden is located within a neighborhood fraught with discord. Future research on this topic, and specifically on the role of gardeners’ social positions within the surrounding neighborhood (i.e. long-term resident, newcomer) on garden space and community, would benefit residents and planners seeking to build community within increasingly diverse and complex urban environments. Acknowledgments I would like to thank my advisor, Timothy Keese Earle, faculty mentor, Helen B. Schwartzman, and graduate mentor, Jesse Mumm, for all of their direction, patience, and support throughout this entire process. Their wisdom and critique made the development of my research and analysis possible. References

Harvey, David. 1973 Social Justice and the City. London, Edward Arnold. Kuo, Frances E, William C. Sullivan, Rebekah Levine Coley, and Liesette Brunson 1998 “Fertile Ground for Community: Inner-City Neighborhood Common Spaces.” American Journal of Community Psychology 26(6):823-51. Lefebvre, Henri. 1991 The Production of Space. Oxford, Blackwell. McMillan, David W. and David M. Chavis. 1986 “Sense of Community: A Definition and Theory.” Journal of Community Psychology 14:6-23.




photo by Amelia Bell

A New Genre of Mythic Performance


Annie Beserra

Billy Siegenfeld



The development of ROOTS of EARTH has a long history in my creative research and is the primary artistic work of my current Honors Project in Theatre. The project acts as a avenue for the synthesis my training in dance, acting, music, choreography, and direction during my time at Northwestern University. During the first phase of the Honors Project, I reviewed the literature and works of artists who practice these artistic modes in cohesive, multi-media performances. I found that these multidisciplinary performance artists (e.g., Bill T. Jones, Blondell Cummings, Joe Goode, Emily Johnson) consistently research their own autobiographies and memories as a source for incubation of their voices as multi-disciplinary artists. By engaging with their specific pasts in live performance, these artists transform in the language of their individual voices. However, these 46


artists’ works tend to be limited to solo performances, and, almost always, reject dramatic narrative (a story) as a way of organizing and presenting the research. These works, which tend mostly to live in purely felt, non-logical realms, also tend to allow meaning to get lost as its translates from artist to audience. My research questions, modeled from these artists’ research, include: How does my autobiography and memory serve as a resource for the creation of original work? How do the elements of live theatre (music, dance, acting, etc.) synthesize to create an opportunity for cohesive, multi-sensory storytelling? How can I transfer my solo research into an ensemble performance? And, most importantly, how do I, as an artist, make meaning from this research and how does that meaning transfer to an audience? I have structured my Honors curriculum to build

ABSTRACT on twelve months of creative research under the title, ROOTS of EARTH, which has revealed to me the significance of researching the emotional memories tied to questions of home, faith, and identity. Initially, the research took form by diligently looking at significant moments in my personal history (including autobiographical moments and memories) and organizing them into the aforementioned categories of home, faith and identity. From there, I magnified these events, exploring their connections with poignant moments and relationships in my life, and engaged in dance, and music and theatrical exploration in order to deepen my understanding of these moments. By fusing these multi-sensory products of research, I created a cohesive evening of dramatic theatre. I presented this theatre piece as a culmination of research in February 2012, to an audience of student and professional peers for review. After this solo presentation, I move into the arena of ensemble storytelling, wherein I transfer the choreographic, musical, and theatrical ideas I developed in the studio, to a group of dedicated actor/dancer/musicians. The methodologies for research in the rehearsal room will be based on the principles of devising work in a form I call intentional storytelling. In this performance development technique I created during the course of an Undergraduate Research Grant, the creation of scene, character, and dramatic moment requires improvisation and collaboration: the ensemble decides, collectively, what each scene in the show needs to accomplish for each character (the intention of the scene), and then pulls from the plethora of artistic capacities of our actors to create the drama. The performance, modeled on the presentation of my solo research, can take the form of comedy, dance, physical gesture, spatial play, music, song, or poetry, all in service to the singular and simple intention of each moment. Therefore, what maintains the show’s cohesiveness is the ensemble’s service to intention. My final research question, in which I ask how meaning can be transferred from artist to audience, dictates the organization and presentation of this work. My hypothesis is that story is the ultimate link between how an audience and artist make mutual meaning within a performance. Story, as it functions in performance is, essentially, drama. Drama occurs when two characters, emotions, or worlds collide in conflict and then, by whatever theatrical means, resolve. Therefore, though it may be unconventionally told through multiple media, the dramatic story of ROOTS of EARTH will be reliably present in every moment. Effectually, this story model invites the audience to both witness and connect to a characters’ growth, relationships and, ultimately, transformation. ROOTS of EARTH opens with an omniscient character who introduces the thematic questions of the play (not unlike the Greek chorus of the Theban Plays), VOLUME 7, 2011-2012

as the ensemble comes to life inhabiting characters of a mythic forest whose trees sing forgotten lullabies and its people are doomed to lost wondering: two sisters, whose energies ride silent from the exhaustion of homelessness, dance and pull at each other in desperate need of security; oppositely, three explorers bounce through space in farcical play in search of adventure, until their naive stamina dissolves and they are forced to realize their undeniable aimlessness. They are mythic allegories for our human struggle to accept the lonely, wandering fate of our condition. Later in the piece, the omniscient narrator intervenes as one character spirals into fear in her realization of her loneliness, teaching her to find stability within her own equilibrium. In a chilling act, she opens her mind as the entire ensemble moves inside to face the dark fears of her dreams. Each of these characters is modeled from important personal relationships that influenced my solo studio work, and their journeys bring to life the hypotheses I write as I ask questions about making meaning of my own autobiography and memories. ROOTS of EARTH’s storytelling emphasis in intention-based origination departs from the work of the aforementioned artists, taking on a mythic form. It becomes a unique, genre-synthesizing performance that emphasizes dramatic allegory in a cohesive story about people. In its incredibly specific, idiosyncratic source and presentation, this work rejects cultural boundaries and harnesses the sincere voice of the individual on the global stage. This genre, unlike others, is entirely inclusive as the allegories of the human experience are universal, crossing all forms of cultural boundaries. Bibliography

Albright, Ann Cooper. “Auto-Body Stories: Blondell Cummings and Autobiography in Dance.” Meaning in Motion: New Cultural Studies of Dance. Ed. Jane Desmond. Durham: Duke UP, 2003. (179- 205) Print. Cooper, Pamela J., and Rives Collins. The Power of Story. South Melbourne: Macmillan Education Australia, 1994. Print. Dixon-Stowell, Brenda. “Blondell Cummings: ‘The Ladies and Me.’” The Drama Review 24.1 (1980): 37-44. MIT Press. Web. 18 October 2011. Everest, James. “An Interview with Choreographer Emily Johnson, about THE THANK-YOU BAR” catalystdance.com. catalystdance, n.d. Web. 6 December 2011. Gere, David. “29 Effeminate Gestures: Choreographer Joe Goode and the Heroism of Effeminacy.” Dancing Desires. Ed. Jane C. Desmond. Madison: University of Wisconsin Press. (349-381) Print. “Go For What You Know.” Free to Dance. Dir. Adam Zucker. PBS, 2001. Videocasette. Grace, Sherrill. “Theatre and the AutoBiographical Pact: An Introduction.” Theatre and Autobiography: Writing and Performing Lives in Theory and Practice. Ed. Sherril Grace and Jerry Wasserman. Vancouver: Talonbooks, 2006. (13-29) Print. Hanna, Judith Lynne. “New Moves for Men.” Dance, Sex and Gender: Signs of Identity, Dominance, Defiance and Desire. Chicago: University of Chicago Press, 1988. Print. Kourlas, Gia. “Exploration with Myth, Memory, and Movement.” Rev. of The Thank-you Bar, perf. Emily Johnson. New York Times 11 November 2011. Web. McNamara, Joann. “Dance in the Hermeneutic Circle.”Researching Dance: Evolving Modes of Inquiry. Ed. Sondra Horton Fraleigh and Penelope Hanstein. Pittsburgh: University of Pittsburgh Press, 1999. 162-187. Print. Miller, Tim. Body Blows: Six Performances. Madison: University of Wisconsin Press, 2002. Print. Phelan, Peggy. “Tim Miller’s My Queer Body: An Anatomy in Six Sections.” Theater: Duke University Press Online Journal. 24.2. (1993): 30-33. Web. 6 December 2011.





DAKAR, SENEGAL: Factors, Pathways, and Obstacles



Using a combination of quantitative surveys and personal interviews, I explored whether certain social, gender-specific, or political issues affect the successful creation and maintenance of female-owned businesses in Dakar, Senegal. After analyzing the collected data, I found that the majority women were married, highly educated, and more likely to start businesses later in life and in sectors that are typically female-dominated. From a political standpoint, even though there were several government initiatives designed to encourage female entrepreneurship in the country, the women I interviewed stated that finding financial support was the most overwhelming obstacle they encountered when starting their businesses. I concluded that more steps need to be taken to ensure that women are able to gain access to the funds that have been created for them.


emale economic empowerment in the developing world has been proclaimed as a universal necessity for the developing economies; the UN included the empowerment of girls and women as their third Millennium Development Goal, which lists the eight necessary factors the developing world must overcome in order to combat poverty.1 Various reasons have been offered to explain the lack of female participation in the workforce in the developing world, including the role of patriarchy and social inequality. However, female entrepreneurship in the formal, government-regulated sector and informal, unregulated sector has started to make an impression on the global economy and developmentfocused economic research has started to explore its growth. Over a two month period in the summer of 2010, I conducted a research project in Dakar, Senegal, looking at formal female entrepreneurs. My goal in this research project was to meet and interview female, and male, entrepreneurs in Dakar, and gather demographic information about these entrepreneurs. I hoped to identify certain common characteristics that helped women become entrepreneurs, and understand whether these qualities differ from men’s. I also wanted to get a sense of the social and political atmosphere surrounding the entrepreneurial experiences of these women. In other words, how do women in developing countries succeed



at starting their own businesses and what obstacles do they encounter? While my sample size was small, only 13 women and 2 men, I had a good introduction to how female entrepreneurs in Dakar succeed, as well as direct experience of where women work and how they finance themselves. Demographics The demographics of my sample show that most of the entrepreneurs are late-middle aged, started the business later in life, and are highly educated. The following table summarizes the key demographics from my research: Table 1. Demographics Demographics






Years Living in Dakar



Years of Education



Years of Work Experience



Years Business has Operated



Number of Employees



RESEARCH Table 1a. Demographics (percentages of entrepreneurs) Demographics








Never Married


Support Exterior Households


Main breadwinner of the family


With an average age of 51 and an average residency in Dakar of 43 years, the entrepreneurs spent the majority of their lives in an urban setting. This setting offers them access to resources which, outside the city, may not be accessible or reliable, especially when it comes to banking and government loans. Their businesses on average have been open almost 9.5 years, indicating that the entrepreneurs decided to start their businesses during middle age, rather than as young people. Prior to starting their businesses, the entrepreneurs had about 20 years of work experience. This may be due to the necessity to earn a salary in order to support their families, the social pressure of staying home to raise their children, or a desire to save money in order to have the time and resources to start a company. Some 73% of the entrepreneurs identified themselves as the main breadwinners in the family, and 67% also said that they supported households outside of the one they live in. Fully 60% of the entrepreneurs were married, and all but one had children. Entrepreneurship, then, is also associated with finding a way to earn income to support both the immediate and extended family structure. Overall, only 29% of women can read and write in Senegal.2 But, women who have access to higher education have more opportunities and success in entrepreneurship than those who do not.3 From my sample, the entrepreneurs I met were highly educated, averaging 16 years of schooling. Education played an important role in the profile of entrepreneurs, helping them increase their chances of success in the long run. One of the most important statistics was the size of their businesses: an average of 23 employees per enterprise, with a median of 10. Most of these businesses would be classified as small and medium-sized enterprises (petites et moyennes enterprises, or PME, in the locally spoken French). Comparatively, a microenterprise has less than 10 employees, a small enterprise has less than 50 employees, and a medium enterprise has less than 250 employees. 4 The women I met, even those who have what qualify as “microenterprises,” described their businesses as growing and expressed a need for resources that matched that growth. The number of employees did not necessarily reflect the overall size of the business. For example I visited a very successful and well-run doctor’s office that had only 3 full-time employees. VOLUME 7, 2011-2012

Politics of Female Entrepreneurship The Ministry of Female Entrepreneurship and Microfinance has been continuously reformatted over the years of President Abdoulaye Wade’s presidency. The ministry has previously been affiliated with the “Ministry of Women, Family, Social Development, and Female Entrepreneurship,” the “Ministry of PME, Female Entrepreneurship, and Microfinance,” and the “Ministry of Family, National Solidarity, Female Entrepreneurship, and Microfinance.” On a political level, female entrepreneurship in Senegal is never addressed as an independent entity, nor is it associated with the Ministry of Labour or Commerce. In its current form, female entrepreneurship continues to share a ministry with microfinance: “Ministry of Family, National Solidarity, Food Security, Women’s Entrepreneurship, Microfinance, & Early Childhood”. One of the biggest complaints I heard from the women I interviewed was that because of the political association of female entrepreneurship with microfinance, political discourse considers female business as microbusiness. This makes it difficult for PME’s to find financial, managerial, and political support for the problems they encounter. Nicole, the head of a women’s business union in Dakar, expressed this issue in our interview: “The real, good understanding of what female entrepreneurship is does not exist; [until it is understood,] we will have a lot of problems in truly establishing anything political. If you take a very easy example: […] since a lot has been done in micro finance, they tell you that generally women don’t have any problems accessing financial support. But who are they talking about? Micro business, or small businesses, or medium-sized businesses, or business in general?”

The main complaint seems to be that the government does not take female entrepreneurship seriously. Normally associated with microfinance, female run PME’s are simply overlooked as legitimate large-scale businesses. In order to help boost the support of female entrepreneurship, the Senegalese government implemented a new body called the Direction of Female Entrepreneurship (DFE) in 2002. Then in 2003 it established the National Funds for the Promotion of Female Entrepreneurship (FNPEF). In theory these new institutions would provide direct aid to women interested in starting their own businesses, while helping provide necessary information to the government on what female entrepreneurs need to be successful. The Direction of Female Entrepreneurship is an umbrella body that works with other organizations, governmental and non-governmental, and helps promote female-run businesses from the ground up. Most of the organizations I visited provided education for female entrepreneurs in the matters of business organization, finding financial support, and becoming formalized through government contracts. However, NORTHWESTERN UNDERGRADUATE RESEARCH JOURNAL


RESEARCH many of these organizations focused on informal economy workers and so do not give as much help to the women who work in the formal sector. The DFE, while providing its own resources, works to unify the information available and provides the best services it can. The FNPEF was created to provide government financial support for female entrepreneurs. Criteria for receiving a loan from the FNPEF are based on the ability of the women to pay the loans back on time. Because the FNPEF wants to guarantee that the women are making enough profit to repay, they encourage women to work in sectors that they know and use their life skills to their advantage. As a result, it became clear early in my research that the majority of female entrepreneurs were involved in agriculture and agricultural transformation businesses. This is reflected in the correlation of women working in agriculture in the population at large. Women were also found to be the majority in commerce, the second highest correlation (see table 2.) Table 2. Correlation of Women to Sectors of Business.

“They promised us financial support for our businesses, from 2008 till now. They put us in contact with banks where the conditions to access loans are very difficult. They put us on the same level as big businesses, but we’re not, we’re small businesses. […] The government doesn’t help us.”

