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2. Editor’s Note
3. The Annunciation by Parmigianino?
Ioana Dragomirova Atanassova
42. Corporate International Taxation Reform: Should US move towards a Territorial Tax System?
Irfan Bandoo
78. With this Ring, I Surrender: Politics, Religion, and Marriage in Shakespeare and Tudor England
Mara Berkoff
108. How Environmentalists and Skeptics Can Discover the Same Goals:
Making Eco-Friendly More People-Friendly
Caroline Craig
161. Album Project
Jackie Lipson
184. The Stieg Effect: An analysis of the life, work, and social change created by author Stieg Larsson
Andrea Panichi
216. Employing Entrepreneurship and Computing to Solve University Housing Problems
Jeremy Pease
248. Institutionalized Silence: Breaking the Cycle of Sexual Violence
Annamaria Santamaria
277. An Examination of the Impact of Demand and Supply Side Variables on Drug-Related Offenders in New
York and Pennsylvania
Frances Taormina
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Students have worked closely with their faculty advisors in
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Editor, Pforzheimer Honors College Newsletter and E-Journal
2
The Annunciation By
Parmigianino?
Ioana Dragomirova Atanassova
BFA, Art History
Minor: Art
3
4
Précis
Throughout the course of art history, inaccurate attributions have been made to many
works of art to artists which, when examined closely, proves erroneous.
Unsurprisingly this has proven to be the case with a small panel painting, currently
located in the Metropolitan Museum of Art. The Annunciation, a work executed roughly between
1503 and 1540, has been long overlooked by the curators of the Museum, as well as scholars in
New York, for the simple reason that it is little more than a rough oil sketch. Since the initial
attribution of the work to Italian master Girolamo Mazzola Bedoli (based on the fact that he
completed an altarpiece very similar in design to the oil sketch), further research on the painting
has been abandoned.
This attribution, so halfheartedly thrown about, has planted a seed of doubt. Examining
the work, day after day, I came to the realization that this cannot possibly be a work by Bedoli.
Wondrous though his works may be, Bedoli was a very shy and reserved artist throughout his
career. His brush strokes were never as fluid nor as loose as in the Metropolitan panel, nor was
he a disregarder for traditional Catholic values, as this painting most assuredly is, in terms of the
inappropriate positioning of the figures as well as their interaction with one another.
However, this attribution, initially made by Andrea Bayer, may not in fact be completely
inaccurate. Bedoli was a great admirer of his cousin, Girolamo Francesco Maria Mazzola (More
commonly known as Parmigianino), so much so that he often copied his cousin’s works. This led
me to believe that this may very well be the case here as well.
I began my research with the few works written on the panel sketch, as well as scholarly
sources on Parmigianino, of which there are many. I traveled to London, where quite a few of his
5
rough charcoal sketches survive and came across one very similar to the oil panel in the
Metropolitan Museum.
My thesis focuses on this hypothesis while using relevant material, as well as other works
by Parmigianino, to not only support my theory, but also to explain the peculiarities in the
work’s execution.
6
Table of Contents
The Origins of the “Annunciation” Panel … 6
Execution of the Modello … 7
Differences between the Modello and Bedoli’s Altarpiece … 8
Subject Matter of the “Annunciation” … 10
Parmigianino’s Deviation in his Portrayal of the Virgin … 13
Mannerism … 17
Parmigianino’s Application of Mannerism … 18
The Exhaustion of Catholicism in the 16th Century … 21
Other Works of Distortion and Ambiguity … 22
Conclusion … 25
Index of Images … 27
Bibliography … 39
7
T h e Origin s of th e “Ann u n ciation ” Pan el
The Annunciation, a mannerist work, was widely accepted to be by the Italian master
Bedoli and is located in the Metropolitan Museum of Art in New York. While an excellent
example of a mannerist work in the United States, it is not very well-known.1 Painted between
1503 and 1540, it exemplifies traits adopted from the great masters such as Michelangelo and
Rafael, as well as a new style unique to its creator.2 However, whilst originally attributed to
Parmigianino, several other attributions have been made throughout the years to various other
artists.3 This study of the painting will focus on its style, subject matter and symbolism. In
addition, various other works by Parmigianino will be discussed in an attempt to support the
original attribution to him as well as to explore how it functioned within the larger scale of his
artistic career.
The original attribution was to Parmigianino, as a work executed in the last years of his
life, because it was initially connected to his name in a 1742 list of works at Althorp as the
“Salutation of Parmigianino.”4 The original patronage of the work is unknown, and even though
there are two seals on the reverse of the panel, they have remained an unresolved mystery. 5 A
1
Maria Christina Chiusa, Parmigianino (Milan: Electa, 2001) 212.
2
Andrea Bayer, “North of the Apennines: Sixteenth Century Painting in Lombardy and Emilia-Romagna,”
Metropolitan Museum of Art Bulletin 60 (2003): 61.
3
Chiusa 212.
4
Keith Christiansen, Correggio and the Carracci: Emilan Painting of the Sixteenth and Seventeenth Centuries
(Washington: National Gallery of Art, 1986) 174.
5
Christiansen 174.
8
drawing of the work survives as well in the Gabbinetto dei Disegni in Florence; however, it does
not elucidate any facts about the work’s history.6
A scholarly link was made in the 1970s between the Metropolitan panel and Girolamo
Mazzola Bedoli’s Annunciation at Capodimonte of 1539.7 It was initially thought of as a replica
of the finished work by Bedoli.8 However, this has proven unlikely, as the altarpiece by Bedoli is
the one that seems to draw inspiration from the New York panel; not the other way round.9
Therefore, it is the Metropolitan work which is the modello, or model for the altarpiece.10 This
conclusion is reasonable due to a number of deviations in detail from the altarpiece that would
not be easily explainable in a replica.11
Execution of the Modello
The panel in New York is also unlikely to have ever functioned as anything other than a
sketch because of the execution of the work itself.12 The panel used is very thin; only 1.5cm, its
surface is coarse and uneven.13 The first layer of paint is general and speedily sketched out; it
lacks careful planning which would not have been the case had this been intended to be an
independent panel or a copy.14
6
Ibid.
7
Kenneth Garlick, “A Catalogue of Pictures at Althorp,” Walpole Society 45 (1974-76) 5-6. See page 28, fig1 for
image.
8
Garlick 5.
9
Christiansen 174.
10
Ibid.
11
Ibid.
12
Ibid.
13
Ibid.
14
Ibid.
9
Throughout the work, there are areas that resemble drawing more than painting, such as
the clearly unfinished space above the canopy over the bed, the outlines of the foremost putto
and Gabriel’s left hand.15 Numerous changes have been made to the positioning of certain
elements, also atypical of a copy, such as the left wing of the dove, the lectern, and the hand of
the laying putto who reaches between his companion’s legs, Gabriel’s foot and the cloud behind
him, which was initially much more flamboyant in outline.16 In spite of the many changes and
the rapid application of paint; however, the composition is very elegantly refined.
Differences between the Modello an d B ed oli’s Altarp iece
The close relationship between the altarpiece and the model led to a new attribution
which left Bedoli as the artist responsible for both the sketch and the finished work.17 While such
a conclusion is not unfounded there are details in the altarpiece that suggest otherwise.
Although Bedoli’s canvas closely follows the panel modello, the two are fundamentally
different in nature. Bedoli (Girolamo Mazzola Bedoli) was Parmigianino’s cousin and was
greatly influenced by his work, particularly during Parmigianino’s stay in Viadana, Bedoli’s
town of residence.18 Bedoli was so subjective to his cousin’s work that it was not unusual, but
rather standard, for him to copy Parmigianino’s sketches and apply them as the outlines for his
15
Ibid.
16
Ibid 176.
17
Chiusa 212.
18
Bayer 59.
10
own work.19 His Annunciation of 1539, based on the Metropolitan model, was for the church of
Santa Maria Annunciata.20
In both the modello and the altarpiece, Mary kneels, her body partially obscured by the
reading lectern in the shape of a boy. In both works, Gabriel enters from the left side of the
picture plane, bearing a lily, and both works are lit by an artificial interior light source – the
candle.21
The general composition, layout and organization of space are indeed similar. However,
Bedoli shines through as the reserved one. His tiled floor does little to convince the viewer of
credible depth, the rearrangement of elements such as Gabriel’s hand as well as the dove to a
position where they parallel the picture plane and numerous other details lead to a largely flat
outcome.22
The loose and natural flow of brushstrokes, which create fluid grace and spontaneity in
details of the model, such as the sgabello (basket) in the foreground are executed in a dull and
tedious manner in Bedoli’s finished work. Mary’s clothing itself loses its provocative diaphanous
vivacity, present so strongly in the model, and becomes conservative, heavy and reserved. Lastly,
the lively, confident application of paint layers in the sketch, loose though it may be, is a world
apart from the cautious handling of paint in the altarpiece, so much so that these two works are
highly unlikely to be by the same hand.23
19
Ibid.
20
Ibid.
21
Ibid.
22
Ibid 62.
23
Ibid.
11
The panel Annunciation in the Metropolitan Museum is without a doubt the work of a
great master. This is unquestionable and all one has to do to confirm it is examine closely the
masterful handling of the work. The interior light source, the silhouetting luminosity and the
carefree yet calculated layers of paint are all typical of Parmigianino’s style.24 Also, since this
work was clearly being invented along the way as the many changes in its figural arrangements
suggest, the possibility of it being a copy is impractical. More importantly, Parmigianino was
well-known for creating numerous modelli such as this, all documented by his patron Francesco
Baiardo.25
While this oil sketch has been attributed to numerous other artists, such as Giovanni
Andrea Donducci (1575 – 1655), Prospero Fontana (1512 – 1597) and even northern Flemish
artist Joss Van Winghe (1544 – 1603), none of these attributions have had a more solid argument
than the original two, Parmigianino or Bedoli.26 The reason for this is the close resemblance of
Bedoli’s work to the modello, leaving little room for argument it could be by another. 27 The only
question one might ask is whether the panel sketch is by his hand also, but as mentioned
previously, this is unlikely to have been the case; hence, the only logical painter would remain
Parmigianino.
S u b ject Matt er of th e “ Ann u n ciation ”
So far as subject matter is concerned, it is not so much the story illustrated that is
captivating, but rather Parmigianino’s peculiar and arresting adaptation. The vastly popular story
24
Ibid.
25
Ibid.
26
Mario Di Giampaolo, Girolamo Bedoli: 1500-1569 (Florence: Octavo, 1997) 127.
27
Giampaolo 127.
12
of the Annunciation can be found in the gospel of St. Luke and merits some attention before
further exploration of the Metropolitan panel can be made.28
It is the second, in a sequence of events, the first of which is the annunciation to
Zacharias.29 The archangel Gabriel, was “sent from God unto a city of Galilee, named Nazareth,
to a virgin, betrothed to a man named Joseph, of the house of David … And the angel came in
unto her and said, Hail full of grace, the Lord is with thee: blessed art thou among women.”30
The virgin, portrayed throughout history and art as a paragon of virtue, was “greatly
troubled at his words and wondered what kind of greeting this might be.”31 Gabriel, having
understood he had frightened her bids her not to fear him and announces to her the joyous news
that she shall give birth to the son of God.32 This troubles Mary even further, knowing it to be
impossible as she has known no man.33 Yet Gabriel has a miraculous explanation for this too and
assures her with the words “the Holy Spirit shall come upon thee and the power of the Most High
shall overshadow thee …”34 To this she humbly replies, “Behold the handmaiden of the Lord; be
it unto me according to thy word.”35
This charming story has been explored and expanded, particularly in the Golden Legend,
a medieval book that describes the life of Christ and the saints in much more detail than the Bible
itself. It is mostly from here that artists drew inspiration for their representations of the
28
The Holy Bible, Douay Rheims Version, (London: Catholic Truth Society, 1956), Luke 1:26-38.
29
Luke 1:1-24.
30
Luke 1:26-28.
31
Luke 1:29.
32
Luke 1:30-32.
33
Luke 1:34.
34
Luke 1:34.
35
Luke 1:38.
13
Annunciation. Parmigianino’s work is no exception. In this text, the Virgin Mary is portrayed as
something even more than simply the bearer of God’s child; she is portrayed as the vessel that
redeems us of sin.36 Here an interesting comparison is made between her and Eve, the “vessel”
through which the devil introduced sin into the world.37 Eve is seen as the weakness, whose
disobedience the devil exploited, Mary on the other hand, her purity and virtue, is the strength
which God draws on for his divine purpose.38 “Wherefore like as the first woman was the cause
of our damnation, so was the blessed Virgin Mary the beginning of our redemption.”39
Here in this text, Gabriel finds her in an enclosed chamber where virgins, according to St.
Bernard were to reside, hidden away from the words and eyes of men, so that no harm may come
to their honor.40 Mary is portrayed as the ideal embodiment of this, so much so that when the
angel greets her she is so ashamed and distressed that she dares not even speak. 41
Gabriel’s following words became the pillar, the starting point of all symbolism referring
to the Virgin’s purity that artists employed in their work: “…the work of the Holy Ghost, which
of thy blood and of thy flesh shall form purely in the body of the child that thou shalt bear, and
other work to this conception shalt thou not do. And the virtue of God sovereign shall shadow
thee in such wise that thou shalt never feel in thee any burning of the carnal, and shall purge
thine heart from all desires …”42 Mary’s humility and meekness in recognizing herself as purely
36
Jacobus de Voragine, trans. William Granger Ryan, The Golden Legend, (Princeton: Princeton University Press,
1995) 110.
37
Ibid.
38
Ibid.
39
Ibid.
40
Ibid.
41
Ibid.
42
Ibid.
14
the handmaid of the Lord has long since been her signature as the ideal epitome of virtue and
faith.43
The text pinpoints the date of the annunciation as the 25th March, the same date as the
expulsion of Adam, the same day Cain kills his brother Abel, therefore, through the Virgin’s
acceptance of God’s will, all these sins were cleansed.44
Par migi an in o’s Deviation in his Portrayal of the Virgin
This was the image that artists took up of Mary, that of a shy, innocent, pure and ever
devout woman. However Parmigianino shatters this sacred idol with a few strokes of the brush.
The Metropolitan Annunciation has been called many things, amongst which the word “erotic”
has been repeated most often.45 This in itself is a radical shift from earlier works of the same
subject. In order to grasp the shift one must first examine preceding examples of the
Annunciation. Two fine such examples happen to also be located in the Metropolitan Museum,
only a floor below. One is a northern tapestry, the other, a painting by Botticelli.
The Annunciation tapestry in the Metropolitan Museum of Art is a Franco-Flemish work
created sometime between 1410 and 1430.46 The design of the tapestry has been attributed to the
painter Melchior Broederlam who was active in the Dijon in the late 14 th and early 15th
43
Ibid.
44
Ibid.
45
James Grantham Turner, “An Erotic Annunciation by Parmigianino or Bedoli,” Notes in the History of Art 29
(2010): 21.
46
Phyllis Ackerman, “Tapestries of Five Centuries: I The French Gothic Looms,” International Studio 76 (1922-23):
49-50. See page 29, fig2 for image.
15
centuries.47 Although a Northern work, it does exemplify most excellently all the qualities the
Golden Legend underlines.
Although the tapestry scene takes place partially inside and partially outside, the virgin is
enclosed in a walled space in accordance with St. Bernard’s protocol. Gabriel approaches,
bearing a scroll and raising his arm in salutation. On the scroll the Latin words Ave gracia plena
(Hail full of grace) are clearly written.48 Directly above the Archangel, God the Father is
depicted, surrounded by streaming beams of light. He holds an orb in his left hand and raises his
right in blessing. From his direction a little figure of the infant Christ carrying a cross descends
towards the Virgin, preceded by the dove of the Holy Spirit, which is seen in the interior,
touching with its beak the Halo of the Virgin.
Mary, ever modest, shies away covering herself, her head inclined. All in all, she is as
reserved as one can be and exhibits the grace of humbleness. The scene presented in the tapestry
is also based on pseudo-Bonaventure’s Meditationes vitae Chisti.49 In the Meditationes, Mary is
said to have been reading the Book of Isaias at the time of the annunciation.50 Here indeed a
book rests on a reading stand placed to the right of the dais. This particular detail can be seen in
Parmigianino’s painting as well, though its placement and purpose couldn’t be more different.
47
Ackerman “Tapestries of the Five Centuries,” 49.
48
Adolfo Salvatore Cavallo, Medieval Tapestries in the Metropolitan Museum of Art (New York: Harry N. Abrams,
1993), 139.
49
James H. Frantz, The Annunciation Tapestry in the Metropolitan Museum of Art and the International Gothic
Style in Early Franco-Flemish Tapestries (New York: New York University Press, 1972), 10.
50
Cavallo 139.
16
Another brilliant example of the Virgin’s piety is the small work by Botticelli in the
Robert Lehman collection.51 Here, the virgin, even more humble kneels on the floor, desperately
pulling the heavy cloak around her shoulders in an effort to hide even further her already covered
form. The lectern is ever present, even covered in a translucent veil, emphasizing her
appreciation of the sacred word.
Parmigianino’s Annunciation is something quite different. In his Account of the Mansion,
Books and Pictures at Althorp of 1822, Thomas Dibdin calls it “A very good specimen of the
master. His merits, and above all his defects, are glaringly exhibited in this composition.”52
This is true on many levels. In both the above works mentioned, one is presented with a
humble pious girl; his virgin on the other hand is a figure hazardously close to what one may
identify as sexually charged.
The pose of the virgin is based on a preliminary sketch by
Parmigianino currently located in the Louvre.53
If previously Mary had been depicted kneeling, shying, shelling herself way from her
messenger with low cast eyes of submission, here she greets him in a manner similar to how
Venus should be seen greeting her lover. Her arm is raised in gesture if surprise, true, her eyes
are downcast, yet her widely spread legs imply anything but modesty. Her right hand,
submerging into the dark shadows of her garment’s folds brings to mind a perilous image of self
imposed ecstasy.54 If the instructions of the Golden Legend pointed to a woman who knew
nothing of the pleasures of the physical and whose ecstasy resided solely in the spiritual, here the
51
See page 30, fig3 for image.
52
Thomas Frognail Dibdin, Aedes Althorpianae; or an Account of the Mansion, Books and Pictures at Althorp
(London: Shakespeare Press, 1822) 277.
53
Christiansen 176.
54
Turner 22.
17
roles have been reversed.55 Where the carnal was seen as the sin of all mankind, here it is
elevated and applied to a sacred religious figure.56
Gabriel too is a figure of wonder in his disproportioned body, which seems to merge and
mingle the two sexes together in one androgynous whole.57 One is more inclined to believe his
face is female, due to the delicate structure of his cheekbones and the bright scarlet of his well
defined lips.58 The broad shoulders are male in nature, but their narrowing down to an hourglass
torso and waist with wide hips is uncharacteristic of the male form, but so distinctive of the
female.59 The viewer need not even be overly critical to point out the small breast-like protrusion
visible on the right side of his torso turned more towards the picture plane.60 His elegant long
fingers and gentle wrists are feminine in their gesticulation.61
The putti present are severely out of place, bearing a closer resemblance to the role of a
Cupid in paintings dealing with pagan subjects rather than a religious one such as this.62 The bed
is unmade, evocative of inappropriate behavior, much like that of the sexual contact between the
standing putto who holds up the canopy and the one beneath him, looking up at his manhood and
gently brushing his right hand between his inner thighs. 63
55
Ibid.
56
Ibid.
57
Bayer 59
58
Ibid.
59
Ibid.
60
Ibid.
61
Ibid.
62
Turner 22.
63
Ibid.
18
All these oddities are a result not only of Parmigianino’s vivid imagination but also owe a
debt to the influence of Mannerism, which Parmigianino practiced devoutly. 64
Mannerism
In order to understand Parmigianino’s connection to this painting, one must first unravel
the concept of mannerism. Mannerism is in a way a form of conflict with the 15th century ideals,
where the representation of reality was sought after as the most supreme embodiment of
beauty.65
A mannerist painter drew inspiration from something other than the real, but rather from
an internal model, later named il disegno interno, that better served to portray perfection.66 This
canon of design was devised in the mannerist’s mind in synchrony with his personal
predilections and preferences of the flawless and may perhaps be equated to Polyclitus’s
Doryphoros who projected a higher form of beauty not found in nature.67
An artist of the High Renaissance relied heavily on discipline, on an even equilibrium in
the picture.68 In some ways Parmigianino’s work resembles this, but in many more it differs.69
He often does make use of regular forms of more or less general shape but his overall
64
Bayer 60.
65
Sydney J. Freedberg, Parmigianino: His Works in Painting (Cambridge: Harvard University Press, 1950), 3.
66
Freedberg 3.
67
Ibid.
68
Frederick Hartt and David G. Wilkins, History of Italian Renaissance (New York: Thames and Hudson, 2010) 349.
69
Freedberg 3.
19
compositions rarely imply balance.70 The vertical axis often overbalances the other.71 The oval
forms of Parmigianino’s work are unusual in that in nature they are much rounder, such liberties
with the natural forms elicits a harmony, but one far more attenuated than the High
Renaissance.72
Par migi an in o’s App li cation o f Man n erism
Parmigianino’s consideration of the human figure is one where he allows for his inner
sense of aesthetics to overrun his desire for reality, but is also a complex merging of the
metaphysical and the physical.73 This is reflected in his religious works where his figures project
a concord of inner standards rather than real proportions.74 However this is turn parameters his
work to solely elegance and exaggerated grace, leaving little room for the material.75
This limitation did not go by unnoticed by his contemporaries, though Vasari chose to
praise him for the magnanimity of his creations rather than point out his flaws. In his, Lives of
the Artists, Vasari speaks thus, “… he gave to his figures … a certain loveliness, sweetness, and
grace of attitude … so that his manner has been observed and imitated by an infinitude of
painters, for his having given to art so pleasing a light of grace, that his works will always be
held in esteem and, and himself honored by all students of design.”76 This can be seen in this
70
Ibid.
71
Ibid 4.
72
Ibid.
73
Ibid 5.
74
Ibid.
75
Ibid.
76
Giorgio Vasari, Le Vit e d e’ p iu E ccelen ti Pitt o ri, Scult o ri, ed A rch itetto ri , (Milan: Electa, 1998) V 218.
(…diede alle sue figure … una certa venusta, dolcezza e leggiadria nell’attitudini … intanto che la sua maniera e
stata da infiniti
20
painting of the Annunciation, where the viewer is presented with an environment of curious
poise but one which corresponds very poorly to reality.
These traits of venusta, or loveliness, spoken of by Vasari are mostly detectable in the
construction of the body in Parmigianino’s paintings, its placement and movement which come
across as somewhat unnatural and unfeasible.77
Andrea Dolce defines this grace as, “… loveliness, which is what I know not what, there
is so much wont to please, so in painters as in poets; in such wise that it fills one’s spirit with
infinite delight, not knowing whence comes that thing, that so pleases us.”78 Furthermore, in the
late sixteen hundreds, grace was defined as “beauty … which seduces one onto love.” Grace was
meant to be a manifestation of the divine, otherworldly in its every aspect.79 This is most
pronounced here in this oil sketch.
The figures are pale, ethereal, their skin ashen, almost translucent and their proportions
unreal. If one is to consider the explanation of beauty as one meant to seduce literally, they
would find these traces are evident in the virgin’s provocative posture.
While his figures are always animated in their placement and gesticulation, they emulate
little to no emotion, but are rather metaphors of theme.80 Parmigianino’s Madonnas are the
pittori immitata ed osservata, per aver egli data all’arte un lume di grazia tanto piacevole, che saranno sempre le
sue cose tenute in pregio, ed egli da tutti gli studiosi del disegno onorato.)
77
Freedberg 5.
78
Andrea Dolce, Aretino, Ovvero Dialogo della Pittura, (Venice: Giolito, 1902) 110. (…la venusta, che e quel no so
che, che tanto suole aggradire, cosi ne’Pittori, come ne ‘Poeti; in guisa, che empie l’animo d’altrui d’infinito diletto,
non sapendo da qual parte esca quello, che e noi tanto piace…)
79
Freedberg 6.
80
Ibid.
21
epitome of this notion of superficial or momentary emotions. Their faces are no more than a
silhouette of concern, detached and cut off from the action taking place in the composition as a
whole and while dynamic they are essentially expressionless.81
Giacomo Affo, Parmigianino’s biographer commented on this, claiming Parmigianino’s
lack of emotional range was due to his desire to paint exclusively pleasing things.82 Here this can
be seen in Mary’s face, pallid and the hint of a smile not too far away from what might call
“archaic,” it actually seems to be detached from the scene as a whole. In other words, her facial
expression does not correspond to the abrupt entrance of the angel.
The female figure is the predominant focus of interest in Parmigianino’s work rather than
the male, perhaps because they succumb easier to his canon of elongation of the body. 83 This
may be why Gabriel’s figure is more favorable in proportions to that of a woman than a man.
The finest example of this, and one so similar to the Madonna in the Metropolitan panel would
be his Madonna dal Collo Lungo, or Madonna of the Long Neck, commissioned by Elena
Tagliaferri in 1534 for her husband’s bridal chapel.84 It is in this painting one sees the same
stylistic marks as in the Annunciation.
The body of the Madonna dal Collo Lungo is infinitely elegant and thoroughly distorted
in form. The normal dimensions of the female figure have been transformed into what is a long,
narrow oval, six times as high as it is wide.85 The vertical proportions of her body are not unlike
those of the virgin in the sketch, where the relation of the head to the length of the body is nearly
81
Ibid 7.
82
Ibid.
83
Ibid9.
84
Franklin 18. See page 31, fig4 for image.
85
Freedberg 10.
22
ten to one.86 These distorted simulations of reality are visible throughout the figure, her feet are
elongated, thinly boned and elegant, much like those of the Metropolitan Madonna.87 Her legs
are little more than lengthened serpentine shapes, they swell from a slender ankle to a wide knee
visible beneath the folds of her clothing.88 The same can be observed about the virgin’s figure in
the Annunciation as well.
In both paintings a detail that cannot remain undetected is the vast elongation of the top
part of the leg from the hips to the knees, though in both works our direct view is obscured, in
the Annunciation because of the lectern and in the Madonna Dal Collo Lungo because of the
sleeping Christ Child. The finished effect of all these distortions is one of a visually appealing
and uninterrupted flow but one of implausible elongation.89 This fusion of the lower part of the
torso with the top part of the limbs creates an unbelievable figure with no convincingly solid
weight.90 The face of the virgin in the Annunciation panel is ashen, spiritual in character and
illusionistic of nature, almost an exact replica of that of the Madonna dal Collo Longo.
The Exhaustion of Catholicism in the 16th Century
Another aspect must be considered and that is that Parmigianino reflects the nearexhaustion in spirit of Catholicism during the period from the High Renaissance up to the
institution of the Counter Reformation. 91 In spite of their partial abstraction, seen as a
manifestation of the heavenly in many artists’ earlier works, his figures do exhibit divinity in
86
Ibid.
87
Ibid.
88
Ibid.
89
Ibid.
90
Ibid.
91
Ibid.
23
their grazia, but aside from that hold nothing of specifically Christian content.92 The figures are
part of an artistic sphere elevated above reality.93 In the Annunciation, the beauty of the scene
moves the viewer to a state of great appreciation and reverence, but it is more a reverence for the
beauty of the work itself rather than the content.
Other Works of Distortion and Ambiguity
It would seem that Parmigianino reveled in distortions, the first being his introductory
Self Portrait in a Convex Mirror of 1524.94 It seems that from a very early age reality was not so
much a fascination for him as was inaccuracy.
However the Annunciation at the Metropolitan Museum of Art is not the only example of
Parmigianino’s fascination with blurring the thin lines between the sacred and the erotic. The
influence of Michelangelo and Rafael is strongly present in the works he executed between 1527
and 1530 in Bologna.95
A fine example of this is the so called Madonna of the Rose, which was given as a gift to
Clement VII by Pietro Aretino.96 Indeed, one is easily mislead into concluding this to be an
image of Venus with the young Cupid.97 The rippling garment of the Virgin, accentuating her
bodily contours and the playful recline of the Christ child, their interaction with the viewer and
each other is more reminiscent of a secular scene rather than a religious or spiritual one.98 The
92
Ibid 7.
93
Ibid 9.
94
Hartt and Wilkins 577. See Page 32, fig5 for image.
95
David Franklin, The Art of Parmigianino (New Haven: Yale University Press, 2003), 16.
96
Franklin 16. See page 33, fig6 for image.
97
Ibid.
98
Ibid.
24
mischievous, sensual portrayal of the infant is not all that different from Andrea del Sarto’s
Christ child in his Holy Family with the infant St. John, also in the Metropolitan Museum’s
collection.99
Numerous other works exemplify the same audacity as seen in the Annunciation, of
which the Madonna of St. Margaret, of 1527 – 1530, painted for the high altar of the Benedictine
church in Bologna is no less captivating.100 Although traditional in its sacra conversazione, or
sacred conversation piece, it is a world apart from the stoic works of this subject in previous
artists. The figures are dynamically intertwined and in order to portray the close relationship
between Saint Margaret and the Christ Child, Parmigianino based his design on a Mystic
Marriage of Saint Catherine.101
Christ is enclosed between the figures of the Virgin Mary and Saint Margaret, but both
interact with him in very diverse ways. The Virgin’s attention is drawn away from him, her arms
loosely holding him, but his gaze, locked with that of Saint Margaret is dangerously bordering on
licentious, giving off the eerie suspicion to the viewer that a kiss is about to be exchanged
between them.102
A second version of this work is even more daring, borderline homoerotic in nature, his
Madonna of St. Margaret with the Infant John the Baptist of 1526 – 28.103 Here the erotic
embrace between the infant John and Christ is a world apart from the pious, devout devotion the
99
See page 34, fig7 for image
100
Franklin 19. See page 35, fig8 for image.
101
Ibid.
102
Ibid.
103
Ibid. See page 36 fig9 for image.
25
former is said to have cherished for the latter.104 Rather, one is tempted to let their mind wonder
back to the few wall paintings which survive from brothels in ancient Greece. 105
It seems that Parmigianino has always entertained the idea of showing religious icons in a
less than appropriate way, at least for his time, as well as presenting the viewer with a scene they
would not expect. His major public work from his time in Rome, the Vision of Saint Jerome,
executed between 1526 – 1527, and now in the National Gallery of Art in London, is a fine
example of this.106
This huge panel was commissioned by the Bufalini family, for a side chapel in the nave
of San Salvatore in Lauro.107 Unfortunately the entire church perished in a fire and so it is not
possible to reconstruct the original setting of the work.108 The contract for the altarpiece does
survive however, signed on the 3rd January 1526, it asked for an image of the seated Virgin with
John the Baptist and Jerome.109
The design of the Saint Jerome altarpiece is divided into two separate spaces, the top
occupied by Mary and Christ while the lower half by John the Baptist and Jerome.110 The Virgin
is not unlike that in the Metropolitan Annunciation in appearance. The same pale flesh, the same
diaphanous drapery which seems to leave little to the imagination, the same oval shaped face
104
Ibid.
105
Ibid.
106
Ibid 14. See page 37, fig10 for image.
107
Ibid.
108
Ibid.
109
Ibid.
110
Ibid.
26
with bow shaped brows, even the color scheme of her garments is infinitely similar to that of the
Annunciation.
However, it is the figure of St. Jerome which is most worthy of attention as it is most
excellent in its portrayal of mannerist values. To begin with, the saint, whose vision is the main
subject matter of the work is not depicted in the foreground as one might assume, but is rather
reduced in scale and pushed further back into the picture plane, almost giving him an importance
secondary in nature.111
It was considered tremendously inappropriate to show saints in an unstable fashion, let
alone depict one asleep, yet here again mannerism jumps into play for Parmigianino and as he
dares to defy the conventional rules.112 Michelangelo’s influence can be seen in the nudity of
Jerome as he bears a resemblance to Michelangelo’s figure of Noah in the Sistine Chapel ceiling
where a renowned figure of the Old Testament is presented in an equally unconventional way.113
Conclusion
All these oddities in Parmigianino seem numerous and diverse, yet all his works share a
link – they all carry an air of sublime refinement, where the metaphysical overrides the real. For
the most part, the Annunciation in the Metropolitan Museum of Art, is a panel exemplifying a
moment in Italian art which struggled through the after effects of the legacy left by the great
masters, Leonardo, Michelangelo and Rafael. An artist’s claim to glory after Michelangelo’s
mannerism in particular was to portray the unexpected, to demonstrate the best of his mastery
and stun the viewer with a radical image one would not initially think to associate with the
111
Ibid 15.
112
Ibid.
113
See page 38, fig11 for image.
27
subject presented. There seems to have been a drive to outdo the best, which allowed for an artist
to truly master ones skills to perfection. For Parmigianino this was no exception.
Perhaps Dibdin’s critique of the Annunciation is not too far off the mark. It can indeed
come across as a work which exhibits Parmigianino’s failures as well as triumphs. However, one
must not assume the word ‘failure’ as a defect of some kind. On the contrary, the need for a new
vision is what brings about the startling final outcome of the sketch. The interior light source,
unusual in nature, the distortion of the elongated figures, the blurring of gender in Gabriel, these
details are all echoes of his response to the call of mannerism and while Parmigianino did in no
way invent these strategies he does seem to explore them daringly to the extreme. So far as his
accomplishments in the work are concerned, one may say that he succeeds in creating an
unearthly environment with protagonists which carry the natural upwards to a point of spiritual
elevation. This in turn leaves the viewer craving more of this strange mannerist world because it
transforms the real and the mundane into a sphere of colorful imagination.
His mysterious approach dazzles and startles, but whether one is offended or pleased by
the Annunciation, there seems to be little doubt as to its creator being a master. The sure strokes,
the boldness of subtle alteration of the renowned virtue of the virgin’s modesty can surely have
been executed by no other. So therefore one may conclude that, since this work was one of the
last in his career, he succeeded within the last few years of his life to achieve the ultimate level
of distortion which seemed to have captivated since the beginning of his career. Having begun
with a convex mirror, he finishes with an amusing, albeit a slightly aberrant twist, at least from a
religious perspective, but one which leaves no room for denying his tremendous talent. For that
alone, one may admit unyielding admiration.
28
Index of Images
Fig1. Annunciation, 1527 – 1538, Bedoli, Italian. Panel
29
Fig2. Annunciation, 1410 – 1430, Franco Flemish, Tapestry.
30
Fig3. Annunciation, 1485, Botticelli, Italian. Tempera on Wood.
31
Fig4. Madonna of the Long Neck, Parmigianino, 1534, Italian, Oil on Canvas.
32
Fig5. Self Portrait in a Convex Mirror, 1524, Parmigianino, Italian. Panel
33
Fig6. Madonna of the Rose, 1528, Parmigianino, Italian, Oil on Canvas.
34
Fig7. Holy Family with Young Saint John the Baptist, 1530, Andreal Del Sarto, Italian.
Panel.
35
Fi. Madonna of St. Margaret, 1527 -1530,P armi anino, Italian. Panel
36
Fig9. Madonna of St. Margaret with the Infant John the Baptist, 1526 – 1528,
Parmigianino, Italian. Panel.
37
Fig10. Virgin and Child with Saint John the Baptist and Jerome (Vision of St. Jerome) 15261527, Parmigianino, Italian, Oil on Canvas
38
Fig11. Noah and His Sons, 1508 – 1512, Michelangelo, Italian, Fresco Painting.
39
Bibliography
Ackerman, Phyllis. “Tapestries of Five Centuries: I The French Gothic Looms,”
InternationalStudio 76 (1922-23).
Bayer, Andrea “North of the Apennines: Sixteenth Century Painting in Lombardy and
Emilia-Romagna,” MetropolitanMuseumofArtBulletin 60 (2003).
Cavallo, Adolfo Salvatore. MedievalTapestriesintheMetropolitanMuseumofArt. New
York: Harry N. Abrams, 1993.
Christiansen, Keith. Correggio and the Carracci: Emilan Painting of the Sixteenth and
Seventeenth Centuries. Washington: National Gallery of Art, 1986.
Chiusa, Maria Christina. Parmigianino. Milan: Electa, 2001.
Dibdin, Thomas Frognail. AedesAlthorpianae;oranAccountoftheMansion,Booksand
PicturesatAlthorp. London: Shakespeare Press, 1822.
Dolce. Andrea. Aretino,OvveroDialogodellaPittura. Venice: Giolito.
Franklin, David. TheArtofParmigianino. New Haven: Yale University Press, 2003.
Frantz, James H. TheAnnunciationTapestryintheMetropolitanMuseumofArtandthe
InternationalGothicStyleinEarlyFranco-FlemishTapestries. New York: New York University
Press, 1972.
40
Freedberg, Sydney J. Parmigianino: His Works in Painting. Cambridge: Harvard
University Press, 1950.
Frederick Hartt and David G. Wilkins. History of Italian Renaissance. New York:
Thames and Hudson, 2010.
Garlick, Kenneth. “A Catalogue of Pictures at Althorp,” WalpoleSociety 45 (1974-76)
Giampaolo, Mario Di. GirolamoBedoli:1500-1569. Florence: Octavo, 1997.
TheHolyBible. Douay Rheims Version. London: Catholic Truth Society, 1956.
Turner, James Grantham. “An Erotic Annunciation by Parmigianino or Bedoli,” Notesin
theHistoryofArt 29 (2010)
Vasari, Giorgio. LeVitede’piuEccelentiPittori,Scultori,edArchitettori. Milan: Electa,
1998.
Voragine, Jacobus. trans. William Granger Ryan. The Golden Legend. Princeton:
Princeton University Press, 1995.
41
Corporate International
Taxation Reform:
Should US move towards a Territorial
Tax System?
Irfan Bandoo
MBA, Public Accounting
42
Abstract:
One of the most current and highly debated issues facing the Obama
Administration is: - the restructuring of the present corporate income tax system. More
specifically, congress and the president’s administration are pressed with a decision as
to whether to consider plans to reform the deferral of overseas income earned by US
multinational corporations and ultimately move the US from a worldwide system of
international taxation towards a territorial tax system. This paper highlights a current
problem upon which the US taxes multinational corporations. Many in favor of a
territorial tax argue that it is a much needed change to a system that has not seen
significant amendment since the Tax Reform Act of 1986 and that the US adheres to a
system designed when its own economy dominated the world. Additionally, supporters
claim that a shake up to international tax system is necessary if US multinational
companies are to compete in a global environment. They assert that if no drastic
changes are made, US companies will suffer a competitive disadvantage.
In assessing whether this new territorial tax system is plausible this paper will
highlight four main issues that face US multinational corporations, those being (1)
Controlled Foreign Corporations (CFC) rules, (2) foreign tax credits (3) Transfer pricing
and Accounting Principles Board Opinion 23 – Accounting for Income Taxes – Special
Areas (APB 23). Moreover, this paper encompasses the pros and cons of this new
territorial tax system proposal. Finally, this paper draws from the writer’s work
experience and gives alternative considerations that can also be adopted for US
multinationals.
43
Table of Contents:
Pages:
Section 1: Introduction
4-5
Section 2: The shaping of US tax code and the importance of reform
5-6
Section 3: Cases and Pros and Cons:
(i)
Section 3.1:- Keep our worldwide tax system or
move to a territorial tax system? – An examination of cases.
(ii)
6 - 21
Section 3.2:- Territorial System - Pros VS Cons,
CFCs & FTCs, Transfer Pricing and APB 23 provision
22 - 25
Session 4: Drawing from work experience: - Considerations that are plausible
25 - 29
Session 5: Conclusion
29 - 33
References:
34 – 36
44
Section 1: Introduction
Taxes play a vital role in society. Because of this we must recognize and understand
the tax policies and laws that permeate our society. There are three main factors that
play a significant role in influencing and forming the US tax code, those being based on:
economic, social and political justifications. Having an understanding of what the
influences that make up the US tax system are illustrates how convoluted and complex
the tax code is and can be. Many professional tax preparers argue that a reform is
needed to simplify the code. However, no more is this truly evident and has there been
such an outcry for reform than when it comes to the US corporate tax system. Many
individuals support a reform and argue we should follow other industrialized nations.
While others argue that a reform is not needed and that it is futile to compare the US to
other nations because the US is the world’s largest economy and therefore should
make its own reform policy and not follow others. The debate over reforming the
corporate code has become so heightened that Congress and other politicians have
joined the bandwagon. While these politicians agree that reforming the entire system is
not practical, they have singled out one of the most important issues facing corporate
taxation today - the tax treatment of corporate international cross-border transactions. In
trying to address how to go about fixing this issue, Congress is faced with two options –
keep and reform the current worldwide tax system or move to a territorial tax system?
The structure of this paper is as follows. Section 2 explains the influences that shape
the US tax code as well as the importance of corporate international Tax Reform.
Section 3 presents cases and a debate of whether we should keep our worldwide tax
45
system or move to a territorial tax system. It also discusses the pros and cons of the
territorial System as it relates to CFCs & FTCs, Transfer Pricing and the APB 23
provision. Section 4 draws from the author’s work experience and gives other
considerations that can also be adopted for US multinationals. Lastly, section 5 provides
a conclusion.
Section 2: The shaping of US tax code and the importance of reform
The US tax policies, laws and provisions are shaped not only by social ideas and
vested interest but also by changing economic conditions which to some degree all play
a crucial role in our society. For example, in an effort to stimulate growth and to keep
abreast with changing economic conditions the tax system has been used quite
frequently to accomplish economic objectives. For example, the tax code allows for the
use of depreciation write-offs as a way of controlling the economy. Congress passed
this tax legislation with the view that shorter lives and accelerated methods should
encourage additional investment in depreciable property acquired for business use.
Similarly social considerations have also influenced some provisions of the tax code.
For example, the tax code allows a deduction for contributions to qualified charitable
organizations. One can view this deduction as a clear attempt to shift some of the
financial burden of socially desirable programs from the government to the private
sector. Finally, political influences have undoubtedly shaped our tax laws and policies.
Since Congress has been granted the responsibility of repealing and establishing tax
law there is no surprise that lobbyist considerations would make its way into our tax
code. For example, in the establishment of the American Jobs Creation Act of 2004,
46
former Democratic Senator of Georgia, Zell Miller, sponsored a provision that called for
the suspension of import duties on ceiling fans. Ironically, the nation’s largest seller of
ceiling fans is Home Depot, which just so happens to be based in Atlanta Georgia.
The importance of corporate taxation in today’s global environment is paramount.
Whether a corporation is establishing, acquiring, expanding or selling a business within
or outside US, it needs to stay on top of a rapidly changing global tax system.
Corporations are increasingly looking to maximize their tax benefits and to maintain a
competitive advantage. Many reformers argue that the rules and regulations governing
US international tax are undoubtedly complex and require knowledge and insight at the
federal, state and local levels. Additionally, reformers assert that the US currently
adheres to a system designed when its own economy dominated the world and that
much needed change is required because the international corporate tax system has
not seen significant amendment since the Tax Reform Act of 1986. For these reasons
many fear that US multinationals face a competitive disadvantage and will continue to
do so unless there is an overhaul of its corporate tax system.1
Section 3: Cases and Pros and Cons
Section 3.1 Keep our worldwide tax system or move to a territorial tax system? An
examination of cases
Legislature and the Obama administration agreed that the tax treatment of corporate
international cross-border transactions is in need of dire reform. One initiative currently
1
Tax changes should look beyond America. (2009). International Tax Review, (09587594), n/a-n/a. Retrieved from
http://search.proquest.com/docview/230199380?accountid=13044
47
being circulated is the proposal of a territorial tax system by the House Ways and
Means Committee Republicans led by Chairman Dave Camp of Michigan. This type of
tax system is beginning to draw considerable support and is currently backed by a
growing number of voices ranging from the Bowles-Simpson commission, to the House
Republicans, to leading contenders for the Republican presidential nomination. In
assessing whether the Committee’s proposal is plausible this paper will highlight four
main issues that face US multinational corporations, those being (1) Controlled Foreign
Corporations (CFC) rules, (2) foreign tax credits (3)Transfer pricing (4) Accounting
Principles Board Opinion 23– Accounting for Income Taxes – Special Areas (APB 23).
While those familiar with corporate international taxation will recognize that these
factors are to some degree related and may overlap each other, however, a separate
analysis into each is warranted.
(1) How both systems deal with CFCs:
To first dissect the Committee’s proposal we must first have an understanding of
how the territorial tax system deals with CFCs. Under a territorial tax system profits of a
multinational corporation are only taxed by the country where the income is earned, that
is, income earned by foreign subsidiaries and branch operations e.g., a foreign owned
company with a subsidiary operating in the United States is exempt from their country’s
domestic corporate income tax. This newly proposed tax system is contrary to the
current tax system being implemented to deal with foreign source income. The current
US tax system employs a worldwide system whereby companies registered as U.S.
domestic companies are subject to taxation on all income regardless of where income is
48
earned, that is, domestically or internationally and are allowed a credit for foreign taxes
paid on net foreign source income so that corporations are not taxed twice on the same
income (first by a foreign tax authority and then by the Internal Revenue Service).
Because US owned foreign corporation with exclusive operations overseas are not
subject to US corporate income tax on their profits, the tax code stipulates that such
profits will be taxed to the US shareholders only upon repatriation back to the US as
dividends. However, because some corporations may continue to defer indefinitely any
US tax on all their foreign profits and never divvy them back to the US, there exist a
potential for abuse. To fix this exploitation Congress enacted provisions to limit the
availability of deferral. Under the controlled foreign corporation (CFC) rules of subpart F,
the US taxes certain types of income earned by CFCs, whether or not it is distributed to
plug the loophole of indefinite deferral.
To fully comprehend the current US worldwide tax system, an understanding of what
a CFC is and what are the rules governing Subpart F is essential. According to the tax
code, certain types of income generated by CFC are currently included in gross income
by the US shareholder without regard to actual distributions. For subpart F to apply, the
foreign corporation must have been a CFC for an uninterrupted period of 30 days or
more during the taxable year. When this is the case US shareholders must include in
gross income their pro rata share of subpart F income and increase in earnings that the
CFC has invested in US property for the tax year. This rule applies to US shareholders
who own stock in the corporation on the last day of the tax year or on the last day the
49
foreign corporation is a CFC. The gross income inclusion must be made for their taxable
year in which the taxable year of the CFC ends.2
To illustrate, here are two examples:
Li Inc., a calendar year corporation, is a CFC for the entire tax year. Claudia Company,
a US corporation, owns 60% of Li’s one class of stock for the entire year. Subpart F
income is $100,000 and no distributions have been made during the year. Claudia, a
calendar year tax payer, includes $60,000 ($100,000 x 60%) in gross income as a
constructive dividend (an undeclared dividend by the company that involves the use of
corporate assets) for the tax year.
Li Inc., is a CFC until July 1st of the tax year and earns $100,000 of subpart F income.
Dawn, a US citizen, owns 30% of its one class of stock for the entire year. She includes
$14,877 ($100,000 x 30% x (181days/365 days)) in gross income as a constructive
dividend for the tax year.
A US shareholder of a CFC does not necessarily lose the ability to defer US taxation
of income earned by the CFC. Only certain income earned by the CFC triggers
immediate US taxation as a constructive dividend. This tainted income is sometimes
referred to subpart F income and can be characterized as income with little or no
economic connection with the CFC’s country of incorporation. Subpart F income
includes income such as – insurance income (§ 953) – income attributed to insuring risk
of loss outside the country in which the CFC is organized. Foreign based company
2
Subpart F, § 951 – 964 of US Federal Tax Code
50
income (§954) – income transactions whereby a CFC earns income that lacks any
economic connection to its country of organization, it includes foreign personal holding
company income (royalties, rents and annuities), foreign based sales income, foreign
based company service income and foreign base company oil-related income. Illegal
bribes and Income derived from a § 901 (j) foreign country - sanctioned countries.3
These types of income are included in U.S. gross income by U.S. shareholders as they
are generated, not when they are repatriated.
With regards to what a CFC is. The tax code stipulates that a CFC is any foreign
corporation in which more than 50% of the total combined voting power of all classes of
stock entitled to vote or the total value of the stock of the corporation is owned by US
shareholders on any day during the taxable year of the foreign corporation. The foreign
subsidiaries of most multinational US parent corporations qualify as a CFC. For
purposes of determining if a foreign corporation is a CFC, a US shareholder is defined
as a US person or another corporation who owns, or is considered to own, 10% or more
of the total combined voting power of all classes of voting stock of the foreign
corporation. Stock owned directly, indirectly, and constructively is counted. Indirect
ownership involves stock held through a foreign entity, such as a foreign corporation,
foreign partnership or foreign trust. This stock is considered to be actually owned
proportionately by the shareholders, partners or beneficiaries. Constructive ownership
rules apply in determining if a US person or corporation is a US shareholder, and in
3
Willis, Eugene, William H. Hoffman, David M. Maloney, and William A. Raabe. "Chapter 25: Taxation of
International Transactions." South-Western Federal Taxation 2010: Comprehensive Volume. Mason, OH: SouthWestern Cengage Learning, 2010. 25. Print.)
51
determining whether a foreign corporation is a CFC and for certain related party
provisions of Subpart F.4
To illustrate, here is an example:
Shareholders Voting Power
Classification
Claudia
30%
US person
Qian
9%
US person
Wei
40%
Non US person
Radekha
20%
US person
Irfan
1%
US person
Qian is Claudia’s daughter. Claudia, Qian and Radekha are US shareholders.
Claudia own 39%, 30% directly and 9% constructively through Qian. Qian also owns
39%, 9% directly and 30% constructively through Claudia. Thus Qian is a US
shareholder. Radekha owns 20% directly. The corporation is a CFC because US
shareholders own 59% of the voting power. Irfan, a US person, owns 1% and is not
related to any of the other shareholders. Thus, Irfan is not a US shareholder and would
not have to include any of the Subpart F income in gross income. If Qian were not
4
§ 958 and 318 (a) of US Federal Tax Codes
52
related to Claudia or to any other US persons who were shareholders, Qian would not
be a US shareholder and the corporation would not be a CFC.5
(2) How both systems deal with the foreign tax credits:
If we turn our attention to how the territorial tax system deals with foreign tax credits
(FTCs) and compare it to how the US currently treats them we may also be able to draw
a conclusion on which system may be better for adoption. Because the territorial system
simply seeks to permanently exempt dividends and income earned from foreign
subsidiaries and branch operations of US based multinationals entities from income of
their US parent, the issue of FTCs is not applicable and will simply be eliminated, that
is, FTCs would simple be unnecessary. This system is contrary to the worldwide tax
system currently being implemented. Under such system, the US retains the right to tax
its citizens and residents on their world-wide taxable income. This approach can result
in double taxation which is a problem to US persons and corporations who invest
abroad. In dealing with this problem, Congress enacted the FTC provision which allows
a tax credit (a dollar for dollar reduction of US income tax liability) for foreign income
taxes paid.
5
Willis, Eugene, William H. Hoffman, David M. Maloney, and William A. Raabe. "Chapter 25: Taxation of
International Transactions." South-Western Federal Taxation 2010: Comprehensive Volume. Mason, OH: SouthWestern Cengage Learning, 2010. 25. Print.)
53
To illustrate, here is an example:
Bob’s Appliances, Inc., a US corporation, has a branch operations in Brazil from
which it earns taxable income of $750,000 for the current year. Bob Inc. pays income
tax of $150,000 on these earnings to the Brazilian tax authorities. Bob Inc. must also
include the $750,000 in gross income for US tax purposes. If we assume that, before
calculating the FTC, Bob Inc. owes $255,000 in US income taxes on their foreign
source income, then total taxes on the $750,000 would equal $450,000 ($150,000 +
$255,000), a 54% effective tax rate. But Bob Inc. takes an FTC of $150,000 against its
US tax liability on the foreign source income. Bob Inc.’s total taxes on the $750,000 now
are $255,000 ($150,000 + $105,000), a 35% effective tax rate.6
(3) How both systems deal with transfer pricing:
Turning our attention to how the territorial tax system deals with transfer pricing and
comparing it to how the US currently treats them may further our understanding and
help us to draw a conclusion on which system may be better for adoption. However, this
may not be possible because according to the House Ways and Means Committee
Republican Chairman, Dave Camp of Michigan, the proposal is simply a discussion
draft and serves as a beginning point for substantive debate about reforming the
corporate tax code. As such a comparison with regards to transfer pricing is not
plausible because the proposal does not incorporate how it plans to deals with transfer
6
Willis, Eugene, William H. Hoffman, David M. Maloney, and William A. Raabe. "Chapter 25: Taxation of
International Transactions." South-Western Federal Taxation 2010: Comprehensive Volume. Mason, OH: SouthWestern Cengage Learning, 2010. 25. Print.)
54
pricing issues. However, by looking at the previous treatment of how territorially deals
with CFCs and FTCs we can infer that because territorial systems exempts dividends,
transactions between a foreign subsidiary and its domestic parent will move taxable
income into or out of the territorial exemption.7 This is contrary to the current US
system that places great emphasis on transfer pricing rules under section 482 to ensure
that corporations and taxpayers do not inappropriately shift income between domestic
and foreign operations. Under section 482 of the tax code, the IRS has the power to
reallocate gross income, deductions, credits, or allowances between or among
organizations, trades, or businesses owned or controlled directly or indirectly by the
same interests. This can be done whenever the IRS determines that reallocation is
necessary to prevent evasion of taxes to reflect income more clearly. In essence what
this means is that Section 482 is a “one-edged sword” available only to the IRS. The
taxpayer generally cannot invoke it to reallocate income and expenses. 8
7
General Explanations of the Administration’s Fiscal Year 2012 Revenue Proposals, Feb. 2011
8
Reg.§1. 482 – 1(a) (3) of US Federal Tax Code
55
To illustrate, here is an example:
Sale without using Related Party:
US Corporation
Sales revenue
COGS
Profit
Tax @ 35%
US Corporation
$1,000
($600)
$400
$140
Worldwide Tax Cost
US tax
$
Foreign Tax
Total Tax
$
140
0
140
Sale using Related Party:
US Corporation
Sales revenue
COGS
Profit
Tax @ 35%
$700
($600)
$100
$35
$1,000 Sale of Inventory
Foreign
Customers
US Corporation
$700 Sale of Inventory
Foreign
Corporation
Foreign Corporation
Sales revenue
$1,000
COGS
($700)
Profit
$300
Tax @ 10%
$30
Worldwide Tax Cost
US tax
$
Foreign Tax
Total Tax
$
$1,00 sale of Inventory
Foreign
Customers
35
30
65
In looking at the above example, C&L is a U.S. corporation that manufactures
and sells inventory to an unrelated foreign customer. The sales price for the inventory is
$1,000 and the related cost of goods sold (COGS) is $600. The resulting profit is $400
all taxed to the US corporation, resulting in a $140 US income tax liability ($400 x 35%).
If C&L has no business presence in the foreign jurisdiction and is merely selling to a
customer located there, the foreign government is unlikely to impose any local tax on
the U.S. Corporation. Consequently, the total tax burden on the sale is $140.However,
56
suppose instead that C&L attempts to reduce its total tax expense by channeling the
inventory sale through a foreign subsidiary located in the same country as the foreign
customer. In this case, because C&L controls the foreign subsidiary, it chooses an
intercompany sales price (the transfer price) that moves a portion of the profits from the
U.S. to the foreign country. By selling the inventory it manufactured to its 100% owned
foreign subsidiary for $700 the US Corporation reports only $100 of profits and an
associated US tax liability of $35. The foreign subsidiary then sells the inventory to the
ultimate customer for $1,000 and, with a $700 COGS earns a $300 profit. In this
example, the foreign country imposes only a 10% tax on corporate profits, resulting in a
foreign income tax of $30 ($300 x 10%). By using a related foreign entity in a lower tax
jurisdiction, the US Corporation has lowered its overall tax liability on the sale from $140
(all US) to $65($35 US and $30 foreign).9
The critical question is whether the IRS will view the $700 intercompany sales
price as the appropriate transfer price. Under § 482, the IRS may question why the
foreign corporation deserved to earn $300 of the total $400 profit related to the
manufacture and sale of the inventory. In general, the US Corporation must document
the functions performed by the foreign corporation, the assets it owns in producing the
income. Without documentation of significant functions, assets or risks of the foreign
subsidiary, the IRS will not consider the $300 profit earned by the foreign corporation to
be appropriate and it will adjust the transfer price upward. If the IRS determines that the
transfer price should have been, $990, and then the US Corporation reports a $390
9
Willis, Eugene, William H. Hoffman, David M. Maloney, and William A. Raabe. "Chapter 25: Taxation of
International Transactions." South-Western Federal Taxation 2010: Comprehensive Volume. Mason, OH: SouthWestern Cengage Learning, 2010. 25. Print.)
57
profit (with $136.5 US income tax) and the foreign corporation earns a $10 profit (with
$1 in foreign income tax). With this change in transfer price the US Corporation does
not succeed in transferring a meaningful portion of its profits to the lower tax jurisdiction
and reduces its tax liability by only $2.50.10
(1) How both systems deal with ABP 23 Opinion:
In furthering our understanding of which system may be better for adoption we
should consider how multinationals treat special types of corporate tax preferences
under both tax systems. More specifically, if we analyze how multinationals utilize the
treatment of APB 23 provision under both systems we may be able to draw a conclusion
as to which system is better for adoption. However, before we can continue with our
comparison we must first have a conceptual understanding of what essentially is the
APB 23 provision. In effect, the APB 23 provision was named after Opinion No. 23
issued by the Accounting Principles Board in 1972 (the predecessor of the Financial
Accounting Standards Board – FASB). APB 23 is one of the 19 remaining opinions that
are still used and in effect today. APB 23 has been adopted by FASB and is used to
establish accounting guidelines for income taxes for special areas dealing with
corporations and its subsidiaries. Though the FASB has amended and replaced certain
sections of this guideline to correspond with the complexities of today’s multifaceted
corporate tax transactions, the majority of its initial ruling still retains in its originality and
is followed today by many companies as a generally accepted accounting principle.
10
Willis, Eugene, William H. Hoffman, David M. Maloney, and William A. Raabe. "Chapter 25: Taxation of
International Transactions." South-Western Federal Taxation 2010: Comprehensive Volume. Mason, OH: SouthWestern Cengage Learning, 2010. 25. Print.)
58
The current tax system for an APB 23 provision stipulates that a corporation can
make an assertion to treat the earnings of any CFC as being invested indefinitely
offshore under APB 23. Earnings indefinitely invested in this fashion will only suffer from
a local tax expense. Thus under this pronouncement, a multinational corporation can
reduce its tax expense from 35%, the current US tax rate, to a 10% on a CFC paying
taxes at a 10% local tax rate. Fundamentally, in creating and setting standards that
deals with the issue of accounting for income taxes, the predecessor to FASB provided
an exception rule to the recording of a deferred tax liability with respect to the excess of
book basis over tax basis in the stock of a foreign subsidiary if there exists sufficient
evidence that the foreign subsidiary has invested or will invest its undistributed earnings
indefinitely, that is, if the investment is essentially permanent in nature and extent. This
exception to the recording of a deferred tax liability has come to be known as the APB
23 provision.11
Essentially what the APB 23 provision is saying is that a corporation’s tax provision
will not include an accrual of U.S. taxes that would be due on repatriation of foreign
earnings if that corporation’s foreign earnings from its foreign subsidiary are deemed to
be permanently reinvested. However, for a corporation to take advantage of the APB 23
provision they must evaluate whether the foreign earnings qualify for the indefinite
reinvestment plan. In doing so they adhere to the six factors outlined in APB 23,
paragraph 8: (i) financial requirements of the U.S. shareholder, (ii) financial
requirements of the controlled foreign corporation, (iii) operational and fiscal objectives
of the parent company, long-term and short-term, (iv) remittance restrictions imposed by
11
Id. § § 31 (a), 288 (f); Accounting for Income Taxes – Special Areas, APB Opinion No. 23, supra note 100
59
governments, (v) remittance restrictions imposed by lease or financing agreements of
the subsidiary and (vi) tax consequences of the remittance.12 Furthermore the US
Corporation must show an indefinite reinvestment plan as outlined in paragraph 31 of
APB 23. The guideline asserts that a US parent company has to provide specific
documentation of detailed plans for reinvestment of the undistributed earnings.
Examples of such documentation include items such as past experience, planned
foreign mergers and acquisitions, and overall needs for the undistributed earnings to
stay offshore. This documentation must reflect a viable plan and rebut the presumption
on repatriation.13
To illustrate how APB 23 works, here is an example:
Pretax Financial Income
Current Tax Expense
Deferred Tax Expense
Net Income
Consolidated Income
Consolidated Income
Statement (APB 23 Used) Statement (APB 23 Not Used)
$60,000,000
$60,000,000
$14,000,000
$14,000,000
$0
$7,000,000
$46,000,000
$39,000,000
The above example illustrates how the APB 23 provision works and demonstrates its
financial accounting advantage. If we are to assume a US parent owns 100% of the
stock of a foreign subsidiary. The U.S. parent's basis in the stock of the foreign
subsidiary is $1 million for book and tax purposes. The U.S. Parent has pretax financial
income of $40 million in 2007, and the foreign subsidiary has pretax financial income of
12
13
Id. § § 31 (a), 288 (f); Accounting for Income Taxes – Special Areas, APB Opinion No. 23, paragraph 8
Id. § § 31 (a), 288 (f); Accounting for Income Taxes – Special Areas, APB Opinion No. 23, paragraph 31
60
$20 million in 2007. Assume the U.S. parent is subject to a 35% U.S. tax rate, and the
foreign subsidiary is located and operating in a no-tax jurisdiction. Under the
consolidation/equity method, the U.S. parent will include the foreign subsidiary's pretax
financial income in its consolidated income, thereby increasing pretax financial income
to $60 million for 2007. If the U.S. parent was required to record a deferred tax liability
for the excess of its book basis over its tax basis in the stock of its foreign subsidiary,
then the U.S. parent would record a $7 million deferred tax liability ($20 million times
35%) and an increase to deferred tax expense of $7 million. This would reduce the
consolidated net income from $46 million ($40 million of income less $14 million in taxes
plus $20 million income from the foreign subsidiary) to $39 million. In business terms,
the U.S. parent takes a charge or hit to earnings of $7 million as a result of recording
the deferred tax liability. If the U.S. parent can show that the foreign subsidiary has
invested or will invest the undistributed earnings indefinitely, then the U.S. parent may
utilize APB 23 to avoid recording a $7 million deferred tax liability, and thereby avoid a
$7 million increase to deferred tax expense that is, the charge to earnings. As a result,
the consolidated net income will remain at $46 million. By utilizing APB 23, the
consolidated net income is $7 million higher than it would be in the absence of APB 23.
In addition, the effective tax rate is lowered as a result of utilizing APB 23. In the
example, the effective tax rate utilizing APB 23 is equal to 23.33% ($14 million income
tax expense divided by $60 million operating income). If APB 23 is not applicable, the
effective tax rate is equal to 35% ($21 million income tax expense divided by $60 million
operating income).14
14
Liguori, Albert, Bill Ling, Jennifer Jung, and Rosann Torres. "A&M Tax Advisor Weekly - Alvarez & Marsal." Global
61
Here is another less complex and straightforward example:
Non - APB 23 APB 23
Earnings Before Tax (EBIT)
Local Tax, e.g., 20% of EBIT
US tax, 35% of EBIT
US Foreign Tax Credit
US tax net
Total Tax
Net Income
$100
$20
$35
($20)
$15
$35
$65
$100
$20
N/A
N/A
$0
$20
$80
A benefit is created
as income is not
subject to current US
taxation
If we are to look at the two above examples and compare the current treatment of
the APB 23 provision with the proposed treatment of the territorial tax system we will
see stark differences. In the territorial tax system the treatment of the APB 23 provision
is similar to that of transfer pricing, in that, the proposal fails to make any specific
mention or outline any guidelines with regard to the issue of APB 23. Thus, such a
comparison between the current treatment of APB 23 and the territorial tax system is
not feasible. However, once again if we can take what we already know about the
territorial tax system and apply it to the APB 23 provision we may be able to draw some
conclusions. What we do know about that the territorial tax system is that it proposes to
permanently exempt dividends and income earned from foreign subsidiaries and branch
operations of US based multinationals entities from income of their US parent. This in
effect is an elimination of deferrals and ultimately an elimination of the APB 23
Professional Services - Alvarez & Marsal. Alvarez & Marsal Taxand, LLC, 2007. Web. 17 Dec. 2011
62
provision. Thus the tax benefits and advantages that multinational corporations currently
utilize will be foregone. Henceforth, if Congress moves towards a territorial exemption
system, then APB 23’s significance will be greatly reduced because no US income tax
expense would be recorded for income of foreign subsidiaries, whether permanently
reinvested or not.
Section 3.2: Territorial System - Pros VS Cons, CFCs & FTCs, Transfer Pricing and
APB 23 provision
To draw a final conclusion as to whether the territorial system is a better
replacement for the worldwide tax system with regards to the CFC we should look at the
pros and cons of this new tax scheme. Pros: The leading proposal of the territorial tax
system seeks to permanently exempt dividends and income earned from foreign
subsidiaries and branch operations of US based multinationals entities from income of
their US parent. If this type of system is adopted it will no doubt alleviate the trapped
income problem that many politicians complain about. US based multination
corporations have a significant amount of foreign source income, as much as $1trillion,
based on financial statements15. These amounts are not being repatriated because it is
earned in low tax jurisdictions and will therefore trigger a US tax without foreign tax
credits under current rules. Cons: Although improving the issue of the trapped income
problem, the territorial tax system however, fails to address the issue of subpart F.
Nowhere in the proposal of the territorial tax system does it address Subpart F. If we
adapt territoriality without reforming Subpart F, the result will be a significant erosion of
15
Testimony of Professor Reuvebs S. Avi-Yonah, Hearing on how other countries have used tax reform to help their
companies in the global market.” U.S. House Committee on Ways and Means, May 24, 2011
63
the US domestic corporate tax base. Henceforth, those in favor of territoriality for the US
but who would leave today’s holes in subpart F are seeking a back-door exemption form
the US income tax that would cause US multinations to be taxed at much lower rates
than the multinationals of other countries.
If we analyze the pros and cons of the territorial tax system with regards to FTCs
we see a similar issue as above. Pros: by exempting dividends and income earned
from foreign subsidiaries and branch operations of US based multinationals entities
from income of their US parent it makes the tax system simple, straightforward and less
complicated. Cons: The downside to this is that with a full dividend exemption it makes
FTCs unnecessary, but FTCs would still be needed to prevent double taxation of certain
nonexempt income items; an issue which the territorial system fails to address.
With the issue of transfer pricing, however, there can be no comparison of the
advantages and disadvantages because quite simply the territorial tax system offers no
solution in dealing with the issue of transfer pricing. Cons: Given what we do know
about territoriality and its favoring of dividend exemption, transactions between a foreign
subsidiary and its domestic parent will move taxable income into or out of the territorial
exemption. This presents a problem because in implementing this type of system it will
significantly increase the incentives to shift income to low-tax jurisdictions. If there is no
tax on dividends and foreign source income is exempt, the pressure on transfer pricing
will increase exponentially and will require stronger transfer pricing rules. The territorial
tax system would worsen the transfer pricing problem because it would encourage
companies to shift the reported locations of activity from the US to low tax countries.
64
Thus creating an “income or profit shifting” heaven for US multinationals corporations to
abuse.
Lastly, if we turn our analysis to the pros and cons of the territorial tax system
with regards to the APB 23 provision we can see the advantages and disadvantages
clearly. Pros: by exempting dividends and income earned from foreign subsidiaries and
branch operations of US based multinationals entities from income of their US parent it
makes the tax system simple, straightforward and less complicated. Furthermore, by
doing so it is in effect eliminating the APB 23 provision completely by getting rid of
deferrals. This may seem as a good thing for some because APB 23 has been referred
to as a “rich company’s benefit,” that is, well-to-do companies can keep money offshore
utilizing APB 23.16 Cons: If Congress moves towards a territorial exemption system,
then APB 23’s significance will be greatly reduced because no US income tax expense
would be recorded for income of foreign subsidiaries, whether permanently reinvested
or not. This plays an important role when it comes to corporate America because the
deferral of income coupled with APB 23 produces a significant financial statement
benefit for American multinational companies. In fact, for many if not most public
companies in the US, the deferral of income and APB 23 may be the largest and most
important permanent difference. As such, a territorial system will see much resistance
since it plans to eliminate deferrals. Corporate America will fight hard to retain deferrals
and APB 23 because it creates a permanent difference. 17 Consequently, adopting a
16
Nick Wingfield & Romy Varghese, Wall St. J., May 12, 2009, at B1.
17
Corporate Tax Reform: Listening to Corporate America, Christopher H. Hanna, Altshuler Distinguished Teaching
Professor and Professor of Law, Southern Methodist University Dallas, Texas
65
territorial system with regards to APB 23 will be counterintuitive because the rules
governing deferrals and APB 23 enable US. companies to be more competitive. Without
these rules, a US based company would incur incremental US. tax expense in its books
when operating in lower-tax jurisdictions. By deferring the tax expense in its financials,
the rule favorably allows US companies to report effective tax rates that are comparable
with its non US competitors.18 Subsequently, if deferral is repealed this could give rise to
a host of other problems in calculation of the deferred tax liability and deferred tax asset
for the excess of the US parent’s book basis in the stock of the foreign subsidiary. 19
Moreover if Congress does adopt a territorial system a question arises as to what will
happen to all the permanently reinvested income that is sitting of offshore. Will they be
repatriated back? And if so how much of it will be included in a corporation’s tax
provision since an accrual of U.S. taxes on its repatriations of foreign earnings will now
have to be made. Moreover, will the repatriations be brought up all at once or
proportionately?
Session 4: Drawing from work experience: - Considerations that are plausible
In working with a corporation that extends its resources to an international level, I
will undoubtedly be affected if any changes are made to the corporate income tax
system. Because a reform of the tax treatment of corporate international cross-border
transactions is one of the most highly debated issues facing Congress today, my
organization, in an attempt to stay ahead of any future legislature that might impact our
18
Liguori, Albert, Bill Ling, Jennifer Jung, and Rosann Torres. "A&M Tax Advisor Weekly - Alvarez & Marsal." Global
Professional Services - Alvarez & Marsal. Alvarez & Marsal Taxand, LLC, 2007. Web. 17 Dec. 2011.
19
Accounting for Income Taxes No. 109, supra note 25, § 173
66
international as well as domestic business operations, has begun taking measures in
preparing for any such changes. Whatsoever changes and reforms to the tax code
results, companies will have to revise their projections and earnings and update
financial statement. In our research and tax planning we have come up with other
considerations that are also plausible and that might be adopted to address the tax
treatment of foreign source income. However, it should be noted that these proposals
are limited to the scope of our business model and may not be applicable on a general
level. Nonetheless we have seen that other financial and banking service industries who
have a similar organizational structure and core competence have also proposed similar
suggestions. Thus our propositions would in fact benefit some but not all companies.
If a territorial system is to be adopted we feel that in dealing with dividend
exemption, the US should adopt a system that exempts a set percentage of dividends
and should not exempt all income as proposed by the territorial system. For example,
when a foreign subsidiary pays a dividend representing active business income to the
domestic parent or shareholder, the dividend should be partially exempted from tax.
Adopting a 95% exemption like France, Germany and Japan does is possible and open
to debate. The 5% of dividend that is subject to tax would be an offset to expenses
deducted in the domestic return that are attributable to the dividend income.
Furthermore, not every dividend should qualify for the exemption because of ownership
thresholds qualifications. For example, the UK who just recently switched to a territorial
tax system currently requires ownership of at least 10% in the foreign subsidiary,
whereas Japan who also recently switched to territoriality requires 25%. Which
percentage is suitable for the US is also open for debate.
67
With regards to taxing foreign source income, the US current worldwide tax
system of collecting corporate taxes based on where the corporations profits are earned
may be in need of a reform. However, the territorial system of again exempting all
foreign source income, while simplistic and far less complicated may be too drastic and
radical at most. The problem with today’s multinational corporations is that because of
the process of globalization, these corporation’s businesses and investments are
increasingly changing and as a result their profits are hard to pin point to a particular
place. To combat this problem, the corporate tax would be assessed based on where a
corporation’s products are used rather than where the corporation is located or where
the goods are produced. This type of corporate tax system based on usage is supported
by Alan J. Auerbach, a professor of economics and law at University of California,
Berkeley who was cited by saying, “assessing the tax base on where a firm’s products
are used eliminates the issue of where to locate a business and incentives for US
domiciled business to shift profits abroad to reduce taxes.” Furthermore, according to
another supporters of this type of tax system, the Center for American Progress, a
nonpartisan research and educational institute dedicated to promoting a strong, just and
free America that ensures opportunity for all, “if this type of tax system is implemented it
would deliver a host of economic advantages to US businesses and American workers.
It would promote domestic corporation activity and encourage investment that would
boost productivity, the key driver of increases in wages, employment and living
standards.”
In addressing the dilemma which so many policy makers are faced with - subpart
F and APB 23 provision and its related problem of trapped earnings, a simple resolution
68
would be to repeal some or a percentage of deferrals. In doing so foreign earnings
would be subject to current US tax and there would be no tax on repatriations. However
this may have some draw backs because the question will still remain - what will
happen to all the permanently reinvested income that is sitting of offshore? Will they be
repatriated back? And if so how much of it will be included in a corporation’s tax
provision since an accrual of U.S. taxes on its repatriations of foreign earnings will now
have to be made. The answer to this is not simple but we should consider that
repatriations be brought proportionately. By doing so a company’s financial statements
will have to be presented prospectively to reflect the change in its tax provision since an
accrual of U.S. taxes on its repatriations of foreign earnings will now have to be made.
Furthermore, for those who are worried about competiveness, we could also reduce the
corporate tax rate as suggested by Senators Wyden and Coats in their tax reform
proposal. Moreover if we somehow also try to convince other industrialized nations to
adopt CFC legislation that the US currently has then all major multinational entities
would be subject to a single low tax on their worldwide earnings without incentives to
shift income to tax heavens.
If a territorial system is to be considered, the issue of transfer pricing is to be
remedied. More specifically, there exists a huge problem when it comes to transfer
pricing rules in the treatment of royalties and other intellectual property transactions
between related parties. This is a topic of great debate because these transactions are
often the most contested issues between tax authorities and taxpayers. One way we
see to resolve this issue is to exempt all or some royalty payments between foreign
subsidiaries and the domestic parent. Currently, Japan, Canada and Australia adopt this
69
approach. Another way to go would be to adopt what the UK intends to do come 2013.
Essentially the UK plans to implement a “patent box” system. This system is elective
and is seen as a way of encouraging domestic high-tech industry or research and
development. It would apply an effective tax rate of 10% for income that can be
sourced to certain UK patented intellectual property.
Session 5: Conclusion
The current US federal tax code is riddled with a montage of policies, provisions,
pronouncements and court rulings. Having an understanding of what the influences that
make up the US tax system are illustrates how convoluted and complex the tax code is
and can be. There are three main factors that play a significant role in influencing and
forming the US tax code, those being based on: economic, social and political
justifications. Many expert tax preparers, professionals and regulators all agree that a
reform is needed to the system. One prominent area of the tax code that has garnered
much attention as of late is a call for a reform of the corporate international tax system.
Congress and the Obama administration are currently pursuing measures to rectify this
issue. One initiative currently being circulated is the proposal of a territorial tax system
by the House Ways and Means Committee Republicans led by Chairman Dave Camp
of Michigan. Under this new proposal profits of a multinational corporation are only
taxed by the country where the income is earned, that is, income earned by foreign
subsidiaries and branch operations e.g., a foreign owned company with a subsidiary
operating in the United States is exempt from their country’s domestic corporate income
tax. This type of tax system is seeing much attention and is drawing considerable
70
support. Currently it is backed by a growing number of voices ranging from the BowlesSimpson commission, to the House Republicans, to leading contenders for the
Republican presidential nomination. This new proposed tax system is in vast contrast to
the current tax code. Presently, the US employs a worldwide system for international
taxation of multinational corporations, that is, US registered based entities are taxed on
their income regardless of where the income is earned and are allowed a credit for
foreign taxes paid on net foreign source income. Multinationals are allowed to defer US
tax on overseas active business income until the income is transferred to the US.
Many supporters of a reform to the corporate international tax system argue that
this worldwide tax system has been in effect since the Tax Reform Act of 1986 and has
seen little to no amendments since then. Supporters fear that if there is no reform to this
type of system then US multinational companies will have a hard time competing on the
global platform and will thus suffer a competitive disadvantage. Proponents for change
propose that the US move swiftly in adopting the territorial tax system since many other
industrialized and developed countries have already done so.
In evaluating whether the Committee’s proposal is plausible we have analyzed
cases studies and given a breakdown of the pros and cons of the territorial tax system
as it relates to four main issues that face US multinational corporations, those being (1)
Controlled Foreign Corporations (CFC) rules, (2) foreign tax credits (3) Transfer pricing
and (4) the APB 23 provision– Accounting for Income Taxes – Special Areas.
71
In assessing the territorial tax system as it relates to CFC we concluded that
although it will improve the issue of the trapped income problem, it however, fails to
address the issue of subpart F. Henceforth, those in favor of territoriality for the US but
who would leave today’s holes in subpart F are seeking a back-door exemption from the
US income tax that would cause US multinations to be taxed at much lower rates than
the multinationals of other countries. When we evaluated territoriality regarding FTC’s
we saw that the downside to the territorial tax system is that because it proposes a full
dividend exemption, it makes FTCs unnecessary. This is a problem because FTCs
would still be needed to prevent double taxation of certain nonexempt income items.
This as we saw is an issue which the territorial system fails to address. Reviewing the
territorial proposal in relation to transfer pricing we found that the territorial tax system
would worsen the transfer pricing problem because it would encourage companies to
shift the reported locations of activity from the US to low tax countries. In doing so it
creates an “income or profit shifting” heaven for US multinationals corporations to
abuse. Lastly, in our analysis we saw that the APB 23 provision was yet another cause
of concern if congress moves towards a territorial exemption system because no US
income tax expense would be recorded for income of foreign subsidiaries, whether
permanently reinvested or not. This plays an important role when it comes to corporate
America because the deferral of income coupled with APB 23 produces a significant
financial statement benefit for American multinational companies. Thus we surmised
that corporate America will lobby and fight hard to keep the APB 23 provision and
deferral rules.
72
How the US plans to deal with the issue of foreign source income is yet to be
seen. As Congress struggles over which system is right for the US, many multinationals
corporations are currently mapping out effective tax planning strategies in anticipation of
a final decision. In drawing from work experience we provide other considerations that
are plausible in addressing the four main criteria facing multinational corporations
addressed above. For example, if a territorial system is to be adopted we feel that in
dealing with dividend exemption, the US should adopt a system that exempts a set
percentage of dividends and should not exempt all income as proposed by the territorial
system. With regards to taxing foreign source income, the best possible way to combat
this problem, would be to assess the corporate tax based on where a corporation’s
products are used rather than where the corporation is located or where the goods are
produced. Moreover, in addressing Subpart F, the APB 23 provision and its related
problem of trapped earnings, a simple resolution would be to repeal some or a
percentage of deferrals. In doing so foreign earnings would be subject to current US tax
and there would be no tax on repatriations. Finally in dealing with transfer pricing rules
in the treatment of royalties and other intellectual property transactions between related
parties, we proposed two options: 1) to exempt all or some royalty payments between
foreign subsidiaries and the domestic parent. 2) To adopt a “patent box” system that
would apply an effective tax rate of 10% for income that can be sourced to certain
patented intellectual property.
If the US does make a decision to reform the present international corporate tax
system by adopting a territorial tax system or any other tax system, they undoubtedly
face a huge challenge in transitioning from an old system that has not seen much
73
change since the Tax Reform Act of 1986 to a new system. Once issue they will have to
confront is costs. Legislators will have to ask themselves how much the new tax system
costs to implement and how can they mitigate unnecessary costs? Other implications
tax change can generate is its impact whether directly or indirectly on the economy. Tax
reform may affect the availability of demand for specific goods and services.
As legislators battle over which international corporate taxation system would be
best suited for the US, multinational corporations will have to engage in tax planning
strategies now more than ever. For many corporations, planning in an environment
where uncertainty is the only know variable will be a true test and challenge because
potential reforms means increase risk but at the same time increased opportunities.
Additionally, smart tax planners will realize that they need to act upon and take
advantage of current tax policies that may become unavailable after a reform is made,
thereby being “grandfathered in.” Also they need to take advantage of the transitioning
period and identifying competitors who are doing the same and look for others who are
lagging behind. Furthermore, in its planning many corporations might consider paying
attention to income and deductions because if rates decreases, corporate tax payers
may be looking towards loss carry backs to higher rate years so as to preserve credit
carry forwards for use in lower rate years.
It is often said that before anything else, preparation is the key to success.
Henceforth, multinationals corporations that effectively plan for these forth coming
international tax reforms will undoubtedly be successful in the end.
74
References:
Accounting for Income Taxes No. 109, supra note 25, § 173
Alexander Graham Bell, “Before anything else, preparation is the key to success.”
http://www.brainyquote.com/quotes/keywords/preparation.html#ixzz1h7Bxz0Sw
Competitive Advantage Definition | Investopedia." Investopedia. Web. 05 Dec. 2011.
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77
With this Ring, I Surrender:
Politics, Religion, and Marriage in
Shakespeare and Tudor England
Mara Berkoff
BA, English
78
Abstract
The ideas I wish to explore in this paper are the overarching themes of politics, religion,
and marriage in the Tudor period under the rule of King Henry VIII from 1509 to 1547. By
exploring the motives behind the Protestant Reformation and the laws of both marriage and faith
held by Henry VIII, the cultural instability he created can be traced directly back to his marital
choices. The popular opinion of the period on Henry VIII’s behavior can be seen in William
Shakespeare’s The Taming of the Shrew, Measure for Measure, and Henry VIII. Though written
a generation later, all three plays present intriguing parallels to the scandalous Tudor court, and
suggest a need for a resistance to marital hierarchy, which continues into the modern age with
the breakdown of the social and gender hierarchies. Marriage in the 21st century is taken for
granted as a private event, where a Tudor marriage was cause either for worldwide celebration or
anxiety, depending on the alliances made or destroyed by the spousal union. The evidence of
Tudor life left behind in letters, manuscripts, and law gives fascinating insight into the
machinations and intrigues that often conspired to make a marriage, and the religious and marital
revolutions of this period changed the face of love, marriage, and religion in western culture
forever.
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The revision of marriage roles after the Protestant Reformation (1517-1648) and the
centrality of both marriage and faith held in the authority of the single male figure of Henry VIII
created cultural instability. William Shakespeare’s plays, recreations of the 16th century religiopolitical structure, suggest that these changes left room for resistance to hierarchy whose effects
continue into the modern age. These revolutionary ideas were often played out on the popular
stage in such famous Shakespeare plays as The Taming of the Shrew, Measure for Measure, and
the eponymous Henry VIII, which chronicles the events of the English Reformation, a
fascinating moment of religious and political revolution in Christendom. The role of husbands
and wives in the Tudor period was ever-changing. Many good and not so good wives were cast
aside from their husbands simply because the king made it possible. Whereas in the 21st century
marriage is mostly viewed as a private affair, the Tudor world revolved around the private
information delivered by spies to ensure that those in power maintained prominence over others.
When the welfare of an entire country revolves around one person, there are those who will
sacrifice their happiness and well-being to the service of others, and this notion carries into the
realm of marriage. While it is impossible to know exactly what drove the men and women of the
Tudor court to such self-sacrifice, the evidence of the lives they left behind provide extraordinary
clues into the public and private realms of Tudor life.
We like to hearken back to days gone by when things were simpler, chivalry thrived and
women were fawned over and protected by the men who loved them. The reality of these simpler
times is that men and women were pawns in the game of life, subject to the whims of their
fathers, masters, and kings. Even the intimate moment of choosing a soul mate was rife with the
heavy influence of economic and social considerations, and these factors are still major
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considerations in the 21st century. Two people were united to bring together two families, two
pieces of land, or two large fortunes, never mind two like personalities or two sweethearts.