Whether the government’s lack of support is as negligent as these women say, very few women appear to have benefitted from government programs and instead sought other sources of investment. Financial Support for Female Entrepreneurs Small businesses have various sources of funding. In Dakar, the main options are commercial bank loans, microfinance institution and other NGO loans, government loans, or independently financed. The last option includes personal savings and money loaned from friends and family. In my sample, the majority of respondents (80%) said they were independently financed. The second most popular form of financial support was NGO or microfinance support (33%). No respondents indicated that they had received financial support from a commercial bank.


Percentage of Entrepreneurs in Sector

Correlation of Women to Sector

Agriculture/ Agribusiness















NGO/ Microfinance Institution loans




Independently Financed


Financed by other means


Information Technology











Commerce Transportation






While the funds are supposedly available to all female entrepreneurs, all the women I interviewed except one had not received money from these funds, even after applying. For the women, it is all political; the money does not go to the women who need it, but to the people who have government connections. Ndèye Fatou, an entrepreneur in agribusiness, commented that “[The Ministry of] Female Entrepreneurship, they help who they want. They help people who already have money. That’s not normal. We don’t have the [financial] means, and you need to help people who don’t have the means.”


Ndèye, another entrepreneur in agribusiness, echoes this comment:


Table 3. Financial Support sources Financial Support Source Commercial Bank loans

Percentage of Respondents 0% 33.33%

The women I interviewed chose to be in the formal sector of the economy. With this choice comes more financial woes; taxes, authorization, regulated products. Ndèye Fatou told me of some of the problems associated with deciding to run a formal business: “Myself, I love to work, I am professional […] I can do the work like other people—take a bag, fill it with bissap juice, ginger juice […] It works well like that. But there are labels that they sell, and that makes it more professional. I need an authorization number; I need to go pay I don’t know how much at the Chamber of Commerce. […] Then when you have put the authorization number on the label, it becomes something serious.”

Because they see their work as professional and serious, female entrepreneurs, want to be a part of the business community officially, and taken seriously by the government and financial institutions, However, the price tag associated with this formalization is high; getting authorization for food production, taxes on production, and import and export licenses are all expensive necessities that formal businesses encounter. As Ndèye Fatou explained to me, there are many obstacles

RESEARCH that weigh heavily on female business owners, both financially and psychologically. As microfinance makes big waves in the international community, I was surprised to see that so few women used microfinance loans to help their businesses. According to Ndèye Fatou, who occasionally uses microfinance loans, she did not like the short repayment schedule or the high interest rates: “You can’t take money each time you work — you won’t earn anything. Each month you’re obligated to pay the bank […] And sometimes I take a loan of 2,000,000 to 3,000,000 [FCFA] […] too difficult, too difficult […] putting money aside, or making something else, you just can’t do it. It’s the loans that kill me.”

The biggest financial problem for these women was that the size of the loans they needed was too big for a microfinance institution, but too small for a commercial bank. Left in the middle without any resources these women had to find alternative financing methods. In the end, Senegal loses since small and medium enterprises make up the majority of businesses there. Nicole told me that “[s]olutions have been found at the institutional level for big businesses, the problems were solved; solutions have been found for microenterprises […] but for the majority in the middle, nothing has been done, or very little […] very few things have been done in all sectors.”

There needs to be a formal solution for businesses in the middle. Based on my research most female entrepreneurs rely on their networks of family and friends, as well as personal savings, to finance their businesses. In short, a business that aspires to become formally established relies on informal methods of support. Using their own resources, the women have been very successful in their businesses, but all of the women desire to expand their companies. The only way to do that is to have sources of funding that are accessible and available to their needs. Conclusion Although my project was small, I discovered information that encourages me to continue this research. My initial goal was to compare the profiles of female business owners with those of male business owners and decide whether different characteristics amongst men and women make it easier for women to start businesses. However, my interviews and statistical results do not appear to show much of a difference. Overall, for the entrepreneurs that I met, education and work experience play a major role in starting businesses, and most start their businesses later in life. Even in finance, both men and women struggled to find substantive financial backing outside of their own means. However, with a new political atmosphere and pro-woman government campaigns, I felt there should have been more financing available for women. This was not the case. I plan to do more in-depth studies at women who succeeded in accessing government funds. Since the VOLUME 7, 2011-2012

government has made money available to female business owners, and since the women I interviewed had qualifications that would allow them to take a loan, I want to understand who is actually accessing these government funds and how they succeed in taking the loans. Is it all political, like my interviewees claimed? Or are there other factors playing into the inaccessibility of the National Funds for the Promotion of Female Entrepreneurship? The answers to these questions are necessary to establish practical resources that enable women to create formal, larger-scale businesses and to ultimately achieve their goals. Endnotes 1 2 3 4

UN Millenium Development Goals. “Goal 3: Promote Gender Equality and Empower Women.” < http://www.un.org/millenniumgoals/gender.shtml> CIA World Factbook. 2002 estimates. ILO. “From Entrepreneurship to Education: how empowering women can help their children learn.” <http://www.ilo.org/global/about-the-ilo/press-and-media-centre/ insight/WCMS_094240/lang--en/index.htm> EUROPA: “Définitions des micros, petites, et moyennes entreprises.” <http://europa. eu/legislation_summaries/enterprise/business_environment/n26026_fr.htm>

Works Referenced

Centre Africain de l’Entrepreneuriat Féminin. Manuel de Formation sur la Gestion des Activités Economiques des Femmes: Manuel de l’Animatrice. Dakar: CAEF, 2009. Print. Doudou Sarr, Niang. “FONDS NATIONAL DE PROMOTION DE L’ENTREPRENARIAT FÉMININ : 1,2 Milliard Pour Aider à l’émergence de Véritables Femmes Chefs d’entreprise.” Le Soleil. Grafisol. Web. 29 Nov. 2010. <http://www.lesoleil.sn/article.php3?id_article=4649>. Ministère des Petites et Moyennes Entreprises, de l’Entrepreneuriat Féminin et de la Microfinance, and Direction de l’Entrepreneuriat Féminin. Guide de la femme entrepreneure. Dakar: Ministère de PME, de L’Entrepreneuriat Féminin et de la Microfinance, 2006. Print. RBSA WED, and Bureau International du Travail. Diagnostic Institutionnel & Evaluation des Besoins des Associations de Femmes Entrepreneures du Milieu Urbain et Rural et du Secteur Informel. Publication. Dakar: BIT, 2009. Print.


Ndèye. Personal Interview. 6 August 2010. Ndèye Fatou. Personal Interview. 16 August 2010. Nicole. Personal Interview. 6 August 2010.


This project first and foremost would not have been possible without the inspiration and encouragement of Professor Jeff Rice, who pushed me to apply for the summer research grants and started me on my way to networking in Dakar. Without the advice and wisdom of Professor Hilarie Lieb, I would have been completely lost in the world of economic field research. I would also like to sincerely thank the both of them for vouching for and supporting me during a tough process. I would like to thank Sijh Diagne and Professor Souleymane Bachir Diagne for providing me with local contacts in Dakar and for making sure I wasn’t alone in this project. In Senegal, I owe all my gratitude to the staff of the West African Research Center, Saliou Bodiang, Maréme Cissé Thiam of the Direction de l’Entrepreneuriat Féminin, Marie Laetitia Kayisire of the Organisation Internationale de Travail, Charles Fall of the Fonds de Promotion Economique, Dr. Ndèye Sohka Guèye of Université Chiekh Anta Diop, and Dr. Serigne Moustapha Sene of the Ministère de l’Economie et des Finances. All of these people helped me connect with the fantastic entrepreneurs I interviewed. I also want to thank Sidy Guèye for teaching me Wolof, Genia Martinez for keeping me sane, Baye Diasse for helping make my time in Dakar memorable, and Mame Souka for graciously letting me live in her home. Without help from all of these people, I would have never been able to complete my research. To all of the women I met with and who let me hear their stories: I thank you! This project would not have been possible without funding from the Weinberg School of Arts and Sciences and the Program of African Studies. I would also like to thank my parents, who supported me wholeheartedly in this journey.





and Secularism? The Codification of Cultural Values in France Patricia Radkowski CENTER FOR LEGAL STUDIES


Introduction One of the results of 20th century globalization has been an increase in the coexistence of people of various cultures. As dissimilar people attempt to build society together, their value systems converge but also conflict. As the French Minister of Justice Michele Alliot-Marie put it, At the time of globalization and the increasing complexity of our societies, so that our citizens are looking for a number of benchmarks for community life, the desire to present a common destiny, when the French wonder about the future of our nation, our common responsibility to be vigilant regarding the implementation of the principles of democracy and the Republic, to reaffirm the values we share.1

France is not the only country concerned with its immigrants and their effects on the nation. Americans constantly debate immigration laws, as we see from election debates. Germans hesitate to give Turks citizenship. The Swiss banned minarets in their country. The assimilation of immigrants is very much a current and unresolved issue that invokes national identity ideas that may be codified through political and legal systems. This paper explores how two French laws, the 20032004 ban of religious symbols in schools and the 20102011 ban of covering the face in public spaces, were framed in national identity and cultural value terms. The Concept of Framing A frame is a mental filter, or a lens that influences perception, used to socially construct phenomena. “Frames are interpretive structures through which individuals organize and make sense of an ambiguous stream of events and issues in the world.”2 Snow and



Benford define a frame as “an interpretive schemata that simplifies and condenses the ‘world out there’ by selectively punctuating and encoding objects, situations, events, experiences, and sequences of actions within one’s present or past environments.”3 Framing is the process by which an issue is defined using schemas of interpretation. Any social actor can frame. A frame is how an issue is phrased, as shown by word choice, background, context, reference, etc. In a sense, it becomes an entire web of related concepts and meanings that impact understanding. Frames reveal a society’s values and priorities. The concept of a frame serves as a shorthand, abstract and often nebulous term for the understanding and reasoning of others, and has no single, all-encompassing definition. This paper distinguishes between two levels of framing: the master frame and sub-frames. The master frame is the overarching main frame of interpretation. It encompasses other working frames under a common label, signaling that they are related. According to Mooney and Hunt, master frames call “attention to ideological linkages between a number of [frames].”4 A master frame becomes a label for a set of other frames that are interrelated. The frames under the master frames can be thought of as sub-frames. The sub-frames are manifestations of the general frame and relate to one another. Objective and Method This paper seeks to illuminate what cultural values and national identity concepts are incorporated into the French legal and political system. I analyze what frames are employed by the French government to justify the

RESEARCH Muslim clothing bans based on two documents, given that their drafting is an act of framing. The Stasi Commission Report reveals the concepts behind the 20032004 ban on religious clothing in schools. A transcript of a National Assembly debate from July 6th, 2010 reveals the concepts behind the 2010-2011 ban on the concealment of the face in public. The analyses are presented separately for each source and the master frames and sub-frames are grouped accordingly. Since these sources document framing, they do not by any means Framing Analysis: 2003-2004 Ban on Religious Symbols in Schools and the Stasi Commission Report The hijab (overall Muslim female modesty, most frequently manifested in a headscarf) or khimar (hair and neck cover, usually a headscarf) ban, part of an overall ban on religious symbols in schools, was debated in France in 2003 and instituted in 2004. In early December of 2003, a government-sponsored commission issued the Stasi Commission Report (thus named for the head of the commission, Bernard Stasi) recommending a federal law that would ban conspicuous religious symbols in public schools. The law is an amendment to the French Code of Education that expands principles found in existing French law, especially the constitutional requirement of laïcité: the separation of state and religious activities. Master Frame: French Secularism Secularism is “the nature of the relationship between religion and state.”5 Secularism comes from the word “secular,” which is the opposite of sacred. Secular means “of or pertaining to worldly things or to things that are not regarded as religious, spiritual, or sacred; temporal; not pertaining to or connected with religion.”6 Secularism, by extension, refers to “secular spirit or tendency, especially a system of political or social philosophy that rejects all forms of religious faith and worship” or “the view that public education and other matters of civil policy should be conducted without the introduction of a religious element.”6 It is the latter meaning that is encapsulated in the French concept of laïcité (spelled “laicite” throughout the paper for ease). Laicite is the concept of a secular society, in which religious involvement is absent from government affairs and government involvement is absent from religious affairs.8 “Secularism implies the independence of the political and spiritual or religious options. They have no control over the state and the latter did not present them.”9 Most French-English dictionaries translate laicite as secularism (a type of political system) although it can also be thought of as secularity in general or as “laicism” and “laicity.”10 To these French politicians… Secularism is the cornerstone of the republican pact, based VOLUME 7, 2011-2012

on three inseparable values: freedom of conscience, legal equality of spiritual options and religious neutrality of political power. Freedom of conscience enables each citizen to choose their spiritual or religious life. Equality before the law prohibits any discrimination or coercion and the state does not favor either option. Finally the political power recognizes its limitations by refraining from interference in the spiritual or religious. Secularism thus reflects a conception of the common good. So that every citizen can recognize themselves in the Republic, it subtracts the political power to the dominant influence of any spiritual or religious option in order to live together.11

The French type of secularism is a different breed. It is a “Secularism that is both uncompromising in applying the principles of the Republic and friendly to all religious and philosophical beliefs.”12 In recognizing that all religions are equal, none are allowed in the public sphere so as not to impose on others.13 “Secularism is the framework in which the French are fully guaranteed freedom of worship and expression of all spiritual options.”14 Again, in privatizing religion, no French citizen feels uncomfortable in the public sphere. The modern foundation of France rests on secularism as the concept of a soceity which practices religion privately, under the “freedom of conscience” concept. The French are passionat about secularism: “France is not the only Western country to insist on the separation of church and state - but it does so more militantly than any other… Secularism is the closest thing the French have to a state religion.”15 The comparison of secularism to a religion is fitting. As the Stasi Commission writes, “France is the only country to [have] explicitly enshrined secularism in its constitution.”16 The word “enshrine” (in French “consacré,” which means consercrate, dedicate, devote) has an undeniable relgious connotation. Secularism is held in especially high regard in France and the French people have immense pride in their execution of this principle. The opening of the Stasi Commission Report reads “The French Republic was built around secularism. All democratic states respect freedom of conscience and the principle of non-discrimination; they are experiencing various forms of distinction between political and religious or spiritual. But France has elevated the status of secularism, a fundamental value.”17 The French politicians who wrote the Stasi Commission Report were well aware that secularism is closely associated with a “set of images, values, dreams and desires that underlie the Republic.”18 These Frenchmen see “secularism as key to national identity, cohesion of society, equality between men and women, education, etc.”19 Sub-Frame: Public Order The law of 1905 that separates church and state reads, “The Republic guarantees freedom of conscience. It guarantees freedom of worship, subject only to restrictions set forth below in the interest of public order.”20 In the interest of public order, the French governNORTHWESTERN UNDERGRADUATE RESEARCH JOURNAL


RESEARCH ment can apply the principle of “reasonable accommodation” to religious and ethnic minorities, under which it makes some concession as long as the actions of the minority do not conflict with the French identity.21 The French do not see such a “reasonable accommodation” as a solution to the effects of immigration. The point of the ban on religious articles in schools is to make sure that schools function properly and their primary purpose (education) is achieved. The Stasi Commission Report identifies several other “points of tension” where secularism is not enacted properly and is therefore failing the French public: hospitals, the army, prisons, etc. French spaces should be religion-free so as not to disrupt the public order. The French government is in charge of maintaining public order in “shared public spaces.”22 The idea of French harmony is well described in the microcosm of the workplace: “They [‘employees who wear headscarves and refuse to shake hands with their male colleagues’ and ‘employees do not recognize the authority of managers when it comes to women’] undermine the harmony which must exist between employees, regardless of their gender and their religious and philosophical convictions.”23 All French citizens must all be able to interact in a religion-neutral way. Private rights take the backseat to public harmony. Sub-Frame: National Unity Secularism is “a value which is based on national unity, as well as a guarantor of individual liberty.”24 The Stasi Commission openly recognizes the power of the French government to unify the French people: “The State allows the consolidation of common values that underpin the social fabric in our country.”25 This is especially important in the face of the diversity that immigrants bring. Our political philosophy was based on the defense of the unity of society. This concern for uniformity outweighs any expression of difference perceived as threatening. Today diversity is sometimes presented in a positive light: respect for cultural rights is claimed by some who view them as an essential aspect of their identity. Preserve culture, belief, memory - real or imagined - is seen as a form of protection while participating in a changing world trade. Deny the strength of community feeling would be futile. But the exacerbation of cultural identity can not set itself in the fanaticism of the difference, carrier of oppression and exclusion. Everyone must be able, in a secular society, to distance from the tradition.26

The French government must perform the difficult task of forging unity while respecting the diversity of society.27 Sub-Frame: School as the Birthplace of French Citizens Under the 1905 law officially separating church and state in France, “The French state could not allow any proselytizing in public buildings - least of all schools, where the citizens of tomorrow were being taught.”28 The school is seen as the focus of this debate as the 54


school is supposed to be a safe learning environment for French youth and a place they can pick up French republican, not religious, values. It is crucial that “the school does not become an echo chamber of the passions of the world, under pain of failing in its educational mission.”29 The wearing of conspicuous religious signs “is enough to disturb the tranquility of school life.”30 While many other countries may conceptualize the public school as the birthplace of the enlightened and patriotic citizen but, just as with the concept of secularism, France takes the idea of the school as birthplace of the French citizen more seriously… The issue of secularism has reappeared in 1989 where she was born in the nineteenth century: at school. Its mission is essential in the Republic. It transmits the knowledge, critical thinking form, ensuring their independence, openness to cultural diversity, and personal development, education of citizens as a future career. She prepares tomorrow’s citizens have to live together within the Republic. Such a mission requires a clear set of common rules. First of socialization and sometimes only place of integration and upward mobility, schools have a major impact on individual and collective behavior. In the school of the Republic are greeted not just users, but for students to become enlightened citizens. The school is thus a fundamental institution of the Republic, for the most welcoming of minors subject to compulsory education, to live together beyond their differences. This is a specific area, subject to specific rules so as to ensure that the transmission of knowledge in serenity. The school must not be sheltered from the world, but students must be protected from the ‘fury of the world’: it certainly is not a sanctuary, but it must encourage a distancing from the real world to enable learning. Yet in too many schools, the evidence showed that identity conflicts can become a source of violence, result in violations of individual freedoms and cause public disorder…. For the entire school community, the veil is too often a source of conflicts, divisions and even suffering. The character of a visible religious sign is perceived by many as contrary to the mission of the school to be a neutral and a place of awakening of critical consciousness. It also undermines the principles and values that schools should teach, including equality between men and women.31

This quote reveals how seriously the conception of the French citizen-student resonates with the Stasi Commission. It also shows how the French school as the birthplace of good citizens relates to the integration of immigrants (as well as the flipside of diversity and multiculturalism) and the process of “social mixing.” The ideal French school is characterized as a place totally free of religion… The secular state that guarantees freedom of conscience, in addition to freedom of religion or of expression, protects the individual and allows everyone to freely choose whether or not an option spiritual and religious, to change or be waived. It ensures that no group, no community can impose on anyone a membership or religious identity, especially because of its origins. It protects each and every one against any pressure or entity, carried out under cover of a particular spiritual or religious prescription. The freedom of individual conscience against proselytism is now complete separation of the notions of neutrality and power in the 1905 Act.32

RESEARCH Article 10 of the Law on Education of July 10th, 1989, establishes a “broad freedom of expression for students.”33 The law of 2003-2004 is seen as an extension, not as a reversal, of this freedom of expression. “Religious symbols are not prohibited per se but can be if they are of a character or ostentatious protest.”34 The French government wishes to limit the religious content inside schools so as not to impose on anybody else. At the same time that religion is not to be imposed on students, the school serves as a place to birth French citizens, a place to inoculate them with republican values. “The first republican values training is and must remain in school.”35 “As the school’s founding principle, secularism is a major theme of civic education.”36 “The insistence on schools as religion-free zones goes to the heart of the French idea of citizenship.”37 “The State defends the common values of society which it is derived. Buoyed by a strong vision of citizenship that transcends community affiliations, religious, or ethnic, secular state creates obligations towards citizens.”38 Again, this is deeply related to the idea of integration through the secular school, as discussed in more detail below. Sub-Frame: Being “French First” A French person, regardless of his or her other identities, is expected to be “French first.” “Citizenship in France has been based on the Republic recognizing individuals rather than groups. A French citizen owes allegiance to the nation, and has no officially sanctioned ethnic or religious identity.”39 Historically, the French have gone through great lengths to get the public to see itself as French. “Although it can be carried to extremes - such as colonial subjects being taught that their ancestors were Gauls - this view of citizenship is fundamentally non-discriminatory and inclusive.”40 The Stasi Commission locates and urges to phase out programs that go against French-ification, for example ELCO (“un enseignement des langues et cultures d’origine,” teaching of languages and cultures of origin). In the 1970s, France signed bilateral agreements with Algeria, Spain, Italy, Morocco, Portugal, Serbia-Montenegro, Tunisia and Turkey to teach immigrant children the language and culture of their homelands “at a time when the arrival of immigrants was seen as temporary.”41 These contracts were renewed over time but the Stasi Commission no longer feels that they are necessary since even the teachers of these programs are “often of French nationality and are destined to live in France permanently.”42 “The Committee notes that against the background of the right to difference, we have moved to the duty of belonging.”43 The ELCO program not only prevents immigrants from being “French first” (or identifying with French national identity) and disrupts the “duty of belonging,” it completely prevents integration. “This device is often at odds with the integration of immigrant youth [and] promotion of the French language.”44 VOLUME 7, 2011-2012

Sub-Frame: Immigrant Integration The secular school is seen as a good place to integrate immigrants. By keeping things religion-free, immigrants are asked to embrace the French way of life. To the Stasi Commission, the compromise between the state and religion seems to be an appropriate milieu for also pursuing a “more proactive policy of integration.”45 Being French first and exhibiting the French identity is a way to integrate immigrants, thus the government reasons that French national identity can help with the integration process. According to Akan, there are “two fundamental institutions for the integration of immigrants in France, namely, school and employment.”46 “Adapting to French ways was in part an economic necessity, since labor often stipulated that workers dress in a certain way.”47 The Stasi Commission seems to agree with all of these opinions. In reference to the Labor Code and its prohibition of discrimination, the Commission writes, “the judicial court, while recognizing the rights afforded the respect for freedom of conscience, [should also] ensure that such requirements are compatible with the proper performance of contract work.”48 Again, the French government sees itself as negotiating a compromise between competing claims: the freedom of conscience and prohibition of discrimination on the one hand, with the neutrality required by public service or the place of employment. In reconciling these individual freedoms with French duties, the French government is hoping to make integration into French society smoother. The Stasi Commission recognizes the role of the French government both in helping to integrate immigrants in the future and in failing to integrate immigrants in the past. The Commission concludes that the current situation is “a real failure of integration policy of the last twenty years,” through programs such as ELCO for example.49 The French government is also responsible for other, more indirect failures of integration, such as the fact that minorities tend to live in deprived urban areas.50 Sub-Frame: Equality Between the Sexes and Women’s Rights Being against the equality of women is seen as being un-French. “Today, secularism can not be conceived without direct link with the principle of equality between the sexes.”51 It is a part of French-ification. The fact that women can walk around in traditional Muslim garb is seen as a failure of the French government. “Basic rights of women are now being violated daily in our country. Such a situation is unacceptable.”52 While the Stasi Commission does recognize that some “girls and women wear the veil voluntarily, but others are under duress or pressure,” their focus is on the latter.53 The French government feels called “to rescue many young girls and women of immigrant origin living in NORTHWESTERN UNDERGRADUATE RESEARCH JOURNAL


RESEARCH cities. Presented as the ‘silent majority’ who are victims of pressures within the family or neighborhood, these young women need to be protected and to that end, strong signals are sent by the government for Islamist groups.”54 The source of the bad pressure is from their community. “This is the pressures that are exerted on young girls or young women to wear a particular suit and adhere to religious teachings as these groups perform, under penalty of having to be cleared from the social and community life.”55 The French government has failed to let these girls make up their own minds about religion. Framing Analysis: 2010-2011 Ban on the Concealment of the Face in Public and the National Assembly Debate The burqa (full-body cover, usually a loose garment covering the entire body) and niqab (face cover, usually a veil combined with a headscarf) ban, a free-standing piece of legislation, was debated in January 2010, the French National Assembly passed it in July 2010 and the French Senate passed it in September 2010. The debate analyzed here is from July 6th, 2010. The ban came into effect in the spring of 2011. Women wearing a burqa or niqab (an estimated 2,000 Muslim women in France)56 in public places will face a €150 fine and will be forced to take citizenship classes.57 Anyone who forces a woman to wear a veil will pay a €30,000 fine and spend one year in jail.58 Anyone who forces a minor to wear a veil will receive double that punishment: a €60,000 fine and two years in prison.59 “The bill is threefold: to protect the republican pact, maintain public order and release, sometimes despite themselves, women who hide their faces in the eyes of their peers,” says Berengere Poletti on behalf of the delegation of women’s rights and equality between men and women.60 Those are only a few of the frames used in the debate. Master Frame: Republican Values Minister of Justice Michele Alliot-Marie began the July 6th, 2010 National Assembly debate by referencing the bill banning the concealment of the face in public spaces as “the resolution on respect for republican values against growing radical practices that could undermine” France and claims that by continuing the debate and voting on the bill, the National Assembly is proving “its commitment to the values that underlie our republican pact.”61 Concealing the face is absolutely unFrench: “the concealment of his face permanently in the public space is unacceptable and contrary to our most fundamental values.”62 The veil in no way resembles the values of freedom, equality or brotherhood, and in fact violates each one. Sub-Frame: Dignity The sub-frame dignity often makes the French 56


republican values list, even though it is not officially one of the fundamental values of the French Republic (freedom, equality and brotherhood). “We must all be united behind our core values. These values are the founding values of our Republic and our democracy. These are the values on which we can not compromise: freedom, equality, fraternity and dignity.”63 Dignity is the outward expression of a person’s self worth, for example in the phrase “having dignity,” but it also refers to another’s recognition of the innate human right to be treated with respect. Dignity as the French National Assembly members in the July 6th, 2010 debate use it means something close to the latter, the preservation of human worth. The French government should protect people from having their human dignity violated, which is precisely what the veil does. “Constraint, concealment of the face affects the dignity of the person. The enslavement or degradation of the human person are strictly incompatible with our Constitution, our constitutional values.”64 Dignity is closely tied to the master frame of rights. “The Republic does not accept violations of human dignity. It does not tolerate the abuse of vulnerable people.”65 This law seeks to address that. Sub-Frame: French Pride and Honor It is important to the French to be proud of France and of being a French citizen. “Let us be worthy of requirements attached to the honor of being French, the privilege of living in France.”66 Being French defines the lives of these politicians and they believe it should do the same for all citizens. It is a value that they must uphold. “I believe in my soul it is the duty of politicians to take their choice, to reaffirm our values, remember our history, our identity, our culture.”67 The French see the preservation of their identity as vital. “The day when there will be many [more] minarets than cathedrals in France, it will no longer be France.”68 Being French requires pride in France and attempts to honor the country. Master Frame: “Living Together” “Perhaps it is precisely when a lot of things disturb communal life should be remembered that the values we are living together.”69 “Living together” refers to the French people existing in harmony. “Living together means to recall a number of our core values.”70 In fact, “living together” is a republican value but it plays such a large role in how the French National Assembly members saw the issue that it deserves to be called a master frame. It is closely implicated in the republican values master frame as well as its own sub-frames. “The will to live together, which is the foundation of our republican pact depends on our ability to come together around common values and willingness to share a common destiny.”71 The French harmony, however, can be upset by

RESEARCH those who do not follow the rules of “living together.” “Volunteers, wearing a mask or a veil to hide back the national society, rejecting the very spirit of the Republic is founded on the desire to live together.”72 The French government wants “to convince women to give of themselves to wear the full veil. However, we compel those who oblige them to accept the rules of coexistence and the principles of living together.”73 Sub-Frame: Interaction Norms The bill “aims to ban in public places, disguising the face to ensure the basic conditions of living together Republican.”74 A large component of what French societal harmony requires is, as the State Council put it, “a minimum set of requirements reciprocal and essential guarantees of life in society.”75 Interaction norms are a sub-frame of “living together.” “Live together, it means refusing the withdrawal, refusing at the same time the rejection of others... The will to live together implies the acceptance of the gaze of another, this means being able to see that you are addressing.”76 Being able to make eye contact with another person is seen as fundamental in the French mind. It is a way for people to connect and interact. Offer everyone the opportunity to recognize the man or woman with whom he exchanges, talks or contacts was once a social convenience tacitly admitted by all - in other words, an unwritten social contract that was not necessary to formalize in a text. This social contract would be called into question, the public can still defend and guarantee, in a modern society, this minimum threshold below which shared values of individuals within the same territory ceased to form a company?77

Some French politicians of the National Assembly were very upset over the loss of human contact and societal norms a veiled figure presented. “How not to feel uneasy about someone who says freely wear clothing that conceals and insulates it entirely?... How could you not see a clear rejection of any form of civility?”78 One went so far as to say, “Walking in public space covered from head to toe, including face, is something so shocking as to walk naked!”79 Sub-Frame: Respect Jean Glavany gives a moving speech on the National Assembly floor that shows how deeply implicated respect is with many other master frames and sub-frames. Wearing the full veil is also contrary to the principle of brotherhood. Madam Keeper, I readily acknowledge that you have rightly mentioned earlier the concept of living together. It implies a respect for others requires that uncover her face, because we’re not talking about any body part. Elisabeth Badinter said before the parliamentary information mission, the face can see and be seen, which is the basis of respect in a public dialogue and exchange. The notion of respect is essential in this debate.80

Respect is not limited to interactions between people but is also connected to the broader idea of societal VOLUME 7, 2011-2012

respect. President Chirac is quoted in the National Assembly debate of July 6th, 2010: “Respect those who arrive, respect those who receive.”81 The laws and customs of France are to be respected by those she takes in. Sub-Frame: Social/Public Order Closely related and a sub-frame of “living together” is the idea of social or public order. Public order is discussed in more detail above. French society is seen as harmonious and ordered. “The veil… threatens public order. This reason alone can establish a prohibition of any clothing hiding their faces. The first duty of legislators and mayors, is it necessary to point out, is to protect public order.”82 The idea for the ban “is based on a constitutional basis, the social order.”83 Public order is a clear legal basis which, in the intangible dimension that you mentioned, covers the minimum set of requirements for life in society. We agree with the reference to the societal order. If, in 1789, this set of rules was defined by the concept of society, he took over the story the meaning of ‘living together’ or, better yet, fraternity. It is up to Parliament to define its contours. It is our responsibility and we assume.84