A courtship may start with a look, a glance, maybe a passing word. Someone you have
known many years or someone you have just met may suddenly catch your eye. Two consenting
adults, free from any constraints that could deny them pleasure, may speak to whom they please,
see whom they please, and, most importantly, marry whom they please. For those of us in the
21st century this is an ideal courtship, the beginning of something wonderful that may impact the
rest of our lives. However, for the people of the Tudor court a good match was something akin to
insider trading tips, newly marriageable women and men to be pursued at all costs. A love match
was an impossible goal, the dream sequence of a young man or woman shoved into bed with a
spouse more than twice their age and seemingly on the threshold of death. Courtship was a very
different custom in the Tudor period, when the “so called freedoms which individuals
experienced in marriage choice could be rather superficial and transient in the face of
contemporary realities” (O’Hara 30). The much lauded match one chose to pursue to the altar
was not a personal matter, but rather one to be undertaken by the immediate and extended family
to uncover who was available, whether they were worthy enough to be married into the family
and act with their protection and goodwill.
One of the most interesting places to look at courtship is in the English domain of King
Henry VIII, most famous for having six wives, beheading two and divorcing the rest. A man so
many times married was certain to become an expert in the courtship rituals of the high and
mighty aristocracy, as there was no one higher or mightier at the beginning of his reign, save the
Pope and the Almighty. The courtship of King Henry VIII of England and Katherine of Aragon,
the Dowager Princess of England, was as much a match of convenience as it was of love.
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Katherine had been married in a grand ceremony to Henry’s older brother Arthur, Prince of
Wales when he turned fifteen, but Arthur and Katherine had been betrothed practically since
birth. While growing up in the palace of Alhambra in Spain, Katherine was accustomed to being
addressed as both the Infanta of Spain and Princess of Wales as an indication of her future
magnificence. However, this politically perfect match was overshadowed by the unstable nature
of the English throne. Arthur’s father Henry VII had picked up his crown at the battle of
Bosworth in 1485, with the betrothal between his first born son and Spain’s youngest daughter
occurring only four years later to cement both Henry VII’s dynasty and Ferdinand and Isabella’s
political aspirations. Such political courtships were rife with double dealing and obstacles such
as no peasant couple’s courting could ever imagine.
One such obstacle arose when Katherine was finally ready to appear in England to be
married. Henry VII had ended the War of the Roses between the Houses of Lancaster and York
for the throne when he took it himself. Henry VII had attempted to stem the flow of Yorkist
anger in the aftermath by marrying Elizabeth of York, sister to the young princes presumably
murdered by Richard III in the Tower of London and the heirs to the English throne. The symbol
of the Tudor rose, red and white combined, represented the union of the families, and with the
birth of Henry VII’s son Arthur all clamoring for the throne should have been silenced by the
arrival of a son to inherit. However, at the time of the Infanta’s proposed crossing to England
there sat in the Tower of London a man called Edward Plantagenet, Earl of Warwick and the
Yorkist heir to the throne of King Richard III that Henry VII had claimed for himself at
Bosworth. At the insistence of Katherine’s parents, Edward was found guilty of conspiracy and
treason with the help of an agent provocateur, and beheaded. Despite the now unequivocal safety
of her throne, as a devout Catholic, Katherine must have felt great apprehension in beginning her
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new life with a man’s blood on her hands, however indirectly she was involved. If such a thing
as karma exists, Henry VII and Prince Arthur received their share when the heir died a scant five
months after he and Katherine of Aragon married. The proposed cause of death was the
“sweating sickness,” an extremely common ailment in the Tudor period which began very
quickly and within twenty-four hours almost always ended with painful death. Extremely
contagious, the horrified royal family separated husband and wife when news of the disease
broke, not necessarily in fear for Katherine’s life, but for that of the child she could be carrying
in her womb.
After the death of the Prince of Wales, no child appeared, and the inheritance was passed
to Henry, Arthur’s younger brother and the only remaining male child of Henry VII. When the
new Prince of Wales and future king Henry VIII inherited the title, he also came into possession
of his dead brother’s widow, deeply in debt and pawning her own plate and jewels to feed herself
and her household. Bound by that most ancient of chivalric codes, “honour demanded that Henry
should marry her, as by so doing he would rescue her from penury and dishonor…and win her
undying gratitude” (Weir 70). Their courtship was unconventional at best, taking place over
several years and without any declared intent to marry, though Henry seemed to truly care for the
widowed princess, and she would do whatever was necessary to keep the throne of England in
her grasp.
When a royal couple decided to court, it was not a private matter. If the match was
approved by the heads of the two families, assorted family members could be recruited to act as
“go-betweens.” Letters and love tokens could be sent through these methods, and go-betweens
were so ingrained in popular culture that “several…Shakespearean comedies and tragedies make
play with intricate complexities and problems attendant upon courtship. The proverbial figure of
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the go-between is employed in diverse ways as a device in dramatic complication or resolution”
(O’Hara 102). The position of go-between could even become a legal one. Some agreements
passed between the two parties could only be considered valid if the go-between had the proper
authorization, and the acceptance of whatever it was the go-between had to offer immediately
constituted agreement (O’Hara 103). Katherine most likely used her ladies in waiting to send
notes or letters to Henry, as she was often kept out of sight of the court for extended periods of
time by his father.
During courtship, sentimental love letters were most likely more prevalent than legal
documents, but not as important to preserve. James Daybell explains in his book Women LetterWriters in Tudor England, “Ritual exchanges of letters were…part of early modern courtship
practices” (225). Unlike the paltry text messages or e-mails of the current century, a love token
in the form of a letter displayed so serious an intention towards the recipient that they were
pertinent evidence in disputed courtship cases “as evidence of matrimonial intent” (Daybell 225).
The disappearance of the ritual of letter writing as a method of courtship can be attributed to the
obvious reasons of the introduction of new technologies and the increase and volume of the
times a couple may communicate with one another, lessening the value of these interactions
which would take months to complete in the Tudor period. While it could be said that the words
sent into cyberspace remain there forever, it is impossible to recall them unless one has
possession of technology and skills beyond that of the general masses. Love letters, unless
physically destroyed, endure forever.
When marriage was finally agreed upon by the heads of the families and a dowry settled
upon, plans for a wedding could begin. Weddings in the Tudor period, as in the present day,
were festive occasions meant for the gathering of family and friends to witness the beginning of
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the two people being joined together as one. As weddings provided an almost purely social event
in an age where church service was the highlight of the week, much time and energy were put
into the planning and execution and there are accounts for weddings being used in the arts to
denote a comedic and happy end. Many of the past wedding traditions remain in the 21st century
and as Sid Ray states, “The Christian marriage ceremony has changed very little from the Tudor
period—the ritual specified in The Book of Common Prayer (1559) is still the standard…The
dramaturgy of the ceremony is still followed in which the father hands the daughter over to the
husband, a ritual that enacts the transfer of ‘ownership.’ (Ray). Much like the romantic comedies
of the 21st century, the end is not complete without a resolution, whether human or divine, and a
marriage or coupling of the main characters.
Marital customs were often used to show the submission of the woman to both her father
and her new husband. The language of the marriage ceremony reflects that submission with the
bride to promising to “obey” in addition to “love and cherish” her husband. Traditionally, the
groom does not have to “obey” but only love and cherish his new bride (Ray). The wedding
ceremony customs also differed by county in England. Closer to the cities, the rituals of marriage
followed Protestant doctrines, but farther away, the old Catholic and some pre-Christian rituals
were practiced, such as the custom where the woman stooped down to the man’s foot and lifted
his leg up as if helping him onto a horse. If this custom was too old to be practiced in the Tudor
period it was certainly remembered and referred to. Other old traditions also existed such as
broom jumping or “hand-fasting,” an old Pagan custom where the clasped hands of the bride and
groom are tied with a cord in a show of faith and the desire to unite and become one body (Ray).
With the religious obligations completed, the party could finally begin.
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Half-drunk with wine and the abundant love of the couple, wedding guests prepared for a
celebration that could last anywhere from a few hours to days at a time. The juxtaposition of
such a holy sacrament with the “eating, drinking, dancing, music, jesting, and sexual innuendo”
(Cressy 350) earned the censure of many church officials, but as they were a custom, they
continued. David Cressy’s book Birth, Marriage, and Death: Ritual, Religion, and the Life Cycle
in Tudor and Stuart England describes the wedding of a wealthy man named Jack of Newbury
and his wedding procession as follows:
Jack of Newbury’s bride was led to church according to the manner in those
days…between two sweet boys, with bride laces and rosemary tied about their silken
sleeves…There was a fair bride cup of silver and gilt carried before her, wherein was a
goodly branch of rosemary gilded very fair, hung about with silken ribbons of all colours;
next was a great noise of musicians that played all the way before her; after her came all
the chiefest maidens of the country, some bearing bride cakes, and some garlands of
wheat finely gilded, and so she passed into the church (Cressy 356).
Such tokens carried by the bride or her attendant were often present in the ceremony for good
luck or superstitious items to ward off the devil. The little wheat cakes carried by the bride’s
chosen maidens were broken over the bride's head to bestow good luck and fertility.
While Jack and his bride were married inside the church, traditionally weddings before
the Reformation began at the door or on the porch of the church. According to Cressy, the church
door “…was the point of entry where the sacred and secular domains intersected, an especially
appropriate place to inaugurate the spiritual and social conditions of holy matrimony” (336). The
current practice of being married at the altar of a church came after the Reformation with the
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desire for the couple to be at the spiritual heart of the church. However, much to the chagrin of
the church, a formal ceremony was not necessary for matrimony. Legally men and women could
be married if they exchanged vows in the present tense (de praesenti, “I marry you”) before a
witness, and they were legally betrothed/contracted if they exchanged vows in the future tense
(de futuri, “I will marry you”). If they exchanged de futuri vows and also had sexual intercourse,
they were legally married. But the ringing of the “banns” at the church made it all official in the
eyes of the community.
This change in marriage practices after the Reformation may reflect the need of King
Henry VIII to place himself at the center of all spiritual and secular matters within England and
take not only the title Defender of the Faith, but Supreme Head of the Church in England in
1534. This Tudor view of marriage followed religio-political doctrines based on a model of
marriage that mirrored the workings of the monarchy. The husband was king of his household;
the wife was his deputy and advisor. The children and servants were the common people. It was
hierarchical and inviolate. The purpose of marriage was to be “fruitful and multiply” and the
husband and wife were expected to provide “due benevolence” to each other. The stability of the
state rested on the stability of marriages throughout the commonwealth. The duties of husband
and wife were codified in marriage tracts and reinforced by homilies written by state officials
and preached from the pulpits every Sunday. The duties were considered equitable if not equal.
Marriage was the lynchpin of post-Reformation politics; everyone had to marry or risk
suspicions of being a Catholic, which was a treasonous offense.
At the heart of Reformation politics and marriage was Henry VIII himself. Unable to
produce a son with his wife Katherine of Aragon after almost twenty-five years of marriage,
Henry was persuaded by his advisors as well as his mistress Anne Boleyn to seek an annulment
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for his marriage with his constant and loyal queen. Although he and Katherine of Aragon had
obtained a special dispensation from the Pope to marry in 1509, Henry was seeking to annul their
marriage on the basis that he had broken the law laid down in the Bible “If there is a man who
takes his brother’s wife, it is abhorrent; he has uncovered his brother’s nakedness” (King James
Bible, Leviticus 3:20:21). At Henry’s behest, an ecclesiastical court was convened to try the
validity of the marriage. On the death of her first husband Prince Arthur, Katherine had sworn
that the marriage had never been consummated, leaving her free to marry; specifically, she was
free to marry Henry and retain the title Princess of Wales and future Queen of England.
The marital woes that triggered such a profound change throughout the English nation
were caused, as many things were in that period, by chance. With the infant mortality rate
showing that “2 per cent of babies born…died before the end of their first day of life…5 per cent
within a week, 8 or 9 per cent within a month, and 12 or 13 per cent within a year” (Cressy 117),
it had been a source of great comfort to the realm that Henry VII, having come to the throne
during the violent uprisings of the War of the Roses, had produced two sons, the coveted ‘heir
and a spare’. Arthur, the firstborn Prince of Wales, had been raised as a leader, a boy who would
be a man that recognized and fulfilled his destiny. The loveable Prince Henry, or Hal as he was
fondly called, seems to have experienced a great deal of amusement and enjoyment without
much to concern or vex him. When Katherine was brought to England to be Arthur’s bride, the
inner matchmaker in every English man and woman glowed with approval. Prince Henry gave
the princess away to Arthur after which “Prince Arthur and his bride made their vows in full
view of the crowds before proceeding into [St. Paul’s] Cathedral for the nuptial mass, which the
whole court attended” (Weir 33). The wedding was lavish as “marriage feasts at that time were
occasions for hilarity and bawdiness…Arthur was feeling ‘lusty and amorous’ and was anxious
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to be alone with his pretty wife” (Weir 33). Katherine and Arthur were then put to bed by the
court. A special drink called ‘posset’ was given to the young couple for courage, and to loosen
them up so that they could perform their sacred duty to their country.
The Oxford English Dictionary describes posset as “a drink made from hot milk curdled
with ale, wine, or other liquor, flavoured with sugar, herbs, spices, etc., and often drunk for
medicinal purposes” and it signaled to wedding guests that while all official ceremony may be
over, the most important union was soon to occur. After retiring from the revels, the couple were
“undressed by their attendants, then brought to the nuptial chamber where they sat side by side in
the great tester bed whilst the Archbishop of Canterbury and the Bishop of London blessed the
bed and prayed that their union might be fruitful” (Weir 33). These events, some twenty odd
years into the future, would come back to haunt Katherine. What loomed large before her was
the question of the physical consummation of her first marriage to Prince Arthur. Had they
indeed fully coupled, a great sin would have been committed in the eyes of the Catholic Church
concerning her subsequent marriage to Henry. While in Leviticus the Bible forbids a man to
marry his brother’s wife, citing childlessness as their punishment, after their marriage Henry and
Katherine were certainly far from infertile. From the first months of newly wedding bliss until
the bitterness of their contentious divorce, Katherine was pregnant no less than four times. She
had in fact given birth to a son and heir, named Henry after his father, in January 1511 whose
birth was feted with jousts and great tournaments. His death a few weeks later in February
plunged the royal family and the nation into mourning, but infant death was understood in the
Tudor period in ways that people of the 21st century cannot comprehend. As the data shows,
infant death was a constant occurrence and, though the prince was dead, the royal couple could
certainly produce another. Both Katherine and Henry were beautiful, young, and fertile; thus
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another heir and the necessary ‘spares’ would follow. After some time when they failed to
materialize, the petulant Henry needed someone to blame, and his patient princess would be the
first in an ever increasing queue of targets to feel his wrath.
If one were to go digging through English archives, or perhaps even those of the Vatican,
a transcript of Henry’s trials and petitions for divorce would most likely surface. In the Tudor
period these trials, once made public, were quite unpopular as the people of England loved and
revered Katherine, some citizens having known her as the only queen all their lives. She had
inspired and led the English army to victory at the Battle of Flodden in 1513 when Henry was
away in France, subsequently removing the threat of constant war with the Scots in the north.
Despite judgment from the Pope himself that the marriage “always hath and still doth stand firm
and canonical, and the issue preceding standeth lawful and legitimate” (Weir 267), Henry had his
way and Katherine was banished. She died forgotten and forsaken in a castle in the English
fenlands with her best wishes for Henry traced in a letter (Weir 296-297). William Shakespeare’s
Henry VIII, written some years after the demise of the Tudor dynasty, looks back on these events
and attempts to recreate them for an audience in a stylishly intense and dramatic way indicative
of Shakespeare’s brilliance for bringing words to life.
Henry VIII is directly based on those events that destroyed the hopes of a princess to
please those of a mere girl. The reader must ask, why did Shakespeare take so long to create a
play based on some of the most tumultuous events England had ever experienced since the
Norman Conquest? Scholar Russ McDonald begins to unravel the mystery, writing
“…Shakespeare’s history plays were to some extent dramatic experiments, narrative plays whose
dramatic kind and emotional impact, positive or negative, depended somewhat on the historical
episode being staged” (McDonald 90). Shakespeare very cleverly delayed writing the play until
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ten years after the death of England’s beloved Queen Elizabeth I, the sovereign daughter of the
bloated and tyrannical Henry VIII and his ‘bewitching’ second bride Anne Boleyn. Elizabeth
would have figuratively lost her head (and Shakespeare, literally) if such a play had ever come to
light. With Elizabeth safely dead and buried, Shakespeare could entertain her successor and
make a killing at the box office. In an ironic twist of fate, as Henry VIII burned the Catholic
church in England to the ground and built the Church of England from its ashes, the performance
of Shakespeare’s play Henry VIII burnt the original Globe Theater to the ground “because
wadding from the guns fired for Cardinal Wolsey’s ball in a performance on 29 June 1613 set
fire to the thatched roof and the theater burned to the ground” (Richmond 219). In the play, a
proud, regal queen is on her knees before her king and master, pleading for absolution and for
him to turn from thoughts of an unholy marriage back to their perceived domestic bliss. Both
reader and historian might wonder what such a majestic mother figure would say to the king’s
majesty to change his mind, and Shakespeare does not fail his audience, and has Katherine
deliver the poignant words:
Sir, I desire you do me right and justice;
And to bestow your pity on me; for
I am a most poor woman, and a stranger,
Born out of your dominions: having here
No judge indifferent, nor no more assurance
Of equal friendship and proceeding” (2.4.11-16).
It is sadly evident that Katherine is calling upon the love she and Henry once shared to spare her
the public and private misery of a divorce. She came to England as a foreign princess, as is
shown by the use of the word “stranger,” and now it is her very foreignness that works against
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her. The daughter of a passionately Catholic woman, Queen Isabella of Castile, Katherine does
not share in Henry’s fervent wish to release England from the bonds of Rome and the papacy. In
the play, when Katherine does learn there is a trial proceeding against her to test the validity of
her marriage, the Pope sends papal legates to come to her aid, and eventually declares their
marriage to be good and lawful in the eyes of God. Katherine’s belief that a dispensation
allowing her marriage to Henry when they were young adults should set the matter at naught, but
she naively misunderstands Henry’s zeal. As a woman forty-eight years of age, the time has
since passed for her to bear children, and her looks have begun to suffer. Historically six years
older than Henry, in later years they made a mismatched pair at state events, the king in his
prime saddled by a queen of no use to the dynasty.
Henry knew that it was not a problem for him to produce children, as he had at least one
bastard child, Henry Fitzroy whom he created Duke of Richmond and Somerset. The problem
therefore lay with the queen, and as Henry could no longer have sexual intercourse with her and
expect a favorable result, she was to be replaced. For a queen in the Tudor period it was of
course natural to assume her husband had been unfaithful, but never before had the power of
another woman been so great. In Shakespeare’s play Katherine is offended, and rightly so, as she
beseeches Henry to explain, “Alas, sir, / In what have I offended you? What cause/ Hath my
behavior given to your displeasure/ That thus you should proceed to put me off/ And take your
good grace from me?” (2.4.16-20). Shakespeare’s words for Katherine are gripping because she
is literally fighting for her life. When Katherine asks why she is to be “put off,” she truly
believes that if she can convince Henry of God’s compassion towards their marriage, Henry will
return to her with renewed feelings of love. She implores him, the court, and God to remember:
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Heaven witness,
I have been to you a true and humble wife...
Sir, call to mind
That I have been your wife in this obedience
Upward of twenty years, and have been blessed
With many children by you (2.4.20-35).
Shakespeare and Katherine both make it a necessity to mention the royal children Katherine and
Henry had produced, as they dispelled the idea put forth by the clergy that in marrying, Henry
and Katherine had violated the law in Leviticus that a man should never marry his brother’s wife
lest he be punished with infertility. This trial forces Henry and Katherine to relive some of the
most painful moments in their lives, from recognizing that they had only one living child, their
daughter Mary, and coming to terms with the fact that throughout the span of their twenty-four
year marriage, Katherine had given birth to only one son, Prince Henry. That the baby died fiftythree days later is no fault of either Katherine’s or Henry’s, but demonstrates that not even royal
couples were exempt from heartache. Had the boy lived, Katherine would certainly not have
been brought to trial; Henry would have been content with his mistresses.
With no hope of a son from Katherine, the only way to get a legitimate heir to the throne
was to make one with a new, fertile wife. Henry had his heart set on the mysterious and fiercely
anti-Rome Anne Boleyn, who with all the grace and charm of a practiced courtier, promised
Henry the son he most desired, if only he could rid himself of Katherine, his devoted Catholic
wife. Shakespeare is able to pass judgment on Henry through the words he gives to his wife. To
publicly air the business of the crown as he did was scandalous, and seemingly done so that
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Henry could replace a beloved queen with a commoner. The religious views of Shakespeare
himself are unclear, but in Katherine’s condemnation of Henry’s Protestant ideas of divorce,
Shakespeare may be using her as a surrogate for his own opinions on the Reformation. Katherine
reminds Henry of what is due to her as a princess of one of the most powerful Catholic nations in
the world, a nation that could inflict considerable damage on isolated England, should the queen
be disgraced unlawfully. Katherine (or perhaps Shakespeare) reminds Henry and the audience
that his Catholic father, King Henry VII, would never have endangered the nation in such a way:
The king your father was reputed for
A prince most prudent, of an excellent
And unmatched wit and judgment. Ferdinand,
My father, King of Spain, was reckoned one
The wisest prince that there had reigned by many
A year before. It is not to be questioned
That they had gathered a wise council to them
Of every realm, that did debate this business,
Who deemed our marriage lawful (2.4.43-51).
In publicly shaming Henry, Shakespeare paints an interesting picture for his audience. An august
and aging queen begging her husband for mercy before all the pomp and circumstance of a court
that would be glad to see her fall is intolerable to imagine, but may be the best chance the queen
has of carrying her point. Though a monarch, the character of Katherine is wise enough to appeal
to the chivalry in Henry that once prompted him to wear her favors in the joust and style himself
her ‘Sir Loyal Heart’. To shame him and flatter him by turn, Katherine may have succeeded in
forcing Henry to, as Shakespeare writes, “spare me, till I may/ Be by my friends in Spain
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advised, whose counsel/ I will implore. If not, i' th’ name of God, / Your pleasure be fulfilled!”
(2.4.51-55). Unfortunately for Katherine, the iron and tyrannical will of the king was set on her
removal.
The end of the marriage and with it over two decades of relative peace and prosperity
would prove to be a fatal blow for England. Not since the Norman Conquest of 1066 had
England seen the widespread and all-consuming change it faced in the years after the divorce of
Henry VIII and Katherine of Aragon. Yet Katherine fought until the bitter, painful end. One can
only wonder why she was so obstinate in opposing the will of the king. As the daughter of Queen
Isabella and King Ferdinand, Katherine was raised from the cradle as a dutiful woman and
Christian warrior. From a very early age she had been betrothed to Henry’s older brother Arthur
and saw England as her destiny, which imbued her with a sense of pride that perhaps only those
born royal can achieve. No matter what man was by her side, Katherine believed she was Queen
of England, and carried that belief to her grave.
Katherine’s replacement, Anne Boleyn, stands out as one of Henry VIII’s best known
wives because she is the most controversial. Her hypnotic and romantic hold on Henry, along
with his long denied desire of having a son to inherit his crown, forced him to take both secular
and religious law solely into his own hands: he broke from the Catholic Church. This was an
advantage felt keenly by Anne Boleyn’s family, as the king’s goodwill often made the fortunes
of many of their relatives and friends. When Henry VIII married Katherine of Aragon, England
and Spain were brought into an unbreakable alliance that would defend them against the despised
French. These advantages acquired by marriage could also be used as weapons against the queen
when Henry was displeased. When King Francis I of France’s army was all but obliterated at the
Battle of Pavia in 1525 and Francis himself was captured by Katherine’s nephew, the Holy
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Roman Emperor Charles V of Spain, Henry VIII believed they would enter France as victors and
take their pick of the spoils. Henry planned to be crowned King of France, but was soon double
crossed when Charles V allowed Francis to be ransomed back to his countrymen. When Henry
VIII finally cast Katherine aside for Anne Boleyn, he did so only after creating her father Earl of
Wiltshire and Ormond and her brother George Viscount Rochford, titles which would be passed
down through the male line for eternity. It is a testament to the iron will of Anne Boleyn that she
too was given a title and lands from the generous king. She was created Marquess of Pembroke,
the first hereditary peerage title ever granted to a woman, on September 1, 1532.
Anne Boleyn encouraged the repudiation of Catholic laws that housed the very sanctity
and security of marriage and with Henry’s break from the Catholic Church and the Pope, Anne
Boleyn helped endanger the fate of every woman who ever thought she would remain with her
husband until death. In addition to the upheaval within the church, this break with the Prince of
Rome encouraged Henry VIII to submit to his more tyrannical urges. While divorces, though
very uncommon, did happen, a Catholic woman had the security of knowing that under religious
law her husband could not cast her off. She would not see her rightful place given to a brighter,
younger, prettier thing that would yank her hard won privileges out from under her. Although
she helped Henry realize his potential as an absolute ruling monarch, Anne Boleyn was not safe
from Henry’s jealous and paranoid musings. As Anne and Henry’s marriage became increasingly
volatile and the promised son never appeared, Henry began to yearn for yet another wife. Anne
was thrown into the Tower of London and charged with seducing him with witchcraft, and with
adultery, high treason, and incest with her brother George, Viscount Rochford. She was
sentenced to beheading and executed on Tower Green on May 19th 1536, with a sword specially
dispatched from France for a quick, dignified death. The Protestant upstart Anne Boleyn had
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pretensions to the throne that many say she did not deserve. The idea of marriage to a king was
only a dream to most, but Anne Boleyn’s single-minded ambition to catch and keep the king’s
affection is something that is to be admired, despite the cost for both herself and for England.
Ten days after her death, Henry married Jane Seymour, to whom he became engaged the day
after Anne’s death. Jane Seymour’s brother Edward was made a Knight of the Garter, a personal
and exclusive honor from the king, and after the king’s death was for a short time regent to
Henry and Jane’s son, King Edward VI.
In The Taming of the Shrew, Shakespeare stages for his audience the ideal submissive
and shrewish women, juxtaposing them as a Tudor historian might do with Anne Boleyn and
Jane Seymour. While not an allegory of the Tudor court, the play presents interesting parallels
between the characters and the historical figures in the wake of the precedents set by Henry’s
courtships and marriages. As in the Tudor world, marriage is the answer in Shakespeare’s plays
to both protect the obedient woman and ‘break’ the shrew with the harness of marriage. The
oldest daughter of the merchant Baptista, Katherine, or Kate, as she is nicknamed, is a practical
thinker and schemer like Anne Boleyn. She knows her mind and keeps a wise counsel with
herself, making her unfit for any man except one that can match her wit and talents. She is
censured and labeled a shrew as a mark of her disobedience. From the start of the play, it seems
as if this condemnation by the town of Padua has enveloped and disturbed Kate to the point
where she will physically strike anyone who angers her. In act two, scene one of the play, we
find Kate chasing her sister Bianca around the house with Bianca’s hands tied. She cries to
Bianca, “Of all thy suitors, here I charge thee, tell whom thou lov’st best. See thou dissemble
not” (II.I.8-9). When Bianca tries to find the deeper meaning to her sister’s accusations, perhaps
jealously or self-loathing, she is struck across the face for her trouble. Here enters their father,
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and the reader finds some insight to the inner workings of the mind of Katherine. Anne Boleyn,
like Katherine ran a tight ship when she became Henry VIII’s queen. With a superior and
controlling attitude much like Kate’s, Anne’s ladies were required to be good and virtuous, and
Jane Seymour took an early lead as one of the most transparently kind and gracious among the
new queen’s ladies in waiting, sickly sweet like the docile Bianca.
In the play, it is clear that Signor Baptista favors his youngest daughter. The fact that he
establishes a decree that his lovely little daughter cannot marry before his shrewish, foultempered one is evidence enough that Baptista wants to keep Bianca around for as long as
possible. Of the two, Katherine is definitely the more modern woman, but Bianca is more
desirable. When Petruchio enters into her life, Katherine views him as the enemy. She is no fool,
and she knows that she is to be married off to whoever her father can get for her, in this case the
only man her father can get for her. Historically, the case was the same for both Anne Boleyn
and Jane Seymour. Despite being wealthy women from aristocratic families, they had absolutely
no personal rights either with regard to their futures or to their choice of men who would inhabit
those futures. Despite Kate’s obvious exasperation and unwillingness to speak to Petruchio in the
beginnings of their courtship, there is a sexual chemistry present that is quite modern in its
origins. Unlike the fluid poetry and elegant graces of courtiers in the Middle Ages, Petruchio’s
wooing speech becomes a bawdy romp suitable for nothing but the gutter. Kate warns Petruchio
to beware her wasp’s sting which he thinks resides in the tail of the wasp. Kate corrects him by
saying that the sting actually resides in the tongue. When Petruchio finally asks whose tongue
she refers to, Kate tells him that it is “Yours, if you talk of tales, and so farewell” (II.I.220).
Petruchio then shocks the virgin shrew by exclaiming, “What, with my tongue in your tail? Nay,
come again, good Kate, I am a gentleman” (II.I.221-222).
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Caught in a naughty innuendo about her genitals twisted from the words of her very own
mouth, Kate strikes Petruchio. Her behavior, quite unlike what was demanded of a woman from
her time and class, seems to amuse rather than enrage Petruchio. Anne Boleyn was volatile just
like Kate when she and Henry engaged in their illicit seven year courtship, allegedly refusing to
have sex with Henry until she was a married woman to preserve her reputation. Anne’s fiery
spirit and temper seems to have been enough to keep Henry intrigued and besotted enough
without resorting to amusements of a more sexual nature. Petruchio is thus set in his task, as he
tells Kate, “Thus in plain terms. Your father hath consented that you shall be my wife, you
dowry ‘greed upon, and will you, nill you, I will marry you…For I am he am born to tame you
Kate, and bring you from a wild Kate to a Kate conformable as other household Kates” (II.I.270279). At last finding her match in a man, Kate lets Petruchio set women back one hundred years
as he seems to tame her wild spirit. He starves her and deprives her of sleep so that he may be
able to mold her into a proper wife of her station. While in the 21st century two people may be
allowed to marry for love, much of the ritual of marriage has been replaced by the great pomp
and spectacle of “platinum weddings.” The progression of courtship, weddings, and married life
are rites that have taken place for thousands of years. This progression has shifted from the
gaining of wealth, land, and status to that of finding comfort, love, and happiness, something that
never would have occurred to Anne Boleyn or any other aristocratic woman.
In contrast, no such methods would be needed to tame the heart of Kate’s mild, sweet
sister Bianca. The foil of her sister, Bianca is a model of compliant femininity. She is a romantic
dreamer who is content to live life within the safe, closed walls of her father’s home. Like
Bianca, Jane Seymour was a provider to her family at their country seat of Wulf Hall, content
only to roam the gardens and rooms of the hall. Jane and Bianca both have no trouble allowing
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men to influence their lives. As Lucentio informs Bianca secretly during a Latin lesson, “”Hic
ibat,” as I told you before; “Simois” I am Lucentio; “hic est,” son unto Vincentio of Pisa; “Sigeia
tellus,” disguised thus to get your love” (III.I.31-33). Unlike her realistic and sensible sister,
Bianca lets this man lead her all the way to the altar, without so much as mentioning it to her
father. Bianca is foolish for acting on her romantic ideals, and she is quite lucky that Lucentio
believes, “At last, though long, our jarring notes agree, and time it is, when raging war is done,
smile at scrapes and perils overblown” (V.II.1-3). Within this pair of sisters Shakespeare gives us
a representation of the two different roads marriage can take, embodying the two queens whose
courtship experiences with the same man were so markedly different. Katherine and Petruchio
chose to be realistic, logical thinkers who would not allow their thoughts or opinions to be
overshadowed by anyone. In fact, each would defend their notions fiercely, right or wrong,
simply because they were theirs. In the case of Bianca and Lucentio both are content to
idealistically live back in the days when knights in shining armor saved demure damsels from
distress. From deep reading of both Henry VIII and The Taming of the Shrew, it can be said that
Shakespeare thought the past was best left in the past, and looked forward towards a new future
that would be brighter than anything that had come before.
As Henry’s tyranny and matrimonial conquests progressed, many of the aristocratic
families had queen-making down to a system. According to Alison Weir in The Six Wives of
Henry VIII, Catherine Howard, Henry VIII’s fifth wife was brought to court by her family “with
detailed instructions as to how to attract the King’s attention” (413). A cousin of Anne Boleyn
through the maternal line, Catherine’s elevation to throne demonstrates just how fickle Henry
VIII’s nature could be. The Boleyn and Howard families were shamed immediately following
the conviction and death of Anne and her brother George, the only son and heir. The father
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Thomas died just three years after their deaths, while the second sister Mary Boleyn remained in
a kind of self-exile for the rest of her days. The head of both the Boleyn and Howard families,
Thomas Howard, Duke of Norfolk, was instrumental in placing both Anne and Mary Boleyn in
the king’s bed, and his failures did not stop him from trying a final time to place a Howard queen
on the throne. After being disappointed time and time again in his marriages and statecraft,
Henry’s health was slowly deteriorating at forty-nine, while Catherine was entering the prime of
her life at a scant fifteen or sixteen years old when she married the king in 1540. Desperate to
prove to himself and the court that in his declining years he was still attractive to young women,
Henry singled Catherine out, showering her with “substantial grants of lands confiscated from
convicted criminals” (Weir 416). While most girls plotted with surprising tenacity to secure a
life partner, Catherine Howard was plotting not just for a husband, but for a throne as well.
Marrying Henry would place her on the throne of England, something the Howard family had
achieved once before with the king’s marriage to her cousin Anne Boleyn.
Catherine Howard had grown up under the lax eye of her step-grandmother Agnes Tilney,
Dowager Duchess of Norfolk and her romantic entanglements within that household would seal
her fate as another wife of Henry’s to meet the axe. Common in aristocratic houses of that time,
the young maids of honor in the Duchess’ house would all sleep together in a communal
bedroom. Many years later when Catherine was under scrutiny for treason as an adulterous
queen, former roommates and women who had known the young Catherine came forward to say
they had witnessed Catherine Howard participating in sexual acts with Francis Dereham, a young
man in the employ of her step-grandmother, which was corroborated with a love letter to
Dereham from Catherine’s herself (The National Archives). The explosive news
that they had possibly pledged themselves as husband and wife was also discovered, making her
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marriage to Henry VIII invalid. As the great saying goes, “The Lord giveth and the Lord taketh
away” and in England in 1542, Henry VIII the most sovereign lord and master, was eager to
snatch away the throne Catherine had so deviously taken from him. The possibility that
Catherine and Francis had both pledged themselves and consummated the union was a common
theme in many popular plays of the time, most famously in Shakespeare’s Measure for Measure.
In this problem play by Shakespeare, it seems that every character stands to lose
something that is dear to them, just as Catherine Howard was primed to lose her throne (and her
head), just barely worn in. Like Juliet, Claudio’s contracted wife in Measure for Measure,
Catherine Howard is fast becoming aware that she, and each character in Measure for Measure,
loses something, not always to be regained. It is intriguing that not only loss but sacrifice are
distinct events in Henry VIII’s England, and the distinction that Shakespeare seems to make is
found between self-sacrifice and the sacrifice of self. Claudio’s lover and de futuri wife Juliet is
one of the first to make a sacrifice in the form of her imprisoned lord. She is condemned to the
contempt of her countrymen because she, “falling in the flaws of her own youth, /Hath blistered
her report” (2.3.11-12). Already Juliet’s honor and good standing have been sacrificed, and she
now must sacrifice Claudio, her beloved husband but also the agent of her destruction. Catherine
Howard’s husband was also the means of her downfall, but whether the blame lies with Henry
VIII or Francis Dereham must forever be debated.
Though Claudio seems intent on the fact that Juliet was pre-contracted to him, “upon a
true contract…she is fast my wife” (1.2.118-120) but beyond their two selves a more uncertain
view of their union is to be found. Claudio explains in his hasty entreaty to Lucio that “We do
the denunciation lack/ Of outward order…for propagation of a dower/ Remaining in the coffer of
her friends, /From whom we thought to hide our love/ Till time had made them for us” (1.3.121-
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126). Juliet’s family and friends object to the marriage, making it impossible for them to wed, as
they would have no way to live without a dowry from Juliet’s family. The immediate questions
then become: What does Claudio have to hide? Why would Juliet’s family object to her joining
with Claudio? His camaraderie with Lucio may lead to reader to the conclusion that Claudio like
Lucio is a frequent visitor to the bawdyhouses. Like Claudio, Catherine Howard had a checkered
past, and wished to forget all and forge ahead as queen of a nation, but her secret was eventually
drawn out.
As if a reflection of Catherine Howard before Thomas Cranmer, the Archbishop of
Canterbury who along with Henry VIII would decide her fate, the Duke in the play inquires of
Juliet “Repent you, fair one, of the sin you carry?” (2.3.19) and the meaning of this question
intrigues the reader. Does the Duke simply wonder whether Juliet is ashamed of her sexual acts
before marriage? Or does he literally mean the sin she carries, Claudio’s unborn child? She
herself is forgiven for the acts committed, but further sacrifices will be made by her child, who
will carry the stigma of illegitimacy if Claudio’s life is not spared. As it stands in act two,
Claudio will be beheaded although both he and Juliet entered into their contract with good faith.
Juliet will be left “neither maid, nor widow, nor wife” (5.1.183), a punishment much threatened
in the play but never met with by any character. Both Juliet and Catherine are to be pitied, since
they sacrificed their virginity under what they thought was the safety of the ancient law, and
instead that law, to push the parallel, will now sacrifice Juliet and Katherine’s promised
husbands and perhaps themselves.
When the Duke’s tricks and schemes have finally worked their magic and insured
Claudio’s release from prison, there is no loving reunion between man and de futuri wife. They
are overshadowed by the Duke’s (most likely) unwelcome advances towards his object Isabella.
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The Duke bids them only, “She, Claudio, that you wronged, look you restore” (5.1.523), which
the reader must take to mean marriage; the only way to honorably solve their predicament. The
ending of the play is extremely unsatisfactory, and Juliet is dealt the worst hand out of the
characters. The Duke gets to play around in disguise, Isabella does not have to sacrifice her body
and immortal soul, Angelo the “virgin-violator” (5.1.43) is punished with only a marriage, and
Claudio cools his heels in jail and let others work to free him. Juliet loses her good name, her
husband, all sense of future security, not to mention her figure. Grievous wrongs are done to her,
and she deserved more reward than she received for not only her patience but her perseverance.
The same could be said of Catherine Howard, a pathetic girl not yet out of her teens when she
was put to death. Measure for Measure is not a metaphor for the trials of Catherine Howard, but
it cannot be denied that both she and Juliet face heartache in consequence for their rash
decisions. Catherine’s youthful flagrance of the established rules and hierarchies may have
caught the eye of the king, but when the executioner’s axe caught her around the neck it is
possible she wished she had not been so carefree.
Popular fiction of the 21st century takes a more romantic view of these Tudor unions,
whether they are between friendly countries or warring English aristocratic families. Famed
Tudor historical writer Philippa Gregory hypothesizes for her readers (very convincingly) that
Katherine of Aragon and her first husband Prince Arthur fell deeply in love upon their marriage,
and together planned a glorious future for England in which they would rule side by side, sharing
the work and the glory. For Gregory, imagining the royal pair as blissfully wed, the much
debated marriage had been consummated, but in secret. In The Constant Princess when Arthur is
upon his deathbed he orders his bride to keep the consummation an eternal secret, so that
Katherine may marry his brother and have the heirs they never would. In this narrative, Arthur’s
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plans and hopes for his country fall to his sixteen year old wife, unsure of her own future in a new
place. This fictionalization is heartrending; an unlikely course of events popularized by a
historical fiction author writing for an audience clamoring for tales of Tudor romance and
intrigue. No matter what Katherine’s real or fictional motives might have been in denying the
consummation of her marriage to Arthur, she nonetheless set a series of events into motion that
concluded with a golden age of English history, spearheaded not by a son of Rome, but the
Protestant daughter of England, Elizabeth I. That William Shakespeare chose to reimagine and
immortalize Queen Katherine and King Henry’s struggle in his plays demonstrates to readers just
how deeply marriage affected not only the king, but his country as well. A bride’s family, dowry,
and political connections all had a profound effect on her adopted state. Should a marriage
succeed, the populace was assured health, wealth, and protection from their enemies. If the
marriage should fail, the state too would fail. The Tudor monarchs of England revolutionized the
way the state was run, by holding not only political but religious power as well. England became
a vast empire, continuing well into the 21st century and impacting the way the world and ideas on
love and marriage evolved. Disease, war, and revolution almost destroyed the Tudor dynasty at
its very beginning, but the rose which carried their name continued to blossom until the very end.
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Works Cited
Cressy, David. Birth, Marriage, and Death: Ritual, Religion, and the Life-cycle in Tudor and
Stuart England. Oxford: Oxford UP, 1997. Print.
Daybell, James. Women Letter-writers in Tudor England. Oxford: Oxford UP, 2006. Print.
Leviticus. The King James Bible. Oxford: Oxford UP, 2008. Print.
Gregory, Philippa. The Constant Princess. New York: Simon & Schuster, 2005. Print.
Howard, Catherine. "Letter from Catherine Howard to Thomas Culpeper, 1541." Letter to
Thomas Culpeper. 1541. The National Archives. The National Archives, United
Kingdom. Web. 12 Apr. 2012.
McDonald, Russ. The Bedford Companion to Shakespeare: An Introduction with Documents.
Boston: Bedford of St. Martin's, 1996. Print.
O'Hara, Diana. Courtship and Constraint Rethinking the Making of Marriage in Tudor England.
New York: Manchester UP, 2002. Print.
"Posset." Def. 1. The Oxford English Dictionary. Oxford English Dictionary. Web. 1 Apr. 2012.
Ray, Sid. "Honors Thesis Interview Questions." E-mail interview. 21 Apr. 2010.