It is up the French government to reconcile “the principle of public order and the right to respect for private life.”85 Sub-Frame: Immigrant Integration “Wearing the full veil is not a religious requirement, but the willingness of extremists to test the republic!”86 Many French politicians see the veil as a political, not religious act. A generational gap exists between first generation immigrants and, second and third generation immigrants. The children of the first immigrants use radicalization of as ways to show their discontent with their situation in France. “Certainly, our country is experiencing difficulties with school, which reproduces inequalities; with a social elevator down, and with the persistence of intolerable discrimination.”87 The French government wants to forbid the veil so as to stop this form of protest, even though it recognizes the motivations of these immigrants. “Wearing the full veil is an expression of a much broader phenomenon which finds its roots in the economic and social disintegration of our society, particularly in disadvantaged neighborhoods, where the state is often absent today.”88 The opposition used the immigrant integration sub-frame as their reasoning against the ban. It is obvious that the adoption of this text will be of little effect if we do not seek to address the roots of evil which the veil is merely a symptom. No person will never have the slightest impact against the Republic’s abandonment of some of our cities where they are mass unemployment, school failure and violence that make the bed of obscurantism.89

Those for the ban wish to think that by preventing minorities from stepping out of the French mold, they will be better integrated into French society. NORTHWESTERN UNDERGRADUATE RESEARCH JOURNAL


RESEARCH Master Frame: Rights The French National Assembly members mentioned the rights of women and of humans in multiple instances, with a great emphasis on the latter. “We must defend human rights, women’s rights, freedom and equality of men and women in our country.”90 The idea of protecting the rights of women as well as rights overall often took the form of “our humanistic heritage”91 or “humanist values.”92 Protecting rights became a mark of a good country, of the French Republic. “We can be proud of this model that underpins our social pact forged our identity and makes us focus, beyond our borders, the ideas of respect for people and women, of human dignity.”93 Sub-Frame: Women’s Equality In a resolution of May 11th, 2010 that lead up to the National Assembly debate of July 6th, 2010, the National Assembly wrote that it “considers that the radical practices detrimental to the dignity and equality between men and women, including wearing a full veil, are contrary to Republican values.”94 Asking women to wear the veil but not men is clearly an affront to one of the core republican values: equality. “These practices also violated the principle of equality: you’ve all noticed that [the Qur’an] only asks women to wear the full veil, not to men.”95 Allowing some women to wear the full veil in France constitutes a “form of sexual apartheid” and is against the principles of the Republic.96 “We condemn all sectarian forms of alienation. We condemn without appeal wearing the burqa or niqab, because it is an insult to women.”97 “We condemn it as you wearing the full veil in the name of the Republic, its principles of freedom, especially freedom for women.”98 Women’s rights and gender equality rise as a major sub-frame of rights. The veil on Muslim women violates the republican value of equality and it also undermines other progressive aspects of French society. “How can we, in our country, fight for the free accession to work, education, health care, equal pay for women, and not the means to fight against that which symbolizes the ban all these freedoms?”99 The veil undermines the entire edifice of French society. Sub-Frame: Identity versus Anonymity “The full veil dissolves the identity of a person.”100 Closely related to the women’s equality sub-frame is the sub-frame of identity versus anonymity. André Rossinot was quoted by a member of the National Assembly as having said “What [is] the burqa? It shows that a woman is the property of her husband, father or brother and she should not be seen by other men… the burqa is a uniform that reduces women to anonymity.”101 Not only is there a concern for women being subjugated, there is concern that they become anonymous, identity-less objects. 58


“I am against this prison of the full veil. It isolates, socialized, put away.”102 Relating to the interaction norms sub-frame of the “living together” master frame, the idea of the veil as an isolating prison is further developed into how people connect to these women and recognize them as having an identity. “The face is, the emotions it expresses, the preferred vehicle of the feeling of brotherhood. Stealing her face against the other is to deny its own identity and take the risk of being treated without dignity as an object.”103 Sub-Frame: Liberation of Victims Some of the National Assembly members used phrases that made the French government’s failure to protect the rights of all citizens out to be a form of victimization, degradation and violence. “Constraint, concealment of the face affects the dignity of the person. The enslavement or degradation of the human person are strictly incompatible with our Constitution, our constitutional values.”104 It is the place of the French government to intervene. “The Republic does not accept violations of human dignity. It does not tolerate the abuse of vulnerable people.”105 A sub-frame of rights was an understanding of veiled women as passive victims and the ban as a way for them to end their enslavement. The women were portrayed as agency-less victims. “Wearing the full veil is often imposed on women who have neither requested nor desired. This is a form of violence whose perpetrators incur severe penalties.”106 The veil was seen not only as a symbol of this loss of dignity, but as a gateway to worse events. “The imposition of the veil is the first step of a downward spiral marked by the imprisonment and domestic violence.”107 Even women that supposedly claimed to wear the veil by choice were questioned and seen as pressured into it. “These women, even if they claim the port of this outfit, are often under the influence of fundamentalist preachers, victims of violence within their families or forced to hide their faces by the pressures they face in their environment.”108 The French government was sweeping in and giving these women an escape. “For them, this ban will be a point of tremendous support. They may invoke the law of the Republic to liberate themselves from the growing pressure on them.”109 There was no discussion of exactly how this ban would help them, only that it would. Bérengère Poletti gave a compelling speech to the National Assembly “on behalf of the delegation of women’s rights and equality between men and women.”110 When you see one of these women fully veiled, blackgloved, black pavement, how do you feel? Obviously, each of us has the feeling of crossing a person imprisoned, and even inaccessible victim. These women who wear the sign of alienation on their face must be paid even if they say they are willing. As noted by Simone de Beauvoir, ‘the consent of the legitimate victims do nothing’ because it is often apparent, it is the result of a perverse brainwashing.111

RESEARCH This adds another dimension to the sub-frame of liberation of victims: veiled women should be liberated despite their desires to keep the veil. The women cannot give their consent to a practice that is deemed against the rights of women and of human rights in general in France. One National Assembly member quotes testimony from a feminist: “It hurts the Republican values of liberty, equality and fraternity. No matter that some women wear it freely say: no one can consent to its own degradation”112 It is not the place (or right) of veiled women to decide to wear the veil because the act itself should be illegal. Conclusion The discussions surrounding the 2003-2004 ban on religious clothing in schools and the 2010-2011 ban on the concealment of the face in public places both serve to illuminate many facets of French national identity. Under the master frame of French secularism used in the 2003 Stasi Commission Report are the related concepts of public order, national unity, the school as the birthplace of French citizens, being “French first,” immigrant integration, and equality between the sexes and women’s rights. The July 6th, 2010 National Assembly Debate featured the master frames of republican values, “living together” and rights. The master frame of republican values involves the three fundamental values of the French Republic (liberty, equality, brotherhood) as well as the sub-frames of dignity, and French pride and honor. The master frame of “living together” that promotes harmonious French existence includes the sub-frames of interaction norms, respect, social/public order and immigrant integration. The master frame of rights of French citizens is divided into women’s right as the sub-frame women’s equality, and human rights as the sub-frames identity versus anonymity and liberation of victims. It may seem strange to speak of many master frames since “master” may imply a sole dominant element. However, secularism and the three republican values are definitely master frames in that it is difficult to rank them (the three republican values are sub-frames of the republican values master frame only for ease of reference). The master frames “living together” and rights came up often enough to constitute their own frames, but could have just as easily been placed under republican values: “living together” under brotherhood and rights under liberty. Naming frames is an inherently subjective exercise. The three fundamental republican values of liberty, equality and brotherhood, with the addition of the value of secularism, encapsulate the discussions surrounding the two French bans. The three master frames of the National Assembly debate all find their place in the core values: the republican values master frame is exactly the core values, the “living together” master frame is VOLUME 7, 2011-2012

subsumed by the ideal of brotherhood, and the rights master frame is a manifestation of liberty and equality. The Stasi Commission Report master frame French secularism may include many sub-frames related to the core republican values, but it is its own distinct concept. French secularism is all three of the core values and none of them at the same time: freedom of conscience, a type of liberty, calls for a secular existence; government neutrality towards religion requires that all religions and their followers are treated equally; and the French strain of brotherhood is the secular connection between French citizens. Yet the core values do not capture secularism. Secularism is more than a guarantee of freedom and equality that allows for the French brotherhood. French history and France’s militancy for secularism today show how secularism is its own concept in the French mind. Endnotes 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37

“National Assembly Debate.” 6 July 2010. 23 January 2011. http://www.assembleenationale.fr/13/cri/2009-2010-extra/20101010.asp. Page 5. Goffman, Erving. “Frame analysis: An essay on the organization of experience.” Boston: Northeastern University Press, 1974. Snow, David A., E. Burke Rochford Jr., Steven K. Worden, Robert D. Benford. “Frame Alignment Process, Micromobilization and Movement Participation.” American Sociological Review, 51:464-481. 1986. Page 137. Mooney, P.H., S.A. Hunt. “A repertoire of interpretations: Master frames and ideological continuity in U.S. agrarian mobilization.” The Sociological Quarterly, 37. 1996. Page 179. Op. cit. “Stasi Commission Report,” page 1. “Secular.” Dictionary.com. 15 January 2011. http://dictionary.reference.com/browse/ secular. “Secularism.” Dictionary.com. 15 January 2011. http://dictionary.reference.com/ browse/secularism. Acomb Evelyn M. The French Laic Laws, 1879-1889: The First Anti-Clerical Campaign of the Third French Republic. New York: Columbia University Press, 1941. http://www. questia.com/PM.qst?a=o&d=544043. Op. cit. “Stasi Commission Report,” page 4. This paper uses laicite and secularism interchangeably. Op. cit. “Stasi Commission Report,” page 2. Op. cit. “Stasi Commission Report,” page 2. Op. cit. “Stasi Commission Report,” page 7. The French Constitution has a clear separation of church and state: “Article 2 of the 1905 Act summarizes the implications of secularism, ‘the Republic does not recognize, pay, or subsidize any religion.’” Op. cit. “Stasi Commission Report,” page 22. Op. cit. Astier. Op. cit. “Stasi Commission Report,” page 10. Op. cit. “Stasi Commission Report,” page 2. Op. cit. “Stasi Commission Report,” page 6. Op. cit. “Stasi Commission Report,” page 12. Op. cit. “Stasi Commission Report,” page 4. Op. cit. “Stasi Commission Report,” page 5. Op. cit. “Stasi Commission Report,” page 12. Op. cit. “Stasi Commission Report,” page 15. Op. cit. “Stasi Commission Report,” page 2. Op. cit. “Stasi Commission Report,” page 5. Op. cit. “Stasi Commission Report,” page 5. Op. cit. “Stasi Commission Report,” page 6. Op. cit. Astier. Op. cit. “Stasi Commission Report,” page 4. Op. cit. “Stasi Commission Report,” page 14. Op. cit. “Stasi Commission Report,” page 20. Op. cit. “Stasi Commission Report,” page 4. Op. cit. “Stasi Commission Report,” page 10. Op. cit. “Stasi Commission Report,” page 10. Op. cit. “Stasi Commission Report,” page 18. Op. cit. “Stasi Commission Report,” page 18. Op. cit. Astier. NORTHWESTERN UNDERGRADUATE RESEARCH JOURNAL


RESEARCH 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 61 62 63 64 65 66 67 68 69 70 71 72 73 74 75 76 77 78 79 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99 100 101 102 103 104 105 106 107 108


Op. cit. “Stasi Commission Report,” page 5. Op. cit. Astier. Op. cit. Astier. Op. cit. “Stasi Commission Report,” page 18. Op. cit. “Stasi Commission Report,” page 18. Op. cit. “Stasi Commission Report,” page 18. Op. cit. “Stasi Commission Report,” page 19. Op. cit. “Stasi Commission Report,” page 11. Op. cit. Akan, page 247. Scott, Joan Wallach. The Politics of the Veil. Princeton, N.J.: Princeton University Press, 2007. Page 53. Op. cit. “Stasi Commission Report,” page 9. Op. cit. “Stasi Commission Report,” page 19. Op. cit. Astier. Op. cit. “Stasi Commission Report,” page 18. Op. cit. “Stasi Commission Report,” page 16. Op. cit. “Stasi Commission Report,” page 16. Op. cit. “Stasi Commission Report,” page 20. Op. cit. “Stasi Commission Report,” page 16. Op. cit. “National Assembly Debate,” page 6. Op. cit. “National Assembly Debate,” page 38. “Bill banning the concealment of the face in public space No. 2520: Amendments before the Committee.” January 23 2011. http://www.assemblee-nationale.fr/13/ pdf/amendements_commissions/cloi/2520-01.pdf. Op. cit. “Bill banning the concealment of the face in public space No. 2520: Amendments before the Committee.” Op. cit. “National Assembly Debate,” page 10. Op. cit. “National Assembly Debate,” page 2. Op. cit. “National Assembly Debate,” page 6. Op. cit. “National Assembly Debate,” page 6. Op. cit. “National Assembly Debate,” page 3. Op. cit. “National Assembly Debate,” page 5. Op. cit. “National Assembly Debate,” page 5. Op. cit. “National Assembly Debate,” page 9. Op. cit. “National Assembly Debate,” page 25. Op. cit. “National Assembly Debate,” page 20. Op. cit. “National Assembly Debate,” page 21. Op. cit. “National Assembly Debate,” page 2. Op. cit. “National Assembly Debate,” page 3. Op. cit. “National Assembly Debate,” page 5. Op. cit. “National Assembly Debate,” page 22. Op. cit. “National Assembly Debate,” page 8. Op. cit. “National Assembly Debate,” page 2. Op. cit. “National Assembly Debate,” page 37. Op. cit. “National Assembly Debate,” page 7. Op. cit. “National Assembly Debate,” page 32. Op. cit. “National Assembly Debate,” page 13. Op. cit. “National Assembly Debate,” page 25. Op. cit. “National Assembly Debate,” page 11. Op. cit. “National Assembly Debate,” page 3. Op. cit. “National Assembly Debate,” page 40. Op. cit. “National Assembly Debate,” page 17. Op. cit. “National Assembly Debate,” page 23. Op. cit. “National Assembly Debate,” page 26. Op. cit. “National Assembly Debate,” page 36. Op. cit. “National Assembly Debate,” page 24. Op. cit. “National Assembly Debate,” page 22. Op. cit. “National Assembly Debate,” page 10. Op. cit. “National Assembly Debate,” page 22. Op. cit. “National Assembly Debate,” page 5. Op. cit. “National Assembly Debate,” page 7. Op. cit. “National Assembly Debate,” page 13. Op. cit. “National Assembly Debate,” page 11. Op. cit. “National Assembly Debate,” page 34. Op. cit. “National Assembly Debate,” page 12. Op. cit. “National Assembly Debate,” page 11. Op. cit. “National Assembly Debate,” page 3. Op. cit. “National Assembly Debate,” page 10. Op. cit. “National Assembly Debate,” page 27. Op. cit. “National Assembly Debate,” page 11. Op. cit. “National Assembly Debate,” page 3. Op. cit. “National Assembly Debate,” page 5. Op. cit. “National Assembly Debate,” page 22. Op. cit. “National Assembly Debate,” page 10. Op. cit. “National Assembly Debate,” page 6. NORTHWESTERN UNDERGRADUATE RESEARCH JOURNAL

109 110 111 112

Op. cit. “National Assembly Debate,” page 10. Op. cit. “National Assembly Debate,” page 10. Op. cit. “National Assembly Debate,” page 10. Op. cit. “National Assembly Debate,” page 33.


An analysis of limb element asymmetry in an Ancestral Puebloan population Kendra Sirak DEPARTMENT OF ANTHROPOLOGY

Erin Waxenbaum



he ideal course of development in most organisms is characterized by a growth trajectory resulting in bilateral symmetry; an outward, perceivable signal of viability and fitness associated with genotypic and phenotypic quality. Previous research has established that though perfect bilateral symmetry is ideal, organisms commonly exhibit bilateral asymmetry (BA). Within a human population, BA can either be classified as fluctuating asymmetry (FA) or directional asymmetry (DA) based on observed patterns of deviation across the sample. Analysis of asymmetry in long bones is an important source of information concerning the impact of environmental perturbations, including nutrition, pathology, and mechanical demands, on the bilateral growth trajectory. Based on the understanding that BA may result when organisms experience external perturbations requiring allocation of energy away from symmetric growth and maintenance in order to buffer themselves from stress exposure, this study seeks to analyze the presence of FA and DA across a single population through comparison of bilateral maximum length measurements of the humeri, radii, femora, and tibiae. In order to explore trends of asymmetry influenced by environmental stressors, maximum length measurements of the humeri, radii, femora, and tibiae were assessed for individuals (n=198) of an archaeological Ancestral Puebloan population (919-1640 CE). Because environmentally imposed stressors impacting skeletal asymmetry vary with age, the individuals in this sample were divided into five age categories employed to highlight the distribution of data across specific segments of development. Statistically significant levels of BA were found in the humerus (p<0.01) and tibia (p<0.05), demonstrating the increased susceptibility of these bones to insult by external factors. Frequency distributions reveal VOLUME 7, 2011-2012

directional trends of asymmetry favoring the right side of both upper limb elements, likely due to hand preference. Weaker trends of DA are seen in lower limb bones, resultant from more equal bilateral distribution of mechanical forces during bipedal locomotion. Additionally, DA became more prevalent and exhibited greater percent difference as age increased; infants most commonly exhibit symmetry or slight FA. Supported by historical documentation indicating the practice of agriculture and presence of disease in this Ancestral Puebloan population, this study highlights the significance of adverse environmental stressors on physical development and provides evidence to support the conclusion that external environmental stressors do have a direct influence on the manifestation of asymmetry. Understanding the functionality of asymmetry as a bioindicator of environmental stress will contribute to the comprehension of the effects of mechanical and environmental stressors on development and symmetry in different long bones at different ages. Future research linking concrete ethnographic evidence with anomalous biological features will continue to shed light on the impact of environmental stressors on developmental precision. References

Bogin, B. 1999. Patterns of Human Growth. Cambridge: Cambridge University Press. Eckert, S.L. 2005. Zuni Demographic Structure, A.D. 1300-1680: A Case Study on Spanish Contact and Native Population Dynamics. Kiva: The Journal of Southwestern Archaeology and History 70 (3): 207-226. Palmer, A.R. 1994. Fluctuating asymmetry analysis: A primer, pp. 335-364. In T.A. Markow (ed.), Developmental Instability: Its Origins and Evolutionary Implications. Kluwer, Dordrecht, Netherlands. Steele, J., and S. Mays. 1995. Handedness and Directional Asymmetry in the Long Bones of the Human Upper Limb. International Journal of Osteoarchaeology 5: 39-49. Van Valen, L. 1962. A study of fluctuating asymmetry. International Journal of Organic Evolution 16 (2): 125-142. Waxenbaum, EB. 2007. Ontogenetic variation in three Native North American populations: eco-geographic effects on human growth and development [dissertation]. Gainesville, FL: Department of Anthropology, University of Florida. Wilson, J.M., and J.T. Manning. 1996. Fluctuating asymmetry and age in children: evolutionary implications for the control of developmental stability. Journal of Human Evolution 30: 529-537. NORTHWESTERN UNDERGRADUATE RESEARCH JOURNAL



WATCH WHAT YOU SAY: Spoken Self-Statements, Emotion, and Behavior Alcina Lidder DEPARTMENT OF PSYCHOLOGY

Richard Zinbarg

Patricia M Nielsen




e all have said something negative about ourselves at some point. An athlete might say, “I was so embarrassed that I missed that shot; I can’t play basketball again!” or a student may say, “I would die if I had to make a presentation in front of the whole class!” Patients undergoing psychotherapy also routinely use exaggerated negative self-statements (R. Zinbarg, personal communication, October 7, 2011). A patient might say, “I could talk to my spouse about that ten years ago, but I can’t possibly do it now!” Clearly, these statements are not literally true and individuals who utter such hyperbolic statements do not always mean for others to interpret the statements literally. But does saying something negative about yourself make you feel worse than saying something positive? Does saying “I can’t” make you less able to accomplish a goal than if you had said “I can”? The current study explores spoken positive and negative self-statements (“I can” and “I can’t”) and their effects on emotion and behavior. White-Schwoch (2011) examined spoken self-statements in the context of blood-injection-injury (BII) fear. Individuals who have a high level of BII fear are afraid of seeing blood, a gory injury, getting an injection or a combination of any of these features and show disgust, avoidance, and/or fear as emotional reactions upon exposure (Bienvenu & Eaton, 1998; Cisler, Olatunji, & Lohr, 2008). Participants were randomly assigned to read statements with the words “I can” or “I can’t” aloud. For example, one statement set read: “If a TV show has scenes with blood in them, I can still watch those scenes” and “If a TV show has scenes with blood in them, I can’t watch those scenes.” Not all statements related to BII fear, but all expressed the ability or inability to perform an action. Participants then performed a behavioral approach task in which they viewed BII, positive, and neutral stimuli. In the “I can’t” condition, the greater the individual’s level of BII fear, the less time he or she spent looking at the BII images. But in the “I can” condition there were no significant differences in looking times based on level of BII fear. Curiously, differences in looking times between conditions were not limited to BII pictures. To explore the surprising results and determine



whether there is a localized effect of the spoken statements to BII images, we modified White-Schwoch’s behavioral approach task such that the stimuli were grouped together in blocks based on valence. Participants with varying levels of BII fear were randomly assigned to read the “I can” or “I can’t” statements aloud. They completed the modified behavioral approach task and rated their affect following each image. Participants’ facial expressions and looking times were recorded while they viewed the stimuli. Data has been collected from 140 participants. Looking time and affect rating results will be analyzed by repeated measures hierarchical linear regressions and videos will be objectively coded for facial expressions and movements that reflect disgust and/or avoidance. Similar to White-Schwoch, we expect a negative correlation between BII fear and BII stimuli looking time in the “I can’t” condition but no differences in the “I can” condition. However, we expect a localized effect of looking time differences to only BII stimuli. We anticipate that those in the “I can’t” condition will rate their affect as less positive and more negative after viewing BII stimuli than those in the “I can” condition. Hence, we expect that negative self-statements will make a person feel worse about viewing BII pictures than positive self-statements. Moreover, we expect that those in the “I can’t” condition will exhibit more instances of disgust and/or avoidance behavior while viewing BII images than those in the “I can” condition. The study’s findings can inform clinical intervention with psychotherapy patients who use hyperbolic negative language when discussing their feared stimuli or event. The results are also applicable to members of the general public who use hyperbolic negative language in everyday conversations. References Bienvenu, O. J., & Eaton, W. W. (1998). The epidemiology of blood-injection-injury phobia. Psychological Medicine, 28(5): 1129-36. Cisler, J.M., Olatunji, B., & Lohr, J.M. (2008). Disgust sensitivity and emotion regulation potentiate the effect of disgust propensity on spider fear, blood-injection-injury fear, and contamination fear. Journal of Behavior Therapy and Experimental Psychiatry, 40(2): 219-29. White-Schwoch, T. (2011). Saying what we don’t mean: Spoken self-statements, affect, and emotional behavior. Unpublished manuscript.


CIVIC PARTICIPATION & THE ENVIRONMENT An exploration of volunteering motives of college-aged students Yael Wolinksy FACULTY ADVISOR PROGRAM IN ENVIRONMENTAL POLICY AND CULTURE



Emma Solanki


I. Introduction The last four decades have seen a particular increase in environmental protection (Pastore and Barbarossa, 2, 2011). While these practices come from governmental, corporate, and international organizations, there is a strong need for grassroots mobilization and often students are seen as the missing link. However, there is currently a lack of extensive research concerning environmental service among undergraduate students. It is understood that non-traditional education is a powerful means to enlighten future leaders. Considering the growing significance of environmental protection, it has become important to analyze and develop better understandings of the motives of volunteers to guarantee stronger retention rates. This study attempts to examine three aspects of Voluntary Environmental Service (VES) and Voluntary Service (VS), in regards to undergraduate Northwestern University students: (1) What are the demographics (sex, community, and family background) of undergraduate Northwestern University students in VES and VS? (2) What motivates these students to participate in either VES or VS? (3) Which of these motives tend to keep students actively engaged? The motivating factors for civic participation were explored by administered surveys, which examine the attraction to public policy making, commitment to public interest, compassion and self-sacrifice. We believe, due to emerging career opportunities in environVOLUME 7, 2011-2012

mental public interest, there may be a strong motive for environmental service in regards to public policy especially among career-oriented Northwestern Undergraduates. Moreover, social ties may be a strong indicator of retention among students who are civically engaged. Finally, we believe that this will hold true for both environmental and civic participation generally. This paper proceeds with four sections. Section II is the literature review that highlights the history, politics, and the future of VES. Section III is a description of the methodology employed, including the discussion of the motivating codes, surveys used, and the statistical methods utilized. Section IV examines the data by analyzing the descriptive statistics and the multiple regressions. Section V concludes. II. Literature Review A. Altruism and Service Altruism is the basic prioritization of the welfare of others above one’s immediate self-interest. It is perceived as a consistent virtue in human culture and it is a core component of many religions and traditions, which can ultimately be seen as the opposite of selfishness. Altruism in the twenty-first century has manifested itself in many ways, whether it is devoting time to public research, an NGO, or just volunteering, but one thing remains constant – service. Service is donating time, resources or an activity that is performed by someone or a group of people for the benefit of the public. Not everyone providing service is necessarily a volunteer, some maybe mandated NORTHWESTERN UNDERGRADUATE RESEARCH JOURNAL


RESEARCH by educational institutions, employers, or even by the penal code. Therefore, this research will focus on voluntary service, specifically the significance of civil society. Historically religious institutions have aimed to broaden the reach of civil society, in lieu of American capitalism. Cohen and Arato help clarify the role of civil society in regards to economic society: In principle, similar consideration pertain to the relationship between civil and economic society, even if historically, under capitalism, economic society has been more successfully insulated from the influence of civil society than political society has been, despite the claims of elite theories of democracy. (Cohen and Arato, 29, 1992)

The United States touts a political economy that, for the most part, follows the equilibrium of the market. Without welfare contributions from civil society, the American public at large would destabilize. However, many citizens devote large amounts of time and energy to specific causes or populations, which helps stabilize society. With this knowledge it should come as no surprise that there are emerging interdisciplinary fields of sociology, political science, and anthropology, which are trying to discern the key factors that shape the motives of these citizens. B. Critical Pedagogy These types of unconventional educational theories “were inspired by Paulo Freire’s community literacy programs” (Whelan, 2, 2002), and education, coalition building, and advocacy are intimately connected in this framework. Whelan claims popular education or service learning needs to be more broadly incorporated into the academic educational process and that: This shift will involve redefining ‘education’. Education need not be confined to awareness raising activities, marketing gimmicks or to institutionalized programs. Popular education implies personally and politically relevant content, alignment with the ideals of social movements and an interest in collective action. (Whelan, 8, 2002)

Paulo Freire, a critical pedagogist, is best known for his critique of the banking concept of education. Traditionalists view students as empty vessels to be filled by the knowledge mediated by a teacher. Freire notes that this process “transforms students into receiving objects. It attempts to control thinking and action, leads men and women to adjust to the world, and inhibits their creative power.” (Freire, 77, 1970) For Freire, this inhibition of creative powers creates an apathetic population, which can be easily manipulated by politics. No pedagogy which is truly liberating can remain distant from the oppressed by treating them as unfortunates and by presenting for their emulation models from among the oppressors. The oppressed must be their own example in the struggle for their redemption. (Freire, 54, 1970)

Nowadays, scholarship concerning service aims to tease out the complicated motives when dealing with voluntary service. If we can better understand the motivating factors of students, institutions might be able to bypass these anarchic educational frameworks. 64


The importance of voluntary service can clearly be seen in its ability to educate youth in collaboration for a public interest. Many avenues exist for voluntary service, whether it is health, poverty, or in this case the environment. Why some choose a particular type of service, is contingent on a host of variables and motives. However, that is not the goal of this research; instead we hope to explain compare the motives of our sample populations once they have committed to a realm of service. This consists of a broad range of variables that can be held constant across our data set, and finally help articulate the underlying motives of voluntary environmental service. C. Motivating Factors One national survey, administered by the state government health and human service managers, explored the role that organizational factors play in shaping public service motivation (PSM). It found that PSM is strongly and positively related to the level of education and membership in professional organizations, additionally, sociohistorical context is a primary influence. The definition taken here of PSM is that “an individual’s predisposition to respond to motives is grounded primarily or uniquely in public institutions and organizations.” (Perry, 471, 2000) Institutions that affect PSM are primarily parental relations, religion, observational learning and modeling during the course of their lives, education and professional training. Due to the intimate relationship between PSM and education, many academic institutions have aimed to enhance greater access and resources to service learning and VES organizations in general. The Edwards and Mooney study examined the apparent increase in popularity in service learning on a broad scope. They too faced issues of accurately defining service in addition to service learning due to the many avenues of opportunities to give back to various communities. The study was located in an academic institution, and service learning was defined as “an evolving pedagogy that incorporates student volunteering into the dynamics of experiential learning and structure of an academic curriculum.” (Edwards and Mooney, 184, 2001) The goals for service learning are to critically reflect on recent service, to distill and synthesize current thinking in addition to illustrating the educational differences between learning methodologies and curricular benefits associated with different options. Examinations were made in regards to out-of-class activities, volunteering, service add-ons, internships (or practica), service learning or service learning advocacy. This form of critical pedagogy conducted across student campuses is an integral component of VES. D. Civic Participation and the Environment Before we can treat voluntary environmental service