Richmond, Hugh M. Shakespeare's Theatre: A Dictionary of His Stage Context. New York:
Continuum, 2004. Print.
Shakespeare, William. Measure for Measure: Texts and Contexts. Ed. Ivo Kamps and Karen
Raber. Boston: Bedford/St. Martins, 2004. Print.
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Shakespeare, William. The Life of King Henry the Eighth. Ed. Jonathan V. Crewe. New York:
Penguin, 2001. Print.
Shakespeare, William. The Taming of the Shrew. Ed. A.R. Braunmuller and Stephen Orgel. New
York, NY: Penguin, 2000. Print.
Weir, Alison. The Six Wives of Henry VIII. New York: Grove, 2000. Print.
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How Environmentalists and
Skeptics Can Discover the
Same Goals:
Making Eco-Friendly More
People-Friendly
Caroline Craig
BA, Environmental Studies
Minor: Politics
108
Contents
Page
I.
II.
III.
IV.
V.
VI.
VII.
VIII.
IX.
Abstract……………………………………………………………………………... 3
Introduction……………………………………………………………………..…… 4
Philosophical Pragmatism…………………………………………………………....7
Climate Change…………………………………………………………………….....8
Combat greenhouse gases……………………………………………………….. 9
Rebuild the economy………………………………………………………….. 15
Environmental Degradation………………………………………………………... 18
Involve all types of people……………………………………………………... 19
Creating Less Waste & Using Fewer Resources;
A “Less is More” Society…………………………………………………..….. 26
Overpopulation……………………………………………………………………. 31
Taking part in the discourse……………………………………………………. 32
The “right to life”………………………………………………………………. 35
Conclusion…………………………………………………………………………. 37
Empirical Data……………………………………………………………………….40
Survey questions as seen by those interviewed
James T
Woody H
Ines P
Monica C
DJ W
References.................................................................................................................. 51
109
Abstract
Oftentimes, environmental activists treat and pose issues with a sense of emergency.
Unfortunately, to a population who does not feel it has the energy to care, such panic has a
negative effect. Worse still is when people do not agree that there is a problem. The difference in
risk perception greatly divides environmentalists from regular Americans. On the one hand, it is
crucial for environmentalists to continue changing the political and economic paradigms.
However, policy-making and the development of solutions become greater hurdles when there is
a lack of support from the general public. The very nature of environmental problems bonds us
close to them and to each other. A sick environment means sick people. If that is the case, why is
there such disconnect and animosity between those who consider themselves activists and those
who do not? How do we overcome the politics in perception and prevent the severe political
polarity from affecting progress?
What do you think is the strongest reason people choose to not litter? Is it the sign that
threatens to fine them $100 for doing so? Is it that they religiously follow some sort of
environmental ethic? Or is it their childhood memory of Uncle Frank giving them a swift tap on
the head for tossing a candy wrapper on the ground? America is filled with both entrepreneurs
and idiots. But more importantly, it is filled with families and communities that foster
relationships that truly mean something. In this article I explore the subtle forms in which
environmental awareness already exists in these communities and better ways to tap into those
pro-environment sentiments. I hope that a better understanding of this can lead to improved
relations between active environmentalists and the greater American public.
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Introduction
Today’s dedicated environmentalists face myriad problems. First, there is the looming
issue of rising global temperatures. Another is the growing world population. Furthermore, there
is continued environmental degradation, everything from overfishing, deforestation, and soil
erosion to air and water pollution. People who identify themselves as part of the environmental
community largely see these problems as imminent and threatening. However, another problem
facing so-called environmentalists is the inability to reach out to certain individuals and
segments of the population resistant to some of their most basic ideas, such as the belief in
human-caused climate change and the need to protect wildlife habitats. Though it may be a
different type of problem from the others listed, it is still a significant one. If the modern
environmental movement does not gain a better ability to relate to the “everyday American,”
other movements, including the TEA Party, will continue to determine the dominant American
ideologies.
I once had a Starbucks cup that had written on it the
following: “The Way I See It #289: ‘So-called global
warming is just a secret ploy by wacko tree-huggers to
make America energy independent, clean our air and water,
improve the fuel efficiency of our vehicles, kick-start 21stcentury industries, and make our cities safer and more
livable. Don’t let them get away with it!’ – Chip Giller
Founder of Grist.org” (Photo credit: Weston Alan;
http://freeimagefinder.com/detail/1775406019.html). In
essence, as that catchy and marketable quote was trying to
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say: why must environmentalists always be portrayed as this group of idealists, “unrealists”
disconnected from normal Americans? Can we not see that many environmental initiatives are a
win-win for the average person? Some left-leaning environmentalists spend their time looking
for ways to incite a revolution while their foes look for reasons to defend pollution and
consumption. What I would like to demonstrate is the great deal of people that are being lost in
the middle; that there is common ground to be found if we are willing to cross the political
barbed wire that has surrounded us for so long.
In the political and social spheres of the United States, finding common ground has taken
a back seat to absolute conversion, denial, and ignorance. A result of the constant polarity is the
lack of solidarity between the average American and today’s environmentalists. However, this
paper seeks to identify more productive strategies: ways that we as a society can work towards
the same goals despite our different reasons. Although it is not a perfect solution for all of
today’s environmental ills, it is an attempt at discovering win-win situations for solving some
major problems. Environmentalists can work to improve such situations as climate change,
growing world population, and environmental degradation by identifying with the more
universally popular goals of creating employment, decreasing health care costs, alleviating
poverty, and reducing US dependence on foreign oil. Patterns of this common-ground strategy,
practical collaboration despite personal differences, can be seen emerging across the country.
Whether it comes from the White House or the community center, this openness to compromise
will do more than the current strategy of all-or-nothing.
Empirical data collected through five interviews will serve as examples of public
sentiment toward environmental issues. Though this pool of evidence is not large, I believe it
helps inform the statements made in this article. The surveys were collected in March of 2012.
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Those surveyed were: James T. (Catholic priest), Woody H. (high school math teacher), Monica
C. (first-year law student), and Ines P. (receptionist). These four are meant to demonstrate
“regular” Americans. In addition, DJ W., an environmental studies student, was surveyed to
serve as a contrast. Again, the pool is small but I believe it demonstrates the diversity of opinions
as well as many people’s general belief in the need for a healthy environment. The survey
questions were either taken from or inspired by the studies conducted by Willett Kempton, James
S. Boster, and Jennifer A. Hartley in their book, Environmental Values in American Culture
(1995, p. 248). The full surveys are available at the end of this article.
To clarify, references in this paper to “environmentalists” or the “modern environmental
movement” are meant to bring an idea of people who are believers in humanity’s impact on the
climate, who acknowledge that overpopulation problems are closely tied to environmental
problems, and who actively support limiting environmental degradation. By doing this I do not
mean to oversimplify the diversity of the environmental community or reference a specific
section in the “history of environmentalism.” In addition, when I use expressions such as/similar
to “regular Americans,” I am referring to people who do not actively consider themselves
environmentalists or do not necessarily fit in the above description. Again, it is not to say that
Americans are typically unaware or indifferent to environmental issues. It is important to convey
that a main point of this paper is to blur the perceived lines between “environmentalist” and
“regular Americans”; to suggest that combating systemic environmental issues will involve
getting regular Americans to understand that solutions to environmental problems are not by
nature anti-human. I only wish to save time in conveying those main points.
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Philosophical Pragmatism
My approach employs philosophical pragmatism. Pragmatism “takes moral pluralism
seriously and articulates a middle ground between a single monistic theory and an ‘anything
goes’ relativism” (DesJardines, 2006, p. 265). When applied to environmental issues,
pragmatism translates to solving problems without necessarily agreeing on why they should be
solved. This strategy is often used within the discussion of environmental ethics between the
theories of Deep Ecology, ecofeminism, the land ethic, biocentrism, and so on (DesJardines,
2006, p. 261). Now it must stretch farther. Pragmatism needs to be recognized by those who do
not feel that they are a part of any environmental movement. Likewise, the largely liberal
environmentalist community needs to have faith in the idea that it can come to some of the same
conclusions as conservative businessmen and Christian groups.
The most important step in pragmatism is identifying what different ethics, theories, or
strategies have in common (DesJardines, 2006, p. 267). This goes against the status quo of our
political system in which the differences between political ideologies are emphasized.
Nevertheless, both republicans and democrats are constantly saying the same things to their
constituents. For example, everyone claims to want to reduce dependence on foreign oil and
create employment. Currently, much of the American public is under the impression that our two
main political parties spend too much time claiming their way is the only way and not actually
accomplishing anything. This frustration makes the public more inclined to join movements like
the TEA Party. It was also made visible when Americans chose to vote Republicans back into
the House in the 2010 elections. Conversely, if frustration is channeled into pragmatic pluralist
movements such as the Coffee Party’s mission to create a “culture of informed people, and
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public events like Jon Stewart’s Rally to Restore Sanity in D.C., the hope is that political leaders
will take on a dialogue of cooperation and ditch the language of confrontation.
DesJardines (2006) writes that pragmatism emphasizes that knowledge is derived from
experience and “context-driven practical accounts of both truth and value.” Also known as
radical empiricism, pragmatism recognizes that a “world of experience is a world of diversity,
change, and pluralism” (p. 265). The simple idea is that experience powers knowledge. However,
it needs to be realized that those experiences can be different and changing. Currently, it appears
that political and economic leaders have forgotten that the world is not a fixed black and white,
but colorful and fluid. This being understood, certain common experiences can also bring us
together. When it comes to global issues, there are few “one size fits all” answers.
Areas that I will argue need the application of pragmatism include climate change,
overpopulation, and environmental degradation. I believe it is possible to pull together some of
the active environmentalists, businesses, local and federal governments, and religious groups of
the U.S. to solve these difficult problems. The very first step begins with the recognition of basic
identical goals that promote a healthier planet, sustainable economy, and a good quality of life
for humanity.
Climate Change
Climate change is the arguably today’s hot button environmental problem. There are
many reasons why people choose to believe in human-made climate change but seemingly just as
many reasons they do not. The issue has been labeled by some skeptics as merely caused by solar
cycles or just bad science entirely. Some even suggest it is the ultimate government maneuver to
take over the economy. Gallup polls reveal, “people’s perspectives on global warming are not a
function of their scientific background, but a function of their politics” (Gallup, “Politics Affects
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Americans' Views,” 2012). However, reverting back to Chip Griller’s coffee cup quote, one does
not need to believe in human-made climate change entirely to see that many of the measures
taken to address it could be beneficial to people and the environment.
For reference, the United States Environmental Protection Agency (EPA), as of April
2012, defines climate change as:
Any significant change in measures of climate (such as temperature, precipitation or
wind) lasting for an extended period (decades or longer). As through much of its history,
the Earth's climate is changing. Right now it is getting warmer. Most of the warming in
recent decades is very likely the result of human activities.
They cite the 2007 Intergovernmental Panel on Climate Change (IPCC) report in their reference
to the impact of human activities.
Combating Greenhouse Gases
To the environmental movement, decreasing the amount of greenhouse gas emissions is
one of the biggest challenges of the 21st century. Many today are saying that preparing for the
impacts of climate change is now equally as important, if not more important. Unfortunately,
people cannot begin to effectively address these challenges until they have completed step
number one: convincing government, businesses, and society that acting now will ultimately be
beneficial to humanity, and possibly even the economy.
As the rules of pragmatism go, it is important to first recognize commonalities before
attacking differences. Even climate change skeptics have advocated for a “no regrets” approach:
taking progressive action to limit emissions so long as it does not negatively affect the economy.
In 2003, The Heartland Institute, a conservative nonprofit organization promoting free-market
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solutions, released a list titled “Eight Reasons Global Warming is a Scam.” Even this list, written
by the formidable skeptic Joseph Blast, declares its support for the “no regrets” strategy:
“The alternative to demands for immediate action to ‘stop global warming’ is not to do
nothing. The best strategy is to invest in atmospheric research now and in reducing
emissions sometime in the future if the science becomes more compelling. In the
meantime, investments should be made to reduce emissions only when such investments
make economic sense in their own right” (Blast, 2003).
Similarly, John R. Christy, director of the Earth System Science Center, questions the lack of
debate in the media regarding global warming. In a 2007 summary to the Senate Commerce,
Science and Transportation Committee, Christy stressed the scientific uncertainty surrounding
climate. In doing so, however, he nonetheless cited other reasons to enact action on climate
change, such as energy security, economic resilience, and health:
There is no guarantee at all that specific energy politics designed to deal with climate
change will actually have the intended effect either in magnitude or sign. However,
energy policies which address other important issues mentioned above and which include
the emphatically desirable goal of affordable energy, and also reduce emissions, are
worth pursuing (as cited in Keilbach, 2009, p. 155).
These two examples address why businesses and governments should be concerned about
decreasing greenhouse gases. Still, they are not enough to speak to why the average American
should care. Worrying about the environment is one thing, but the best answers will be found in
more universally-appealing reasons. Two reasons, complimentary to the growing apprehension
of green house gases but not necessarily given, include the popular support for alternative energy
and reducing dependence on foreign oil.
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The Yale Project on Climate Change Communication and the George Mason University
Center for Climate Change Communication partnered in a study called “Global Warming’s Six
America’s.” It divides Americans’ views on climate change into six categories, depending on
their impressions of the urgency of the problem: alarmed, concerned, cautious, disengaged,
doubtful, and dismissive. The report concludes, “The Six Americas are not very different
demographically, but are dramatically different in their beliefs and actions, as well as their basic
values and political orientations” (“Six Americas,” 2011, p. 5). It is more interesting evidence
that environmental values are not based on scientific knowledge or education but on political
views.
First, the bad news. An April 2010 Gallup poll showed energy legislation, in comparison
to financial and immigration reform, as a low priority for democrats, republicans, and
independents (Gallup, “Priorities,” 2010). Next, a March 2009 Gallup Poll found that 39% of
Americans supported increasing federal funding for oil and gas (Gallup, “Energy” 2009). Worst
of all, a March 2010 survey revealed that concern for many environmental issues is at a 20-year
low, with climate change down 13% since 2007 (Gallup, “Concern,” 2010).
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Despite these findings, and many like them, all hope is not lost. The same March 2009
Gallup poll also found that 77% of Americans support increased government spending on
alternative energy sources. Likewise, the lack of concern for environmental issues found in the
March 2010 survey is deeply rooted in the common idea that environmental conditions in the US
are improving and that local, state, and federal governments are taking increased action in
solving these problems. Some of the most challenging environmental problems- climate change,
overpopulation, and overconsumption of resources- are less visible than a polluted lake, for
example, and not as easy to conceptualize. Another explanation lies in the greater anxiety around
economic issues, which often trump environmental concerns in times of economic uncertainty.
(Gallup, “Concern,” 2010). Nonetheless, despite the greater worry over economic issues,
specifically unemployment and the growing federal deficit, the environment is consistently seen
as a top national problem twenty-five years in the future (Gallup, “Top Problems,” 2010).
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Survey Question
#3: When people
try to protect the
environment, do
you sometimes
feel that other
things do not get
enough attention?
For example,
when people say
environmental
protection may
make people lose
jobs and may raise
the cost of living:
How would you
feel about those
kinds of things?
•James T: There is a balance that needs to be struck between protecting the
environment and protection of jobs. [There are] methods of for example
producing energy that create jobs and protect the environment. Also, there is
no need that increased fuel economy in autos should lead to a decline in
employm,eny. But there is no need also, that a fuel-efficient car such as a
"clean diesel" or hybrid should cost so much more than its conventional
counterpart.
•Woody H: Environmnental and fiscal issues often conflict. Nuclear energy is a
classic example. While economically sound, nuclear power can have a huge
influence on the planet's health, but it does lower overall energy costs and,
thus the costs to the average citizen, a tough choice to all of us.
•Ines P: Usually there is a give and take in all things. Hopefully there's a way to
protect and preserve the environment with minimal casualties to mankind.
•Monica C: Such as what? I believe the protection of the environment is
fundamental. I am not sure what other things would be neglected at the
detriment to protecting the environment.
•DJ W: I don't think that matters. (Why not?) Because our life should be more
important than a new system like economics.
Another reason Americans can unify in support to combat greenhouse gases is the
popular initiative to reduce dependence on foreign oil. It is important to not let this reasoning
simply be a means of backing the opening of additional oil reserves, onshore or offshore.
Reducing dependence on foreign oil should be a battle cry for supporting renewable energy and
vice versa. Citizens across the political spectrum, especially in a post-9/11 world, agree it should
be on the agenda. Reducing dependence on foreign oil can entail regulations for better vehicle
mileage, investments into public transportation, cutting back on waste, better planned cities, and
research and development of new technologies. Again, an emphasis on reducing import of fossil
fuels is best paired with education on lowering consumption and alternative energy.
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Survey Question #9: What
do you think is the
environmental issue of
greatest concern?
• Woody H: Without a doubt,
energy consumption.
It is undoubtedly evident that the American public’s concern for environmental issues is
highly impressionable. When gas prices rise, Americans’ support for more efficient cars grows.
When they fall back down, indifference returns. Before the BP oil spill in April 2010, Americans
had recently prioritized energy over the environment for the first time in the survey’s 10 year
history (Gallup, “Priorities” 2010). After the spill, interest in increasing environmental protection
was back on the table (Gallup, “Spill Alters Views,” 2010).
Creating a greener society is going take more than the usual suspects of liberal college
students, surfers, and hemp-wearing urbanites. People who do not identify themselves as
environmentalists need to find other reasons to care; to share common goals with the
environmental movement. Incorporating the challenges of managing one’s “household
economy,” especially energy costs, is one important way to bring discussion of environmental
issues to the dinner table. Secondly, making alternative energy a part of the discussion on global
and national security—pitching it from a conservative’s perspective—can also diversify the
conversation and those taking part in it.
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(Graph retrieved from: http://www.gallup.com/poll/153653/Americans-Worries-GlobalWarming-Slightly.aspx)
Rebuilding the Economy
In his book, The Green-Collar Economy: How One Solution Can Fix Our Two Biggest
Problems, Van Jones identifies the dual crisis of “radical socioeconomic inequality and rampant
environmental destruction” (Jones, 2008, p. 24). Radical socioeconomic inequality, long present
in the US, was highlighted as energy prices skyrocketed and the country entered a recession. As
everyone watched food prices grow higher and job opportunities grow only dimmer, the poorest,
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already disenfranchised portions of the population were hit hardest. This includes the urban poor,
people of color, and the poor of small towns and rural areas. Tell this population to care about
the environment, specifically the less visible problems of climate change and overpopulation,
and you’re not likely to get an energetically-positive response. However, people gather in
support of the TEA Party and vocal leaders, looking for any movement that flirts with having the
ability to change the status-quo. What if, instead, the environmental movement had the answers?
What if the environmental movement became more about thriftiness that Americans understand
and less identified with liberal spending? What if people realized that environmental regulation
is not just a job killer, but a job creator?
Got college loans, a pay cut, or diabetes from a cheap diet of chips and soda? Blame it all
on the economy (whether it is appropriate to or not). Ask an environmentalist how to fix the
economy and you will get a very interesting and diverse set of answers, everything from steadystate economics to anarchy. But how to do you talk to a regular person about the relationship
between the economy and the environment without alienating them (or yourself)? Politicians
have always known that the magic word is and always has been “jobs.” However, if we’re going
to solve this century’s problems, it is going to have to be “green-collar jobs.” Green jobs are a
very real concept. So much so that the US Department of Labor’s Bureau of Labor Statistics
(BLS) received funding beginning in fiscal year 2010 to study and gather data on them.
According to BLS, green jobs are either
A. jobs in businesses that produce goods or provide services that benefit the
environment or conserve natural resources or
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B. jobs in which workers’ duties involve making their establishment’s production
processes more environmentally friendly or use fewer natural resources (“The BLS
Green Jobs Definition,” para. 1).
If the technology is supported and realistic enough to create jobs, Americans will begin to take
an interest.
(Graph retrieved from: http://www.bls.gov/green/)
If the economy has hit rock-bottom, why not rebuild it greener? Solar panels and wind
turbines need to be made, so why not bring these industries to the urban areas lacking
manufacturing jobs for unskilled workers? They are also going to need installation and upkeep
and therefore, people with the training to do so. Green buildings need environmentally-minded
construction workers to get built and environmentally-conscious maintenance workers to remain
green. Green companies need environmental lawyers and eco-friendly administrations. A new
green economy is going to need inventors, engineers, manufacturers, transporters, marketers,
sales people, academics, scientists, and so on.
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Every politician promises to create and protect jobs for his or her constituents. In order to
make a greener economy more tangible, the government should continue to try to create
incentives for businesses and individuals. The American Recovery and Reinvestment Act of
2009, passed under President Obama and the 111th Congress, committed to, among many other
things, $4.3 billion in home energy credits for homeowners who make their homes more energyefficient, $4.5 billion to modernize the nation’s electrical grid and smart grid, $5 billion for
weatherizing modest-income homes, $500 million for training of green-collar workers, $300
million for energy efficient appliance rebates, and $250 million to increase energy efficiency in
low-income housing (“Provision of the Act,” para. 3). These are some of the investments that
bring the concept of a “greener” economy into regular conversation and do not include the
billions meant to go to other energy or environmental projects. These examples are ways in
which government is seeking to make environmentally-focused initiatives appealing to regular
Americans, most especially through cash savings connected with energy-efficiency. Although
savings are evident in many sustainable actions, there will be initial costs. I hope to address some
of these issues further in this article, finding reasons for “going green” to appeal to people, even
when it means paying more (Photo retrieved from: http://earthfirst.com/5-terrible-bushenvironmental-policies-we-hope-obama-fixes/).
Environmental Degradation
Environmental degradation
may have its worst effects on poor
and minority groups, but it is
something that affects everyone.
This all-encompassing and global
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nature is what makes environmental issues different from many others. Through environmental
degradation, we lose entire cultures and alter whole ecosystems. Despite this bad news, much of
the harm done to the environment today is, in one sense, caused by the choices we make. If one
believes still believes that humans are rational, it is not outrageous to believe that they are
capable of making the right choices for the environment when approached in an appealing way.
Making environmental consciousness a part of the American psyche, a part of what it means to
be a “patriot,” should be a tool to unite and not divide.
Involve All Types of People
The pivotal importance of taking environmentalism from a focus of liberals to something
that is identifiable to conservative types, from a “luxury” of the rich to an issue of the working
class, is crucial to the survival of this modern environmental movement.
Survey Question #17: [Have
you heard of the
greenhouse effect?] Do you
think something should be
done about this? If yes, who
should be involved?
Individuals, governments,
corporations?
• Monica C: Everyone should be involved.
However, I think government would be best
suited. Congress needs to enact more stringent
laws for individuals and corporations to follow in
order to better promote clean air and the like.
One fear is that the new green movement will take off without the consideration of the
poor and working-class. Van Jones (2008) contemplates, “As the new environmentalists move to
the front of the line in public discourse, only two questions remain: Whom will they take with
them? And whom will they leave behind (p. 52)?” He warns of the likelihood of an “ecoapartheid,” making clear distinction of class through one’s ability to take part in the luxury of
environmentalism.
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In that scenario, one side of town there would be ecological ‘haves,’ enjoying access to
healthy, morally upstanding green products and services. On the other side of town,
ecological ‘have-nots’ would be languishing in the smoke, fumes, toxic chemicals, and
illnesses of the old-pollution based economy (p. 53).
Environmental injustice is something that cannot be skimmed over. In working toward a green
society, we cannot allow environmental degradation to simply be hid in low-income areas.
As discussed earlier, the Department of Labor is expected to receive a total $500 million
for green-collar job training initiatives from the American Recovery and Reinvestment Act. One
recipient of this money is YouthBuild, a community development program that trains lowincome young people basic job skills, increasingly putting them to work building affordablegreen housing (“About YouthBuild,” para. 1). In April of 2009, US Secretary of Labor Hilda L.
Solis testified before the US Senate Health, Education, Labor, & Pensions (HELP) Committee on
the Department of Labor’s use of ARRA funds and the importance of green job training.
These grants will provide an infusion of workforce training funding that will help ensure
there is a qualified American workforce ready to meet the needs of our country's
expanding green industries… with the objective of effectively targeting the communities
most in need through our "green training" investments. The unemployment data show
that particular segments of the population — young people, people with disabilities,
African Americans and Hispanics — are facing unemployment rates in the double digits.
Green jobs provide an opportunity to rebuild our communities in a more equitable
manner (para. 10).
Those hardest hit by the economic recession and, often times, environmental degradation, should
be some of the first aided in economic recovery efforts. Acknowledging the disproportionate
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amount of injustice faced by low-income and minority groups and then providing more
opportunities to participate in the creation of the US’s greener society are ways the government
can protect against “eco-apartheid.”
So-called “eco-apartheid” also affects low-income families, and increasingly middleclass families, in the area of food and, consequently, health. Food prices are a significant part of
the household economy, and therefore a political issue. With the potential toll that the US
agribusiness industries are taking on the environment and the nation’s health, it may confirm that
spending extra money on food now can keep hospital bills lower in the future. It has always
proven difficult to convince people to act based on long-term benefits. The sad case is that the
growing-obesity epidemic is shedding a bright light on how we eat today. The benefits no longer
seem so far off when many people know of others, across all income levels, suffering from
diabetes and heart disease. Again, few actions were taken until the problems were directly in
front of our faces. People need to see that eating in a way that is beneficial to the environment
can also be beneficial to their health.
Unfortunately, many people feel that they do not have access to the options of ecofriendly food choices, such as local and organic. Ways in which communities are looking to
change this include the expansion of food stamp programs to farmers’ markets, such as with
NY’s wireless EBT program, better known as food stamps. Still, middle-class families may still
feel that they are unable to provide their families with healthy and responsible choices. As Lisa
Miller (2009) reminds us in her article “Divided We Eat,” in no other place are the markers of
social status greater. In her article, she asks a low-income diabetic man by the name of Jabir
Suluki about eating healthy on $75 a week: “To get good food, you really got to sacrifice a lot...
But I take that sacrifice, because it’s worth it.” He believes it is the “responsibility of parents to
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feed their children good food in moderate
portions, and that it’s possible to do so on a
fixed income” (p. 6). Of course, it cannot be
expected of everyone to have the same
revelations or determination as Suluki, but it is
a testament to Americans’ ability to make
sacrifices. Through better accessibility and education, healthy food can become less about
making a monetary “sacrifice” and more of a common sense choice. In 2010, a new TV show
debuted on ABC titled “Jamie Oliver’s Food Revolution.” During the shows first season, the
charismatic chef made his way to an area of West Virginia with a high obesity-related death rate.
He showed parents how to cook better for their families on a budget and educated children on
their fruits and vegetables. The fact that the show was available on basic cable made it accessible
to large portions of the population. The series had a reality-show thrill while also having a PBS
educational feel and the fun of the Food Network. Oliver’s visible struggles to change people’s
minds on the show actually put the discussion of fresh versus processed foods into the dinner
conversations of his audience. This is not a “revolution” for the environment but for health.
Fortunately, improving one often means improving the other. Even if the environmental impact
is secondary in people’s reasoning for eating local and organic, it does not negate the impact of
such choices (Photo: ABC Network).
Another looming issue in the modern environmental movement’s inability to identify
with regular Americans is the political polarity surrounding it. People ideologically on the right
largely identify environmental issues as part of the liberal agenda. In a bit of an ironic twist, it
seems that conservatives do not care much for conservation. The environmental movement
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would be making a mistake in allowing groups like the TEA Party, in which climate change
skepticism is a basic, to harness all the energy of America’s disenfranchised. As much of what I
have discussed so far in this paper deals with heavy government spending and support, it is no
wonder why people associate environmental issues with big government. However, there is
much more to it than that.
Contrary to my earlier statement, the
homepage for Republicans for Environmental
Protection (REP) quotes Russell Kirk as
saying “There is nothing more conservative than conservation.” Another page cites Ronald
Reagan: “Many laws protecting environmental quality have promoted liberty by securing
property against the destructive trespass of pollution.” A blog by the self-proclaimed “Green
Republican” simply says “Less is always more.” These examples disprove claims that
environmentalism is simply a liberal ideal. The facts are that issues involving pollution, wildlife
destruction, and climate change hurt us all, even if they hurt us for different reasons.
Take the National Rifle Associate (NRA), for example. Teaming up with such an
organization may very well deeply offend the vegans and gun-control advocates of the
environmental movement. However, if we are going to continue to advance an environmental
agenda, it is going to take some pretty unconventional ideas. The fact of the matter is that many
proud members of the NRA are also proud hunters. These are people who have a stake in
protecting the environment from ruin. Protecting a species’ natural habitat for its own right has
never been enough for many regular Americans. Whether you love the bear for its place in the
ecosystem or for its place on your kitchen table, you are still interested in protecting its habitat. If
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hunting is wisely regulated, it serves an important lobby for conservation. The NRA’s Institute
for Legislative Action (2007) states,
Hunters are the foremost conservationists in America. By preserving hunting we are
ensuring that hunters will continue to protect wildlife and the environment. Through
license fees, hunters pay for 75% of the budget of state wildlife agencies. Without hunters
there would be no agencies, and without the agencies wildlife would be unprotected.
While these statements are a bit bold, there is certainly underlying truths. Language like this
proves that hunters identify themselves as conservationists. If their numbers, energy, and desire
to continue their “sporting heritage” are also used against pollution and the many issues that lead
to environmental degradation, does it not seem right that the modern environmental movement
make an effort to include them in moving forward?
Many of the open-minded liberal people who have flocked to the environmental
movement seem to have bones to pick with the Christian right. Who can blame them when
someone like US Rep. John Shimkus of
Illinois (2010) claims that climate change is a
myth because God told Noah he would never
again destroy the Earth by flood? Additionally, some Christians believe that Christ’s second
coming will save believers from the Earth, whatever state it is in, to bring them to a better
afterlife. There is also a sense that humanity is cocky to think that it could have such
overwhelming effects on the Earth.
But the faith shared by many Americans, conservatives and liberals alike, should not be
feared or belittled. On the contrary, it is another example of an area in which the environmental
movement could stand to gain some ground. Vocal leaders like Shimkus make it easier for more
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progressive Christian movements to be ignored. Care for the preservation of the environment can
fit well into the Christian culture’s emphasis on care for other humans, for future generations,
and the importance of appreciating gifts from God. As Lynn White Jr. discusses in “The
Historical Roots of Our Ecological Crisis,” retelling the story of Creation in a way that stresses
stewardship rather than domination is one of the simplest things that can be done. Prominent
environmentalist Wendell Berry was also a lifelong Baptist. By reexamining Christian culture, it
is easy to see the importance of love, community, and simplicity, things that could very well go
hand-in-hand with environmental preservation. Some green groups include the faith-specific
Evangelical Environmental Network and the more general network of the National Religious
Partnership for the Environment who feature the verse 9:12 in Genesis that reads: “God said,
‘This is the sign of the covenant that I make between me and you and every living creature that is
with you, for all future generations.’” In 2008, the Vatican created a new list of 7 deadly sins,
including pollution and extreme wealth. The Catholic Climate Covenant takes the teachings of St
Francis and turns them into a pledge for people to take, connecting environmental stewardship
with caring for the world’s poor. Overlooking the potential of progressive Christian groups,
alienating them by associating their faith with ignorance, would be a huge mistake to make
(Photo retrieved from: http://catholicclimatecovenant.org/).
Survey
Question #5: • James T: The "relationship" of nature and humans should be
What should
one of "Stewardship." Nature is a gift that has been entrusted
the
to us by the Creator. Nature was present here, before each of
relationship
us was set upon this earth, and it will be here hopefully long
between
after our lives here upon this earth are through.
humans and
nature be? • Woody H: While I consider myself a religious person, I don't
link this as a religious issue, perhaps I should. I see this more
Do you have
as a responsibility issue, that we, as a human race, have a
a religious or
responsibility to take care of our planet.
spiritual basis
for that?
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In 2007, Nancy Jackson of the Climate and Energy Project came to conservative rural
Kansas with the goal of getting local communities involved in reducing fossil fuel use. Her work
would be covered in a 2010 article in The New York Times:
Invoking the notion of thrift, she set out to persuade towns to compete with one another
to become more energy-efficient. She worked with civic leaders to embrace green jobs as
a way of shoring up or rescuing their communities. And she spoke with local ministers
about “creation care,” the obligation of Christians to act as stewards of the world that
God gave them, even creating a sermon bank with talking points they could download.
Today, Seimens is building a wind turbine factory in the area, creating 400 jobs. The Climate
and Energy Project worked with the area to reduce energy consumption by an amazing 5%. Most
importantly, Ms. Jackson and the Project did it all without trying to convince the local people
that climate change was happening or that they should not hate Al Gore.
It is important to note that all religious groups are worth appealing to. Many of the major
religious groups actually do have a message on the relationship between nature and humanity,
whether it be that of stewardship like in the Judeo-Christian tradition, or an even closer
connection, such as the interconnectedness suggested in the teachings of Hinduism. This paper
focuses on Christian groups largely because of their powerful political- and often conservativevoices, as well as the author’s familiarity with the Catholic Church.
Creating Less Waste & Using Fewer Resources; a “Less is More” Society
Sometimes we need to have things right in front of our faces to take any notice. We need
to see it in our community in the form of jobs and in our households in the form of cheaper bills.
According to the Bureau of Labor Statistics, as of April 2012, the US unemployment rate is
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8.2%. If the effects of the Stimulus Bill fail to show up in our daily lives, especially in the realm
of green jobs, environmentalists should not expect any newcomers to their cause.
Every day, people are seeing everything from the marketing of green products to articles
on ways to cut energy costs. It is being made clear that energy efficiency saves money. Judging
from the headlines, the economic downturn is teaching us that experiences and relationships are
more important than material goods. In the Wall Street Journal’s “Seven Smart Money Moves
for the Holidays,” Brett Arends (2010) suggests giving experiences and cashless gifts instead of
“things.” It seems that Americans are almost growing proud of their incredible ability to be
thrifty and cut-out the needless things from their lives. A blog by Sarah Gilbert (2010) points out
that large numbers of Americans continue to bag their lunches and embrace a simpler lifestyle
overall, despite the supposed slowing of the economic downturn. At the same time, the
realization that our thriftiness also helps the environment is still only secondary. However
disparaging, this is an excellent example of accomplishing the same goal for different reasons.
Survey Question
#8: Would you
say you have
"environmental
values?" If yes,
would you
describe them?
Where do you
think you
learned those
values?
• Ines P: Yes. Doing my part to
reduce my footprint on the earth:
reduce, reuse, recycle. Parents
grew up in the depression, so they
started me on those values.
Growing up in the 60's added to it,
and just trying to be conscious of
how my actions affect my
surroundings.
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Right now, many envision environmentalists as left-leaning white middle-to-upper class
hippies, responsible for hurting the economy with their pushes for regulation and land
preservation. This does not need to be the case. Environmentalism needs a make-over to prove
that it is much more than simply stereotypes. Interestingly enough, thanks to this new “greenwave” in products and services, some of the movement’s once great foes are the ones giving it
that makeover. Many have probably noticed Wal-Mart’s new commercials, one about shortening
truck routes and all others featuring families using reusable tote bags. Scott Paper Company,
long criticized for the deforestation of old-growth forests, is marketing toilet paper rolls without
the cardboard tube. Pepsi Co. came out with a biodegradable bag for its Sun Chips brand. This is
not what many classic environmentalists consider a perfect start to a new green culture. This is
especially true when you consider Americans hated the loud sound of the Sun Chip bags so
much, that the company simply pulled the plug. Even Wal-Mart’s push to sell more organic
products may just make organic industrial.
(Photos retreived from: http://brotherpeacemaker.wordpress.com/2011/01/01/quick-notes201101/; http://www.geekscribe.com/2010/04/11/sun-chips-compostable-bag-too-noisy/;
http://www.usatoday.com/money/industries/environment/2010-10-27-1Atube27_ST_N.htm)
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There are many issues we are dealing with in the push to make eco-friendly more peoplefriendly. It is true that some people are proud to buy green products but it is even truer that they
will hesitate to buy anything more expensive than unsustainable competitors. In creating
accessibility, there seems to be a big risk of defeating the purpose. Americans are not actively
learning about what it really means to protect wildlife or reduce their footprint. However, one
might argue that the bombardment of green products and services is helping them passively
learn, bringing the discussion to the surface. The question now is how do we work out the kinks
while not cheapening environmentalism? Environmentalists need to make sure this new green
wave continues to roll and that this is not just some bubble trend that will burst. We stand now at
the beginning of what could potentially be a more environmentally-conscious culture. But how
do we accomplish this without selling out the environment? Green products, services, jobs, and
policies need to become the norm and not just the exception. It will also require that
overpopulation is addressed tactfully and respectfully, to be addressed later in the article.
While pursuing the ultimate goal of placing ecological and cultural values over monetary
values, there are many more strategies being suggested. A 2009 poll found that of people who
had made their homes more energy-efficient, 71% had done it to save money and only 29% had
done it to help the environment. This demonstrates the striking disparity between the reasons
Americans take action, though not completely discouraging.
In a blog written for climatecentral.org, David Ropeik (2010) discusses the “importance
of risk perception for effective climate change communication.” He nods to the idea that the
difficulty in moving forward on climate policy“is less a matter of figuring out solutions, and
more a matter of developing support from a public that either doesn’t believe human-induced
climate change is real, or doesn’t feel particularly threatened by it.” He asks how we can make it
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less unappealing to do more and to pay more to go green, focusing specifically on adaptation
rather than mitigation of climate change. He suggests that in communicating climate information,
we use the following guidelines: Make it local, and personal; Make it concrete, not abstract;
Make it now, not later; Point out the trade-offs between risks and benefits; Point out the
consequences of delay. Most importantly, keep information consistent with scientific evidence
and address issues on a case-by-case basis. In other words, be pragmatic. Ropeik writes,
There are a lot of reasons besides adapting to climate change why communities would
want to reduce energy use, reduce the impact of flooding, protect local residents from
extreme temperatures, and on and on. Unlike mitigation, which requires an acceptance
that human behavior is the problem and what needs to change, adaptation only requires
that we look at what is happening, and consider reasonable predictions of what is likely to
happen, and find ways to protect ourselves… move from battleground topics to areas
where you can find common ground. In all of this, trust is vital… It comes from sharing
control of decision making, and from listening and understanding as much as talking to
try to make yourself be understood.
• James T: Protecting the environment is important to me. I see so much
waste, especially in our consumer products and packaging. For example,
going to CVS, or the supermarket to purchase just one item, the clerk
Survey
inevitably will place that item in a plastic bag. Myself, I have ceased using
Question #2:
them, bet that bag, once the person is home, it will just be put in the trash.
Would you
•
Woody H: Absolutely yes, but I think people overestimate their role in what
say that
they can do to make that happen.
protecting
the
• Ines P: Yes, to preserve natural resources and to keep the earth habitable
environment
for future generations.
is important? • Monica C: It definitely is. Without a safe, well-kept environment, there
Why or why
would be no way to plan ecologically sensible communities. Even those
not?
solely concerned with industry have to recognize that their economic
incentives are futile without a properly functioning environment.
• DJ W: Yes. Life. The cradle of our lives and our future and past and present.
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Overpopulation
The issue of overpopulation is what makes every other environmental issue so dire. If
there were only one billion people in this world, it might be easier for everyone to guiltlessly live
an American lifestyle. However, in March 2012, the United Nations estimated that the global
population has surpassed seven billion people. This number is what makes environmental
degradation so prominent, especially considering that it is an increase of one billion since 2000
and more than double the global population in the 1950s. The Center for Environment and
Population published a report as part of a series on “US Population, Energy and Climate
Change” that concluded:
While the U.S. “population and climate change” connection is complex, it manifests itself
in two primary ways: first, population is related to the causes of climate change, mainly
through high per capita energy use and greenhouse gas emissions (the “carbon footprint”)
and; second, population factors can exacerbate climate change’s effects by placing more
pressures on the natural resource base at specific sites, for example, when there is high
population density and continued rapid growth in coastal, urban, suburban, or
ecologically vulnerable areas of the U.S. (“Introduction” p. 5).
The waste-absorption capacity of the Earth is a tremendous resource. Nonetheless, waste
absorption is not infinite. If we abuse the Earth by super-saturating it pollution, not only do we
see a build-up of waste, but the capacity for things like the air, soil, and water to take up our
pollution can become permanently damaged. It also raises a great deal of questions about how
we will live on a planet devastated by climate change. In a world of one billion, it might be
simple enough for people who lived on the coast to move inland and away from rising sea-levels.
Unfortunately today, populations are still flocking to the coasts, creating millions of potential
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victims. As with many other questions of environmental issues, it comes down to how we want
to live. Although some prominent environmentalists claim that there is not enough momentum
behind the concept of acting on behalf of future generations, there is still reason to believe that
people do imagine and hope that their great grandchildren will ideally be happy and have highstandards of living.
Population is an incredibly large and painful topic for society to swallow, politicians and
world leaders being no exception. Asking questions only brings accusations and no answers.
How do you tell a human being that he or she should not have any children, let alone must not
have any? Is there a way to suggest aiming for a smaller world while not raising comparison’s to
Ebenezer Scrooge’s infamous “decrease the surplus population” line? How do we discourage
people from having large families while also empowering them? Does America have a role in
taming the growing populations of developing countries? Until society speaks up on
overpopulation, the questions of sustainability remain up in the air.
Taking part in the discourse
There are several significant observations to make when starting this discussion. Firstly,
many often make the mistake of confusing the context within which overpopulation is or is not a
problem. While environmentalists and humanitarians may suggest that there are places in the
world that qualify as “overpopulated” or heading toward overpopulation, the context is that of
available resources, calculating per capita pollution, and quality of life issues. However, critics
largely say that the world is in fact “underpopulated” based exclusively on economic issues.
They cite countries like Japan and Italy in which there is a shortage of young people. This is a
problem when there are no young people to support the aging population, supply labor, pay the
government in the form of taxes, and provide new ideas and innovation. In addition, as discussed
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by Nicholas Eberstradt (2007), China’s one-child policy raised the “4-2-1 problem,” the issue
being that for every one young person, he or she must support two parents and four grandparents.