RESEARCH as a holistic issue, it is important to analyze the three main types of VES -- natural resource management, ecological restoration, and environmental stewardship programs. Granted these categories overlap (as evidenced by the participation pool we examined), they are distinct enough to analyze separately. (1) Natural Resource Management Natural resource management relies on volunteer efforts due to the necessary and important role that they play as a result of much governmental and agency doing less in comparison to what is needed for proper protection. Measham and Barnett first explore environmental volunteering in a general sense to then further extrapolate if there is a misalignment between the expectations of volunteers and the objectives of the environmental programs available. An increased presence of environmental volunteers has been examined in general, which often stems from the positive feeling that the volunteers then feel about themselves. Further, environmental volunteering in particular often has found linkages between enhancements in social connections with fellow volunteers, in addition to an “enhanced sense of place.” (Measham and Barnett, 2, 2007) In the environmental context, Measham proposes that there exist six motivating volunteering factors in the environmental context: helping a cause, social interaction, improving skills, learning about the environment, general desire to care for environment, and desire to care for a particular place. Through “activism, education, monitoring, restoration and sustainable living,” (Measham, 7, 2007) it encompasses all aspects examined in environmental volunteering, with many of these activities knowingly overlapping. Based on interviews and qualitative findings, realizations such as “a general attachment to environment was by far the most powerful motivator for environmental volunteering” were found. (Measham, 18, 2007) Attachment was not examined depending on urban compared to rural differences. Since the world is now so heavily reliant on volunteers, the researchers here felt that for environmental volunteer programs to be successful, it is necessary for the volunteers to be able to pursue their personal particular interests in the environmental realm, to be able to increase the social level of volunteerism, which has been evident to keep volunteers for longer. (2) Ecological Restoration The North Branch Prairie Project in Cook County Forest Preserves in Illinois relies almost entirely on the actions and efforts put forth from the volunteers in ecological restoration. Through this particular Volunteer Stewardship Network (VSN) which was created in 1983, more than 5000 people take care of 40,000 acres of land in Illinois. In particular, restoration is examined, which is defined as “a commitment to the re-creation of an enVOLUME 7, 2011-2012

tire community of plants and animals modeled strictly on one that occurs naturally.” (Miles, 28, 1998) Through administered surveys, findings proved that ecological restoration volunteers have a sense of connection with nature, in addition to finding satisfaction in making a difference. Further, Miles concluded that people who enjoy participating in activities that challenge them physically and develop their physical fitness resulted in a marginal increases in their satisfaction levels as tenure increased. (3) Environmental Stewardship Programs Environmental stewardship programs and voluntary environmental service in general, have an extreme need for the retention of volunteers. While not only providing environmental opportunities, those that took part in the stewardship programs gained more appreciation for the natural areas and the environment as a whole as their participation continued. A particular emphasis was focused towards the understanding of motivating factors which could lead to the increase in strength of the volunteer base. Additionally, “volunteer stewardship programmes, therefore, have a critical role, not merely for the important habitats that are restored or monitored, but also for their influence in building a potentially powerful constituency of knowledgeable advocates for the environment.” (Ryan, Kaplan, Grese, 647, 2000) When one is involved in decision-making processes involving the volunteer work, learn during their experience, know that they are actually helping the environment, have increased levels of social interactions, proper reflection on their actions and project organization, then commitment was shown to be enhanced and maximized. E. Significant Service As a general consensus, minimal research has been done exploring environmental volunteering motivations, particularly for young adults. While much of the research takes on a broader scope of population analysis, similarities can be drawn towards our exploration of Northwestern University undergraduate volunteers. When looking at university aged students in their involvement with volunteer service organizations, “altruism was shown to be an important motivation initially for volunteering. However, more self-interested motivations, such as social interactions (e.g. existing friendships or the desire to make new friends), became more important for continued participation in these volunteer efforts.” (Ryan, Kaplan, Grese, 630, 2000) Further, those students who more frequently volunteered reported back with higher levels of satisfaction to the benefits that they received from volunteering compared to those who spent less time. These same individuals had more friends in the groups that they volunteered in. “At first glance, the social benefits did not appear as important NORTHWESTERN UNDERGRADUATE RESEARCH JOURNAL


RESEARCH as some of the other benefits of volunteering. However, the social factors were found to be more important to highly committed volunteers.” (Ryan, Kaplan, Grese, 646, 2000) In the studies examined here, no correlation was found between the actual age, distance needed to travel to sites or time available to the volunteers and therefore were not factors that influenced the levels of commitment, frequency or duration of the volunteers work. With these concepts in mind, we attempted to tease out the underlying motives of undergraduate Northwestern University students who participate in VES and voluntary service in general. III. Methods A. Organization Background The survey that was administered is aimed at discerning the motives of participation and continued service, and assumes that the undergraduate Northwestern students examined here have some level of interest in environmental service or service in general. For that reason, we chose to examine three distinct student organization categories: Alternative Student Breaks (ASB), Students for Ecological and Environmental Development (SEED) and a general service category. These groups were chosen to represent sets of participants that either focus specifically on environmental service or are participating in general voluntary service on campus. We studied two ASB participant sets, one concerning the environment and one concerning poverty. One important distinction between the participants surveyed in ASB versus SEED is noteworthy. ASB participants only work on site for one week, while they do reflect and prepare for their service it should be understood as a lighter time commitment. Conversely, SEED focuses primarily on environmental issues and typically the members have a greater time commitment by participating in events and meetings throughout the entire academic year. A third group examined consists of undergraduate individuals who take part in service but are not associated with a particular group examined. These individuals have a variation of commitment levels. Moreover we will analyze our results by looking at different outcomes in regards to one’s community, gender, and youth background information. B. Dependent Variable The dependent variable for this project is the civic action returns rate. Civic action returns rate is simply the willingness of a participant to continue to serve their community. We are exploring the extent by which fundamental motives have on the willingness to serve by using multiple correlations between these data sets.



C. Independent Variables The survey was coded for four independent variables: (1) Attraction to Public Policy Making: the degree to which formulating good public policy is viewed as exciting, dramatic, and self- fulfilling (three items); (2) Commitment to the Public Interest: the degree to which the person is motivated to pursue a career that allows serving in the public interest (five items); (3) Compassion: the degree to which an individual experiences moral and affective regard for needy persons (eight items); (4) Self Sacrifice: the degree to which a person puts the outcomes of public service before personal benefits (eight items). While these variables may have some degree of overlap and interaction, “confirmatory factor analysis [has] differentiated the four factors of motives for public service” (Perry, 1996). D. Confounding Variables The pool by which we selected survey participants had some selection bias. Only Northwestern students were surveyed, thus locking the data in a pool with many predetermined demographics (age, education level, privilege), but Northwestern remains to be a quite diverse community (race, class, gender) and due to its prestige, we believe this is an important area of research exploration. E. Survey Specifics The survey constructed use empirically confirmed questions found in the Public Service Motivation Scale (Perry 1993) and the Civic Action Scale (Moely, Mercer et al., 2002). (1) Public Service Motivation Scale Validity Public service motivation represents one’s “disposition to respond to motives grounded primarily or uniquely in public institutions.” (Perry, 1993) Age was not “significantly related to the Attraction to Policy Making, Compassion, or Self-Sacrifice subscales.” (Perry, 1997) Moreover, Perry (1997) found that male participants scored higher on the Commitment to the Public interest and self-sacrifice than their female counterparts. (2) Civic Action Scale Validity The Civic Action scale measures “intentions to become involved in the future in some community service or action.” (Moely, Mercer et al., 2002, p. 15) Survey results indicated that students participating in service

RESEARCH learning significantly increased on civic action, while students in the traditional classroom setting did not. Moreover, female students scored “higher than male students on the Civic Action scale in two samples, after controlling for Social Desirability.� (Moely, Mercer et al., 2002) IV. Data & Analysis A. Descriptive Statistics (1) General Distributions Figure 1 is a comprehensive motive distribution across the four organizational categories surveyed. While, it is very accurate in describing motives, it is difficult to generalize, due to the specificity of the organizations. Our sample population being 44 students is significant considering that the entire population at Northwestern University is around 8000 students, making our sample 0.55% of the population, yet this does not represent percent of the civically engagement population, just the overall student body. However, when further categorized between organizations, the sample size becomes so small that our results may have anomalies. Specifically two data sets, attraction to public policy in regards to ASB-Environmental and self-sacrifice in regards to ASB-Non-environmental, diverged significantly from the norm. We cannot make a generalization on this data, so instead we further analyzed it through aggregate understandings, so we could effectively compare VES vs. VS. Figure 2 has a few interesting data trends. First, for each of the categorizes surveyed, VES was found to have higher or exactly even motive levels to that of the VS survey group of individuals. Particularly note worthy were the extreme deviations in regards to the attraction to public policy aggregate. This increase can partially be accounted for by the observations in Figure 1, that the ASB-Environmental group had particularly high

attraction to public policy. Further, it appears that the self-sacrifice aggregate is overall higher for those who take part in service that is of environmental themes. Finally, the Northwestern University students who were surveyed have resulted in near identical indications of their civic action returns in addition to their compassion levels. We believe that the civic action return rates are so similar due to the nature of Northwestern University students, in addition to how the service is inherently completed. This indicates that the type of service which is completed does not necessarily correlate with the return levels, but instead that individuals are more likely to return based on what they personally gain from the service experience. (2) Sex In regards to sex, the significant statistical deviations as seen in Figure 3 were compassion and self-sacrifice. We believe that these results represent broader differences in sex. Furthermore, seeing that the deviations in both motives are similar for sex, we investigated the relationship between compassion and self-sacrifice. R-squared value of 0.32, meaning that there is some co-linearity between these two variables, which is not surprising considering that those who are willing to selfsacrifice might have developed a large degree of empathy, which can coincide with compassion. (3) Community In terms of community background, Figure 4 shows students who identified with an urban upraising were more likely to be attracted to public policy making, while those from suburban backgrounds preferred commitment to public interest. We assume this to be the case because of the interactions a given student may have encountered throughout their upbringing. Specifically and dense urban areas, politics and political activFigure 2: Motive Distribution VES vs. VS

Figure 1: Motive Distribution

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Figure 3: Motive Distribution of Sex

Figure 4: Motive Distribution of Community Background

Figure 5: Motive Distribution of Parent Involvement

Figure 6: Motive Distribution of Youth Involvement

Table 1



Std. Error


Policy Interest





Public Interest















Multiple R-squared:


Adjusted R-squared:




RESEARCH ism are more visible, while in suburban areas, politics takes the form of community engagement. (4) Youth Background and Parental Involvement As Figure 5 and 6 both clearly show, exposure to volunteering starting at a young age is a powerful indicator of civic commitment later in life. Across all motives, there is a significant increase in fervor due to observations of parental and youth involvement which then shapes ones actions particularly at the university age. B. Inferential Statistics Table 1 shows that the public interest motive has the smallest P-value, proving statistical significance. Multiple regressions allowed us to establish the adjusted rsquared value. This technique was utilized to minimize the statistical effect that the four variables had on each other, in essence to account for statistical shrinkage. Finally with an adjusted R-squared Value at 0.5225, we can conclude that there exists a strong positive correlation between public interest and civic action returns. V. Conclusion While it is understood that the sample population surveyed here does not represent claims that can be generalized to the public at large, we feel that the findings of the Northwestern University students provides valuable information in regards to exploring the overall motivation and retention factors of individuals who take part in voluntary service. For Northwestern University students, our findings showed that the type of service that one takes part in no way an indication of ones compassion level or likelihood of their civic action return. However, those who took part in VES had higher rates than those who participated in VS generally in regards to their attraction to public policy, commitment to public interest and self-sacrifice. The clearest signal of participation in VES and VS later in life is parental perceptions and individual engagement at a young age. This assessment is a start to the future explorations of environmental service, but by no means is a complete assessment of the overall goals of undergraduates engaged in VES or VS. For example, areas such as political affiliation, majors of study and career goals would also provide valuable information to this study. Finally, our research shows while there are fundamental similarities among undergraduates who are civically engaged, there still exist many distinctions between the motivating factors of said service, and the willingness for undergraduates to return to serve.

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Acknowledgements We would like to thank all of the undergraduate participants, who made this study possible. Additionally, without the help of Professor Yael Wolinsky and Professor Jason Seawright’s guidance and generosity, this research endeavor would not have been possible. References

Astin, Alexander W. & Sax, Linda J. How undergraduates are affected by service participation. Journal of College Student Development, Vol 39(3), May-Jun 1998, 251263. <http://cshe.berkeley.edu/events/seru21symposium2005/papers/sax2.pdf> Cohen, Jean L and Arato, Andrew. “Civil Society and Political Theory” Studies inContemporary German Social Thought, Cambridge, Mass. 1992. Edwards, Bob and Mooney Linda A. “Experiential Learning in Sociology: Service Learning and Other Community-Based Learning Initiatives” Teaching Sociology Vol. 29, No. 2 (Apr., 2001), pp. 181-194. <http://www.jstor.org/stable/1318716> Eisenhut, A. & Flannery, D. (2005). Fostering an Environmental Ethic through Service Learning. Californian Journal of Health Promotion, Volume 3, Issue 1, 92-102. <http:// www.csuchico.edu/cjhp/3/1/92-102-eisenhut.pdf> Freire, P. (1970). Pedagogy of the oppressed. New York: Continuum. Furco, Andrew. “Service-Learning: A Balanced Approach to Experiential Education.” Expanding Boundaries: Service and Learning. Washington DC: Corporation for National Service, 1996. 2-6. Holdsworth, Clare(2010) ‘Why Volunteer? Understanding Motivations For Student Volunteering’, British Journal of Educational Studies, 58: 4, 421 — 437 Martinich, J. A., Solarz, S. L. and Lyons, J. R. (2006). Preparing Students for Conservation Careers through Project-Based Learning. Conservation Biology, 20: 1579–1583. <http://onlinelibrary.wiley.com/doi/10.1111/j.1523-1739.2006.00569.x/pdf> Measham, Thomas G. and Barnett, Guy B. “Environmental Volunteering: Motivations, Modes and Outcomes” Socio-Economics and the Environment in Discussion 2007. Miles, I, Sullivan, W.C., Kuo, F.E. “Ecological Restoration Volunteers: the benefits of participation” Urban Ecosystems, 1998, 2, 27–41 Moely, B. E., Mercer, S. H., Ilustre, V., Miron, D., & McFarland, M. (2002). Psychometric properties and correlates of the Civic Attitudes and Skills Questionnaire (CASQ): A measure of students’ attitudes related to service-learning. Michigan Journal of Community Service Learning, 8(2), 15-26. Moynihal, Donald P. and Pandy, Sanjay K. “The Role of Organizations in Fostering Public Service Motivation” Public Administration Review. 2007 Pgs 40 – 53 Muir, M.J. and Schwartz, M. W. (2009). Academic Research Training for a Nonacademic Workplace: a Case Study of Graduate Student Alumni Who Work in Conservation. Conservation Biology, 23: 1357–1368 Pastore, Alberto and Barbarossa, Camilla. 10th International Conference Marketing Trends, Paris, 20th-22nd January 2011. Perry, J. (1993, October). Public service motivation: Construct measurement and validation. Paper presented at the National Public Management Research Conference, Madison, WI. Perry, J. (1996). Measuring public service motivation: An assessment of construct reliability and validity, journal of Public Administration and Research, 6, 5-22. Perry, James L. “Bringing Society In: Toward a Theory of Public-Service Motivation J Public Adm Res Theory (2000) 10(2): 471-488. Perry, J. (1997). Antecedents of public service motivation. Journal of Public Administration Research and Theory, 7, 181-197. Ryan, Robert L., Kaplan, Rachel, Grese, Robert E. “Predicting Volunteer Commitment in Environmental Stewardship Programmes. Journal of Environmental Planning and Management, 44(5), 629–648, 2001 Shandas, V. & Messer, W. (2008). Fostering Green Communities Through Civic Engagement: Community-Based Environmental Stewardship in the Portland Area. Journal of the American Planning Association, 74(4), 408-418. <http://www.informaworld.com/ smpp/content~db=all~content=a901777684> Whelan, J. (2002). Popular education for the environment: Restoring confidence in education as a strategy for social and environmental change. Keynote Presentation, Third International Education and Social Action Conference, University of Technology Sydney. December. <http://www.thechangeagency.org/_dbase_upl/RestoringConfidence. pdf>




Leptin Levels in Lean Adult Filipino Populations Omar Jamil




Leptin levels in lean populations are both lower than western populations and show different trends. Males in lean populations have shown little to no correlation with leptin, suggesting that low leptin levels utilize the leptin mechanism in its “natural state” (Kuzawa et al. 2007). Leptin is believed to signal nutrient poor environments and results in an increased appetite and decreased fat metabolism when its’ levels are low. However the mechanism does not work to prevent obesity, possibly because high leptin levels disrupt the hormone’s ability to penetrate the blood brain barrier (Banks et al. 2001). Lean Filipino adults, however, have leptin levels similar to western populations and show strong correlations with measures of adiposity. Subcutaneous fat is the most significant contributor to leptin levels (p<.0001) in males and females suggesting a direct correlation between body fat and leptin. Lean populations were hypothesized to lack this correlation allowing the hormone to vary at lower levels and have a stronger regulatory effect on the body (Banks et al. 2001). The removal of the heaviest members of the population shows a smaller correlation, as expected, suggesting that at low levels of adiposity the correlation between leptin and adiposity is weaker. The high leptin levels found in these lean populations are a unique and original discovery.