While these concerns are valid in their own right, they simply do not occur in the same context in
which environmentalists make their argument for overpopulation. They may be of the same coin,
but undoubtedly different sides.
Secondly, many other critics of the overpopulation argument claim that humanity’s
simple ability to innovate in times of crisis is enough to prevent problems from arising.
However, the fact of the matter is that there are resource shortages constantly occurring all over
the world. People do not have access to clean water, adequate health care, shelter, food,
education, respectable jobs. The issues of availability and accessibility are sometimes linked to
overpopulation and poverty. Poverty and overpopulation are themselves closely linked. For
many reasons, wealthier and more educated couples tend to have fewer children. Poverty and
population size can even be cyclical. For example, a low income family may need many children
to help support the family financially. But having the extra mouths to feed and bodies to clothe
and house may or may not even be worth the money brought in by the children. Yes, people are
creating solutions, improving access to resources, and rising out of poverty. Nonetheless, finding
ways in which to encourage, without coercion, smaller families may very well be innovation in
itself. Even those critics that suggest free market capitalism as the cure for overpopulation are
still acknowledging smaller families as a goal.
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(Graph retrieved from:
http://www.guardian.co.uk/news/datablog/2011/may/06/world-population-country-un)
Finally, it seems important to acknowledge that the causes for larger or smaller families
are not entirely clear-cut. It is true that wealthier nations have had an overall trend of fewer
children. This is credited to the idea that the wealthier a family is, the less they have to rely on a
child and the more they want to provide for each child, such as with education. But returning to
the word “trend,” we must not forget the cultural aspects. While the US Census Bureau
calculates that women with upper-middle-class households have an average of 1.8 children, in
comparison to women with the lowest incomes who average 2.3 children, it is estimated that the
households of Forbes’ 400 richest Americans average 2.88 children, as cited in Slate Magazine.
It has been argued that number of children is becoming a status symbol of the wealthiest
families. The ability to provide the best for the most is a sign of privilege. This adds something
beyond the political, health, and economic reasons for family size, though not necessarily in a
negative way. If it turns out that family size, at least in the United States, is based on cultural and
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social inputs, we may even stand a better chance of making small families, for lack of a better
word, trendy.
In the 1996 report from the President’s Council on Sustainable Development, the topic of
population and sustainability was introduced by the following statement:
Population growth, especially when coupled with current consumption patterns, affects
sustainability. A sustainable United States is one in where all Americans have access to
family planning and reproductive health services, women enjoy increased opportunities
for educations and employment, and responsible immigration policies are fairly
implemented and enforced. (p. 141)
The United States the third largest population in the world and incredible per capita waste and
resource usage. Changing resource usage and population size are not enough alone, but must be
combined. The facts remain that 60% of pregnancies in the United States are unintended and
83% of all teenagers giving birth come from families who live below the poverty line (p. 148).
By incorporating more holistic thinking, Americans can set an example of better family
planning. Much of the population growth in the US occurs through immigration, making it even
more important to set that example and make environmentalism part of the so-called American
way of life. By emphasizing the positives of better planned and smaller families- lower costs and
more opportunities- environmentalists can appeal to American families while avoiding
accusations of environmental racism or totalitarian thinking.
The “Right to Life”
Given that many other methods of reducing unintended pregnancies are generally well
known- better sex education, access to contraceptives, reducing peer pressure and preventing
sexual abuse, increasing male involvement, and so on- I would like to discuss something less
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publicized. In his book, The Greening of the Church, Irish Catholic missionary Sean McDonagh
(1990) asks what “pro-life” really means (p. 64).
Within the discussion of the carrying capacity of the earth, the pro-life argument needs to
be seen within the widest context of the fragility of the living world… Is it pro-life to
ignore the increase in population levels to such an extent that the living systems in
particular regions are becoming so impoverished that they will never recover? In setting
out to defend human life in a narrow anthropocentric context, we might be creating the
conditions that will, in fact, endanger all life on earth… The moral obligation to value
life… now appears to be translating into a moral obligation to live within the limits of the
natural world (p. 65).
McDonagh bases his arguments in his experience as a missionary in the Philippines. Just as in the
US, he sees the disproportionate amount of births taking place in the poorest and most
environmentally abused areas. As a Catholic, he sees this as a neglect of the sanctity of human
beings. The amount of people is growing exponentially while land surface stays the same. Of
course, it is more than just the numbers; it is the unequal distribution of wealth and resources and
the slow economic development of poor areas. However, he criticizes narrow anthropocentric
arguments of Church leaders that refuse to adapt with the times and culture. Interpreting “prolife” as a respect for all life on Earth is a moral obligation to future human beings and other
children of God. If this is the case, we must understand that encouraging family planning,
including the use of contraceptives, and encouraging smaller families preserves the sanctity of
that life.
Expanding the meaning of “pro-life” has long been used for other tactics, including as a
criticism of war. Developing the discussion to include the natural world is one way, at the very
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least, to add a new perspective to the population growth debate. At the very best, it is a way to
interpret the overpopulation issue in a way that many Christians in the United States could
understand and get behind. Until there is a breakthrough made, especially within the American
religious community, the arguments will continue to go in circles and abstinence education,
social stigma, and high birthrates will still trump better and more open discussions.
Survey
Question #20:
Do you feel
that the
growing human
population has
a potentially
negative or
positive effect
on the Earth?
• James T: The population increases are
primary in third world countries where
there is tremendous poverty.
Unfortunately, there are not sufficient
medical resources in these regions,
which leads to low mortality rates. Also,
there is not enough adequate clean
water and food supplies.
• DJ W: Terrible. We're going to eat
ourselves out of house and home.
Conclusion
These are the discussions we need to start having outside of the Park Slope, Brooklyn
apartments of married environmental lawyers and inside the homes of farmers and pastors. How
do we get regular people to feel that they have a stake in the health of the environment, in the
future? In some cases, it might involve attaching the idea that caring for the Earth is caring for a
gift from God. In other cases, economic and social benefits, from tax breaks to green fashion
trends, can help win some people over. We may simply never agree on one universal reason for
action. Luckily for us and the Earth, not everyone must agree to do something for the same
reason.
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There are many hurdles to jump and ground to tread lightly on. Concerned citizens must
actively work to prevent “green washing,” or the spread of misleading information, by people or
organizations with hidden agendas. However, if we make environmentally-conscious living the
norm and not just the exception, entities such as that only stand to make themselves look bad.
It is about trust. It is about using diverse and pragmatic tactics to be united. A person is still
reducing their fuel consumption, whether they do it to slow climate change or to decrease
dependence on foreign oil. In fact, if we are able to list several reasons for taking action,
criticisms and faults in individual reasons almost seem to matter less. I return to the quote on the
Starbucks cup: “So-called global warming is just a secret ploy by wacko tree-huggers to make
America energy independent, clean our air and water, improve the fuel efficiency of our
vehicles, kick-start 21st-century industries, and make our cities safer and more livable. Don’t let
them get away with it!” The same idea is being echoed everywhere, especially from my
generation, arguably a very open-minded generation. This is possibly due, not only because of
globalization, but the wealth of accessible information that allows us to peek outside of our own
social norms and create a more versatile green movement. Accomplishing environmental goals
can do much more than protect the natural world, and if it takes the acceptance of
anthropocentric reasoning or economic prosperity in some cases, environmentalists must be more
pragmatic. If not, we never stand a chance of the broader public hearing us out and we will
remain stuck on arguments that many people do not find convincing. While some
environmentalists can continue to seek to make dramatic shifts in social and economic systems,
there must be boots on the ground seeking to improve the unity that would allow those shifts to
happen. By nudging people like conservative Christians, republicans, and hunters to see why
they should not be afraid to think like environmentalists, we plant the seeds, no pun intended, for
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more holistic discussions. Fostering the human connections that already exist, we can allow these
discussions to spread through the close communities that are home to much of the American
population that currently feels so disconnected from the supposedly “elitist” or “hippie”
environmental movement.
This paper grew out of a frustration of the political and social polarity surrounding
environmental issues today and the dissatisfaction at how few people realize how much common
ground there really is. It is about harnessing patriotism and molding future Americans who will
take environmental concepts with them into practice as they become leaders, business people,
and parents. Here in the US, we need to find what makes people tick, on a case by case basis, and
apply these findings to environmental initiatives. We do not need to be deceptive to instill a
sense of empowerment in environmentalism. We cannot stop trying to get people involved, even
if it means constantly rethinking our strategies. We cannot stop pushing until we finally hear the
words: “Of course I care about the environment! I’m an American, aren’t I?”
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Empirical Data
Survey questions, as seen by those interviewed
Firstly, you should know that your answers can be anonymous in my paper. If you would like to
choose another name or initials for yourself, please feel free!
1.
When you think about the environment, what do you think of?
2.
Would you say protecting the environment is important? Why or why not?
3.
When people try to protect the environment, do you sometimes feel that other things do
not get enough attention?
For example when, people say environmental protection may make people lose jobs and may
raise the cost of living- How would you feel about those kinds of things?
4.
How would you describe the relationship between humans and nature?
5.
What should the relationship between humans and nature be? Do you have a religious or
spiritual basis for that?
6.
Do people have responsibilities toward the environment? If yes, is the responsibility to
other people or to the environment itself?
7.
Should we put in an extra effort to protect the environment for our great grandchildren?
8.
Would you say you have “environmental values?” If yes, would you describe them?
Where do you think you learned those values?
9.
What do you think is the environmental problem of greatest concern?
10.
Have you heard about the greenhouse effect? (If no, have you heard about temperatures
getting warmer in the future?)
11.
What have you heard?
12.
Where did you hear that information?
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13.
Do you believe this?
14.
Do you think this would be a bad thing if this happened?
15.
Do you think something should be done about this? If yes, who should be involved?
Individuals, governments, corporations?
16.
What should be done?
17.
Do you think there are any negative consequences?
18.
Do you talk to other people about environmental problems, in your home, office, etc?
19.
How do you feel about what is currently being done to deal with the greenhouse effect?
20.
In1800, the human population was under 1 billion. In 1950, it was just under 3 billion. In
2000, it had doubled to more than 6 billion. Do you feel that the growing human population has a
potentially negative or positive effect on the Earth? Please explain.
21. What is your occupation?
22. Where did you grow up?
23. What is your date of birth?
24. What is your highest level of education? What did you study?
25. Who did you vote for in the past presidential election? What political party do you affiliate
yourself with most?
26. Do you consider yourself an environmentalist?
27. Finally, what are your thoughts upon completing this questionnaire?
28. Would you like to share anything else?
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James T Interview
1.
When I think about the “environment”, primarily, I think about the ocean.
2.
Protecting the environment is important to me. I see so much waste, especially in
consumer products and packaging. For example, going to CVS, or the supermarket to purchase
just one item, the clerk inevitably will place that item in a plastic bag. Myself, I have ceased
using them, but that bag, once the person is home, it will just be put in the trash.
3.
There is a balance that needs to be struck between protecting the environment and
protection of jobs. While there are methods of for example producing energy that create jobs
and protect the environment. Also, there is no need that increased fuel economy in autos should
lead to a decline in employment. But there is no need also, that a fuel-efficient car such as a
“clean diesel” or hybrid should cost so much more than its conventional counterpart.
4.
The relationship between humans and nature, for many humans, their perception of their
existence is a false sense of entitlement, especially amongst Americans.
5.
The “relationship” of nature and humans should be one of “Stewardship.” Nature is a gift
that has been entrusted to us by the Creator. Nature was present here, before each of us was set
upon this earth, and it will be here hopefully long after our lives here upon this earth are through.
6.
Of course, people have a responsibility towards nature. This is the very nature of a
stewardship relationship, seeing our natural environment as a gift.
7.
Certainly, we should make every effort to protect the environment for our grandchildren!
8.
Yes, I would say that I have “environmental values.” Still, there is room for
improvement. I learned them from just observing, spending time at the beach as a child,
realizing the vastness of the earth.
9.
Our greatest environmental concern, I see is “sustainable energy.” We should have
learned that (as a nation) back in the 1970’s with the oil embargo that we should not be
dependent upon this one source of energy. Forty years have passed, still nothing has developed;
I see this as such a lost opportunity.
10.
Yes, I have heard of the “greenhouse” effect, again I see this problem caused by our
dependency on fossil fuels, primarily oil.
11.
I have heard that the temperatures on the earth are getting warmer. In recent years, this
has been the case of our own local winters.
12.
I have heard this within the past ten years.
13.
Yes, I do believe this. This has been clearly demonstrated this past winter 2011-12,
especially March 2012 being the warmest month of March ever recorded here in the
Northeastern United States.
14.
Personally, no, I don’t think it is a bad thing, because I have a disdain for winter!
Although, I am well aware of the detrimental effects that it would have upon our environment,
such as rising sea levels.
15.
Should something be done about the Greenhouse effect? It is difficult to turn the tide on
this; it is similar to attempting to put the “Jeanie back in the bottle.
16.
Perhaps one way of making people more aware of fuel efficiency of cars is to levy an
excise tax on high mileage vehicles.
17.
Yes, the negative consequence might be, the rising of sea levels along coastal regions.
18.
No, people do not speak of environmental concerns in my home or office.
19.
There is not enough being done to alleviate the greenhouse effect, this is evident still with
the rising fuel prices, the consumer still prefers to drive high mileage cars and trucks.
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20.
The population increases are primarily in third world countries where there is tremendous
poverty. Unfortunately, there are not sufficient medical resources in these regions, which leads
to low [author believes he meant to say “high”] mortality rates. Also, there is not enough
adequate clean water and food supplies.
21.
My occupation is being a Catholic priest.
22.
I grew up in Brooklyn, NY and later in Westchester County, NY.
23.
My date of birth is: December 1961.
24.
The highest level of education that I have achieved is a Master of Divinity and a Master
of Education, Administration. Currently, I am PhD. candidate.
25.
I am not affiliated with any political party; guess I would say that I am an independent.
In the last presidential election, I did vote for Barack Obama. I am not certain whom I will vote
for in this coming presidential election.
26.
No, I would not consider myself to be an environmentalist in the strict definition. This is
a label that to me is subjective that one person would place upon another. I just see too much
waste, especially in our consumer driven society.
27.
Thanks for inviting me to be a participant in this study!
Author’s observations:
James appears to be bothered by the great deal of waste that our society is responsible for. At the
same time, he realizes that people living in poverty face the problem of inadequate resources. A
Catholic religious leader, he emphasizes a stewardship approach to the environment, along the
lines of Wendell Berry’s teachings.
Woody H. Interview
1. I guess I think of a safe and healthy atmosphere, one that provides a normal situation for
everyone.
2. Absolutely yes, but I think people overestimate their role in what they can do to make that
happen.
3. Enviromental and fiscal issues often conflict. Nuclear energy is a classic example. While
economically sound, nuclear power can have a huge influence on the planet's health, but it does
lower overall energy costs and, thus the costs to the average citizen, a tough choice to all of us.
4. A tough question to which I can only respond, completely bonded.
5. While I consider myself as a religious person, I don't link this as a religious issue, perhaps I
should. I see this more as a responsibility issue that we, as a human race, have a responsibility to
take care of our planet.
6. Yes we do, but I think the responsibilities are understandably unclear. As far as people and
the environment, the two are mutually linked.
7. We should do everything we can to protect our grandchildren, but I personally think that this
issue is overblown.
8. I do have environmental values, but not so much with the focus of this survey. My father was
a commercial fisherman, and I worked on the docks as a college student. I saw the effects of
over consumerism in that industry and can see how it spills over into all industries.
9. Without a doubt, energy consumption.
10. Yes I have.
11. That there is a general trend in the warming of the earth.
12. The press, scientists, and, of course, Al Gore...
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13. I believe that the earth is in a warming cycle, I question the cause and further question the
planet's inability to adjust to it.
14. Selfish as it may seem, I welcome relatively warm winters.
15. I think steps are being taken. Mass transport is in use and restrictions on individual travel in
NYC seem to be having beneficial effects.
16. A commitment to mass transport is imperative.
17. Certainly, a lack of public convenience would be an issue.
18. Yes, I often speak with coworkers on this issue.
19. I am uncertain that this is a huge issue at this point, so I am not completely concerned that
this should be a "front burner" concern.
20. Population is an enormous concern. Demands will increase for food and energy. The
methods used to meet these needs will have huge impacts on our global environment. Fuel
consumption will be severely impacted.
21. Teacher
22. Rhode Island
23. 12-02-1964
24. Master's Degree School Administration
25. Obama, Democrat.
26. Yes, to a point.
27. No problem, though I still have personal doubts that this is a large issue (sorry).
28. I honestly think this is a resilient planet that is going through a warming trend rather than a
warming threat. While this winter was a freak of nature, it was not too many years ago that we
had nasty coldness, yet, even that timeframe is far too small to draw conclusions from
Author’s observations:
Woody’s responses demonstrate the disconnect between regular Americans and
environmentalists- this feeling that the environmentalists are pushing too hard and panicking too
much. However, he still expresses respect and responsibility toward the environment.
Ines P Interview
1.
Air and water quality; safely extracting natural resources so as to reduce dependence on
foreign oil.
2.
Yes, to preserve natural resources and to keep the earth habitable for future generations.
3.
Usually there’s a give and take in all things. Hopefully there’s a way to protect and
preserve the environment with minimal casualties to mankind.
4.
Humans need nature to survive; ie. flora, fauna, etc. Man is part of nature and vice versa.
5.
Humans respecting and protecting nature. No.
6.
Yes. The responsibility to protecting the environment would lead directly to protecting
the environment for other people.
7.
Absolutely, and beyond.
8.
Yes. Doing my part to reduce my footprint on the earth: reduce, reuse, recycle. Parents
grew up in the depression, so they started me on those values. Growing up in the 60’s added to
it, and just trying to be conscious of how my actions affect my surroundings.
9.
Air/water pollution
10.
I have heard about this.
11.
That thermal radiation from a planetary surface is absorbed by atmospheric greenhouse
gasses, and is re-radiated in all directions, including back toward the surface and lower
151
atmosphere, resulting in the elevation of the average surface temperature above what it would be
in the absence of the gasses.
12.
Nature shows on tv, internet, news.
13.
I don’t know.
14.
It would if it got too hot. Anything that is un-natural can’t be good. Otherwise, maybe
if it could be regulated, it might be helpful in reducing the need for heating fuel.
15.
Yes. It should be a global collaboration.
16.
It all goes back to preserving the environment. In this case, reducing the amount of
atmospheric gasses released into the atmosphere.
17.
While the greenhouse effect is an important natural phenomenon, allowing a comfortable
average temperature on earth, the recent gradual warming of the earth (global warming) is
considered to be the result of human activities increasing the concentrations of greenhouse
gasses into the atmosphere. So, this could have negative consequences if not checked.
18.
Yes
19.
From what I can tell, people are trying to change their carbon footprint by buying more
efficient cars and energy saving devices; ie lightbulbs, etc. Companies are being forced to
reduce harmful emissions. New clean energy producers are replacing dirtier ones.
20.
The effects of the growing population are varied and many. Growth of any species may
be beneficial to some extent, but there may come a time when population exceeds the natural
resources available to sustain it. Maybe the problem is not the population growth itself, but the
mismanagement of natural resources and waste that might be causing the problems to a large
extent.
21.
Receptionist in a school district
22.
Bronx, NY
23.
9/23/1954
24.
High School graduate
25.
Obama; democratic
26.
No
27.
Made me think about this topic more.
28.
Please be advised that I did get some of my information from on-line sources.
Author’s observations:
Ines points to the connection between values learned from her parents in the Great Depression
and the values needed to respond to global environmental crises. She points to the use and waste
of natural resources.
Monica C Interview [Questions retained due to slight difference of wording and order from
other surveys]
1. When you think about the environment, what do you think of?
It depends on what environment I am thinking of. Generally, I think of outside when I hear the
word “environment.”
2. Would you say protecting the environment is important? Why or why not?
It definitely is. Without a safe, well-kept environment, there would be no way to plan
ecologically sensible communities. Even those solely concerned with industry have to recognize
that their economic incentives are futile without a properly functioning environment.
3. When people try to protect the environment, do you sometimes feel that other things do
not get enough attention?
152
Such as what? I believe the protection of the environment is fundamental. I am not sure what
other things would be neglected at the detriment to protecting the environment.
For example when people say environmental protection shouldn’t make people lose jobs and
shouldn’t raise the cost of living. How would you feel about those kinds of things?
I had not realized that people lose jobs over environmental protection but I can understand the
cost of living increase. However, I believe that goes to a deeper issue and that the cost of living
increase has a number of problematic contributions that go far beyond environmental incentives.
I am sure that if the cities could resolve the excess in highly expensive housing and make
affordable housing more accessible, that the distribution of environmental costs could be fair and
reasonable.
4. How would you describe the relationship between humans and nature?
I believe that we are humans living in nature and it is important to respect our natural
environment. I find it infuriating to see garbage, especially cigarette butts, on the ground. If
people are going to utilize natural resources for satisfying an addiction, I do not see the difficulty
in utilizing man-made garbage bins or ashtrays. Ultimately, I think that humans and nature
should be one in the same. That society should respect both as fundamental parts of the
environment and thus, take good care of both.
5. What should the relationship between humans and nature be? Do you have a religious or
spiritual basis for that? I think the answer above is applicable here. I am not religious nor
am I spiritual I just believe that we would be nothing without nature and nature would be
just fine without humans. We should respect it and maintain it to the best of our abilities.
6. Do people have responsibilities toward the environment?
Of course.
7. Is the responsibility to other people or to the environment itself?
It should be to both. I am not sure who “other people” are but I wouldn’t throw my trash in
someone’s yard out of respect for their property. Moreover, I wouldn’t throw trash generally, out
of respect for the environment. I don’t think it should make a difference.
8. Should we put in an extra effort to protect the environment for our great grandchildren?
Of course. If we don’t protect it now, our grandchildren will have nothing left to enjoy.
9. Would you say you have “environmental values?” If yes, would you describe them?
Yes. I value clean grounds and fresh air. I dislike pollution and the sight of garbage. I wish
that I could pollute less and utilize more environmentally friendly resources.
10. Where do you think you learned those values? Not sure. Being educated. Going to an
Environmentally-conscious university, maybe?
11. What do you think is the environmental problem of greatest concern? Air pollution and
liter are two that I think about the most. However, I am sure there are many issues I am
not even aware of.
12. Have you heard about the greenhouse effect? (If no, have you heard about temperatures
getting warmer in the future?) Yes. I appreciate warm weather but am constantly
questioning what the long-term effect will be.
13. What have you heard? Basically, that the earth will continue to warm due to the major
pollution entering the upper atmosphere (maybe?) … among other things I don’t recall.
14. Where did you hear that information? Various sources. Not enough people have spoken
about it in the last year or so. It was a hot topic when Al Gore first brought major
attention to it.
15. Do you believe this? Definitely.
153
16. Do you think this would be a bad thing if this happened? Yes, detrimental.
17. Do you think something should be done about this? If yes, who should be involved?
Individuals, governments, corporations? Everyone should be involved. However, I think
government would be best suited. Congress needs to enact more stringent laws for
individuals and corporations to follow in order to better promote clean air and the like.
18. What should be done? I don’t really know what the options are but I know they exist.
Whatever can be done?
19. Do you think there are any negative consequences? Negative consequences of the
greenhouse effect or having government/others do something about it??? There are
negatives and positives to everything.
20. Do you talk to other people about environmental problems, in your home, office, etc? Not
really. Only because of a lack of time and other priorities needing to be discussed.
21. How do you feel about what is currently being done to deal with the greenhouse effect?
What IS being done??
22. Do you feel that the growing human population has a potentially negative or positive
effect on the Earth?
Negative. The world is overpopulated and the laws of this country/religious fanatics have not
helped to make it any better. For those stuck in historical tradition, they are unable to grasp the
more modern concepts. Historically, the world needed more people and I can see where the
mentality came from. However, times have changed dramatically and the overpopulation
is having a detrimental impact on our fundamental environment.
What is your occupation? Childcare provider and current student (law and graduate school)
Where did you grow up? Carmel, NY
What is your date of birth? August 16, 1988
What is your highest level of education? What did you study? Graduated college May 2012 –
Still in school.
Who did you vote for in the past election? Which election? I voted for McCain Finally, do you
consider yourself an environmentalist? I don’t know what defines an environmentalist? But I do
consider myself someone who cares about the environment. I always recycle and I never litter. I
would do more if I knew what to do
Author’s observations:
Monica demonstrates the astute thinking of a law student and focuses heavily on words and their
specific meanings. She often answers questions with more questions. She portrays the doubts had
by many, even those who only somewhat follow environmental issues. Despite her political
choices, she says that government should take responsibility for solving environmental crises.
DJ W Interview [Questions retained due to slight difference of wording and order from
other surveys. Survey was largely conducted in person.]
1.
When you think about the environment, what do you think of?
Degradation, life.
2.
Would you say protecting the environment is important? Why or why not?
Yes. Life. The cradle of our lives and our future and past and present
3.
When people try to protect the environment, do you sometimes feel that other things do
not get enough attention? For example when people say environmental protection shouldn’t
make people lose jobs and shouldn’t raise the cost of living. How would you feel about those
kinds of things?
154
I don’t think that matters. Why not? Because our life should be more important than a new
system like economics.
5.
How would you describe the relationship between humans and nature?
Cohesive and destructive. We impact the environment in every step, knowing and unknowingly.
Other times we have the ability to fix things.
6.
What should the relationship between humans and nature be? Do you have a religious or
spiritual basis for that?
I don’t know. I think we should attempt to have as little impact as possible. I don’t know what
that means.
7.
Do people have responsibilities toward the environment?
Yes because we are the environment.
8.
Is the responsibility to other people or to the environment itself? Both
9.
Should we put in an extra effort to protect the environment for our great grandchildren?
Yes and for us.
10.
Would you say you have “environmental values?” If yes, would you describe them?
Developing. Less greedy and individualistic. More useful. Useful to everyone.
11.
Where do you think you learned those values?
Bob Champan, Pace University.
12.
What do you think is the environmental problem of greatest concern?
Emissions- air quality. Over taxation of oceans. Pollution of ecosystems.
13.
Have you heard about the greenhouse effect? (If no, have you heard about temperatures
getting warmer in the future?)
Yes
14.
What have you heard? That it’s going to make me sick. The potential to heat the earth
and acidify the ocean and the potential to destroy plant life through acid rain. Desertification,
15.
Where did you hear that information? Bob Champan. Laurel Whitney.
16.
Do you believe this? Yes. Aspects of it. Global warming-varying science saying changes
will range from 2-12 degrees. Hard to know what the worst case and the real case will be. There
is no solid evidence. Fuck Al Gore. He’s going to tax me into hell. Screw global carbon tax and
keep the man down. Create big level of wealth gap. Taxing every human for something they
didn’t do. It’s going to keep everyone poor. I don’t think he’s a true environmentalist- I think
he’s a globalist with his own reasons for wanting to tax everyone. I think he has another agenda
that has nothing to do with the environment- maybe population control. I think we’re focused on
taxing everyone- wrong. I think we should be focused on not having taxes. We should focus on
not burning fossil fuel instead of taxing it. We’re stuck on stupid.
17.
Do you think something should be done about this? If yes, who should be involved?
Individuals, governments, corporations?
Monetary policy needs to be fixed. That’s the biggest perpetrator of our problems. End federal
reserves. Money should go back to the people. Economic systems are not sustainable. They’re
false. Capitalism is driven by continued growth and yet it dies and so does growth. And when we
can fix our monetary policies, we can focus on more sustainability and focus less on making a
dollar.
19.
What should be done?
20.
Do you think there are any negative consequences?
155
For a while. People aren’t going to … it’s got to be a radical change. People are going to realize
every dollar they ever made is useless. The creation of useless things—that just can’t happen
anymore.
21.
Do you talk to other people about environmental problems, in your home, office, etc?
Not really.
22.
How do you feel about what is currently being done to deal with the greenhouse effect?
It’s almost a joke. Like Kyoto protocol… no one is going to take it seriously. It took 20 years for
countries to sign it and yet countries haven’t lowered emissions. It’s like a funny joke. Every
single quarter of our monetary system has increased emissions.
23.
Do you feel that the growing human population.
Terrible. Why? We’re going to eat ourselves out of house and home.
What is your occupation?
Student [army veteran]
Where did you grow up?
Napa Valley
What is your date of birth?
April 21 1983
What is your highest level of education? What did you study?
Environmental Studies, College Undergraduate
Who did you vote for in the past election?
Ralph Nader
Finally, do you consider yourself an environmentalist?
No, [Henry] Rolston is an environmentalist. Bob Chapman. Laurel Whitney. The difference is
our depth of knowledge and the ability to enforce that knowledge in their lives.
[Follow up email correspondence:]
For the question - What should the relationship between humans and nature be? - You answered
"I don't know. I think we should attempt to have as little impact as possible. I don't know what
that means." Could you explain why you feel we should have a smaller impact? Do you have a
religious or spiritual basis for that? Do you feel religion and spirituality play a role in the
relationship between humans and nature? Could you explain? Finally, what are your thoughts
after finishing this survey? Do you want to share anything else?
1. Humans are nature and humans should see nature as part of their community and not simply a
resource.
2. Humans have become a geological force and we are altering the planet for ourselves, plants,
and animals in a negative way (pollution, etc.)
3. No religious basis for these answers.
4. Religion (judaism and christianity... Not sure about hinduism or islam) state that the planet is
here for our use at will. Religion has increased the separation of human and nature by referring to
nature and wilderness. Essentially, I do not believe in wilderness as anything more than a social
construct. It keeps humans and nature separate. This allows for humans to see nature as a
commodity and not a communal life force that we belong to and have social responsibility too.
Religion creates individualism and I believe that has led to environmental degradation.
5. END THE FED. Final thought. Interesting survey. I hate surveys, mostly. This made me
challenge my environmental beliefs.
156
Author’s observations:
DJ obviously sees a very close relationship between man and nature. As an environmental
studies student, he would appear to be an environmentalist. However, he has a more acute
understanding of the term ‘environmentalist,’ only crediting people of more solid
environmentalist thinking as worthy of the title. He understands humans as a part of nature and
environmental problems to be systemic and an inevitable result of the current economic system
and capitalist paradigm. He appears to believe in the idea of paradigms. This is a result of what
he has learned from professors. He is skeptical of leading environmental figures but not for the
assumed reasons. For example, to him, Al Gore is a phony, whose agenda is not the protection of
the environment.
157
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160
Album Project
Songs and Journal by Jackie Lipson
BA, Theatre Arts and Acting
161
One late night in 2008, a high school senior lays on her
dining room floor in front of a tattered, orange, Five Star,
spiral-bound notebook; pen in hand. Reeling still over a
devastating letdown from a close friend and someone she’d
pined for for so many years, she put pen to paper and flooded
the thin blue lines with stories and memories and all the
feelings she couldn’t speak. That girl, it turns out, was me. That
page became the home to “Argument,” the first song I’d ever
written, and that moment, the beginning of my journey as a
songwriter.
I picked up my first guitar at age 14. After tiresome
lessons, finger-numbing practice and the boredom that came
with playing the introduction to “Stairway to Heaven” until my
hands fell off, frustration set in and I decided this just wasn’t
my instrument. Just as I’d previously decided flute, violin and
piano weren’t my instruments. But, cut to 3 years later when
the urge to reintroduce myself to those six brass strings
suddenly hit. I convinced my parents to take me to Ricardo’s
Music Store and buy the cheapest guitar they could. That day I
took home a beautiful new Jasmine Takamine acoustic guitar,
whom I conveniently named “Jasmine.” From then on, I was
unstoppable, writing at all hours of the day, whether I was in
class or spending time with friends. I would play into the wee
hours of the night only to be cut off by the holler of my halfasleep mother groaning about the noise. I’d fallen in love with
music. Since I began to write I’ve compiled dozens upon dozens
of songs, some only half baked but many fully written and
composed. This project explores many of those songs from
their lyrics to the emotion and story behind their creation.
162
Songs
*Chords, keys and commands denoted in italics
Argument
Capo 2
Verse:
E A5 C#m Esus2
Breathe deep into your lungs
Cigarette seized in tiny red hands
You haunt all of my thoughts
My friend I can’t pretend
Pre-Chorus:
Your fingerprint-less fingertips
All callused picking unequipped to battle shocking arguments
Blowing over building after
Building making winds no one ever could stand
This is not my argument and that is not my hand but…
Chorus:
E A5
Stay with me
If you let go
I don’t know
If I could ever forgive you
So hold me strong
I’m slipping through
I hope that you would never let me go
But you don’t know
Verse:
Blame me
It’s all my fault
But I can’t just let it go
Play me a simple song that ends our final show
Repeat Pre-Chorus
Bridge:
C#m Ab C#m A5
163
Hold on tight
I’m here to stay
There’s a light inside me waiting
Just to hear your say
Repeat Chorus
My Baby
Capo 4
Verse:
G D Em C
You were mine and you were everything
It kills me to say goodbye
But I open my heart to the wind
And cry
I loved you endlessly
And remember every day
That you didn’t say a word but
I knew
If you could say:
Chorus:
G Am C D
Do not stand at my grave and weep.
I am not there. I do not sleep.
Do not stand at my grave and cry.
I am not there. I did not die!
I did not die.
Verse:
There is balance in my skin
And you’re permanent in my mind
Lead me where you go
And in time
I hope to see you again
I’ve grown a little faith
What else am I to do?
What else am I to do…?
When I knew you’d say:
164
Repeat Chorus (x2)
I did not (x4)
I did not die
Fog
Capo 2
Verse:
D(h4) D5 E7(no3) G
It’s a foggy day in this city of gray
But the sun isn’t shy like my skin
And clouds seem to seep through the conscious I keep
Moving in to my thoughts like sin
I remember the past like a painting
Smudged and faded but beautiful still
And I pray my brush isn’t broken
As I stare at the future from my window sill
Chorus:
Bm F#m Cadd9 G
So it’s me who’s got issues that follow her still
That stands on this island apart
And I can’t help but wonder to go or to stay
For the future is trapped in my heart
Verse:
With my nerves bound in knots untangle-able
I reach for a familiar hand
Any with skin recognizable
Ignorant of the person covered in sand
From my bed I can usually travel
With a map I have drawn on my own
But awake I can turn good to gravel
As my hope has often been shown
Repeat Chorus
Bridge:
Em A D G
Get on my plane
165
I’m flying
Wherever I can go
I’m on my way to trying
To feel home
Repeat Chorus
Take A Hint
Capo 1
Verse:
B F# E
I’m gonna steal your eyes and peer inside your head
Open up your hand, I’ll keep mine there instead
Feed me all you have to feed me all you know
Until we’re sailing far too slow
I’m laughing at your lines but it’s getting kind of late
This wasn’t what I had in mind for our first date
I know you’re being nice but nice won’t turn me on
Take a hint, before I’m gone
Pre-Chorus:
But you’re too beautiful to go
And I’m too into you to leave
Chorus:
Cm11 C11 F
Catch me, catch me off guard
I fall, I fall so hard
Come close so I can feel your skin
Move in
Move in
Verse:
I hope this is the last time you see me sitting here
Cause if you kiss me right now my body travels five hemispheres
I like you right now but I might not like you after this song
If you don’t take the hint, and plant one on
Golden Boy co-wrote by Meredith Pollack
Capo 3
166
Verse:
C G Am F
I… wish I could be one of those soft skinned, longhaired, easy-breathing angel bodies
Floating out across the golden, rolling, rushing, river where the grass is always
greener than us
You always seemed to be strange and broken off from the rest
Isolated, semi-sober, beautiful nonetheless
You’re a small town celeb in the smallest of ways
My whole world’s a black box and your whole world is a stage
Pre-Chorus:
Am C G F
I don’t know why it seems that even in your worst way
You’re always better than me even on my best day
Chorus:
Am C G F
And I watched you from a distance
A four-year longing wanting to be like them
And now it seems like to be golden is something far more different than seeking out
perfection
Verse:
I heard a rumor going ‘round that you were going down, down
You were on some kind of drug
Could be as bad as I was
Thought you could live in your art but when you’re falling apart you will find that
it’s only that much further from the start
Repeat Chorus
Bridge:
Am
C
G
And back in those photographs before the lights went black
F
Am
And in the moment before the clap
C
You relax
F
You take your final bow
G
You are the Golden boy now
167
Repeat Chorus (x2)
Album (played on piano)
Improvised vocals
I am an album
I’m nearly 20 pages full
Bound together so carefully
With all of my grandmother’s, grandmother’s favorite recipes
I’m telling stories all of how I’ve grown
Swept up and shot down from my tree
Arguing, arguing, arguing my jury
Beauty and balance overcome me
Bringing my soul to its knees
I’m always told, always told, always told to gather my leaves
Pre-Chorus:
But you can’t stop me
And don’t expect me to live by your side
Soon I’ll be more than you’ve ever seen
With or without my feet on the ground
Chorus: (x2)
Take a new step
Fill a new frame
I’m never done
No I’m never done
Dance on the edge
Flirting with pain
I haven’t won
Until I’m done
Repeat Pre-Chorus
Foolproof
Capo3
Verse:
Am(no5) Csus4 Gadd9 Csus4
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When I dance I dance forever
And when I sing we sing together
If I laugh I never laugh alone
But I’ll cry until you come home
You taught me to be strong
And held my hand even when you knew I was wrong
And when I drag behind
And when I’m going blind
You find a way to bring me home
Chorus:
F C E Am
And I can’t thank you enough for the distance we have traveled
And the gravel that we find in our bruises and our cuts
And I pray you know I love the moment I can see you
And I know that we can get through everything because we’re foolproof
Verse:
When I work I work so hard to win
Because you say I’m too good to give in
And you’ve fueled my fire from the start
And you carried me with your heart
You taught me to get by
Encouraged me to love and be happy when I die
And when you’re scared for me
Or if I’m feeling free
You find a way to bring me home
Repeat Chorus (x2)
Passing Grade
Capo 4
Verse:
E A5 Bsus4 A5
I don’t fight and I don’t see the point in starting now
And you might be afraid, I need to tell you somehow
I don’t curse, but you make me experience something new
It’s a first when I ask you to
Chorus:
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Create with me
The perfect scene
Let me be your passing grade
I promise now
I won’t let you down
All I need you to do is change
Bridge:
GFC
How do you make me care when you’re not even there and I don’t know you?
And how does it make me feel when you’re barely real and I don’t know you?
And would you let me stay if I turned you away and never showed you?
Or would you feel really low if you walk out the door and you never knew me?
Verse:
I don’t write all my songs just for fun and then move on
And you might mean a bit more than I’d intended on
But I don’t want you feeling out of place
So for now I’ll compose myself and give you all the space you need to
Repeat Chorus (x2)
Comfortable Air
Capo 2
Verse:
C G Am F7
Hey babe
Won’t you come on in my bed?
I can hold your body while you rest your head
My dear
It’s been a long day
It’s been a long year
Let’s wash it away
Chorus 1:
Am Em F C (G)
Am F C (G)
Take me to your world up there
Cradle me in comfortable air
I don’t know if I’m ready and I’m scared
But hold me in your comfortable air
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Verse:
Hey babe
With your beautiful eyes
And your beautiful soul
Puts beauty in every rhyme
My dear
I hope this lasts a while
So you can make me laugh
And I can feel you smile when you
Repeat Chorus 1
Chorus2:
I’ve yet to know a place of my own
But in your eyes I feel home
I don’t know if the future will be fair…this time
So hold me in your comfortable air (x3)
Splinter Left Behind
Capo 3
Finger picking on Em C Ab
When I shut my eyes
Let them fall back into my mind
And I close my mouth
And before I count my teeth fall out
I could close the book of you and me
Put away these empty thoughts I see
But I want to feel the splinter left behind
Pushing me to study what I find
As I crumble underneath the grind
Of inadequacy and anxiety
I’m left awake to wonder if it’s real
And if I feel
The splinter left behind
Chorus:
Em C (G C)
Can I go now?
Can you go now?
When I wake up will you be here?
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Try to slow down
Time to go now
When I wake up will you be here?
Verse:
Em C
Through these swollen eyes
Spilling lead on pages left wide
Cover unkempt past
Oh it’s hideous the things I’ll find
When I venture deep inside my mind
Bridge:
Em C G D
Maybe I feel crazy, but maybe I’m just fine
And if I’m feeling lazy, it’s probably cause I’m running all the time
If you want to know me, you better look inside my ear
And read my thoughts out loud
But go with caution because I’m unaware what nightmares might come out
Repeat Chorus
Afterthought
Capo 3
Verse:
Am F7 Cadd9(no5) G
It started in my head
Then it snuck into my heart
You’re coming out of corners
They all know you’re a star
I felt your power first
You knocked me off my feet
The weight of your worth
Was far from cheap
You live in the air now
Cold against my skin
I’m walking in your shadow
And wrapped up in your wind
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Chorus:
F C G Am
Cause I thought you’d take me with you
And I thought I’d be the girl
Who could fix you for the moment
Cause you felt good in my world
So why’d you go and leave me
Sitting in the dust
I watch you dance with others
Who I thought would be us (x2)
Verse:
You’re circling the drain
That’s planted in my mind
I’m starting to let go of
Everything you’ve ever said in kind
Cause loving you was hard
And hating you felt so much worse
It’s taken long to heal
The wound you left that I had to nurse
Repeat Chorus
Bridge:
Em A5 G Am
Em A5 E Am
Em A5 G Am
Em A5 E F
I don’t know how to let go
How to let go
How to let go…
(x4)
Repeat Chorus
…I thought we’d be….
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Journal
Argument
Argument is a song I wrote to my best friend in high school. I’d been a friend
to her for only a year or so at the time but I had feelings for her for the three years
I’d known her. In our friendship she knew I had feelings for her but didn’t
acknowledge them but instead took advantage of them.
In the first verse I am describing my thoughts of her when I decide our
relationship is not fair. The pre-chorus is my expression to her of how frustrated I
am with her mixed messages and falsely leading me on. I am saying that fighting
with her is useless because nothing will come of our relationship (This is not my
argument and that is not my hand…). The chorus then breaks off and becomes a fight
with my conscience. Though I’m fed up with the way she handled our friendship and
my feelings toward her, I’m afraid to let her go.