Introduction Leptin is a protein hormone, secreted by adipocyte cells, that regulates hunger and body weight and directly correlates with body fat (Consdidine et al. 1996). It is controlled by the expression of the ob gene, which is induced by increasing adipose tissue, and signals the levels of adipose tissue to the brain (Jequier 2002). Leptin secretion is seen more in subcutaneous fat cells than the smaller (by 50%) visceral fall cells, though visceral fat cells are usually associated with negative health effects (Van Harmelen et al. 1998). Obese people, with increasing amounts of body fat, have proportionally more leptin but become insensitive to endogenous leptin production (Consdidine et al. 1996). The insensitivity results from triglycerides blocking signal pathways in the blood brain barrier (Jaquier et al 2002). One-way leptin levels can be affected, disproportionate to body fat, is by fasting or significantly reducing caloric intake (Consdidine et al. 1996). A low calorie diet, less than 800 kcal, combined with exercise, lowers leptin levels significantly. In a low leptin state, the body’s appetite protects against starvation by increasing appetite and decreasing metabolism. This is in line with the hypothesis that leptin evolved to protect the body from starvation rather than obesity. Leptin evolved as a signal for nutrient poor environments, rather than as a regulator of body fat (Jequier 70


2002). This would explain why high levels of leptin do not prevent obesity. Low levels of leptin, however, are able to signal a nutrient poor environment and induce and individual to lower their metabolic rate and have a greater appetite (Banks et al. 2006). On the other hand, high levels of leptin allow enhances immune function, memory, bone growth, reproduction, breathing, and neurogenesis (Banks et al. 2006). Obesity is a recent novelty, and the body has few barriers to protect from it, it is logical that leptin evolved to protect from starvation (by increasing appetite at low levels) rather than obesity (by increasing metabolism at high levels). As adiposity increases, triglycerides block leptin from the blood brain barrier, resulting in the “insensitivity” seen by overweight people and its effects on hunger suppression (Banks et al. 2006). Leptin is thought to work best at low levels for this reason. The ideal levels of this mechanism to properly function are estimated to be around 10 ng/mL and lower (Banks et al. 2006). These low leptin levels have been demonstrated in lean, nonwestern populations, and it is hypothesized that the mechanism is able to properly function in these lean populations with lower adiposity (Kuzawa et al. 2007). After rapid weight loss caused by fasting, there is a significant reduction in Leptin levels (Sumithron et al. 2011). This rapid weight loss signals starvation, and starvation is signaled to the body by low levels of leptin. This

RESEARCH leptin decrease remains for a significant period of time, up to a year after the starvation event (which was 8 weeks of a low calorie diet) leptin levels were still 35% lower than originally (Sumithron et al. 2011). This is what makes is very difficult for obese people to lose weight, because leptin begins to serve its purpose as an indicator of starvation and makes the body retain weight. However, there is evidence in mice that the rodents respond to low leptin doses that are administered intracerebroventricularly (Jequier et al. 2002). These rodents begin to lose weight, have decreased appetites and increased metabolisms. This procedure overcomes the difficulty leptin has of passing the blood brain barrier when blocked by triglycerides (Jequier et al. 2002). While leptin does not usually function to protect against obesity (because it is rendered obsolete at high triglyceride levels) this method may help overcome that issue. Lean populations have a relatively small number of obese (BMI > 30 kg/m2) and overweight (BMI: 25-30 kg/ m2) members, based on the IOTF criteria, in comparison to western populations (Cole et al. 2000). The correlations between anthropometric measures and leptin are supposed to be weaker in these populations, theoretically making the hormone more effective. Rather than having reached a saturation point, it is thought that leptin levels are less correlated, smaller and more plastic in these populations (Kuzawa et al. 2007). Lean adolescents in the Philippines showed correlations in both males and females. While female leptin levels correlated with triceps skinfolds, BMI and body weight, males were significantly correlated with only triceps skinfolds (Kuzawa et al. 2007). The heaviest members of the population, the top 10%, strengthened the relationship between adiposity and leptin among males. When these members of the population are removed from analysis, the relationship between triceps skinfold and leptin declines rapidly. This is consistent with the fact that leaner males have less leptin and a weaker correlation between triceps skinfold and leptin (Kuzawa et al. 2007; Bribiescas 2011). In the Tsimane, no correlation was found between leptin levels and anthropometric levels in lean adolescent males, but were found in females (Sharrock et al. 2008). In Ache American Indians from Paraguay leptin levels were lower than western populations, and also showed little sexual dimorphism when controlling for body fat (Bribiescas et al. 2001). Leptin levels in these populations were very low (Figure 1) and correlated with anthropometric measures in females but less significantly in males. Relationships between leptin levels and western populations are well studied and similar across the literature (Jequier 2002). Leptin levels are lower in males due to the influence of testosterone (Dicker et al. 2004). Leptin levels are most strongly correlated with body fat and other measures of subcutaneous fat, in these western populations (Considine et al. 1996). While leptin levels also correlate with BMI, WHR, Waist circumferVOLUME 7, 2011-2012

ence, Hip circumference, triceps skinfolds and subscapular skinfolds, the greatest relationships are with measures of subcutaneous fat (Heffner et al. 1996). Other measures become less significant when regressed with measures of subcutaneous fat (Considine et al. 1996). Due to the nature of different fat cells, leptin levels differ based on the regional deposition of fat (Minocci et al. 2000). There are three basic measures of regional fat deposition. Subcutaneous fat directly other the skin, and can be measured by triceps skinfold thickness, subscapular skinfold thickness and hip circumference (Gibson 1990, Ruhl et al. 2001, Heffner et al. 1996). Visceral fat, commonly associated with health problems such as diabetes and heart disease, can be measured by Body Mass Index (BMI), waist circumference or Waist to Hip Ratio (WHR) (Ruhl et al. 2001, Staiger et al. 2003, Heffner et al. 1996). Subcutaneous fat cells are larger and secrete more leptin, so they have a greater influence/ stronger correlation with leptin (Roemmich et al. 1998, Ruhl et al. 2001). When waist circumference and waist to hip ratio are added to regression models, however, more variation is explained than with measures of subcutaneous fat alone (Ruhl et al. 2001). Methods The study is a cross sectional analysis of data from the Cebu Longitudinal Health and Nutritional Survey (CLHNS). The individual data, including all anthropometric measures relevant to the study were collected in the first and every subsequent follow up survey (UNC Carolina Population Center 2011). These measures included body weight, height, waist circumference and triceps and subscapular skinfolds using standard anthropometric procedures (Lohman et al. 1988). BMI was calculated as a ratio of weight (kg) to height (m2). The research was conducted under conditions of informed consent and with human subject clearance from the IRB of the Emory University Medical School and the University of Chapel Hill, NC (Adair et al. 2010). The data being used is from the 2005 follow up from the offspring only. This follow up added fasting blood drawn for CVD biomarkers and genetics (Adair et al. 2010). Blood samples were taken after an overnight fast and the plasma stored for analysis in EDTA coated tubes. The regular anthropometric measures were also taken. The samples were allowed to separate, were frozen and shipped on dry ice to the University of North Carolina at Chapel Hill for analysis using a LINCO Research Human Leptin ELISA kit. The study population was 1,597 individuals from the CLHNS using data collected in the 2005 follow up. Only subjects with all the available anthropometric measures of interest and leptin data were used in the analysis. There were 909 males and 688 females total. All pregnant females, based on follow up blood testing, were removed from the data analysis. NORTHWESTERN UNDERGRADUATE RESEARCH JOURNAL


RESEARCH Analysis was done using version 10 of the Stata Statistical Package. Leptin levels at 0 were replaced with .04 (the lowest level of detection) and log transformed for normality. Variables for triceps skinfold, subscapular skinfold, hip circumference and waist circumference were also log transformed to draw in the tails (right skewed) of the data and improve normality before correlation and regression analysis. The strongest indicators of leptin were found (using regressions and correlations), then larger regression models were used to determine which indicators have the most influence over leptin when controlling for each other. Other analysis included comparison of leptin levels between populations and checking for sexual dimorphism (t-tests). All analyses were run separately by sex. Results Descriptive Statistics

The top 10% of the population (by BMI) was removed to see the affects on the correlation between triceps skinfold and leptin. The correlation for males dropped from R2=.580 to R2=.394 and in females it dropped from R2= .247 to R2=.176. The drop in both genders shows that the heaviest people are causing the correlation between leptin and body fat. Simple Associations

The top 10% of the population (by BMI) was removed to see the affects on the correlation between triceps skinfold and leptin. The correlation for males dropped from R2=.580 to R2=.394 and in females it dropped from R2= .247 to R2=.176. The drop in both genders shows that the heaviest people are causing the correlation between leptin and body fat.

Table 2: (above) regression models relating measures of body composition with leptin (ng/mL) to find the strongest indicator or leptin in males

Figure 1: (above) Comparing leptin levels between populations

Table 1: (above) Characteristics of the Adult Filipino population. *All sex differences are significant at P <.0001. Removing top 10%

Figure 2: (above) Compares Triceps Skinfold to Leptin after removing the 10% of heaviest males (by BMI) in the sample. 72


In males, the strongest indicators of leptin are measures of subcutaneous fat, the skinfolds and hip circumference. BMI, weight and waist circumference also strongly and significantly (p<.0001) correlated with leptin.

Table 3: (right) regression models relating measures of body composition with leptin (ng/mL) to find the strongest indicator or leptin in females In females, measures of subcutaneous fat have the strongest correlation with leptin, with hip circumference actually being a better indicator of leptin than triceps skinfold or subscapular skinfolds. This is possible because different genders have more accurate measures of subcutaneous fat in different skinfolds (Gibson 1990). BMI, weight and wait circumference also show strong positive correlations.

RESEARCH Multivariate Associations Subcutaneous Fat and Body Size (Males)

Table 4: (above) Regression between measures of subcutaneous fat and body size in Males. The first model was run to see if measures of body size (BMI and Weight) are still significant when measure of subcutaneous fat (triceps and subscapular skinfold and hip circumference) are added. BMI (p=.836) and Weight (p=.799) both become insignificant while the measure of subcutaneous fat were still significant, with triceps skinfold having the highest t-value and most significant impact.

The next sets of models were used to determine whether the impact of visceral fat on leptin was significant. When Waist circumference and WHR are added to the model both are significant (p=.011 and .013), but less than they were with leptin alone. This suggests that most of the variation in males is caused by triceps and subscapular skinfolds, which have the highest t-values. Weight was included so that overall size was not a factor in the model. Waist and WHR therefore influence variation in leptin, but less than measure of subcutaneous fat. The best measure of subcutaneous fat varies between sex and age (Gibson 1990). Subcutaneous Fat, Visceral Fat and Body Size (Females)

Subcutaneous Fat and Body Size (Females) Table 7: (above) Regression between measures of subcutaneous fat, visceral fat and body size in Females.

Table 5: (above) Regression between measures of subcutaneous fat and body size in Females The same model was run for females with slightly different results. While BMI (p=.541) and Weight (p=.215) become insignificant again, subscapular skinfolds (p=.307) also becomes insignificant. This suggests that subscapular skinfolds either do not correlate with leptin levels in females, or that subscapular skinfolds are not a good measure of subcutaneous fat in females. Subcutaneous Fat, Visceral Fat and Body Size (Males)

Table 6: (above) Regression between measures of subcutaneous fat, visceral fat and body size in Males. VOLUME 7, 2011-2012

In females the results are more straightforward. When subcutaneous fat, visceral fat and size are added to the model, subcutaneous fat measured by triceps skinfold has the only significant relationship with leptin. Waist circumference (p=.912) and WHR (p=.998) are completely in significant, and hip circumference (p=.74) also drops out. Waist circumference and WHR were inflating hip circumference. Triceps skinfolds have the most significant relationship with leptin and explain the most variation in females. Discussion The population is relatively lean based on the small numbers of obese and overweight individuals members when compared to the US (33.9% of people are obese and 34.4% of people are overweight) (CDC 2011). Despite having significantly less overweight and obese members, leptin levels were about the same as the US average of 19 ng/mL in females and 4.6 ng/mL in males. The Filipino adults averaged 18.2 ng/mL of leptin in females and 3.5 ng/mL of leptin in males. The differences are very small, especially compared to the dramatically lower levels in the Ache (Figure 1). It is very intriguing that the ache had similar levels of body fat, but low levels of leptin while the Filipino’s displayed low levels of body fat and western levels of leptin. The raised leptin levels may be a result of a population experiencing a nutritional transition. More and more people in Cebu are eating fast foods, and nearly NORTHWESTERN UNDERGRADUATE RESEARCH JOURNAL




one third of a child’s caloric intake in Cebu comes from snack foods prepared outside of the house (Adair et al. 2005). In the CLHNS alone these effects can be seen. Among the mothers that began in the study in 1983, 6% were obese or overweight at the time while 35% were obese or overweight in 1998 (Adair 2004). In 1996 30% of people in Cebu were suffering from chronic disease, a major sign of an area in a nutritional transition. The nutritional transition is marked by increased incomes, consumer good, fatty foods and sedentary jobs along with a decrease in housework. These increased levels of obesity and overweight people are concentrated in Cebu, again pointing to the effects of urbanization (Adair 2004). The nutritional transition may be augmenting leptin levels in some way. The trends in leptin compared to anthropometric measures were consistent with the literature based on western populations. Leptin correlated with BMI, Weight, Ticeps and Subscapular skinfolds, waist and hip circumference and WHR. The larger models, however, show that triceps skinfold and the measures of subcutaneous fat account for the variation when all factors (subcutaneous fat, visceral fat and body size) are taken into account. In males, waist circumference, hip circumference and WHR are still significant, but less significant than triceps and subscapular skinfolds. Therefore, in males visceral fat is a significant contributor to variation in leptin. Among measures of subcutaneous fat, in males’ triceps skinfolds is the best measure with the highest t-value. Among females only triceps skinfolds are significant when other measure of fat and size are added to the model. Subcutaneous fat measured through triceps skinfolds are obviously the strongest indicator of leptin in both sexes. While it was demonstrated that the population in the Philippines is lean, they do not share traits with other lean populations. Both gender have strong correlations between anthropometric measures and leptin, and subcutaneous fat has a very strong relationship with leptin in both males and females. The correlation in both genders was much weaker when the top 10% (based on BMI) was removed, reiterating the fact that leptin correlates most strongly at high adipose levels, this finding reflects previous data from lean populations. Observing leptin in lean populations, and seeing the mechanism by its original intention will not be possible in this population due to the high leptin levels. Further studies should investigate why leptin levels in this population are so high, and if leptin can be used as a negative feedback loop to fight obesity. Literature Cited

About the CLHNS — UNC Carolina Population Center. UNC Carolina Population Center. Web. 06 Dec. 2011. <http://www.cpc.unc.edu/projects/cebu/about>. Adair, Linda S. 2004. Dramatic Rise in Overweight and Obesity in Adult Filipino Women and Risk of Hypertension. Obesity Research. 12.8. Adair, Linda S., and Barry M. Popkin. 2005. Are Child Eating Patterns Being Transformed