The second verse is telling her that she can blame me for having my feelings
but I still want to be her friend nonetheless. I just want our fighting to end (Play me
a simple song that ends our final show).
My Baby
I wrote My Baby after my cat Comet passed away. I’ve always loved animals
and the reason for that was Comet. When I was four years old my family drove in
our forest green mini-van to Catz-ablanca Cat Clinic and Hospital in Rocky Hill,
Connecticut, to adopt a new member into our family. Prior to this event I’d only
been exposed to very small pets that my brother had “taken care of.” He had a
hamster and a few tadpoles, all of which did not have long and illustrious lives.
I can still remember the day we picked Comet up. As we were waiting for the
veterinarian to bring him out to us, we saw his brother and sister, his only found
family, leaving with another couple. And then they brought him out and it was love
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at first sight. He immediately became the best friend to enter my life. We grew up
together; we played together; when I was sick or sad, he was always there to
comfort me. I instantly became infatuated with cats and animals of all sorts.
Later on in his life he began to lose some cognitive abilities as he grew older
but he remained the most handsome cat I’d ever seen. As he grew, I worried about
his health. And finally, one day I received a call from my parents while I was
shopping at Whole Foods in TriBeCa. They broke the news that he was in the hospital
due to kidney failure and didn’t have much time left. I immediately got on a train to
Connecticut to see him for the last time. We had been told we couldn’t see him until
the morning but as we were approaching the exit that led to the veterinary clinic on
our drive home, the doctor called us to say he wouldn’t make it through the
night. We rushed off the highway to the hospital and stood by him until he was gone.
That moment, seeing him completely lifeless, was the most difficult I’ve faced to
date.
In the following week I was looking for outlets to keep my spirits up and I
found a poem which read, “Do not stand at my grave and weep/I’m not there I do
not sleep/Do not stand at my grave and cry/I’m not there I did not die.” These
words were the first to give me hope that losing him didn’t mean he was gone from
my life. I decided to write this song around that poem.
In the first verse I wrote about my initial thoughts and feelings when he died.
Having grown up with him and having him in my life for sixteen years, he became a
friend and a confidant. And, unlike people, he didn’t talk back or judge. The second
verse signifies the tattoo I got in remembrance of him. I got his name tattooed on my
wrist so that “there’s permanence in my skin” and as a constant reminder of the love
and happiness he brought to my life. The second part of that verse begs the
question: “what else am I to do.” His death brought the idea of the afterlife and all
the possibilities after we die and in this verse I explain how I’ve grown a little faith
that I may see him again.
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Fog
After an unbearably stressful week and one extremely confusing night I woke
up in a fog. I’d been unhappy with a lot of what was going on in my life as far as
friends, relationships, school, etc. I didn’t feel comfortable in my own skin (the sun
isn’t shy like my skin). I then began thinking about when I was a child (I remember
the past like a painting). Life was carefree and I didn’t have the stresses I do now.
And I wondered if I’d ever be able to feel carefree again now that I’m about to
graduate college and will need to get a job (And I pray that my brush isn’t broken).
In the chorus I question who is at fault for these issues following me. I feel
alone, as if I’m the only one dealing with these issues. As a solution I consider
leaving where I am, both mentally and physically (I can’t help but wonder to go or to
stay) because I know in my heart what I want my future to be but I don’t know if it’s
possible (The future is trapped in my heart).
The next verse is about my need to reach out when I’m feeling alone. In this
instance I called a few friends I hadn’t spoken with in a while (I reach for a familiar
hand). When calling these people I didn’t consider the reason we’d stopped
speaking, I was only concerned that I was alone and needed to speak to people
(Ignorant of the person covered in sand).
The final part of that verse is about the dreams I’d been having related to my
worries. They portrayed realistic possibilities in my life that I want to come true
(From my bed I can usually travel) but when I wake up they always seem too good to
be true (but awake I can turn good to gravel).
Finally, the bridge is a literal expression of my need to travel abroad. (I’m on
my way to trying to feel home) I’m looking for a place where I can feel like myself
whether that is here or abroad.
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Take a Hint
When I came up with the idea for this song, I wanted it to be light-hearted
and fun because the idea of it is just that. It is about a crush, where she is head over
heels for him, and he has absolutely no clue. The first verse begins with slightly
crazy admissions and instructions for the crushee from the crusher. She is saying
that she wants to get inside his head and know what it’s like to hold his hand. That is
until she becomes restless with this game of “getting to know you” and wants the
real thing (Until we’re sailing far too slow). The second verse continues to drive this
restlessness. And in the title line she explains, take the hint that I’m giving you
otherwise I’m giving up. But in the pre-chorus she fights this notion saying that
though she is restless, the boy is far too beautiful to simply let go. So she tells him to
[catch her off guard]. The final verse is her ultimatum. Either he kisses her at that
very moment or she will not like him anymore. The irony lies in the idea that he has
no clue she even likes him. I was inspired to write this song about a fellow band
member I was playing with at the time. More irony comes with the fact that he
helped me to write this song, yet he still didn’t know it was about him.
Golden Boy
I co-wrote this song with a friend, Meredith Pollack, after we caught
ourselves “Facebook stalking” a group of people we went to high school with. Back
then I guess you would call them The Elite of the arts high school. They were the
teacher’s favorite students and everyone envied them and hated them at the same
time, at least I did. They were cliquey and obnoxious but for some reason everyone
in our class wanted to be like them and be among them. Unfortunately, I couldn’t
always exclude myself from that desire.
The song starts with my confession of this fact. I express that I want to know
what it’s like to be in their circle and whether the grass is, in fact, greener on their
side (green is used literally and also as a metaphor for envy). I then go on to
describe my observations of the group and comparing them to small town
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celebrities. The pre-chorus emphasizes my frustration with the idea that this group
of people are seen as better than everyone else even when that might not be
accurate (You’re always better than me even on my best day). In the chorus I
rationalize that while I wanted to be like them when I was in high school, I reminisce
and realize that what I thought they were isn’t what I want to be.
The final verse is explaining the present and how I’ve heard rumors that the
kids everyone looked up to in high school are not as cool as they used to be. Some
rumors were that they were doing hard drugs and not doing well in school. I am
basically saying to them that they weren’t “all they were cracked up to be.”
Finally, the bridge is an expression of how I feel about myself. I’m saying that
what makes anyone “Golden” isn’t the popularity or the favoritism. It’s your art and
your personal expression and doing what you love.
Album
This song I wrote in collaboration with my friend, John David Ganther, who
wrote the piano part. The inspiration for this song came when I was thinking of the
song, “Photograph,” by Nickelback. I wanted to write a song personifying a photo
album and explaining that I myself am a photo album that holds pictures and stories
and memories. This song is an overall portrayal of my feelings about growing up.
It begins with the verse saying, “I am an album.” I am describing myself as a
photo album, or a scrapbook, as if I contained pages with pictures and recipes. I go
on to describe what the items in my album illustrate. A lot of these lines have more
than one meaning: “Beauty and balance overcome me” means I’m overwhelmed by
beauty and balance but these traits are also overflowing in my “album.” “Leaves” is
also meant to describe pages of the album.
In the pre-chorus I’m speaking to everyone in my life that tries to hold me
back from being myself. The idea for this song came to me when I became frustrated
with the feeling that in order to be an adult by most standards I had to give up the
innocence and joy I kept with me from childhood. The pre-chorus is my rejection of
these ideals. The chorus is further driving this point. I am explaining what it means
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to me to remain young at heart and not give up your innocence in order to fit
societal norms. You need to constantly take new steps and dance on the edge. “Fill a
new frame” is referencing back to the title of the song and the verse.
Fool Proof
I wrote this song as a tribute to my parents. Having listened to the song
“Daughters” by John Mayer and countless other songs written by artists to their
parents I was inspired to write a song to express to my parents how much they
mean to me. Before I wrote this song, I wrote a poem called “A Dance” and I based
the song off of that. The first verse of this song is a comment on the talents in my
family. My mother was a first chair violist and my father sang and played trumpet.
I’m describing all the things I love to do with my family. That is, until they’re not
with me when I’m away at school.
In the second part of the verse I am explaining all that they have done for me,
helping me to grow and become a strong person. The chorus is an admission of
thanks to them for everything we’ve gone through together. I am directly addressing
them to tell them exactly how much I appreciate them. The next verse is further
telling them I appreciate what they’ve done for me and the ideals they’ve instilled. I
then thank them again with the chorus.
Passing Grade
I wrote passing grade when I was involved in an Acting class at Pace. I was
working on a scene with a classmate of mine whom I had been very attracted to and
he chose a very romantic and sexually driven scene for us to do.
In the first line I am talking about how we aren’t getting along as scene
partners like I’d hoped we would. My feelings for him cause tension between us and
we begin to fight. I suggest that he may be catching on to how I feel and that could be
the reason he’s upset (And you might be afraid, I need to tell you somehow). The
chorus is a plea for us to get through this scene without it ruining our friendship. I
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am saying that we can do this together; I just want him to be the person I’d expected
him to be (All I need you to do is change).
In the bridge I wander off into my thoughts. These are all the questions that
cross my mind when I am rehearsing with him. I am frustrated by the fact that he
doesn’t have the same goals in getting to know me as I do in getting to know him
(would you feel really low if you walked out the door and you never knew me).
In the second verse I’m coming back to a place of reasoning with him. I am
telling him that this song isn’t merely a nice little explanation of how I feel, but a
confession of my strong feelings for him. I am telling him that though I feel a lot
more strongly for him than I’d intended to I don’t want my feelings to come in the
way of our work and that I will put my emotions to the side to do what I need to (So
for now I’ll compose myself and give you all the space you need to…).
Comfortable Air
I wrote this song when I was in my first relationship with my now ex-
girlfriend. I was inspired to write this song to her because we’d only known each
other for a short amount of time but we already felt extremely comfortable with
each other.
In the first verse I mention, "It’s been a long day, it's been a long year/let's
wash it away." This is describing how I've waited so long to meet someone like her
and now we can erase the past together. The chorus explains my reservations and
my fears and how being in her air makes me comfortable and lessens my hesitance.
The second verse is an expression of my hopes for our future together.
Splinter Left Behind
I wrote this song after I woke up from a terrifying dream. The dream I had
has been reoccurring for the past few years. In the dream I wake up one day to find
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that my teeth are crumbling and falling out of my mouth one by one. When I look in
the mirror I don’t have many teeth left but what is left behind are splinters of wood
jutting out from my gums. In the dream I walk around with my hand over my mouth
so people can’t see my now hideous smile. I ask my mother to take me to the dentist
to fix my teeth but she refuses. After doing some research into the meaning behind
the dream I found this, “One theory is that dreams about your teeth reflect your
anxieties about your appearance and how others perceive you…the loss of teeth in
your dream may be from a sense of powerlessness.”
The first verse is describing the dream itself. I then go into my interpretation
of the dream. I believe the dream is about a significant other who’s moved away (I
could close the book of you and me). Though the dream is terrifying I want to study it
and figure out how it connects to my feelings about her leaving (But I want to feel
the splinter left behind/Pushing me to study what I find). The third verse is further
describing elements of the dream.
I then break away in the chorus to ask, “Can I go now?” I am pleading with my
subconscious to allow me to put these dreams to rest. I am asking, “When I wake up
will you be here?” The final verse describes the moment I awoke after a restless
night having this dream and wrote this song.
The bridge is a final detour from the thought of the song overall. This is a
confession and caution to anyone who wants to know about my thoughts and
dreams. I then end the song with the chorus; a final plea for the dream to die once
and for all.
Afterthought
It had been almost a year since my ex-girlfriend and I had broken up. It was
an extremely messy break up and had left me with many emotional scars that
healed very slowly. Because of this I tried to avoid seeing her when I went out with
friends. This could only go for so long as she was the MC for a popular lesbian party
in Manhattan. One night my friend proposed we attend her party and I complied
after avoiding it for so long. Seeing her that night inspired the idea behind
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Afterthought.
I begin the song reflecting on the idea of her presence in the community.
Expressing that I thought her miniature fame was only in my head but I can see now
that everyone really knows and loves her. In the second verse I reminisce about a
time when we were together and she was mine as opposed to everyone else’s. I
insist that I was the first to know how great she was implying that this feeling has
been taken away from me. In the third stanza I’m accepting the way things have to
be now. She’s her own person and I just have to accept that she will be everywhere.
Then, in the chorus, I let my inner monologue about this come out. I’m not
satisfied with the idea that I’m no longer a part of her massive world. I thought I’d be
her sidekick and someone who could help her. I’m asking why she had to leave me
behind and go off to do bigger things while I’m “sitting in the dust.”
In the following verses, I admit to the fact that I’m beginning to be okay
without her; that I’m accepting our separation and finally moving on. But still the
idea lingers in my mind that we could have been a team and that I’ll miss her still.
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Annotated Bibliography
Skeels, Wilbur, and Mary Frye. "Text of ‘Do Not Stand At My Grave and Weep’"
Cantus Quercus Home Page. 2001. Web. 24 Apr. 2011.
<http://cantusquercus.com/9611text.htm>
This source gave me the chorus of my song “My Baby.” A piece of the poem
inspired this song and is used as a part of it.
Lady Godiva by John Collier. Lucky and Vin. 20 Jan. 2011. Web. 24 Apr. 2011.
<http://www.luckyandvin.com/reviews/lady-godiva-by-john-collier/>.
This painting inspired the "past like a painting" line of my song “Fog.” The
demeanor of the woman in the painting reminded me of the feeling I was
attempting to portray through the song.
Kroeger, Chad. "Photograph." Rec. Jan.-Feb. 2005. Photograph. Nickelback, 2005.
MP3.
This song inspired the song “Album.” I interpreted their going through their
pictures
and citing memories as them looking through an album of
themselves. I then wrote a song personifying a photo album.
Mayer, John. "Daughters." Rec. 2003. Daughters. John Mayer. Jack Joseph Puig, 2004.
MP3.
This song inspired me to write a song dedicated to my parents.
"Dream Moods: Common Dreams: Falling Teeth." An Online Guide To Dream
Interpretation. Web. 13 May 2011.
<http://www.dreammoods.com/cgibin/teethdreams.pl?method=exact>.
In order to understand my dream that I wrote about in “Splinter Left
Behind,” I used this website.
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The Stieg Effect
An analysis of the life, work, and social change
created by author Stieg Larsson
Andrea Panichi
Communication Studies, BA
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Abstract
The purpose of this thesis is to examine the life of Swedish author Stieg
Larsson and how his career as a journalist and activist lead him to create the global
phenomenon, The Millennium Trilogy. Through writing about international political
themes, Larsson successfully tells a tale of a female heroine, Lisbeth Salander, who
overcomes her tragic destiny. Originally written in Swedish, Larsson creates a
cultural assimilation through writing about universal themes, such as computer
hacking and crimes against humanity. The three novels, The Girl with the Dragon
Tattoo, The Girl Who Played with Fire, and The Girl Who Kicked the Hornet’s Nest are
together called the Millennium Trilogy, and after only 6 years of publication, sold
more than 65 million copies in more than 44 different languages. The novels are
additionally the first major block buster books about social networking.
Unfortunately, Larsson never saw the success of his novels, having died before
their publication. This thesis will search for the truth behind the fiction by using
current events that reflect the issues he proposes. It will also explore the idea of
writing as a medium for social change by enlightening readers through journalism
and literature. Through discussing the international success of the novels, this thesis
aims to show the power of universal themes in transcending cultural barriers to
create awareness of global issues. The books have not only become a symbol of pop
culture, but also a symbol for social justice. The Millennium Trilogy is a series of
crime novels that are a delivery system for social activism in the 21st century that
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incorporates contemporary technology as well as traditional “who dun it” story
lines.
The Millennium Trilogy, written by author Stieg Larson, has received tremendous
success within the United States and internationally. Originally written and published in
Sweden, the book series consists of three fiction novels, The Girl with the Dragon Tattoo,
The Girl Who Played with Fire, and The Girl Who Kicked the Hornet’s Nest. Stieg
Larsson lived most of his life as a journalist and completed The Millennium Trilogy as a
side project. He died of a heart attack in 2004, shortly after receiving the news that his
novels were to be published. He left behind his father, brother, and long-term partner,
Eva Gabrielsson. The books were released in Sweden the following year in 2005, and due
to the extreme popularity went on to be bought, translated and released by international
publishers such as Random House in the United States. Stieg incorporated his life
experiences and passions into his writing and hoped to create a piece of work that would
change the manner of crime fiction writing and the way authors approach social issues.
The global popularity and acclaim earned by The Millennium Trilogy is attributed
to the universal themes it possesses. The topics proposed in the book series go beyond
cultural differences to create a global understanding. Subjects such as the capabilities of
technology and the struggles of oppressed women create interest and awareness for all
readers. It forms a call to action in which the audience feels empowered to follow in the
footsteps of Lisbeth Salander and Mikael Blomkvist. The Millennium Trilogy exemplifies
the power of literature in creating social change through bringing attention to current
issues. It proves that the communication medium of writing in the 21st century has the
capability of influencing a very large readership.
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Stieg Larsson was born on August 15, 1954, in the small town of Sklleftehhamn,
Sweden, with a current population of about 3,000. Being born to two teenage parents who
were unable to raise him, he was sent to live with his grandparents. His parents then
moved to Stockholm to search for work. His grandparents lived on a farm within a
surrounding community of about sixty inhabitants (Thompson 55). For many Swedes, the
northern part of the country is extremely rural and beyond having any knowledge of, but
for Stieg, he incorporated his experiences living there into his novels by referencing
actual towns and locations. According to Stieg’s partner, Eva Gabrielsson, growing up on
the Swedish countryside “took plenty of ingenuity to survive, but such an environment
breeds hardy individuals, self-reliant, resourceful, generous folks who can be counted on
in a pinch. Like Stieg” (Gabrielsson 8, 9). Despite the hardships of growing up without
many things, such as heating in the small wooden house in which he lived with his
grandparents, his life was still filled with happiness and love. They instilled lessons in
him such as nothing is impossible and that “chasing after money is contemptible”
(Gabrielsson 9). At the age of eight, Stieg’s grandfather, Severin, had a heart attack and
died. He was left only with his grandmother. After losing his grandfather, the carefree life
that he knew came to an end. In 1962, Stieg, along with his grandmother, moved in with
his parents who had now left Stockholm and lived in a small city named Umea
(Thompson 55). They had an additional child named Joakim in 1957 and were officially
married in 1958. Stieg felt as though he barely knew his parents anymore (Gabrielsson
10).
As told by Stieg, his grandfather was an anti-Nazi communist having been
imprisoned during World War II. Additionally, Stieg’s parents participated in marches
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and demonstrations supporting social democracy, and at the age of fourteen, Stieg was
already committed to politics. He was very independent at an early age and often spent
much time on his own reading and writing. Politics became a big part of his life, having
his grandfather being a committed communist and his parents being social democrats.
Stieg became accustomed to arguing and having political discussions. A classmate of
Stieg’s at Haga School in Umea described, “If there was anyone being bullied or
victimized he would step in and try to resolve the problem. Not by fighting, there were
others who did that-but by talking” (Pettersson 17). He enjoyed activities such as drawing
and essay writing, and debating with teachers about his grades, which almost always
resulted in them being raised. He had interests in science and technology, leading him to
borrow the school keys to use the telescope there and participating in a radio club in
which students would seek out distant radio stations for fun. At the age of twelve, Stieg’s
parents bought him a typewriter in which he would write boys’ detective stories, similar
to the ones he read from the United States. He would write until extremely late hours of
the night in the basement of his building, as to not wake his brother, Joakim, with whom
he shared a room (Pettersson).
At the age of sixteen, Stieg was extremely independent and even asked his parents
for his own apartment. In 1970, he began renting his own room across the hall from his
parents and only visited home for the occasional meal. He decided to specialize in social
sciences in high school and at this point was considered a seasoned activist, having
served in the NLF (National Front for the Liberation of South Vietnam) for two years. It
was through NLF that he met Eva Gabrielsson in 1972. They shared many interests and
immediately became a couple. Eva described meeting Stieg, “He fascinated me. There
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was nothing theoretical about the way he spoke from the heart, from his gut, and yet he
was entertaining, too” (Gabrielsson 24). Stieg’s mother, Vivianne, became a mother
figure to Eva considering she had lost her mother very young. Eva stated how “Stieg and
Vivianne were very much alike, and anything they did was done with wholehearted
commitment” (Gabrielsson 18). Additionally Eva’s grandmother became quite fond of
Stieg often stating that he was “a good man” (18). Eva described how she often pushed
Stieg to write: “When he saw his first published article, he was so thrilled that I think he
decided to become a journalist on the spot” (24). At the age of 18 he took the journalism
school entrance exam, failed, and refused to take it again. He started earning his living off
of odd jobs while Eva was in school. Gabrielsson emphasized in her memoir,
“Sometimes we tried to pull back a little, to get some perspective, but the attraction we
felt was too strong…we were made for each other” (Gabrielsson 28, 29).
In 1979, Stieg joined the TT New Agency in Stockholm, an equivalent of the
Associated Press, and ended up working there for 20 years. He began by answering
phones and doing secretarial tasks, and then transitioned into illustrating articles. He was
able to display his talent when filling in for a colleague, and eventually earned himself a
permanent position. Lacking a journalism degree, he was never given reporting
assignments, but established himself creating “news graphics” and was highly regarded at
TT. During this time he was still active in the Socialist Party and wrote many articles for
a weekly publication titled, Internationalen (Pettersson 43). According to his partner
Eva, “Most of his colleagues saw Stieg as a pleasant person, intelligent, but difficult to
get a handle on, especially since he tended to keep his private life to himself”
(Gabrielsson 42). Stieg became an unofficial consultant for the news department
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regarding current events. He had much insight into political corruption and the crimes
being committed in the mid-80s by the extreme right. The TT News Agency was praised
for their knowledge of such subjects, with the root of their insight being stuck in the
graphics department. Even with the support of his fellow colleagues and journalists at
TT, he was never promoted because they said, “Stieg cannot write” (43). In the mid-90s,
a tough time for media companies, TT had many lay-offs and eliminated Stieg’s whole
department. Regardless of the fact that his political insight proved he should be moved to
the news department, the company still refused, falling back on their old argument. In
1999, realizing he would never advance; he left the company and 20 years of work
behind (Gabrielsson).
After Stieg’s departure from TT, he devoted himself entirely to the organization
he cofounded in 1995, the Swedish Expo Foundation and their magazine publication
named Expo. Having strong views on subjects such as racism and feminism, Expo
attracted a lot of attention and often had to change meeting locations to escape
harassment. Extremist groups also started issuing threats to people who supported Expo,
and even vandalized their printing house with swastikas and writing, “Don’t print Expo.”
The printing house gave in and refused to print any further, however two major
newspaper publications in Sweden offered to print Expo as a supplement to their own
paper. The magazine kept going until 1997, when costs increased and income decreased.
At this time it managed to stay alive through contributing commentary to other
publications and producing occasional supplements. It did not resurface independently
until 2003 with the help of grants to foster the culture of democracy among youth and
examine instances of racial discrimination and crimes within society. Expo survived as
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best it could, with the similar strength and perseverance that the fictional Millennium did.
Gabrielsson wrote, “The 1990s were a grueling period during which he worked like a
man possessed…Stieg wrote constantly, hoping to sound the alarm about nationalist
political parties like the Sweden Democrats” (48, 51). In addition to Expo, Stieg also
wrote articles for the antifascist British publication, Searchlight. Having grown up under
the influence of his grandfather’s anti-Nazi political views, Stieg had a constant
admiration for Searchlight. When having met the editor at a business meeting in London,
they formed an instant bond and Stieg began writing for them. With Stieg’s name
associated with Expo, Searchlight, and additional left-winged extremist publications that
he contributed to, this led to multiple threats and many enemies. This was a big factor in
the decision for Eva Gabrielsson and Stieg to not get married; Stieg believed it would be
safer to not be associated with each other or share the same name.
Aside from Stieg’s many political and journalism endeavors, he also had an
extreme interest and passion for both reading and writing crime novels. While working
for Expo and Searchlight, he was also writing his own stories revolving around a female
protagonist named Lisbeth Salander with a working title, Men Who Hate Women (still the
remaining title for the Swedish publication). In the autumn of 2003, he decided to submit
his two completed novels (books one and two) to Sweden’s third largest publishing
house, Piratforlaget. It was returned unopened with a rejection letter. Considering Stieg’s
prior commitments, he remained busy with other work, not thinking about his book
series. It was a colleague at Expo that sent out a manuscript of the first novel to
Nordstedts, Sweden’s oldest publishing house. In the spring of 2004, Nordstedts agreed
to move forward and publish all three novels of The Millennium Trilogy. Publishers at
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Nordstedts read and passed the novels along to a retired publisher named Lasse
Bergstrom, who noted that Stieg “managed to hold together the most wide-ranging of
plots…the first book was an almost classic detective mystery, the second more of a police
procedural. The third book would turn out to be a version of yet another genre, the spy
thriller” (Pettersson 222). He predicted that the books would be very successful if
published. Stieg had intended to write a series of ten novels, and Nordstedts agreed on
three and gave him a book advance that was almost unheard of for a new author. Stieg’s
main publisher, Eva Gedin, proposed the title Men Who Hate Women, but Stieg refused
to change it and they ultimately agreed. Gedin commented, “One thing that was really
striking was that he had the entire plot in his head, despite its complexity. He never lost
sight of any character and never confused a name” (Pettersson 224). Once word got
around of the predicted success of the books, a number of international publishers
expressed interest in the manuscripts and there was an immediate offer from a German
publishing house (Gabrielsson).
Shortly to follow the wonderful news that Stieg would finally be rewarded for all
of his hard work, he died suddenly November 8th of 2004. When entering the office
building of Expo to find that the elevator was broken, he climbed seven flights of stairs
only to suffer a heart attack once he reached the office and was taken to the hospital
immediately. With his wife and co-workers in complete shock, this also meant that the
publication process would become much more difficult, with many unanswered questions
and decisions having to be made without him. Publisher Gedin stated, “We all agreed the
books should be published. But it was a massive challenge. How would we launch these
novels without the author with us?” (Pettersson 227). There was an element of doubt for
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all of the publishers involved, but they came to a conclusion that they must continue on
and print. The first novel, Men Who Hate Women (The Girl with the Dragon Tattoo) was
first published in Sweden in the summer of 2005, and with much success, sold double the
expectancy. The second book was published in 2006, and the third in 2007, with first year
sales increasing with the release of each book. A nurse admitted that within Stieg’s last
moments, he gathered up enough strength to tell the nurse, “You must contact Eva
Gabrielsson” (Gabrielsson 132). Eva, being the closest person to him, immediately
stepped in to help Expo and contribute as much as possible to The Millennium Trilogy,
but considering they were never married, legalities prevented her from gaining access to
his intellectual property and estate. Stieg’s father and brother, whom according to Eva
barely contacted Stieg throughout his adult life, took everything and showed her little
sympathy or generosity. Eva wrote, “I thought back over all those years of frustration that
had wounded the man of my life, years during which some people had refused to
recognize his abilities, his immense store of knowledge, and his worth” (150). Today,
The Millennium Trilogy is one of the most successful book series ever written, having
sold millions of copies internationally and made into major motion pictures.
Within The Millennium Trilogy, a text rich with details, characters and complex
story lines, one cannot help but wonder if there are any truths behind the fiction. How did
Stieg decide to write about these ideas and themes? What parts of Stieg’s life are
incorporated into the novels? There are clear indications as to why Stieg made certain
choices, such as the setting being Stockholm and Mikael Blomkvist having a career as a
journalist; these were the details of Stieg’s life. However, there is deeper reasoning
behind him making these choices. This was the life he knew, and felt he could write most
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honestly under these circumstances. There were also many things that Stieg wanted to
emphasize about journalism. Eva Gabrielsson wrote, “The novels speak of values, justice,
of journalism in the noble sense of the world, of the integrity and efficiency some people
bring to their jobs” (94-95). Additionally, “throughout the trilogy an overt feminist
consciousness presides” (Burstein 26). The decision to use a character such as Lisbeth
Salander as the protagonist resorts back to Stieg’s life experiences and how he learned to
advocate and understand the struggles of women. According to Eva, “When I’d met Stieg
in 1972, he was already a staunch feminist” (72). Stieg incorporated many elements of
himself into the characters, plots and themes of The Millennium Trilogy.
Stieg’s career as a journalist resulted in many personal struggles. Similar to
Blomkvist, Stieg worked to expose the wrongful and criminal acts of politicians,
extremists and gangs. He dedicated most of his adult life writing for Searchlight and
Expo. Both being leftist publications, “Expo was undisguisedly the model for Millennium,
the journal that is Blomkvist’s home base in the trilogy” (Acocella). Writing for such
publications, this created many enemies that made it their life’s mission to see that Stieg
was silenced. Stieg became “a hated enemy of the far right” (Gabrielsson 53). Being
subject to many threats, Stieg had to constantly be aware of his surroundings and safety.
Occasionally, he would get bullets sent to him in the mail and would notice strangers
waiting outside the entrances of where he was working, and he would then exit through
the back door. Stieg and Eva also had to leave their answering machine on “record,” for
evidence of all the death threats. Messages typically went something like this, “Piece of
shit, you Jew-fucker…traitor, we’ll tear you apart…and we know where you live…”
(Gabrielsson 56). The events that Stieg witnessed throughout his career were used to
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support the examples described in the book series, “In fact, everything described in The
Millennium Trilogy has happened at one time or another to a Swedish citizen, journalist,
politician, public prosecutor, unionist or policeman. Nothing was made up” (Gabrielsson
57).
Stieg’s methods and work ethic behind journalism is often seen in the acts of
Michael Blomkvist, “Stieg put his entire code of journalistic ethics into The Millennium
Trilogy” (Gabrielsson 67). Like Stieg, Blomkvist believes that journalism should be
pursued with honesty and used to create social change for victims who have undergone
injustices in their lives. Blomkvist expressed these feelings after his sentencing in the
Wennerstrom affair:
His [Blomkvist’s] contempt for his fellow financial journalists was based on
something that in his opinion was as plain as morality. The equation was simple.
A bank director who blows millions on foolhardy speculations should not keep his
job. A managing director who plays shell company games should do time. A slum
landlord who forces young people to pay through the nose and under the table for
a one-room apartment with shard toilet should be hung out to dry (Larsson/Tattoo
53).
Stieg’s viewpoints are also reflected in Blomkvist’s focus on the readers and material
being published within Millennium. Blomkvist makes statements along the lines of, “It
doesn’t matter how many advertisers we have if no one wants to buy the magazine.”
Stieg believed that in journalism, you owe your readers the truth, not stories that simply
increase revenue and create shock value. Stieg even mocks the media within The Girl
Who Kicked the Hornet’s Nest, showing the influence of media in creating and spreading
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a false story of Lisbeth’s past. The media forms the phrase that she is a “Lesbian
Satanist” and within hours it is printed in multiple headlines. An additional principle that
Stieg believed in was the protection of sources in journalism. Throughout the novels, you
never hear anyone reveal their source, and this is due to Stieg’s strong feelings about the
subject. He believed that all sources must be protected and makes that clear through
Blomkvist’s behavior regarding his work.
Stieg’s financial struggles with Expo are seen throughout the way Millennium
deals with similar situations. Stieg was a great editor and chief of Expo, but lacked the
ability to control the magazine’s finances. This was the exact position Blomkvist was in
after Berger left Millennium in the third novel. Expo had to constantly come up with
additional ways of funding. There was even a letter found after Stieg’s death that was
addressed to a financial sponsor asking for money. This letter was dated two days before
Stieg’s passing. A similar reality for Expo, Millennium struggled with a lack of
advertisers and barely having enough funds to make it through one year of publication.
Millennium magazine shared the same morale and mission as Expo, to continue writing
and to never give up, “Without Stieg’s battles and crusades, The Millennium Trilogy
would never have seen the light of day” (Gabrielsson 64). By incorporating examples
from his own experiences, he creates an accurate depiction of the everyday challenges
within the field of journalism and working for a magazine like Millennium.
Gabrielsson writes, “The Millennium Trilogy is a catalogue of all forms of
violence and discrimination endured by women” (71). Stieg’s support of the female
community began as a teenager. One weekend, he witnessed an incident that changed his
life. He watched a group of boys attack and rape a girl at a campground. Afterwards, he
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could never forgive himself for not intervening and even attempted to approach the girl to
talk about it, but she refused, stating, “You’re one of them!” Stieg felt overwhelming
guilt. This contributed tremendously to Stieg’s views on feminism, if not being the
complete source of it. Following this event, “Larsson’s campaign against the abuse of
power eventually became focused on one victimized group: women” (Acocella). He
additionally enjoyed working with women and found them “more creative and less
ambitious, less conniving than men” (Gabrielsson 72, 73). Within the workplace, he
always treated men and women equally. Stieg was also drastically affected by the deaths
of many women at the hands of men. He often followed murder cases within the news
and admitted that all of the cases described in The Millennium Trilogy were inspired by
real murders. He sympathized with women and understood their struggles. Through his
work he hoped to “show women as he saw them: brave, free, strong enough to change
their world and refuse to be victims” (Gabrielsson 75).
It is impossible for any artist to create anything without parts of themselves in it.
For Stieg, he incorporated his love for his career and his passion for feminism into The
Millennium Trilogy. The way that Mikael Blomkvist approaches his work as a journalist
is how Stieg looked at journalism as well. He portrays journalism as something of a duty,
rather than a job, as if journalism is something that needs to be prevalent in society, to
provide people with honest insight. Stieg used his experiences at Expo to form
Millennium. With the same mission in mind, they both fight to provide truth for their
readers. Stieg’s personal opinions on feminism are extremely prevalent throughout the
novels. In creating Lisbeth Salander, she embodies all of the traits of a true feminist who
always overcomes her battles. One commentator wrote, “The Millennium Trilogy is one
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long female revenge story” (Burstein 26). The novels speak of Stieg’s beliefs, values and
journeys within the world of journalism and feminism.
The character of Lisbeth Salander is non-traditional in every sense of the word.
This female heroine challenges all social norms through her appearance, actions, and just
about every other attribute. Readers soon deemed Salander as “an irresistible new
character in the [crime fiction] genre” (Forshaw 3). It is difficult to pinpoint the moment
when readers fall in love with Salander. Considering her list of characteristics, one would
think she would receive the opposite reaction. From the outside she appears to be less
than five feet tall and weighing in at about 90 pounds. She has short black hair and a
number of piercings and tattoos, not to mention one intimidating stare. She is perceived
to be anti-social, violent, and bi-sexual. However, “Larsson portrays her with both
tenderness and humor” (Thompson 11, 12). She is admired for her determination, “she
wants and expects to live her life according to her own ideas, beliefs, morality and
resources, regardless of what anyone else may feel or think about it” (Thompson 73).
Readers have come to love her simply because there is no one else like Lisbeth Salander.
She challenges the typical crime fiction novels of the past and makes way for a new,
modern protagonist.
Lisbeth defies all gender roles laid out by society. She refuses to present herself
on any other terms than her own, “Not only does she not look traditionally feminine, but
she goes even a step further and, through her extremely short hair, multiple piercings in
her eyebrows and nose, unusual tattoos, and rebellious clothing, ensures that her
appearance is as unconventional as possible for a woman” (Rosenberg 52). Additionally,
Lisbeth’s intelligence and actions make her unconventional. Typically a male-dominated
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field, she conducts background checks and participates in computer hacking for Milton
Security. Also, her lack of emotions and nurturing behavior lead her to be considered
more masculine than feminine. Lisbeth has the effect of shocking readers and making us
question how we perceive gender, “Watching someone defy our expectations of gender
roles forces us to call into question some of the fundamental beliefs we share as a culture;
it’s kind of like having the rug pulled out from beneath you” (Rosenberg 55).
Lisbeth is viewed as radical within Swedish tradition, “She rejects the consensus
doctrine and trusts only her own judgment and morality” (Thompson 72). She sets an
example for all women that they can control their own destiny. Lisbeth refuses to become
a victim and commits extremely violent acts to seek revenge. In the first novel, The Girl
with the Dragon Tattoo, in which her government-assigned guardian rapes her, she, then
butchers his stomach with a tattoo stating, “I AM A SADISTIC PIG, A PERVERT, AND
A RAPIST” (Larsson/Tattoo 209). One commentator wrote, “Protagonist extraordinaire
Lisbeth Salander performs an act that made me laugh out loud and shiver with vicarious
revenge” (Burstein 25). She is the perfect balance of aggressive, yet logical. However,
Lisbeth never acts unjustly, “She operates outside society but not outside morality. She is
an outlaw, or a sprite—a punk fairy” (Acocella). She never uses force or violence to
punish someone who has never committed a harsh act on someone else; “She does not
hesitate to use violence to right wrongs” (Burstein 26). Readers admire her for her
strength and intelligence, a true paradigm of Swedish feminism.
When the Blomkvist-Salander partnership is established, Lisbeth’s life is changed
forever. She is introduced to a man that she not only begins to like, but also respects.
Unlike the many male characters throughout the novels that need prestige and power,
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Blomkvist lacks these typical male traits, “Mikael Blomkvist is so anti-masculinist that,
in a narrative where people are brandishing chainsaws, he can take no forceful action”
(Acocella). He would never hurt a woman or cheat to get ahead. However, he is
somewhat conventional in the sense that women love him; he avoids long-term
commitment, and has a daughter from his past that he keeps in minimal contact with.
This makes Blomkvist and Salander such an unlikely pair. Lisbeth has traits that make
her seem somewhat fictional, such as the ability to knock out grown men at less than five
foot tall, while Blomkvist is rather average, career obsessed, yet admirable. Blomkvist
accepts Salander’s unique abilities, rather than striving to overcome her. Through the
time they spend together in The Girl with the Dragon Tattoo, solving the mystery of
Harriet Vanger, they become comfortable around one another and develop an attraction.
Her [Salander’s] problem was that she could not interpret her own feelings for
him. Not since before reaching puberty had she lowered her guard to let another
person get so close as she had with him. To be quite honest, he has a trying ability
to penetrate her defenses and to get her to talk about personal matters and private
feelings… It frightened her and made her feel naked and vulnerable to his will
(Larsson/Tattoo 459-60).
Blomkvist becomes one of the very few people that can spark an emotion within Lisbeth
Salander, and for this reason, readers have a chance to see the humane side of her
(Petterson).
The cyber world of true computer intellectuals is a community that Lisbeth
Salander is very much a part of. Engaging in extreme computer hacking and globalized
social networking are techniques that come easily to her. Without technology and the
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abilities of Lisbeth, The Millennium Trilogy would not be able to begin or finish. In the
first novel, The Girl with the Dragon Tattoo, the unsolved mystery of Harriet Vanger’s
disappearance would have never been solved, nor would have Mikael Blomkvist been
hired to investigate. In the second novel, The Girl Who Played with Fire, the murders
revolving around ex-Russian spy Alexander Zalachenko would have never come to a
close. In the third novel, The Girl Who Kicked the Hornet’s Nest, the scandal, which
ultimately controlled Lisbeth’s freedom, would have never been exposed. As her
government enforced psychiatrist and guardian, Holger Palmgren described her, “Lisbeth
Salander isn’t like normal people…Lisbeth is a very special girl” (Larsson/Fire 444).
With traits such as a photographic memory and the ability to teach herself complicated
math equations, Lisbeth’s intelligence provides her with many advantages. Even though
Lisbeth has the ability to use social networking and hacking to control technology and do
just about anything, she never abuses this power.
Lisbeth’s intense knowledge of computers leads her to make contacts within the
cyber world that are on her level or even more advanced. Lisbeth and her hacker friends
all have cyber identities such as “Wasp” and “Plague” in an elite online community
called “Hacker Republic.” Admittance to this community is only allowed via referral, and
it is required to know another member personally prior to being accepted. Considering
the exclusivity and small size of this community, there is a very supportive and helpful
culture. Her most valued contact, known as “Plague,” assists her with many things such
as creating fake identifications and background checks on government officials. Lisbeth
describes Plague as, “a 350-pound recluse who communicated almost exclusively via the
Internet and made Salander look like a miracle of social skills” (Larsson/Fire 327). This
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statement is ironic considering Lisbeth’s already minimal human interaction. However,
her relationships with her associates online allow her to combine resources and access
information more easily. In The Girl Who Played with Fire, Plague assisted Lisbeth in
hacking into the police information systems faster than humanly possible. This revealed
to Lisbeth police officer Ekstrom, who was leaking information to the media involving a
triple murder investigation:
Doing a hostile takeover, even with Plague’s brilliant programme and his
specially designed hardware, was a laborious process that required slipping bits of
information into a computer one kilobyte at a time until a simple piece of software
has been created…Forty-eight hours was not merely exceptional and it was
theoretically impossible. Salander was impressed…Salander soon discovered that
the person who had leaked the information to the media was Ekstrom himself
(Larsson/Fire 328-9).
The importance of online social networking within The Millennium Trilogy is
emphasized in all three books by the continual cyber relationships and exchange of
information, all in the pursuit of justice.
In a recent case involving social networking and activism, The Arab Spring, an
uprising consisting of riots and protests organized via social media, began in December
of 2010 in Tunisia. This movement has continued on to the present day and proven
successful in making political, economic and social changes. One of the most memorable
and effective demonstrations done during this period was seen in Egypt in January of
2011, “by using the social networking sites, activists organized and publicized the
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unprecedented protests that gave rise to the so-called Arab Spring” (Huang). Social
media allowed groups to form and protesting events to be easily planned and executed.
According to the Arab Social Media Report by the Dubai School of Government, “Social
media – its rise and its new activist uses – have ‘played a critical role in mobilization,
empowerment, shaping opinions and influencing change,’” the report stated (Huang).
Wael Ghonim, a Google executive who took leave to help organize the protests in Egypt,
was soon jailed for his efforts and then later released. In an interview following this, he
was quoted saying that if “you want to free a society, give them Internet access” (CNN).
This allows people to read articles online not only about their country, but the entire
world, as well as providing multiple platforms for freedom of speech. When being
praised for his efforts, he emphasized how he was only behind the keyboard and that the
revolution belonged to the Internet youth. Technology and social networking specifically
are very powerful tools and have many advantages, especially for those seeking to
organize and fight for change.
The growth and existence of extreme computer hacking in our world today is a
topic worth examining. For Lisbeth Salander and the “Hacker Republic,” it was a way for
them to access information and create justice; they “did not generally spread computer
viruses. On the contrary- [they were] adversaries of those idiots who created viruses”
(Larsson/Nest 242). However, this great power can easily be abused to cause destruction.
In The Girl with the Dragon Tattoo, hacking is taken to a high capacity when Lisbeth
Salander, with the assistance of Plague, creates the fake Norwegian identity of Irene
Nesser to steal dirty money from the criminal, Hans Wennerstrom. Regardless of the
moral justification behind stealing back from Wennerstrom, it is still a remarkable act of
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stealing and could create great chaos in the hands of the wrong people. By Stieg writing
about the extensity of computer hacking, it makes the audience receptive to people’s
capabilities and is an indicator of the modern world. The contemporary theme of
technology within The Millennium Trilogy makes it an informative piece of work in
creating technological awareness.
In a current hacking scandal, a Middle East cyber war has taken hold between the
countries of Israel and Saudi Arabia. Essentially a war between Jewish and Arab hackers,
this adds a virtual element to the already existing conflicts in the Middle East. Being one
of the greatest instances of data theft in Israel, a hacker who identified him or herself as a
Saudi national and goes by the name of “Oxomar” published private credit card
information of 400,000 Israelis online. Oxomar is the self-proclaimed leader of a Saudi
Arabia-based hacking group named, “Nightmare.” Being released in early January 2012,
Oxomar described his findings as “a gift to the world for a new year” (Knell). Shortly to
follow, an even higher number of Israeli credit card information was posted online. Of
this large number, Israeli officials stated that over 20,000 credit card accounts were
affected, and many cards were cancelled and reissued. Israeli deputy foreign minister,
Danny Ayalon labeled the attacks as an act of terrorism and gave notice that Israel would
“retaliate forcefully.” After this occurrence, Mr. Ayalon’s website was attacked.
Retaliation took place from an Israel based hacking group named the “Israel Defenders”
in releasing private information of the Saudi Arabians (Blomfield). An online post was
titled, “Free Saudi’s credit cards!” and consisted of names, e-mail addresses and phone
numbers (Knell). The following month, hackers were responsible for interrupting the
computer systems of the Tel Aviv Stock Exchange and the national airline, El Al. This
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attack shows the extent to which hackers are taking action. From a study conducted in
Israel, Internet experts praise the country for being “one of the world’s best-protected
countries against cyber-attacks” (MacIntyre). However, the most recent events make it
clear that times are changing and hackers are becoming more educated.
The presence of technology with The Millennium Trilogy, paired with the success
of the book series, shows that computers are an international language. Essentially, the
capabilities and functions of technology are the same, and this allows the subject of
computers to be understood interculturally. Being written with intricate details as to the
technological actions of Lisbeth and then translated into multiple languages from
Swedish, it creates a possibility for confusion for global readers. However, it did quite the
opposite. Readers are able to understand and be intrigued by the technological aspects of
the story. Foreshadowing the possibilities of the future, technology poses questions such
as the inability to enforce strict Internet regulations and the possibility of the need for a
reorganization of society. Not only did the novels create a global assimilation through the
universal interest of computers, but also educated a worldwide community about the
limitless extents of technology.
There are many elements of crime within The Millennium Trilogy, mainly being
crimes against women. For Lisbeth Salander, her whole life was spent being a victim to
the power and control of a section of the Swedish government working to cover up a
scandal. The lack of government transparency within society allowed for the unnecessary
confinement, rape and public humiliation of Lisbeth Salander. The same goes for an
additional community of young women. Lisbeth’s father, Alexander Zalachenko, was a
part of a large prostitution ring based out of Sweden. The language used to refer to all
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women in the novels is usually along the lines of “whore,” or any other derogatory form
of name-calling. Continuous instances of female oppression are exemplified throughout
all three books and enforce the overall concern for gender equality and the policing of
ruthless corruption.
The occurrence of crimes against women begins early on in the book series and
continues throughout all three novels. After being introduced to Lisbeth Salander, we are
informed of her past and the hardships she underwent as a young girl and young woman.
Once being made aware of the history of her mother’s abuse by her father, as well as
Lisbeth’s own cases of abuse, we come to understand the relevance of female oppression
within Lisbeth’s life and The Millennium Trilogy. In an act of defending her already
badly beaten mother, Lisbeth attacks her father by lighting him on fire while he is leaving
her home. She acts on an impulse of defiance, for her father had beaten her mother so
badly, that she lost all consciousness. This was not Lisbeth’s last exposure to physical
abuse. She went on to be violated by one of her childhood psychologists named Peter
Teleborian, and then raped by her later government assigned guardian, Nils Bjurman. The
carelessness of the adults and mentors surrounding Lisbeth’s childhood combined with
the oppression she has undergone in her adult life exemplifies some of the injustices that
women face.
The act of rape is a horrifying crime that is often committed against women.
Leaving women psychically and emotionally scared for the rest of their lives is a thought
not regarded when opposed with the selfish and greedy acts of men. In a recent event, an
accused rapist and NYPD police officer by the name of Michael Pena or the “rape cop”
was convicted on March 27, 2012 of three counts of predatory sexual assault (King). In a
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drunken state, Pena attacked a 25-year old school teacher at gunpoint on an August
morning on her way to work. Pena’s lawyer emphasized, “He’s been remorseful from the
very first moment his head cleared and he realized what a terrible thing he did” (Jurors).
Jurors came to the verdict that no rape was committed due to DNA evidence that showed
no actual vaginal penetration that occurred. Convicted of multiple accounts of assault, no
rape charge was ultimately placed. The victim reportedly “hid her tear-streaked face in a
huddle of family and friends as she left the courtroom, clearly upset after hearing the
partial verdict” (Jurors). Pena will serve 10 years in prison for sexual assault charges as
opposed to 25 to life served for convicted rapists (Moriarty).
Within The Girl Who Played with Fire, we follow the work of journalist Dag
Svenson and his wife Mia Johanson in their quest for female social justice. Dag is
working to expose a sex trafficking ring in a feature for Millennium magazine, and Mia is
publishing a doctorial thesis following the Russian immigrant victims of the same sex
trafficking operation. The introduction of these two characters in the story assists in
exemplifying the extent to which crimes are committed against women. Mia describes,
“Girls-Victims; Boys-perpetrators…several hundred girls are transported to Sweden
every year to work as prostitutes, which in this case means making their bodies available
to systematic rape” (Larsson/Fire 80). Dag and Mia make the theme of female oppression
even more pertinent to the story of Lisbeth Salander and the overall message behind the
novels. Due to the efforts of Dag and Mia to expose those involved in the prostitution
ring, they are ultimately murdered to prevent the release of their findings. This couple
assists in showing readers the high magnitude of sex trafficking, prostitution and
organized crime within society.
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The relevance of Dag and Mia’s story, as well as the overall theme of female
oppression are seen in a current example of a prostitution ring based out of New York
City. A Scottish-born woman named Anna Gristina was recently exposed for running a
Manhattan-based brothel. She was arrested on account of running a multimillion-dollar
prostitution ring out of the Upper East Side of Manhattan and arraigned on February 23,
2012. Being a part of a five-year long investigation, she appeared in court in March on an
account of promoting prostitution and pleaded not guilty. According to assistant district
attorney, Charles Linehan, there are over 50 hours of video and audio recordings that
have been accumulated. Through surveillance evidence, Gristina was heard saying, “she
has connections in law enforcement who are poised to help her out” (Peltz). Whether the
statement is accurate or not, this is a similar instance of the government’s involvement in
organized crime within The Millennium Trilogy. Interrogators have been assigned to
question Gristina, throwing lists of “Big Apple power players at her,” hoping to gain the
names of some of her clients. Gristina exclaimed in an interview at Rikers Island, where
she is being detained, “It’s not about me; it’s bigger than me…they are clearly trying to
break me…I’d bite my tongue off before I’d tell them anything” (MacIntosh). It has been
rumored that Gristina involved some minors in her operations, but stated, “Absolutely
not,” when formally being questioned. Her bail is set at $2 million and she is yet to be
convicted (MacIntosh).
Although a work of fiction, The Millennium Trilogy contains many truths that can
be applied to our world today. For instance, sexist crimes committed against women are
being acted out globally. It sheds light on the extremities to which people will go and the
extent to which people victimize women. This book series narrates an ongoing battle of
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one female’s involvement with many perpetrators and her struggle for justice. By
graphically describing Lisbeth’s rape by someone in a position of power provides the
reader with a clear depiction of the cruelty of such a crime. Relevant to the current case
of a woman’s rape by an NYPD officer, The Millennium Trilogy is indeed an accurate
representation of the sad truth. Additionally, the novels are applicable to the current case
of the Manhattan prostitution ring, which serves as an example of how women become
objectified and exploited. For Lisbeth Salander, she conquered her own past and
continued to fight to protect other women. This is an empowering lesson and call for
social change by Stieg Larsson.
The Millennium Trilogy book series has sold an estimate of 65 million copies
worldwide as of December 2011, and has been translated in 44 different languages
(Millennium). Alfred A. Knopf, a division of Random House, published the series in the
United States. The Girl with the Dragon Tattoo was released in the 2008, The Girl Who
Played with Fire in 2009, and The Girl Who Kicked the Hornet’s Nest in 2010. As of
August 2010, an average of about 50,000 copies was sold in the US per day (James). An
estimate of 17 million was sold in the US as of April 2011 (Bosman). The third novel,
The Girl Who Kicked the Hornet’s Nest, was the most sold book in the US in 2010
according to Publishers Weekly (Millennium). Additionally, The Girl With the Dragon
Tattoo was the first e-book to sell over a million digital copies, and with combined sales
of The Girl Who Played with Fire and The Girl Who Kicked the Hornet’s Nest, reached
over 3 million (Bosman). At least one of the three novels still remains within high
ranking on the New York Times Best Seller list as of April 15, 2012; The Girl Who
Kicked the Hornet’s Nest is ranked number ten under “Combined Print and E-Book
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Fiction,” number two under “Paperback Trade Fiction,” number seven under “Paperback
Mass-Market Fiction,” and number six under “Combined Hardcover and Paperback
Fiction” (Best Sellers). Considering the book series’ publication in 2008, it has remained
in the top ten of the New York Times Best Seller list for the past four years.
Stieg received much acclaim and awards for his work in The Millennium Trilogy,
including USA Today’s Author of Year award in 2010. Aside from all of the recognition
and positive reviews of all three novels, there was the occasional critic that challenged
Stieg’s work. One reviewer expressed that Stieg portrayed an “ugly view of human
nature, especially when it comes to the way Swedish men treat Swedish women”
(Berenson). For some, they believed his portrayal was too dramatic and not accurate of
Swedish culture. Additional criticism also challenged Blomkvist’s character with
statements such as, “He seems like a stock character,” and “His relationships with his
daughter and with Erika Berger seem half formed and weak…is he stoic or merely
Swedish?” (Berenson). One of the first reviews to be written following the American
release of The Girl with The Dragon Tattoo in 2008, referring to Blomkvist’s exposure of
Wennerstrom, stated, “The story of [Blomkvist’s] revenge is boring and implausible,
relying heavily on lazy e-mail exchanges between characters…‘Girl’ ends badly
(Berenson).” However, the extreme popularity of the book series speaks for itself in
terms of criticism and global interest.
Additional attention was gained for the book series through three Swedish film
adaptations and an American remake. In 2009, the three Swedish films were released,
“These films were huge hits, and they certainly bumped up the sales of the books”
(Acocella). Having to bring the stories down to about two hours each, the films lacked a
210
lot of details; the screenwriters “got rid of a lot of the clutter and scrubbed off the sugar
coating that Larsson put on the relationship between Mikael and Lisbeth” (Acocella).
Casted in the Swedish films to play the role of Lisbeth Salander was Scandinavian actress
Noomi Repace, who portrayed an accurate depiction of Salander both physically and
psychologically. Initially, the first film was intended for commercial release, while the
remaining two would be debuted on television. However, after the success of the first
film, their intention changed. Actress Rooney Mara was casted in the American
depiction, with much to live up to following Repace’s performance, which was highly
regarded. The American film was released in North American on December 21, 2011
(Millennium).
One of the reasons for such tremendous international success of The Millennium
Trilogy is the incorporation of universal themes. Themes such as the power of
technology, crimes against women, and the significance of feminism help to create global
interest and understanding. Being filled with instances of true-to-life examples, Stieg
writes with elements of both fantasy and realism. Stieg hoped “to do something new,
something else, something that didn’t look like other Swedish crime writing” (Moriarty).
Therefore, he incorporated visions and ideas that he thought would draw people in and
create a bigger audience. One of his past colleagues described, “He saw the dark side of
Sweden. He saw racism, he saw discrimination, he saw violence against women. He saw
many things that he wanted to change” (Moriarty). The questions and issues Stieg raises
are not just concerns of the Swedish society, but of the global society. They are questions
of humanity. Is there a need for more Internet regulation? What can be done to prevent
211
crimes against women? Should women succumb to the victimization of men? These
questions transcend cultural barriers to keep readers thinking and questioning.
Stieg Larsson’s writing is not only a representation of current issues within
society, but also a depiction of the modern world. Incorporating topics of technology and
feminism, Stieg carries his novels to an enlightened place of digital activism. In the new
world of digital technologies, online blogging has become a place where people can
explore the world. The future of independent journalism has arrived, where an individual
can write and create an outcome that will promote social change. The Millennium Trilogy
creates awareness of how we can fight for social justice, and read a crime novel in the
bargain.
212
Works Cited
Acocella, Joan. "Man of Mystery: Why Do People Love Stieg Larsson's Novels?" The
New Yorker. 10 Jan. 2011. Web. 1 Apr. 2012. <http://www.newyorker.com/>.
Berenson, Alex. "Vanished." The New York Times. The New York Times, 14 Sept.
2008. Web. 1 Apr. 2012. <http://www.nytimes.com/>.
"Best Sellers." The New York Times. The New York Times, 1 Apr. 2012. Web. 1 Apr.
2012. <http://www.nytimes.com/>.
Blomfield, Adrian. "Hackers Disrupt Tel Aviv Stock Exchange and El Al." The
Telegraph. Telegraph Media Group, 16 Jan. 2012. Web. 1 Apr. 2012.
<http://www.telegraph.co.uk/>.
Bosman, Julie. "‘Girl With the Dragon Tattoo’ Sells More Than 1 Million Digital
Copies." Culture and the Arts. 17 Apr. 2011. Web. 1 Apr. 2012.
<http://artsbeat.blogs.nytimes.com/>.
Burstein, Daniel, Keijzer Arne J. De, and John-Henri Holmberg. The Tattooed Girl: The
Enigma of Stieg Larsson and The Secrets Behind the Most Compelling Thrillers
of Our Time. New York: St. Martin's Griffin, 2011. Print.
"CNN Official Interview: Egyptian Activist, Wael Ghonim 'Welcome to Egypt
Revolution 2.0'" YouTube. CNN, 9 Feb. 2011. Web. 1 Apr. 2012.
<http://www.youtube.com/>.
Forshaw, Barry. The Man Who Left Too Soon: The Biography of Stieg Larsson.
London: John Blake, 2010. Print.
Gabrielsson, Eva, Marie-Françoise Colombani, and Linda Coverdale. "There Are
Things I Want You to Know" about Stieg Larsson and Me. New York: Seven
Stories, 2011. Print.
Huang, Carol. "Facebook and Twitter Key to Arab Spring Uprisings: Report." The
National. 6 June 2011. Web. 1 Apr. 2012. <http://www.thenational.ae/>.
James, Susan Donaldson. "Stieg Larsson Silent as Real-Life Lisbeth Raped." ABC
News. ABC News Network, 5 Aug. 2010. Web. 1 Apr. 2012.
<http://abcnews.go.com/>.
"Jurors Reach Partial Verdict In NYPD Officer Michael Pena’s Rape Trial." CBS New
York. 27 Mar. 2012. Web. 1 Apr. 2012. <http://newyork.cbslocal.com/>.
King, James. "Michael Pena, "Rape Cop," Convicted. DA Cyrus Vance Vows "No
Mercy" At Sentencing." The Village Voice Blogs. 28 Mar. 2012. Web. 1 Apr.
2012. <http://blogs.villagevoice.com/>.
Knell, Yolande. "Israeli Hacker Retaliates to Credit Card Hacking." BBC News. BBC, 12
Jan. 2012. Web. 1 Apr. 2012. <http://www.bbc.co.uk/>.
Larsson, Stieg, and Reg Keeland. The Girl Who Kicked the Hornet’s Nest. New York:
Alfred A. Knopf, 2010. Print.
Larsson, Stieg, and Reg Keeland. The Girl Who Played with Fire. New York: Alfred A.
Knopf, 2010. Print.
Larsson, Stieg, and Reg Keeland. The Girl with the Dragon Tattoo. New York: Alfred
A. Knopf, 2010. Print.
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MacIntosh, Jeane. "DA Putting the Screws to 'brothel Boss' Anna Gristina." New York
Post. 9 Mar. 2012. Web. 1 Apr. 2012. <http://www.nypost.com/>.
MacIntyre, Donald. "Hacking Group Threatens 'crusade' against Israel." The
Independent. Independent Digital News and Media, 11 Feb. 2012. Web. 1 Apr.
2012. <http://www.independent.co.uk/>.
Moriarty, Erin. "The Continuing Mysteries of Stieg Larsson." CBS News. 10 Oct. 2010.
Web. 1 Apr. 2012. <Cbsnews.com>.
Peltz, Jennifer. "Anna Gristina, NYC Madam, Charged With Running Upper East Side
Brothel." The Huffington Post. TheHuffingtonPost.com, 5 Mar. 2012. Web. 1
Apr. 2012. <http://www.huffingtonpost.com/>.
Pettersson, Jan-Erik. Stieg Larsson. ; The Real Story of the Man Who Played with Fire.
New York: Sterling, 2011. Print.
Rosenberg, Robin S., and Shannon O'Neill. The Psychology of The Girl with The
Dragon Tattoo. Dallas, TX: BenBella, 2011. Print.
"The Millennium Series." Wikipedia. Wikimedia Foundation. Web. 1 Apr. 2012.
<http://www.wikipedia.org/>.
Thompson, Laurie. On Stieg Larsson. New York: Knopf, 2010. Print.
215
Employing Entrepreneurship and
Computing to Solve University
Housing Problems
Jeremy Pease
BS, Computer Science
216
Abstract
Every day, university housing offices are faced with a set of challenging, yet
repetitive problems, particularly urban universities like Pace New York. These
problems include space allocation, resident and staff management, data storage and
accessibility, reporting, the psychological and cultural issues of the student
residents, and the age-old challenge of compatible roommates. This thesis will focus
on an interdisciplinary, collaborative, and entrepreneurial effort made by students
to leverage technology to solve these problems. The purpose is to examine how a
student created company, Reslutions Inc., was conceptualized to solve the problems
faced by a university’s housing office.
This study will involve a literature review of the root causes of these housing
problems, the efficacy of student entrepreneurship to drive solutions, and the ability
of customized technology solutions to solve these problems. The thesis will go into
detail about the different stages of the company, the technology used, and how it
solved problems. There will also be an analysis of the areas where Reslutions does
not solve problems successfully. A section will be dedicated to a next generation
opportunity that Reslutions has become involved in: roommate compatibility.
Finally, by exploring the company’s future opportunities and several indicators of
success, a development plan and forecast of growth will be made.
217
Table of Contents
I. Introduction...............................................................................................................220
II. Recognizing the Problems ...................................................................................221
a. Resident Management ....................................................................................................221
b. Guest Management ..........................................................................................................222
c. Mail and Package Management ...................................................................................222
d. Paper Forms .......................................................................................................................222
e. Reporting.............................................................................................................................223
f. Staff Accountability...........................................................................................................223
g. Data Storage and Accessibility.....................................................................................223
h. Matching Compatible Roommates .............................................................................224
III. The Efficacy of Student Entrepreneurship to Drive Solutions ..............224
IV. The Ability of Customized Technology Solutions to Solve Problems..229
a. The Technology Stack .....................................................................................................230
b. Benefits ................................................................................................................................231
c. Disadvantages ....................................................................................................................232
V. Processes and Stages of Reslutions ..................................................................233
a. Ideation and Formation of a Team.............................................................................234
b. Requirements Gathering ...............................................................................................234
c. Software Development ...................................................................................................234
d. Testing..................................................................................................................................235
e. Deploying Releases ..........................................................................................................236
f. Feedback and Iteration ...................................................................................................236
218
g. Business Growth ...............................................................................................................237
VI. Analysis of Areas Where Reslutions Does Not Solve Problems ............237
VII. The Roommate Project ......................................................................................239
VIII. SpaceSplitter ........................................................................................................241
IX. Reflections & Next Steps .....................................................................................241
X. Conclusion .................................................................................................................243
XI. References ...............................................................................................................245
219
I. Introduction
In 1773 Richard Cantillon first described an entrepreneur as someone who
“bears the risk of profit or loss” (NCE). Over the past two centuries
entrepreneurship has compelled changes in society and evolved to where it is today:
a strongly technologically driven ecosystem. Entrepreneurship may then best be
defined as “the process of uncovering and developing an opportunity to create value
through innovation” (NCE). The following will explore the entrepreneurial
experiences of the writer to prove that when students engage in an
interdisciplinary, collaborative, and entrepreneurial effort that properly leverages
technology, they can solve any unique problem set.
Technology has forever changed the way that people interact, communicate,
and solve problems. But why has technology had such a massive impact on nearly
every aspect of life? In one aspect, technology helps to restructure processes in such
a way that makes them more efficient for everyone involved. The people responsible
for creating these technological innovations that utilize computers are software
engineers. The use of software and the internet as a means of creating has made
some of the most recent modernizations possible. It is in this capacity that I have
been able to use my knowledge of software engineering and web development to
create value and solve problems.
As a technologist and entrepreneur, the intersection of these two subjects
occurs with a combination of experience, problem recognition, and execution of a
220
solution. At the age of seventeen I began my entrepreneurial experiences by
starting a company in which I provided in-home and in-office computer services and
repairs. Then, upon beginning my degree in computer science at Pace University, I
began working for Pace’s Office of Housing and Residential Life (OHRL) as a desk
attendant. The following year I became a resident advisor for Pace’s OHRL. Through
these experiences, I was able to recognize many problems wherein technology could
be leveraged. By collaborating with other student resident advisors at Pace to solve
these problems, the company Reslutions Inc. was formed.
II. Recognizing the Problems
There were an abundance of inefficiencies and Process issues with Pace’s
OHRL. These problems were disbursed throughout the entire department, yet at the
same time they were all intertwined and interdependent like a complex Rube
Goldberg machine. Each problem enabled the other problems to exist and fed into
one another.
a. Resident Management
Managing information about each resident is one of Pace’s OHRL’s main
functions. This includes all of the details about each student living in the residence
halls (name, building, room number, date of birth, university identification number,
etc.). Pace’s OHRL was exporting all of this information from their administrative
system and printing and emailing spreadsheets for the staff. This resulted in often
out of date information and hundreds of pages printed and then thrown away.
221
b. Guest Management
Having residence halls in Manhattan means that there are increased security
concerns for Pace. Hence, the residence halls have fairly strict and detailed guest
policies. Pace’s OHRL was using desktop software called “TimesUp” in order to sign
guests in and out of the buildings. This software had to have each resident added one
by one and provided no connectivity to other software or databases. Also, this
software did not allow detailed reports or tracking that would allow Pace to enforce
their guest policies.
c. Mail and Package Management
Pace’s OHRL is in charge of staffing and managing the mailroom for one of
their residence halls. Their process for receiving a package consisted of validating
the name and room number of the recipient on a paper roster, logging the package
into a paper or digital spreadsheet, and placing a paper notice in the recipient’s
mailbox. This was time consuming, inefficient, and often resulted in misplaced mail
and other discrepancies.
d. Paper Forms
Carbon copy paper forms played a vital role in most of procedures for Pace.
These included room transfer requests, guest exceptions, resident fine forms, and
others. The problems here were overwhelming. These forms were not always
readily available, they had to be manually delivered and processed, there was little
to no validation of input, they could not be tracked, and were sometimes lost or
misplaced.
222
e. Reporting
In relation to all of the above-mentioned problems, there were numerous
flaws in both the informational reporting and the staff reporting needed. Whenever
an incident occurred, the resident advisor had to submit an incident report by filling
in all of the details on a Word document and emailing it to the appropriate people.
This required the resident advisor to store the information on a sometimes publically
accessible computer and attach it to an email—both of which are not secure.
Furthermore, resident advisors and other staff were required to submit duty reports,
weekly reports, and other informational reports. These were done either on paper,
via email, or though a web-based form. With all of the reporting being done
by staff, there was no easy way to process all the data, recognize trends, or do
comparisons.
f. Staff Accountability
In any work environment, it is important to be able to hold staff accountable.
Unfortunately, this was not easily done with Pace’s processes and most things relied
on “good faith.” There was no way to manage how staff accessed and used data, nor
was there a way to limit what data staff had access to. The desk attendants for Pace’s
OHRL were paid hourly and were required to clock in and out at the beginning and
end of their shifts. The system used to manage their time did not require the desk
attendant to be at their location of work and therefore could record time from
anywhere.
g. Data Storage and Accessibility
223
In its previous state, Pace’s OHRL had data stored on paper, in filing cabinets,
on personal computers, in email, in local databases, in software, and in web
applications. This compilation of fragmented technologies and paper-based systems
meant that many related data points were not consistent. Most importantly though,
there was no central location (digital or otherwise) to access all of the data.
h. Matching Compatible Roommates
The use of paper forms and manual processing plagued the housing
department again when it came to matching roommates. Each student entering
housing had to fill out all of their information and answer a short questionnaire
about their requests on a sheet of paper. Then Pace’s OHRL had to manually sort the
hundreds of papers numerous times to arrive at groups of residents that would be
living together.
III. The Efficacy of Student Entrepreneurship to Drive Solutions
It takes a certain type of individual to truly be an entrepreneur. According to
The National Commission on Entrepreneurship, entrepreneurs have the following
characteristics: vision, adaptability, persuasiveness, confidence, competitiveness,
risk-taking, honesty, perseverance, discipline, organization, and understanding. Some
college students easily have all of these characteristics and thus may be a good fit.
Some of the most successful companies were started by students or people in their
20s. This includes Facebook, Microsoft, Google, RIM, and Groupon (Livneh).
224
But, just how efficient are student entrepreneurs at driving solutions and what
makes them more qualified?
“Until recently, fostering innovations and new product development through
entrepreneurship has not been regarded as a primary task of universities” (Lüthje &
Franke 1). The current higher education system in the United States is becoming
more focused on intentionally producing active entrepreneurs. Many different
components come into play that enable and encourage students to be
entrepreneurs.
Figure 1
In the above figure from “Entrepreneurial Intentions of Business Students,”
the factors that influence attitudes towards self-employment and entrepreneurial
225
intention are illustrated. In analyzing student entrepreneurs, it’s useful to note the
fourth external factor in figure 1: “University.” The university supplies inspiration,
training, and networking opportunities for the student. These influencers that are
not immediately available to non-students also increase the effectiveness of
entrepreneurial activity.
There are many other influencers when attempting to determine
entrepreneurial effectiveness. The end effectiveness can be broken down into three
categories: “opportunity recognition,” “venture creation,” and “venture growth”
(Cardon et al). These are influenced by multiple behaviors, activities, and cognitions.
Cardon et al demonstrates this in figure 2 while also claiming that all of this is
driven by “entrepreneurial passion.” This passion is described as
Consciously accessible, intense positive feelings experienced by
engagement in entrepreneurial activities associated with roles that
are meaningful and salient to the self-identity of the entrepreneur”
For student entrepreneurs, this passion is often easily accessible and identifiable
given the resources and opportunities that a university environment can provide.
226
A Conceptual Model of the Experience of Entrepreneurial Passion
Goal-related cognitions
Corresponding to specific entrepreneurial role identities
Entrepreneurial behaviors
.trepreneurial effectiveness·
ln identity-specific activities
role identities
Opportunity recognition
g
I
I
-'-'-,-!-'­ -----------,,_
/d
(inventor identity)
Innovativeness
Usefulness
I
I
Venture creation
(founder identity)
(assembly o/J
Financial capital
Human capital
N
N
Social capital
-.)
.,·
('!)
N
Venture growth
(developer identity)
Sales/profit growth
Market growth
Firm growth
_
_.,..
-·-·-·-
Direct effects of entrepreneurial passion on entrepreneurS behaviors that are directed toward fulfmment of evoked roleidentity
Mediated effects of passion on identity·specilic entrepreneurialbehaviors that are regulated by goal level (challenge),commitment. andstriving
Direct effects of identity-specific behaviors on entrepreneurial outcomes that are JXlSited to be relativelybecause of identity relevance
Direct effects of identity-specific behaviors on entrepreneurial outcomes that are posited to be relativelybec:ruse of lack of identity relevance
George Burman, a professor of entrepreneurship at Syracuse's Whitman
School of Management, says that one of the advantages a student entrepreneur has
is that they do not “have the obligations that somebody 10 years out does, with
family and mortgage” (Aubuchon). This not only plays a role in deciding to be an
entrepreneur, but also in succeeding. Fewer obligations can result in less
distractions, and thus more productive time spent on task.
For the student entrepreneurs that founded Reslutions, there were many
driving factors that allowed us to successfully drive solutions to solve the
aforementioned problems. Robert Caucci and I were both highly motivated to create
Reslutions, not only because we were the creators, but because we would also
directly benefit as users of the system. While we were solving problems for Pace’s
OHRL, we were also solving the problems we were facing on a daily basis as
residents and resident advisors. This also gave us the benefit of literally living with
other target users. Thus, testing, feedback, and even encouragement came with very
little effort at all.
Another key characteristic that helped Reslutions was the team. With a small
diversely skilled team, quick and smooth execution was possible. Also, Caucci and I
lived together in one of Pace’s residence halls during the summer of 2010 when the
Reslutions platform was initially developed. This allowed there to be constant
communication and meetings to be held whenever needed. Caucci was able to
handle most of the business sides of the company, while I developed the technology.
All of which happened in parallel with transparent communication between the two
228
of us. Possibly the most important element for the initial success of Reslutions was
the qualifications of this team. Caucci was studying business economics and
entrepreneurship and had previously founded another company. Therefore, he had
a relatively complete understanding of what was needed to start a company and
solve problems. I was studying computer science and becoming increasingly more
involved with web development.
The willingness and cooperation of Pace’s housing office to work with and try
Reslutions’ services allowed the student entrepreneurs to avoid the sometimes most
difficult process of bringing on the first client. This was only possible because of the
unique embedded relation the students had with the client. This relationship and
the result of it were because the founders were capable and respected students. If
non-students created a similar company in a different context, the same delivery of
solutions would have been highly unlikely.
In any situation given the right combination of complementary skillsets,
motivation, cooperation, and communication, entrepreneurs can effectively drive
solutions. The advantages that student entrepreneurs have are the resources and
surroundings that make forming an idea, solution, and team faster and easier.
IV. The Ability of Customized Technology Solutions to Solve
Problems
The Reslutions platform was developed in a unique iterative manner. The
initial goal of Reslutions was to solve the problems that Pace’s OHRL were facing. It
229
was decided by the founders, given the problems at hand and my skillset, that
Reslutions would best function as a web-based platform. This would prove
challenging at times and new technology would be used as it was necessary. The
base of the platform was structured around the resident management issue.
Following the creation of this base, each individual feature was developed. For every
problem that was solved and feature that was added, the technology was
customized to meet the exact needs of the client (Pace’s OHRL).
A longer-term goal of Reslutions was to provide the same level of
customization to other housing departments with a scalable product. The solutions
that Reslutions provided had a great deal of customization for Pace. With this
considered, there were some tradeoffs. Static customizations that were hard coded
resulted in faster development, less testing, and more stability. On the other hand,
dynamic customizations that were stored in a database resulted in a more scalable
system that the client could customize, but this would increase development time.
For these reasons, the early development of Reslutions for Pace consisted of a
combination of static and dynamic customizations.
a. The Technology Stack
Reslutions used proven open source and free software to build the custom
solutions that Pace needed. On the front end of the web-based platform, there is a
combination of HTML, CSS, JavaScript, Java, and Flash. All of these except Java are
the standard when it comes to web interfaces. There were numerous programming
languages that could have been used to create the back-end (or server-side) of
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Reslutions, including Python, PHP, Java, .Net, Cold Fusion, Ruby, and Perl. Given my
experience at the time, we decided to use PHP and MySQL for the database.
It should also be noted that a few frameworks and libraries were used in the
technology stack. CakePHP is framework for PHP that allows for rapid development
and code generation. JQuery is a JavaScript library that is also intended to increase
development speed by simplifying and enhancing much of JavaScript’s functionality.
In addition, “git” was used for version control of all of the code. These tools greatly
amplified the productivity of the short development cycles.
To actually deliver the Reslutions web-based platform a server needed to be
used. For this, we continued to use the proven, stable, open source standards. The
server consisted of Linux for the operating system, Apache for the HTTP server, PHP
to run the PHP scripts, and MySQL for the database. This combination is often
referred to as LAMP. Also, a tool called Capistrano was used to allow for rapid
deployment to any server.
b. Benefits
Starting anything from scratch can be a daunting task, which is why the
decisions about the technology stack were all very important. The harmony of all of
these technologies together results in several benefits for the company, the
developers, and the clients. These benefits are part of the reasons that the specific
technologies were chose.
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First and foremost, by creating a web-based platform, the information and
functions on it become accessible from anywhere with an internet connection. With
password authenticated user login, the appropriate information and functionality
are only available to those with access. Also, by having users authenticate, every
individual then becomes responsible for their actions on the system. This balance of
accessibility and accountability immediately does what other solutions weren’t able
to do for Pace.
The technology behind Reslutions is also running the sites and
infrastructures of many large companies. Without any additional research, it is
understood that this technology can be scaled reasonably quickly and cheaply to
handle thousands of requests per second. That is not always relevant for a new
website, but it is always relevant for highly successful websites.
The use of open source languages, frameworks, and libraries creates many
benefits. With large communities and support forums, development becomes much
easier. Whenever there were any issues, there was always an answer a few clicks
away. Having all of these resources at my fingertips meant faster development,
deployment, and delivery.
c. Disadvantages
With this technology stack there were a few disadvantages and challenges
that were faced. Security is often the biggest concern when it comes to web
applications that store sensitive information. There is only so much that can be
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reasonably done to secure a server. A server can never be one hundred percent
secure, but to-date Reslutions’ server has never been knowingly breeched before.
Another challenge that arose with using the decided technology was
hardware integration. Typically, websites are not made to interact with any
hardware beyond the mouse, keyboard, and sometimes camera and microphone.
For Reslutions, this became an issue when solving the mail management problem
with the need to accept digital signature. In this case, an additional technology was
added to the stack: Java. This programming language (not to be confused with
JavaScript), allows for local serial port communication through a Java Applet on the
website.
A final challenge that arose with Reslutions’ technology stack is one that is
nearly always unavoidable: handling increasing levels of complexity. As more
features and customizations were added, both the database structure and code
became more intricate. This can often result in performance losses and make
managing documentation increasingly difficult.
V. Processes and Stages of Reslutions
Despite how many sleepless nights there were spent working on Reslutions,
it did not happen overnight. In fact, the development of the company went through
multiple stages and phases to get where it is today. Quite a bit of planning was done
at different stages to try and manage and predict Reslutions’ progress and goals.
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However, things did not always go as planned and adjustments were constantly
being made.
a. Ideation and Formation of a Team
In the fall of 2009, Robert Caucci and I began working as resident advisors
for Pace’s Office of Housing and Residential life. After a few short months of
experiencing the abovementioned problems and inefficient processes, Caucci saw
the business opportunity at hand. Caucci spoke with the Director of Housing to voice
his thoughts and initiate a long lasting open dialog. Being non-technical, Caucci
realized that he would need the help of some software engineers. At the time,
Stiliyan Lazarov and I were also resident advisors in the same building and we were
both studying computer science. Caucci approached us with the idea and, following
multiple brainstorming sessions, the team was formed.
b. Requirements Gathering
During the spring and summer of 2009, development began on the
Reslutions platform using fairly informal agile methodologies. Multiple meetings
and interviews were held with Pace’s OHRL to determine the needs of the client and
the priority of those needs. This allowed the Reslutions team to determine what
they should develop first and how it should function. By constantly communicating
with the client, the requirements of each feature could be gathered so that no time
would be wasted developing unwanted or not needed components.
c. Software Development
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Before requirements gathering even began, development of the website
commenced. Core functionality of the web-based platform was going to be needed
no matter what. This mainly included user authentication functionality and
designing the interface. Development was kept very simple and straightforward
because nearly all of it was done by myself. The main goal was rapid, reusable, and
sustainable code. Because git was used for source control, some interesting statistics
can be noticed.
From May 18th, 2010 to March 10th, 2011, 519 commits were made with over
50,000 lines of code written.
Figure 3: Commits by hour of the day
Figure 3 above shows the number of commits made by hour of the day over time.
The majority of work was done in the late afternoon or late at night. This reinforces
common assumptions about how student entrepreneurs (especially programmers)
work.
d. Testing
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In the spirit of agile software development, testing played an important role
in the development of the Reslutions platform. Testing was done formally,
informally, and on an ad hoc basis. Testers consisted of the actual end users,
including myself, Caucci, Lazarov, residents that lived in the residence halls, and
staff that worked for Pace’s OHRL. This allowed us to find bugs and receive vital
feedback about the interface and functionality. Feedback from testing was always
taken into consideration as development continued; however discretion was used
and changes were not always made based on the feedback.
e. Deploying Releases
After sufficient testing and development, we deployed the latest release to
the servers. Deployment was relatively pain free and there were rarely problems.
The website was always made as simple and usable as possible, but with major
releases or updates user guides and/or in person training were sometimes needed.
f. Feedback and Iteration
Reslutions had a strong focus on user experience because the founders had to
use the system we were creating. With that, we had various means of collecting
feedback from the users. On the actual website, there were two methods for
collecting feedback: 1. A simple contact form and 2. An anonymous suggestion box.
Users could also give feedback through email or by calling a phone number that was
listed on the website. Feedback was also collected with email surveys, text message
polls, and in person interviews. Based on the feedback received, features were
iterated, improved, and added.
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g. Business Growth
After a year of development and testing of Reslutions with Pace’s OHRL, we
felt confident enough that it was time to grow the business. Through an introduction
made by Pace’s Director of Housing, Reslutions began a pilot program with
Educational Housing Services (EHS) to solve their mail management problems. The
pilot was successful and EHS converted to paying a client.
In October of 2011, Caucci and I exhibited Reslutions at a NASPA Tech
conference in Rhode Island. At this conference, there were hundreds of college
housing professionals that could have benefited from Reslutions’ services. We
demoed the platform and many people expressed interest.
VI. Analysis of Areas Where Reslutions Does Not Solve Problems
Reslutions and the student entrepreneurs who founded it were able to
successfully solve many of the problems college housing departments have.
Unfortunately though, in its current state Reslutions was unable to solve some more
complex or indirect problems.
A continually challenging problem that occurred when developing the
Reslutions platform was integration with existing systems or software. A specific
example of this is the software that Pace’s OHRL uses for the general management of
rooms, occupancy, and billing. The software is called My Housing Director and is
offered by the company Adirondack Solutions (a direct competitor). The database of
residents and rooms in Reslutions actually gets updated with an exported roster
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from this software. There was no possible way to make this a seamless integration
because Adirondack Solutions is a competitor. Also, the residential management
portion of the Reslutions was not built out to the extent that it could replace My
Housing Director because Pace was in a long-term contract with Adirondack
Solutions and didn’t need this software replaced.
Another ongoing issue that many college housing departments face is
receiving and processing work orders for the residence halls. There are an
abundance of services that already solve this issue but it seems that most of them do
not completely satisfy the wants and needs of housing departments. It would be
appropriate for Reslutions to have a work order solution and many users have
requested such. This feature was not added to Reslutions because there was an
underlying issue that was not evident to the residents that would be submitting work
orders. Each work order that is submitted must notify the appropriate person. In
Pace’s residence halls, nearly every building used a different work order solution
that was managed by a different individual. These individuals were able to handle
the current work orders relatively well. If Reslutions were to implement a work
order solution, it would require the restructuring of many people's workflows and
they would all have to be trained. This would of course be in addition to the actual
development work. The cost benefit analysis of this was never convincing enough to
make the effort to build a work order solution.
A complex issue for computer science as a whole is the task of scheduling.
Solving scheduling problems is also a major issue for college housing departments.
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This is mostly pertaining to scheduling the shifts for staff members in a fair manner.
The best way to exemplify this is to give the details of a RA duty schedule. In Pace’s
John Street dorm there are a total of 15 RAs and every night there must be two RAs
on duty and one on call. Duty on Friday and Saturday lasts for 24 hours and typically
Thursday Friday and Saturday duties are weighted to be worth as much as 1.5 week
day duties. Also, holidays are considered special days that should also be distributed
evenly. Given these requirements and the limited availability of the staff, a fair
balanced schedule must be created. In nearly all cases, this is done with the use of
paper, calculators, digital spreadsheets, and trial and error. I actually created a basic
solution that was used by me to create the schedule for a few semesters. This
solution did not always create the fairest schedule, was not customizable, and had to
be adjusted using trial and error for each use. Thus Reslutions could not effectively
solve this complex issue.
VII. The Roommate Project
One of the fairly complicated issues that Reslutions was able to solve was the
issue of matching compatible roommates. We did this with a product called The
Roommate Project. This product digitized and expanded Pace’s previous paper
based process. This included an easy to use survey pictured below. This survey is
the culmination of years of experience dealing with roommates and research about
roommate compatibility.
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Figure 4
During the summer the Summer of 2011 I went to all of the freshmen
orientations to inform students about The Roommate Project. Over 98 percent of
the 1000 first year students living on campus filled out the survey on
theroommateproject.org. Students were allowed to return to the site at any time
before the cutoff date to modify their responses.