Globally? Obesity 13.7: 1281-299. Adair, Linda S., Popkin, Barry M. Akin, John S., Guilkey, David K., Gultiano S. ,Borja, J., Perez, L., Kuzawa, CW., McDade T., and Hindin MJ. 2010. Cohort Profile: The Cebu Longitudinal Health and Nutrition Survey. International Journal of Epidemiology 1.7: 1-7. Banks WA, Phillips-Conroy JE, Jolly CJ, Morley JE. 2001. Serum leptin levels in wild and captive populations of baboons (papio): implications for the ancestral role of leptin. J Clin Endocrinol Metab 86:4315–4320. Bribiescas, Richard G. 2001. Serum Leptin Levels and Anthropometric Correlates in Ache Amerindians of Eastern Paraguay. American Journal of Physical Anthropology 115.4: 297-303. Clement K, Vaisse C, Lahlou N, Cabrolk S, Pelloux V, Cassuto D, Gourmelenk M, Dina C, Chambaz J, Lacorte J, Basdevant A, Bougne P, Lebouck Y, Froguel P, Guy-Grand B. 1998. A mutation in the human leptin receptor gene causes obesity and pituitary dysfunction. Nature 392: 398-401. Cole TJM, Bellizzi MC, Flegal KM, Dietz WH. 2000. Establishing a standard definition for child overweight and obesity worldwide: international survey. Br Med J 320:1240–1243. Considine RV, Sinha RK, Heiman ML, Kriauciunas A, Stephens TW, Nyce MR, Ohannesian JP, Marco CC, McKee LJ, Bauer T, Caro J. 1996. Serum Immunoreactive-Leptin Concentrations in Normal Weight and Obese Humans. The New England Journal of Medicine 5: 292-295. Dicker A, Ryden M, Naslund E, Muehlen IE, Wiren M, Lafontan M, Arner P. 2004. Effect of testosterone on lipolysis in human pre-adipocytes from different fat depots. Diabetologia 47:420– 428. FASTSTATS - Overweight Prevalence. Centers for Disease Control and Prevention. Office of Information Services, 17 Nov. 2011. Web. 05 Dec. 2011. <http://www.cdc.gov/nchs/ fastats/overwt.htm>. Gibson RS. 1990. Principals of Nutrition Assessment. Oxford University Press. Haffner, S. M. et al. 1996. Leptin Concentrations in Relation to Overall Adiposity and Regional Body Fat Distribution in Mexican Americans. International Journal of Obesity and Related Metabolic Disorders : Journal of the International Association for the Study of Obesity 20: 904-08. Howard JK, Lord GM, Matarese G, Vendetti S, Ghatei MA, Ritter MA, Lechler RI, Lboom SR. 1999. Leptin protects mice from starvation induced lymphoid atrophy and increases thymic cellularity in ob/ob mice. J Clin Invest 104:1051–1059. Jequier E. 2002. Leptin signaling, adiposity, and energy balance. Ann N Y Acad Sci 967:379–388. Kuzawa, C. W., E. A. Quinn, et al. 2007. Leptin in a lean population of Filipino adolescents. American Journal of Physical Anthropology. 132(4): 642-649. Lohman T, Roche A, Martorell R. 1988. Anthropometric Standardization Reference Manual. Champaign IL: Human Kinetics Books Minocci A, Savia G, Lucantoni R, Berselli ME, Tagliaferi M, Calo G, Petroni ML, de Medici C, Viberti GC, Liuzzi A. 2000. Leptin plasma concentrations are dependent on body fat distribution in obese patients. Int J Obes 24:1139–1144. Popkin BM., and Gordon-LarsenP. 2004. The nutrition transition: worldwide obesity dynamics and their determinants. Int J Obes 28, S2–S9. Roemmich, James N. et al. 1998. Gender Differences in Leptin Levels during Puberty Are Related to the Subcutaneous Fat Depot and Sex Steroids. Am J Physiol Endocrinol Metab 275: 543-51. Ruhle, Constance E, and James E. Everhart. 2001. Leptin Concentrations in the United States: Relations with Demographic and Anthropometric Measures. Am J Clin Nutr 74: 295301. Sharrock K, Kuzawa CW, Leonard WR, Tanner S, Reyes-Garcia V, Vadez V, Huanca T, Mcdade TW. 2008. Developmental Changes in the Relationship Between Leptin and Adiposity Among Tsimane Children and Adolescents. American Journal of Human Biology 20: 392-398. Shimizu H, Shimomura Y, Nakanishi Y, Futawatari T, Ohtani K, Sato N, Mori M. 1997. Estrogen increases in vivo leptin production in rats and human subjects. J Endocrinol 154:285– 292 Staiger, H. Otto T. Jürgen M. Claus T. Andreas F. Elke Maerker, Fritz S., H. Michael S. 2003. Relationship of Serum Adiponectin and Leptin Concentrations with Body Fat Distribution in Humans. Obesity 11.3: 368-76. Steven B. Heymsfield, M., M. Andrew S. Greenberg, et al. (1999). “Recombinant Leptin for Weight Loss in Obese and Lean Adults.” Journal American Medical Association 282: 8. Priya Sumithran, Luke A. Prendergast, Delbridge, E., Purcell, K., Shulkes A., Kriketos, A., and Proietto, J. 2011. Long-Term Persistence of Hormonal Adaptations to Weight Loss. The New England Journal of Medicine 365:1597-604. Taylor, R. W. et al. 1998. Body Mass Index, Waist Girth, and Waist-to-hip Ratio as Indexes of Total and Regional Adiposity in Women: Evaluation Using Receiver Operating Characteristic Curves. Am J Clin Nutr 67: 44-49. Van Harmelen, V., S. Reynisdottir, P. Eriksson, A. Thorne, J. Hoffstedt, F. Lonnqvist, and P. Arner. 1998. Leptin Secretion from Subcutaneous and Visceral Adipose Tissue in Women. Diabetes 47.6: 913-17.

WANT TO GET INVOLVED IN RESEARCH AT NU? Are you interested in getting involved in undergraduate research but don’t know where to start? Northwestern University has several programs and opportunities specifically created to assist undergraduates in finding and carrying out independent research. UR@NU The website of The Office of the Provost has a section called “UR@NU.” Filled with concise information and videos from undergraduates currently involved in research, this website is the best source of information for topics such as “What is Research?/How to Get Involved” and “Research Opportunities.” It also provides valuable information on sources of research funding once you have an advisor and project in mind. Check it out: http://undergradresearch.northwestern.edu/ Undergraduate Research Assistant Program (URAP) A new pilot program through The Office of the Provost, URAP allows faculty members to request research assistants for various projects. The projects are listed on the website, allowing interested students to submit applications and communicate directly with the professor. Check it out: http://undergradresearch.northwestern.edu/undergraduate-research-assistant-program-urap Science Research Workshop (SRW) A program sponsored by the Searle Center for Teaching Excellence and the Departments of Biology and Chemistry, the SRW program includes “science cafés” and peer-led workshops. During Science Cafés, faculty members discuss their interest in getting involved in research, as well as a specific theme such as “How to navigate the proposal process.” Workshops assist students in contacting science laboratories, developing research projects, and writing grant proposals. Check it out: http://www.northwestern.edu/searle/programs/undergraduateprograms/science-research workshop.html Humanities Research Workshops The Office of the Provost has created a series of four workshops for those interested in humanities research as opposed to science. The workshops – “Thinking About Research/Developing Questions,” “Methodology Fair,” “Resources and Opportunities,” and “Writing Workshop” – provide background information on performing research and developing research proposals, as well as advising and mentorship. Check it out: http://undergradresearch.northwestern.edu/humanities-research-workshops Department Websites The best places for department-specific opportunities are department websites. Most departments in which research is performed have a “Research” tab on their website. Check out the website of the department you are interested in for the most detailed information pertaining to research opportunities for undergraduates. Still Not Sure? Another option is to seek out specific faculty members who are performing research in a field or topic you are interested in (you can find this information on department websites). Once you have a few professors in mind, send out personal (not bulk) emails briefly introducing yourself and describing your research interests. Then, meet with the professors and discuss what you could contribute to their research. Remember, don’t be afraid to talk with professors; most are happy to discuss their research and are willing to involve undergraduates in their research!

VOLUME 7, 2011-2012



ABOUT THE CONTRIBUTORS Shaon Ahsan Shaon Ahsan graduated from Northwestern University in 2011, with honors in Political Science. Dr. Wendy Pearlman’s Middle East Politics course in winter 2010 sparked her interest in postcolonial political development. She later worked on her paper from March 2010-May 2011 under Dr. Pearlman. She also received support from Dr. Jeffrey Winters, the 2010-2011 director of the departmental honors program, and the Weinberg College of Arts & Sciences which funded her research in summer 2010. Shaon is thankful to everyone who assisted her with her work. In the future, she hopes to practice corporate law for an international firm in Asia.

Suzanne Chang Suzanne graduated from Northwestern University in 2011 with Honors in Economics and a Certificate in Financial Economics from Kellogg. The growing trend of airlines charging fees for checked baggage over the past several years sparked her interest in the nature of competition among airlines, a topic she explored in her senior thesis under the advisement of Dr. Robert Gordon and Dr. Steffen Habermalz. She currently works at the Federal Reserve Board as a research assistant and plans to pursue a Ph.D. in Finance or Economics.

Luke Fidler Luke Fidler’s research examines the intersection of death, commemoration, and artistic practice. He has published and presented papers on late-Soviet film, Canadian survey photography, Andy Warhol’s polaroids, and phrenology. After earning a degree in Art History, he plans to continue his studies at the graduate level.

Pavan Krishnamurthy Pavan Krishnamurthy was born in South Dakota, but raised in Dallas, Texas. He will complete his Bachelors of Arts in Political Science, Legal Studies, Business Institutions, and Asian American Studies this June. His time at Northwestern was divided between environmental volunteering, the Northwestern Debate Society, community organizing, and research. He has spent much time organizing Asian American as well as environmental civic engagement. This fall he will start as an associate at ISNetworld, a contract risk management firm, back in Dallas.

Alcina Lidder Alcina Lidder is a senior Psychology and Global Health Studies student in the Weinberg College of Arts and Sciences. She began her honors thesis project in September under the guidance of Dr. Richard Zinbarg. In March, she presented her research at the Chicago Area Undergraduate Research Symposium. Alcina is especially interested in her work on the relationship between spoken self-statements, emotion, and behavior due to its significance to clinical interventions with psychotherapy patients as well as its relevance to the general public. She will graduate in June and intends to apply to medical school this upcoming year.



Britt Banaszynski Britt Banaszynski will graduate from Northwestern University with Honors with a B.A. in Dance with extensive coursework in Psychology and Music Theatre. Advised by Professors in Dance, Theatre, and Art History, Britt’s research harnesses memory as myth in the creation and production of body-based, multidisciplinary theatre. His undergraduate research culminates in ROOTS of EARTH, a genre-defining story performed in dance, music, comedy and drama. Britt’s extensive choreographic and directorial work at Northwestern has won him a Summer Undergraduate Research Grant, the Barbara E. Greenwood Scholarship and the Sandra Singer Scholarship. Britt was named a School of Communication “Senior to Watch.”

Blake Erickson Blake Erickson is a senior majoring in anthropology and minoring in Spanish. Whenever he has a break from academics, he enjoys running, exploring Chicago, collecting vinyl records, reading medical anthropology books, and following Northwestern sports (Go ‘Cats!). He also enjoys volunteering at Mather Pavilion in Evanston and at the Hope Alive after school program for elementary school students in the Cabrini-Green neighborhood of Chicago.

Omar Jamil Omar Jamil is a Senior Biological Anthropology major advised by Dr. Thomas McDade. Alongside his thesis work on leptin, he is helping to develop a heavy metal assay from dried blood spot cards in the Laboratory of Human Biology Research. On campus he has been heavily involved in the Muslim-cultural Students Association, Special Olympics and is also a die-hard ‘Cats fan. Next year he will be teaching AP Biology and Chemistry at Golder College Prep. In the future he wants to attend medical school, conduct research on adolescent obesity and work with Muslim youth.

James Lee James is a junior in WCAS, majoring in anthropology and minoring in global health studies. In addition to his interest in biological anthropology and human population biology, James has been interested in molecular biology research as well, especially in cancer biology and immunology. James is originally from Seoul, Korea but grew up in Connecticut before coming to Northwestern.

Anna Martin Anna Martin graduated in 2011 from Northwestern University with Honors in Religious Studies and with a second major in Biological Sciences. She found her thesis research particularly appealing because it was an opportunity to apply her undergraduate study in religion to a bioethical question, uniting her seemingly different majors. She will be attending the University of Texas Medical School at Houston starting in August 2012. The past year she has spent time traveling in South America and South East Asia.

ABOUT THE CONTRIBUTORS Brandon Ng Brandon W. Ng graduated Phi Beta Kappa from Northwestern University in 2011, majoring in English Literature and Psychology with a Minor in Economics. He is currently a PhD candidate in psychology at the University of Virginia, where he is studying social and cultural neuroscience. While at Northwestern, Brandon completed honors theses in two departments. His psychology honors thesis focused on the effects of priming cultural values on memory, and his English honors thesis was an in-depth analysis of Dylan Thomas’s poetry. When he completes his PhD, Brandon hopes to pursue a career in academia, combining his love of teaching and research.

Patricia Radkowski Patricia Radkowski wrote her Legal Studies thesis as a junior, a shortened version of which is featured here. She presented it at the Undergraduate Research Symposium in Spring 2011. Patricia is currently finishing her Political Science and Slavic Studies theses. Her Political Science thesis was funded by the Undergraduate Research Grant and the Ginsberg Grant in Political Science, and she hopes to present it at the Undergraduate Research and Arts Exposition in Spring 2012. She will be taking the Fulbright to Poland this upcoming year to begin a new project that involves all three of her fields of study.

Emma Solanki Emma Solanki was born in Portland, Oregon and came to the Midwest for the first time when starting Northwestern. She will complete her undergraduate degree this spring in Environmental Sciences. While at Northwestern she enjoyed local prairie restoration, going to concerts in Chicago, spending time on Lake Michigan and leading the largest environmental student organization, Students for Ecological and Environmental Development (SEED). This fall she will be starting her Masters in Sustainable Development at the University of St. Andrews in Scotland.

Katherine Northcott Katherine Northcott graduated from Northwestern University in 2011 with a B.A. in Economics, African Studies and French. After her research experience in Senegal, her interest in global development and passion for women’s rights encouraged her to apply to the Peace Corps. She has recently been nominated to an HIV/ AIDS education program in Sub-Saharan Africa, with a projected departure date in September. She plans to continue working in the field of global women’s empowerment.

Kendra Sirak Kendra is a 2011 graduate of the Weinberg College of Arts and Sciences, receiving a Bachelor of Arts with a major in both anthropology and psychology. Her senior honors thesis project involved exploring the influence of external environmental factors on bilateral asymmetry in a Native North American population. She will continue her study of anthropology in the Ph.D. program at Emory University and is currently interested in examining the evolution of hominid morphology and how it is impacted by changing environmental conditions. Despite moving to Braves territory, she intends to remain an avid Phillies fan.

Emily Wright Emily Wright graduated from Northwestern University in fall 2011 with a Bachelor of Arts in Anthropology and a minor in Environmental Policy and Culture. She is now working for the Coos Watershed Association in Oregon as an AmeriCorps VISTA member. At CoosWA, Emily is developing environmental education programs for high school students and internships for community college students. She is also expanding the organization’s resource development activities. In the community, Emily participates in the Ford Institute Leadership Program. After she completes her position this August, Emily hopes to continue working in the natural resources, community planning, and regional development sectors.

Brandon Zaharoff Brandon M. Zaharoff, born in New York City, majored in Mathematical Methods in the Social Sciences and in Economics with a minor in Political Science and certificate in Financial Economics from the Kellogg School of Management. His research builds on his background in MMSS, especially Game Theory and Statistical Analysis, as well as studies abroad in Beijing and Paris which developed his broad understanding of the world’s three largest economies and informed his thesis research. He is lovingly supported by his family including his two parents and two younger siblings who reside in Weston, Connecticut.

VOLUME 7, 2011-2012



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