After the survey was closed a custom intricate matching algorithm was used
to match all of the residents in an appropriate manner that properly filled the rooms
in the residence halls. This algorithm took several minutes to process the 980 users.
When compared to the multiple human hours this processing took before, this was
an immense improvement.
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VIII. SpaceSplitter
After mediating and experiencing roommate problems and attempting to
prevent them with compatible matches, Caucci and I realized the real problem at
hand. Roommates tend to communicate ineffectively which leads to the
mismanagement of expectations. With this realization of the root problem, Caucci
and I found a much larger opportunity.
In January of 2012, we launched a landing page at SpaceSplitter.com to begin
capturing email addresses and gaining interest. The goal of SpaceSplitter is to help
solve roommate problems by creating a website that facilitates communication,
allows roommates to manage the household finances, manage household chores, and
collaboratively purchase shared items.
Roommate conflicts are very prominent in university residence halls but are
also possible for any roommates of any age. According to the 2012 US Census, there
are over seven million households in the United States with roommates. This creates
a five billion dollar market opportunity considering the initial services that
SpaceSplitter plans to offer.
IX. Reflections & Next Steps
Reslutions has completely revolutionized nearly every process of Pace’s
Office Housing and Residential Life. With these changes and improvements, over
85% of Reslutions users say that they could not do their jobs without the platform
and could not go back to the old systems. This metric is one of the key indicators of
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the success of Reslutions. More importantly and less visible are the invaluable skills,
connections, and experiences that Caucci and I have gained.
Reslutions is currently a profitable business but it did not get the traction
that our initial projections anticipated. This occurred for a variety reasons that were
seemingly out of our control. Many housing departments already have long-term
contracts with some of our comparably capable competitors. Often times staff that
are involved with flawed processes have the attitude of “if it’s not broken, don’t fix
it.” Finally, the bureaucratic nature of universities creates a very challenging
environment for outside vendors to be approved and implement services.
As for The Roommate Project, we also declare that it was a moderate success.
This separate system digitized an inefficient time consuming process. There is a
very large number of people that use online roommate finding and matching
services today. That being said, this market is already saturated with dozens of
direct competitors. A sustainable advantage and appropriate business model are
very difficult to come by.
Creating Reslutions and The Roommate Project provided Caucci and I
absolutely invaluable knowledge and hindsight. We think that these experiences
will allow us to create a highly profitable, successful, and valuable company with
SpaceSplitter. With the lessons we have learned and the relationships we have
established, we plan to move forward with SpaceSplitter and solve roommate
problems for good. The steps we will take moving forward will follow a very similar
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path that we took with Reslutions. However, with the consumer market we are
approaching there will be a stronger focus on marketing.
X. Conclusion
The entrepreneurial journey from Reslutions to The Roommate Project to
SpaceSplitter has been quite the evolutionary process, both professional and
personally. Starting Reslutions as a second year computer science major provided
one of the most beneficial, out of class, learning experiences possible. Before
Reslutions, I had built just a few websites and was not very proficient. As Reslutions
progressed so did my skills and abilities as a software engineer.
Through building Reslutions, Caucci and I learned the value of executing. In
fact, I believe that executing is the most important aspect for any entrepreneurial
venture. With that in mind, Caucci and I were able to quickly and effectively execute
our solutions for The Roommate Project. This more complex problem even further
improved my skills and knowledge of software engineering and building a business.
The personal development that occurred for me is something that anyone
could and should experience. The process is relatively simple, replicable, and
follows the entrepreneurial model. Students need to learn the basics and
foundations of computer science, find unique problem, form an interested team, and
execute on a solution. Then the process should be repeated with a more challenging
but related problem with the same time. Doing this is likely to result in one or more
successful potential businesses.
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The above assumption is based solely on the experience and the findings of
one group of entrepreneurial students. The true test for us is will be the results of
executing on our solutions for SpaceSplitter. A potential future study would be to
compare the results of my entrepreneurial endeavors to students with similar
experiences. A longer term, more experimental in-depth, study would be to immerse
students in a similar environment in a university setting. All in all, a positive
experience and viable solutions are bound to come out a small group of diverse
entrepreneurial students that focus on technology.
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XI. References
Aubuchon, Julia. "From Books to Business: Student Entrepreneurs." ABC
News. N.p., 14 Nov. 2009. Web. 9 Apr. 2012.
<http://abcnews.go.com/Business/SmallBiz/successful-student-
entrepreneurs/story?id=9075154#.T5VJGyRYv2A>.
Cardon, Melissa, Joakim Wincent, Jagdip Singh, and Mateja Drnovsek.
"The Nature and Experience of Entrepreneurial Passion." Academy
of Management Review 34.3 (2009): 511-532. Print.
Dahlstrand, AÌŠsa Lindholm, Joakim Winborg, and Diamanto Politis.
"Exploring the resource logic of student entrepreneurs."
International Small Business Journal. Sage, 7 Jan. 2011. Web. 6 Apr.
2012.
<http://isb.sagepub.com/content/early/2011/01/04/02662426
10383445.full.pdf>.
Fairlie, Robert. "Kauffman Index of Entrepreneurial Activity." Kauffman
Foundation. N.p., 1 Mar. 2012. Web. 8 Apr. 2012.
<http://www.kauffman.org/uploadedFiles/KIEA_2012_report.pdf
>.
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Kauffman Panel on Entrepreneurship Curriculum in Higher Education.
"Entrepreneurship in American Higher Education." Kauffman
Foundation. N.p., n.d. Web. 6 Apr. 2012.
<http://www.kauffman.org/uploadedFiles/entrep_high_ed_repor
t.pdf>.
Livneh, Deborah. "The Best Age to Start Your Innovative Startup." The
Windsor Star. N.p., 9 Apr. 2012. Web. 10 Apr. 2012.
<http://blogs.windsorstar.com/2012/04/09/the-best-age-to-
start-your-innovative-startup/>.
Lüthje, Christian and Franke, Nikolaus (2004) Entrepreneurial
Intentions of Business Students: A Benchmarking Study.
International Journal of Innovation and Technology Management,
1 (3). pp.269-288. ISSN 0267-5730
Markiewicz, Tom. "The advantages of being a student entrepreneur."
Tom Markiewicz. N.p., 18 Apr. 2008. Web. 2 Apr. 2012.
<http://www.tmarkiewicz.com/the-advantages-of-being-astudent-entrepreneur/>.
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Moreland, Neil. "Entrepreneurship and higher education: an
employability perspective." The Higher Education Academy. N.p.,
n.d. Web. 5 Apr. 2012.
<http://www.heacademy.ac.uk/assets/documents/tla/employabi
lity/id461_entrepreneurship_and_higher_education_341.pdf>.
National Commission on Entrepreneurship (NCE) (2003) Creating good
jobs in your community. Washington D.C.
Tiku, Nitasha. "Fred Wilson Tells Would-Be Entrepreneurs to Skip
School and Learn to Code." Betabeat. N.p., 15 Nov. 2911. Web. 8
Apr. 2012. <http://www.betabeat.com/2011/11/15/fred-wilson-
tells-would-be-entrepreneurs-to-skip-school-and-learn-tocode/>.
"Youth Entrepreneurship Survey 2010." Kauffman Foundation. N.p., n.d.
Web. 2 Apr. 2012. <www.kauffman.org/entrepreneurship/youthentrepreneurship-survey-2010.aspx>.
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Institutionalized Silence:
Breaking the Cycle of Sexual Violence
A Model for Pace University
Annamaria Santamaria
BA, Political Science and Women’s and Gender Studies
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Précis
In a study published by the United States Department of Justice in 2000, it was found that
one in four college women experience rape or attempted rape during their time in college. Since
this report was released, the numbers have not changed. According to the National Institute for
Justice, fewer than three percent of all college women become victims of rape which translates
into 35 such crimes per 1,000 women students (National Institute of Justice, 2005, p. 2). This
research for practice also exposes that between eighty and ninety percent of victims and
assailants know each other (National Institute of Justice, 2005, p.2). In his speech to the
University of New Hampshire in April 2011, Vice President Joe Biden referred to this epidemic
on college campuses as Americas “dirty little secret.”
Sexual violence is prevalent across institutions of higher education in American society.
Because the issue is not explicitly recognized by university communities, students are not given
the tools, discourse or safe space to express their experiences with sexual violence. This indepth study on universities across the country sets out to understand why sexual violence is not
being talked about, details the legal mandates that all postsecondary institutions receiving Title
IX funds must comply with, outlines the components which make for effective sexual assault
policy and programming and explains the roles of administration, faculty and students in creating
a collaborative effort for combating sexual violence.
This thesis specifically focuses on Pace University and the issues it faces in effectively
addressing sexual violence on its New York City Campus. The findings suggest that although
Pace has made strides in responding to sexual violence by implementing a new, fairly
comprehensive policy (Appendix C) in January 2011 there is still much more to be done.
Funding must be reallocated so that Pace University can have a model framework for preventing,
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responding and intervening in cases of sexual violence. This paper performs a comparative
study between Pace University and other institutions of higher education which supports the idea
that Pace University is not doing enough to protect its community. Recommendations include
suggestions for improvement for Pace University specifically, and a general overview of the
fundamentals which make for effective and comprehensive policy and programming for
postsecondary institutions of higher education in the United States.
Using political theories of power and a sophisticated standpoint feminist stance, this
research describes the factors that deters students from reporting sexually violent crimes,
clarifies the features of policy and programming which encourages students to report and
advocates for collaboration between individuals in positions of power and activists within the
community, while arguing that a transformation in attitudes and behaviors toward sexual
violence response and prevention is necessary for change.
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Introduction
Sexual violence is a common concern for college women. According to a study released
by the United States Department of Justice in 2000, it is estimated that one in four college
women experience completed or attempted rape during their time in college (Cullen, Fischer, &
Turner, 2000, p. 10). The study suggests that most victims know their attackers; in fact, “for
both completed and attempted rapes, about nine in ten offenders were known to the victim”
(Cullen et. al, 2000, p. 17). From the time this report was released, the statistics of the sexual
victimization of college women have not changed; because universities foster an environment of
silence by neglecting to deal with these issues, this inadvertently paves the way for members of
the university to continue perpetuating these violent crimes against one another without being
held accountable. Lacking the proper tools to educate college communities about the
implications of rape and sexual assault, many students are not aware of their options which leads
to the systematic violation of women who in turn do not report their experiences to the
authorities because of a number of variables including fear, shame and confusion.
Statistics show that college age women are four times more likely to be sexually
assaulted by someone they know, with first year students having the highest risk from September
through Thanksgiving (RAINN, 2009). Studies have also demonstrated that men are the most
common perpetrators of these crimes especially when drinking alcohol. According to research
performed by Gohm, Gross, Roberts and Winslett (2006) on violence against college women,
“steady partners were most frequently the perpetuators of sexual coercion, whereas strangers and
acquaintances were the perpetuators of rape” (p. 289). When mixing alcohol with a sexual
situation, a decision that is common in social settings for college students, victims of date rape
are often unable to label their experiences (Gohm et. al, 2006, p. 297). Because of how rape is
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classically defined within blitz rape scripts, as a stranger in an alley prepared to violently attack
his prey, women are less likely to report experiences of acquaintance and date rape. Bondurant’s
(2001) results suggest that “the most important aspect of blitz rape scripts is the belief in a high
level of force, not who the perpetrators are or where the rapes occurred” (p. 308). Thus, victims
of rape and sexual assault are not very likely to report their experiences because they cannot
identify their experience as rape; when a victim is unable to articulate what happens as sexual
violence, she does not have a reason to report since the elements of the crime do not fit the script
(Bondurant, 2001, p. 308). Rape is commonly connoted with being extremely violent and
aggressive, when in reality those types of sexual offenses are minimal.
Survivors of sexual violence fail to report rape and sexual assault to the proper authorities
because of uncertainty in identifying their experience, fear of being blamed and distrust in a
system that uses inaccessible language and fictional scripts to express a muted group’s suffering
(Bornsen, Burnett, Herakova, Kahl, Mattern, & Tobola, 2009, p. 469). As a result, “the
extremely low frequency of reporting these acts to the authorities may lead college
administrators to underestimate the magnitude of this problem on their campus” (Gohm et. al,
2006, p. 298). Although statistics that are available give an estimated reference point, the
inaccuracy of the numbers fail to describe the brutal realities women pursuing a higher education
undergo across colleges in the United States.
Pace University is experiencing problems in effectively addressing the prevalence of rape
and sexual assault within the community due to many factors including: conflicts among key
administrative offices about the appropriate response, an absence of adequate resources for
students, a lack of funding for programming specific to these issues and a shortage of students
who are willing to dedicate time to develop a movement in order to change the campus
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environment. For a response to be effective, sexual assault policies and protocol must have a
balance between prevention, risk reduction and crisis intervention strategies (SAFER, 2012, Flip
It Conference). To help Pace University and institutions of higher education throughout the
United States understand how to apply theory to praxis, this research will: explain the
requirements and implications of Title IX through an analysis of Supreme Court cases; discuss
and interpret the provisions within the Clery Act; examine the consequences when universities
fail to adhere to the Clery Act; evaluate the content of Pace University’s sexual assault policy;
determine the definition of effectiveness; perform a comparative study of a sample of
universities to decide components which promote reporting sexual violence; and make
recommendations for policy improvement and programming that will help Pace University
become a model for developing methods to end sexual assault in postsecondary institutions.
My findings suggest that although Pace University has demonstrated a commitment to
ending sexual violence on the New York City campus by revamping its sexual assault policy in
January 2011 (Appendix C), there are still many strides the university must take to sufficiently
address sexual violence within the community. Even though it seems that Pace is in compliance
with Title IX and the Clery Act on the surface, I suggest that the university engage with and
implement the subsequent recommendations by reallocating funding in order to ensure that the
underlying root causes of the issues are grappled with. The following is a set of
recommendations I will conclude my research with:
Distinguishing on-campus and off-campus borders in written policy and with a visual guide.
Eliminate barriers to underreporting by:
a) Changing discourse in the policy from unintentionally condoning victim-blaming to
victim-supporting that prioritize the victim’s needs.
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b) Defining experiences of rape and sexual assault that are relatable to students (i.e. in the
framework of date rape and acquaintance rape).
c) Incorporating provisions for confidential and anonymous reporting through an assortment
of methods.
d) Forming programming around the prevalence of acquaintance and date rape.
e) Adding an amnesty clause to the alcohol policy.
f) Creating a gender resource center fully equipped with a full-time coordinator that handles
programming, trained and certified Sexual Assault Nurse Examiner (referred to as
SANE), peer educators, crisis helpline, resources and referrals and educational programs.
Conducting a yearly climate survey on sexual violence to measure the needs of the Pace
University community as a basis for evaluating policies and programming. Directing such a
study would indicate what changes the university should make, thus validating my claim for an
elastic sexual assault policy.
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Review of the Literature
Ali, R. (2011). Dear Colleague Letter: Sexual Violence Background, Summary, and Fast Facts.
Retrieved from
http://www.whitehouse.gov/sites/default/files/dear_colleague_sexual_violence.pdf.
In April 2011, the Obama administration reasserted its commitment to ending sexual
violence across America’s educational institutions. The Dear Colleague Letter (referred to as
DCL) was issued to “remind schools of their responsibilities to take immediate and effective
steps to respond to sexual violence in accordance with the requirements of Title IX” (Ali, 2001,
para. 5). This letter establishes a clear connection between sexual harassment and sexual
violence, using both terms interchangeably to identify sex discrimination as required by Title IX.
The letter highlights school’s obligations under Title IX, provides guidance on handling
allegations of sexual violence and discusses prevention efforts to “end such conduct, prevent its
recurrence, and address its effects” (Ali, 2011, p. 2).
This letter is significant to my research because the government is not only recognizing
that there is a problem of sexual violence, but is emphasizing that appropriate measures, as
dictated by Title IX, must be taken by post-secondary institutions to ensure that its prevalence is
minimized. I will use this letter to: 1) explain Title IX; 2) advocate for the importance of
compliance with Title IX and; 3) show that the creation of an effective policy that includes the
elements recommended in this letter serves as an entry way for activists to collaborate with
administrators for the sake of providing improved programming and resources.
Bondurant, B. (2001). University Women’s Acknowledgment of Rape: Individual, Situational,
and Societal Factors. Violence Against Women, 7(3), 294-314.
This scholarly work uses an ecological model to explain which circumstances effect
women’s acknowledgement of rape. The study shows that women are more likely to label
experiences as rape if physical force and great resistance is used or a stranger is involved. As
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other research has proven, blitz rape scripts are uncommon as rape and sexual assault oftentimes
occurs between individuals who know each other and are not necessarily physically violent. The
findings in this piece are important to my research because they support my claim for an explicit
standard definition of rape and sexual assault as well as the integration of peer to peer models
within University 101 classes. This article also contributes to my advocacy for programming
focused on acquaintance and date rape rather than solely on stranger rape.
Karjane, H.K., Fisher, B.S., & Cullen, F.T. (2002). Campus Sexual Assault: How America’s
Institutions of Higher Education Respond. Final Report, NIJ Grant # 1999-WA-VX0008. Newton, MA: Education Development Center, Inc.
This all-encompassing report investigates nine major issues in the sexual assault policies
and protocols of a sample of 2,438 institutions of higher education (referred to as IHEs) across
the United States. Findings show that although IHEs have made great attempts to ensure student
safety, there is much more to be done to further develop effective sexual assault policies and
protocols. The report details barriers to reporting, lack of a standard definition of crimes such as
rape and sexual assault, misidentification of sexual crimes and social stigmas within institutional
communities of the issue of sexual assault. The authors outline useful policies and practices
which have aided reporting, created safe spaces and legitimized the campus judicial system at
specific institutions studied. The report’s recommendations are very similar to my own. I will
utilize this report to highlight Pace’s strengths and weaknesses in accordance with the nine issues
discussed; I intend to show how Pace can be a leader in sexual assault prevention, education,
response and reporting by further strengthening the current policy and redistributing funds to
robust sexual assault programming.
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National Institute of Justice. (2005). Sexual Assault on Campus: What Colleges and Universities
are Doing About It (NCJ Publication No. NCJ 20552). Washington, DC: U.S.
Department of Justice
This Research for Practice authored by Heather M. Karjane, Bonnie S. Fisher and Francis
T. Cullen for the Department of Justice outlines best practices for institutions of higher education
to follow as a means of both preventing and responding to sexual assault on campus. This report
focuses on the role of federal law, such as the Clery Act and Campus Sexual Assault Victims’
Bill of Rights, to ensure that universities implement workable sexual assault policies. According
to the report’s findings, “most schools comply with the requirement to report data, but only a
third do so in a way consistent with Federal laws” (National Institute of Justice, 2005, p. ii). A
variety of factors including misinterpretation of Federal reporting requirements, fear of losing
Title IX funds and significant differences in the way sexual assault is defined by the federal
government, state government and schools as well as lack of reporting options for victims
influence underreporting. In sum, the authors provide promising practices which are extensive
recommendations schools can invoke to do more about reporting sexual assault crime statistics.
The recommendations set out in this study are pertinent to my argument; using this report’s
promising practices as a baseline, I will demonstrate why these recommendations are valid by
doing a comparative study of universities and add other tools universities can use to address
sexual violence on campus.
U.S. Department of Education. (2011). The Handbook for Campus Safety and Security
Reporting. Office of Postsecondary Education. Washington, D.C.
This handbook explains the specifications of the Clery Act and attempts to clarify any
confusion administrators may have when reporting crime statistics. The handbook provides
direction on what crimes to report, to whom crimes should be reported on campus and how to
handle such reports. I have studied this manual to understand the protocol universities must
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follow to be in full compliance with the Clery Act. Using this handbook, I argue that Pace can be
more explicit about defining the New York City campus and will show that the university can
institute better protocol for a safer campus. Pace University is unique in the sense that it is an
urban campus, but its geography raises questions when violence happens off-campus but in a
place where students frequent. In other words, there are better ways to go about complying with
the Clery Act than what is already in existence.
Walker, G.S. (2010). The Evolution and Limits of Title IX Doctrine on Peer Sexual Assault.
Harvard Civil Rights-Civil Liberties Law Review, 45, 95-133.
Using a legal lens, this article discusses Supreme Court cases in which new standards
were mandated for Title IX. The decisions in Gebser, Davis, Williams and Simpson have
transformed the way Title IX is applied within universities, but loopholes which allow for sexual
violence to occur continue to exist. Walker outlines the “doctrinal test for cases involving
allegations of rape or sexual assault” (2010, p. 110) and concludes that ultimately Title IX is
unenforceable because “a school is practically immune from Title IX liability” (2010, p. 115). In
other words, the forfeiture of Title IX funds is difficult to take place under the circumstances that
an institution of higher education was not proactive in preventing a sexual assault or did not
respond effectively to an allegation. An excessive burden of proof, as argued by Walker, is
placed on the victim and in many instances the case is never resolved. I use this piece to
deconstruct the limitations of Title IX, providing background on the cases that have challenged
the law to argue that although Title IX is imperfect it is a tool activists can use to improve sexual
assault policies and protocols. Under the law, institutions of higher education receiving Title IX
funding are obligated to implement sexual assault policy, protocol and programming for the
community.
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Thesis
I argue that sexual violence thrives within the Pace University community because
institutionalization of silence has resulted in acceptance of socially dictated expectations of
women, misperceptions about why sexual violence happens, and lack of recognition about the
various types of consent and lack of consent. I contend that there are several factors which
contribute to the underreporting of sex offenses at Pace University and in institutions of higher
education across the United States which include: the way universities define sexually violent
acts such as rape and sexual assault and in what way that definition is translated into
programming, how the university defines its campus, the framework upon which the sexual
assault policy is founded on (i.e. engages in victim blaming, is comprehensive, etc.), the types of
reporting options highlighted within sexual assault policies and whether there is an alcohol
policy that deters students from reporting their experiences.
Because laws and demands of the university body are not static, universities should
incorporate flexibility into their policies in order to adequately respond to the dynamics of the
social setting. I advocate for collaboration between administrators, faculty, staff and students as
a method for reversing bureaucracy and achieving policies and protocols that benefit the entire
community. It is only by engaging in discussion and debate and recognizing that sexual violence
does occur that Pace University can become an exemplary model in this field. The following is a
diagram of how I envision the transformation of relationships within the university body:
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Model T.1
Model T.2
Students/Maintenance
Dean/Security
Provost
Adjunct
Professors
Tenured
Professors
$$$
Board of Trustees
Administrative Staff/Grad
Students/Post Doc
Dean/Security
Tenured Professors
SAFER Model, (2012)
Flip It Conference
Instead of functioning within hierarchical structures as demonstrated by the power map in Model
T.1, the goal of my research is to convince the Pace community that by tearing down bureaucratic
red tape there will be room for collaboration. Thus, Pace as a community of administrators,
students, faculty and staff can determine how to fairly allocate Title IX funding to improve the
sexual assault policy and increase sexual violence programming. Karjane et. al (2002) postulate
that “when sexual assault is acknowledged and talked about by respected administrators, it
creates the space for individuals to talk about their own experiences” (p. 126).
In other words, by representing the voices of all populations that are affected by sexual violence,
which is everyone, either directly or indirectly, Pace University can determine what kinds of
260
programs and outreach would combat sexual violence at its root and be an outstanding model for
other postsecondary institutions.
Methodology
In this paper, I will use political theories of power to solely focus on the high rates of rape
and sexual assault among college women by criticizing the role of the power structure in making
sexual violence possible, analyzing student accountability in perpetuating these crimes,
theoretically challenging the way universities treat survivors and perpetrators of violence and
proposing the implementation of a framework that can help to eradicate sexual violence at Pace
University. As such, the contribution of my research is enhancing the body of literature already
present, directly responding to the call by the Obama Administration and the Department of
Education for institutions of higher education to respond to sexual violence in accordance with
Title IX standards, and synthesizing recommendations on behalf of government entities and
nonprofit organizations to create a working model for effectively addressing sexual assault
policies. The definition of effectiveness is a synthesis of recommendations set forth by the Clery
Act, Title IX, the Handbook for Campus Safety and Security Reporting (2011), the Dear
Colleague Letter (2011) and the National Institute of Justice Research for Practice (2005).
My methodology incorporates content analysis of Pace University’s sexual assault policy,
a comparative study of programming on a sample of institutions of higher education across the
United States and legal research on federal legislation in an effort to deconstruct biases, create
tangible solutions and provide a model specific to Pace University’s needs, but general enough
for urban universities within the United States to follow. The comparative study will assess the
issues other urban universities face and compare their methods to address sexual violence in
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relation to Pace’s approach as a way of defining Pace’s position as a potential leader in
antiviolence programming among competitive schools.
Limitations
As with any in-depth research study, I recognize that my work is an ongoing process and
there are gaps which are outside of the scope of my research plan. The issues that are not
covered in this study merit their own analysis and should be addressed by other researchers and
scholars invested in the issue of sexual assault across college campuses in the United States. The
most apparent limitations of my research study were time and ambitiousness.
Although I had plans to administer a survey to the student body at Pace University,
conduct interviews with faculty and administration as well as interview outside organizations and
professionals in this area, I found myself pressed for time. The process to have a survey
approved by the Institutional Review Board is a lengthy one, and I underestimated how much
time is needed to both fill out a thorough application and have it reviewed. Coordinating face-toface interviews also proved challenging due to other obligations which caused time constraints.
With regards to ambitiousness, my goal was to survey and interview a sample of students
from colleges and universities within New York City for my comparative study. I chose New
York City because that is where I reside and attend school, thus collaborating with other students
nearby would have been most feasible. Over the past four years, I have formed relationships
with students at the New School and Fordham but it was not until the Flip It Conference which
took place at Pace University on April 14, 2012 that I was able to meet students who are invested
in this issue from schools spanning the entire city. Although I had met individuals dedicated to
this cause at a meeting hosted by Borough President Scott M. Stringer in April 2011, titled
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“Denim Day Manhattan: Best Practices for University Sexual Assault Prevention,” the Flip It
Conference really allowed me to create the relationships needed for such an effort to be
successful, efficient and meaningful.
Other profound limitations are that my research only focuses on student-on-student
sexual assault on and off campus which neglects the fact that teacher-on-student sexual
harassment and sexual assault occurs. This study concentrates on male-on-female violence,
leaving out female-on-male violence as well as sexual assaults that occur within LGBTQQI
communities. My comparative study is centered on a random sample of schools which is not
necessarily inclusive of every circumstance students confront or every experience students face.
Finally, as I mentioned previously, my research lacks primary sources such as surveys,
questionnaires and interviews which is critical to understanding the needs of diverse
communities.
Chapter III: Evaluating Policy: An Analysis of Pace University’s Sexual Assault Policy
In January 2011, Pace University passed a new sexual assault policy after surmounting
pressure on behalf of student advocates and professors. The final version of the policy was
accomplished because of collaboration between administration, the legal division, the
Affirmative Action Office, student activists, alum, professors and the Women’s and Gender
Studies Department. The new policy (Appendix C) represents drastic changes made to the
previous inaccessible, victim-blaming policy. This innovative policy outlines the university’s
goals; definitions for sexual assault, stalking, domestic/intimate partner violence; procedures on
how to handle a sexual violence case after the incident; grievance protocol; prevention tips; a
confidentiality notice; as well as a robust list of resources within Pace University and throughout
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New York City for victims of sexual assault. With the implementation of this new sexual assault
policy, Pace University has demonstrated its commitment to providing a campus free from
sexual violence.
Even though Pace University has taken strides to improve its sexual assault policy and
protocol while meeting student demands for change, I argue that there are further changes that
must be made to this policy for Pace to become an exemplary model of a campus active in
meeting all three pillars of a comprehensive policy: prevention, risk reduction and crisis
intervention (Flip It Conference, SAFER, 2012). Using content analysis, in this section I will
evaluate the qualities of Pace University’s sexual assault policy and offer critiques on how the
policy can be better. I will only focus on sexual violence perpetuated by male students onto
female students as well as sexual acts of violence that occur on and off campus among students
as other classifications are outside of the scope of my research and merit an investigation of their
own. I have decided to concentrate on this specific area because according to Fisher et al.
(2000), 34% of rapes and 45% of attempted rapes of college women take place on campus.
Almost 60% of rapes that take place on campus occur in the victim’s residence with 31%
occurring in another residence.
Discourse: Decoding Language
Throughout the policy, the victim is referred to as an “alleged victim” rather than
“complainant,” serving as a barrier for reporting sexual violence since the term “alleged victim”
insinuates that the victim may be lying.1 In her analysis of Karjane et. al (2002) study,
McMahon (2008) reveals that another factor which deters reporting is the victim’s concern that
the authorities will not believe her (p. 363). According to the National Center for the Prosecution
1
I owe this realization to conversations with Professor Susan Herman, Criminal Justice Professor at Pace
University.
264
of Violence Against Women, the percentage of false accusations of rape falls somewhere
between 2% and 8% (SAFER, Flip It Conference, 2012) so it is highly likely that the victim is
not lying about her sexually violent experience. Using “alleged victim” suggests that campus
authorities and administration have a biased towards the victim, and that the victim will have to
meet a high standard of proof rather than follow the preponderance of the evidence standard
explained in Chapter One as directed by Title IX.
A victim may also refuse to identify her experience as rape or sexual assault because
“alleged victim” alienates her into a marginalized group that requires her to criminalize someone
within her community. When a student-on-student violation happens, and the victim knows the
perpetuator, victims are less likely to report the crime as that would involve categorizing her
friend or acquaintance as a rapist (Karjane et. al, 2002, p. x). Referring to the victim as an
“alleged victim” contributes to the cycle of victim blaming and shaming by giving the university
body approval to question the victim and accuse her of lying.
To correct this issue, Pace University’s sexual assault policy should identify the victim by
the correct legal term – “complainant” – rather than the victim-blaming expression “alleged
victim.”
Safety: A Victim’s Responsibility?
In the subsection labeled “Safety” (Appendix C), the university leaves it up to the victim,
who has been through a traumatic experience, to find a trustworthy source and secure space.
Furthermore, in the section titled “Preventing Sexual Assaults and Other Violent Assaults”
(Appendix C), the policy sets out risk reduction, not prevention, strategies to avoid crimes.
SAFER (Flip It Conference, 2012) explains prevention, risk reduction and crisis intervention in
the following ways:
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Prevention: Not allowing sexual violence to occur in the first place by changing campus culture.
Risk Reduction: Taking proactive steps to help diminish the threat of sexual violence. Acts of
sexual violence will always occur but there are ways to lessen its pervasiveness.
Crisis Intervention: This is addressing sexual violence after the incident has occurred. It is
believed that sexual violence is inevitable, thus services must exist for survivors to receive
support.
The sections on safety and prevention are problematic because it becomes the victim’s
responsibility to thwart sexual violence (even though rape and sexual assault can still happen
regardless of what measures are taken) and refuging to a safe space that may not even exist after
such an invasive crime. Karjane et. al (2002) assert that:
IHEs unintentionally condone victim-blaming when they circulate materials that focus
primarily on the individual victim’s responsibility to avoid sexual assault without
balancing this risk management information with prevention education targeted toward
men that stresses the perpetuator’s responsibility for committing the crime. (p. xi)
Pace University inadvertently engages in victim-blaming practices by highlighting the victim’s
role in taking steps to circumvent situations in which sexual violence may occur. The risk
reduction (not prevention) strategies listed on the policy are not paired with adequate prevention
education, risk management or crisis intervention programming. Thus, Pace University has
failed to create a comprehensive sexual assault policy as those three pillars are not existent.
Even though the policy is effective in terms of defining terms, which in effect helps victims
identify their experiences, it is lacking the three fundamental components that makes for a model
policy.
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For the policy to be effective and comprehensive, it must explain the efforts the
university, as a community, has taken to eradicate sexual violence on campus. Thus, including
programs such as Safety Week campaigns, Take Back the Night, the Sexual Assault Policy,
Prevention and Education Working Group, Alcohol and Other Drugs Standing Committee and
orientation outreach will give the university body an overview of what is being done and what
needs to be done. I suggest that interactive peer-to-peer trainings which provide workshops on
how to identify rape and sexual assault as well as bystander intervention workshops must be
infused into the University 101 curriculum as all students should be taught how to address sexual
violence. Gohm et. al (2006) findings support this claim: there are “potential benefits associated
with teaching college students to assertively establish sexual boundaries within the context of
their various social relationships” (p. 298). Thus, by students knowing what they are
comfortable with they can explicitly consent to the kinds of sexual acts they are willing to
engage in.
In my experiences as a student activist on the New York City campus, I can describe
student involvement as being very apathetic. Because of its location, Pace University is an
institution where many students just go to class and do not get involved on campus due to other
more demanding obligations such as a job or family. Informative passive education campaigns
in which flyers are posted all over campus is essential in an environment like Pace’s because
students are not interested in the issue of sexual violence until it happens to them or someone
they know. Combining the passive approach with other prevention strategies is another effective
way to spark attention and raise awareness about the issues (Karjane et. al, 2002, p. 127). In this
light, responsibility is shed on everyone who is part of the Pace community to be an active
participant in preventing, ending and addressing sexual violence.
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Reporting Options: A Need for More Choices
Under the section titled “Reporting a Crime” (Appendix C), Pace University urges
victims to report crimes but does not take into consideration the fact that those who are informed
about these experiences, mostly friends of the victims, also play a role in whether or not crimes
of sexual violence are reported. As a result, I argue that all students should be required to
complete sexual assault response or sensitivity training since it is highly probable that the friends
and peers of victims are the first to hear about sexual assault on campus (Karjane et. al, 2002, p.
ix).
Pace University’s policy encourages victim’s to report sexual assault, stalking and
domestic/intimate partner violence to the university’s Safety and Security Department and/or to
the local police department (Appendix C). No other reporting options are provided. Many
students, nonetheless victims, feel at a loss when it comes to university bureaucracy therefore
approaching an administrator in a position of power may daunt victims from reporting. Trying to
relate to an individual in a high position, such as the head of security or the Dean for Students, at
the university can be an intimidating task especially if the victim does not have any prior
engagement with the authority. Also, a victim may not want to report her experience to a male
security guard because the individual who perpetuated the crime was male and may be fearful of
insensitivity and judgment.
In order for Pace University’s sexual assault policy to become an exemplary model for
postsecondary institutions, a variety of reporting options must be offered to students.
Anonymous, confidential and third party reporting are critical for students who do not feel
comfortable facing administrators, faculty or even resident advisors. These options allow
268
students to seek the professional support services they need while ensuring that their
confidentiality will be protected (Karjane et. al, 2002, p. 133). According to Karjane et. al
(2002), “the use of an anonymous reporting option is widely credited by administrators as
increasing the reports of assault that are included in the school’s annual security report statistics”
(p. 133). Anonymous, confidential and third party reporting can be facilitated by the ability to
file a report online on the school’s website or via the phone to the school’s sexual assault hotline.
These options not only demonstrate that there is a need for funding for sexual assault
programming, but may enable a victim to get a sexual assault examination during which time
sensitive evidence can be collected and used during a possible trial or adjudication.
Crafting a Model Policy: A Template for Institutions of Higher Education
The following details the most inclusive components which make for an ideal policy set
forth by Dr. Patricia Pasky McMahon (2008). I have adapted this template because her research
question and investigation overlaps with my research but we aim to accomplish different goals.
This model synthesizes recommendations from all of my sources and emphasizes the need to
have these pieced within sexual assault policies and protocols for institutions of higher education
to effectively, satisfactorily and comprehensively address the issues of rape and sexual assault.
ModelPolicyforthePreventionandResponsetoSexualAssaultTemplate(McMahon,2008,p.
364-365)
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APPENDIX
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270
SO
Chapter V: Recommendations
Recommendations for Pace University
While Pace University has attested its commitment to addressing sexual violence within
the university community as shown by the implementation of a new and improved sexual assault
policy in January 2011, there are other efforts the university can engage with to become a model
framework for this issue. A change in policy must be supported by a transformation of attitudes
as top-down approaches are futile if the entire community does not understand the reason such
shifts are taking place. In other words, change must function on a continuum where both
bottom-up and top-down approaches eventually meet for impactful change on campus to take
place.
Figure 5.1 – Collaboration Continuum
On the left extreme of the continuum is “Administrative Approaches through Policy” and
on the right extreme of the continuum is “Community Organizing.” These positions are
interchangeable but that collaboration is the meeting point for both sides to create a space where
discussion on policy and programming can happen. This continuum does not mean that one side
has better tactics than the other, and I am not advocating for an “us versus them approach”;
rather, this is a creative way in which diverse groups with different levels of power can come
together to address the issue of sexual violence at Pace University.
Moreover, I suggest that Pace as a community comprised of students, alum, staff, faculty
and administration implement the following recommendations in an effort to become a model
institution of higher education in regards to sexual violence. My rigorous investigation on this
issue has led me to conclude that for Pace University to have viable, sustainable and effective
271
policy and programming, it must reallocate funding to addressing sexual violence. My
recommendations are:
1) Distinguishing on-campus and off-campus borders in written policy and with a visual
guide. By establishing the boundaries of campus, which is required by the Clery Act,
victims will have a clear understanding of where the sexual assault took place (either on
or off campus) and identify who is responsible for responding to the incident. There
should be a “coordinated crisis response across campus and community” (Karjane et. al,
2002, p. xi) to facilitate reporting and assistance for the victim. Defining campus will
also help administrators in reporting the correct number of forcible and non-forcible sex
offenses for the Annual Security Report.
2) Eliminating barriers to underreporting by:
a) Changing discourse in the policy from unintentionally condoning victim-blaming to
victim-supporting that prioritizes the victim’s needs. For example, instead of using
“alleged victim,” the policy should substitute the term with the correct legal terminology,
“complainant.” This neutral term does not automatically assume anything about the
victim or perpetrator, whereas the words “alleged victim” implies that the victim may be
lying about her experience.
b) Defining experiences of rape and sexual assault that are relatable to students (i.e. in the
framework of date rape and acquaintance rape). Students must be able to identify and
pinpoint their sexually violent experiences in order for any reporting to take place. If the
victim does not believe a rape or sexual assault occurred, either because it happened with
someone she knows, it was not physically violent or it ensued while she was under the
influence then she will not be able to report or at least talk about her experience with a
272
friend who could potentially recognize what happened. To put it simply, policy and
programming must make language available and accessible so that students can relate to
sexual violence.
c) Incorporating provisions for anonymous, confidential and third party reporting through
an assortment of methods. As previously mentioned, the research shows that when there
are multiple reporting options, students are more likely to report assault and seek
professional services (Karjane et. al, 2002, p. 133). Pace University must make options
available on the internet, through an easily accessible anonymous and confidential
reporting form. This can also be done via a hotline in which trained student advocates
are available 24/7 to take calls regarding sexual violence.
d) Forming programs around the prevalence of acquaintance and date rape. Such
programming would include peer-to-peer workshops infused into the University 101
curriculum, bystander intervention initiatives, behavioral illustrations of abstract legal
concepts (Karjane, et. al, 2002, p. 131) wide-reaching education programs such as
“student orientation, […] campus events, interactive presentations, and passive
information campaigns” (Karjane et. al, 2002, p. 127), as well as programs targeting allmale groups such as fraternities or athletes. I strongly advocate for every student to be
trained on how to identify rape and sexual assault and in turn, how to respond to and
report instances where sexual violence occurs either to themselves or their friends, peers,
acquaintances and classmates during the first semester of freshman year, and for transfer
students during their first semester attending the university.
273
e) Adding an amnesty clause to the alcohol policy. Students may be deterred from
reporting if they were under the influence of drugs or alcohol when the sexually violent
experience happened. The way Pace University deals with students who arrive at their
dorms intoxicated is absolutely unacceptable; there must be an explicit written procedure
and protocol in the policy that details what will happen to a student if she or he abuses
alcohol or drugs within the university. An amnesty clause needs to be added to this
alcohol policy as studies show that sexual assault among college-aged individuals
frequently occurs in tandem with alcohol and other drugs. By adding an amnesty clause,
students will not have to fear dealing with the repercussions of the alcohol policy which
may provide some sense of relief in this difficult situation.
f) Creating a gender resource center fully equipped with a full-time coordinator that
handles programming, trained and certified Sexual Assault Nurse Examiner (referred to
as SANE), peer educators, crisis helpline, resources and referrals and educational
programs. I posit that there needs to be a space set up in 41 Park Row for this center to
exist and its services should be paid for by Title IX funding the university receives.
g) Sensitivity training for security personnel. Security at Pace University should have to
undergo intense training every year on how to be sensitive to and effectively respond to
cases involving sexual violence. After friends and Resident Advisors, the next group of
people to most likely hear about a sexually violent encounter is security. Students,
especially female students, may not feel comfortable approaching a male security guard
about what happened if she feels threatened by his authority or if she believes that
judgment will be incurred upon her. Showing that security knows how to respond to such
cases may encourage victims to report and seek help.
274
3) Conducting a yearly climate survey on sexual violence to measure the needs of the Pace
University community as a basis for evaluating policies and programming. Directing such a
study would indicate what changes the university should make, thus validating my claim for
an elastic sexual assault policy. An environmental scan will allow Pace’s administration to
identify whether resources exist and where there are major resource gaps, thus pointing to
possible infrastructure improvements and a need for a more “coordinated, multipronged
response” (Lichty et. al, 2008, p. 10-11).
Recommendations for Institutions of Higher Education across the United States
Because every school is located in a different environment and the needs of communities
vary according to social, financial and political factors among others, one set model or ideal
policy does not exist for every institution to follow. What is apparent is a set of guidelines or a
framework based on a combination of legal mandates and best practices literature which
institutions of higher education can use and apply according to their stage in the development
process. The following is a set of recommendations for postsecondary institutions to include
within their policy and programming which are essential to meet the effectiveness standard:
1) Having the three pillars for a comprehensive sexual assault policy as the basic
foundation: prevention, risk reduction and crisis intervention (SAFER, Flip It
Conference, 2012).
2) Consistent definitions of sexual violence (i.e. definitions for rape, sexual assault, sexual
harassment, domestic violence, etc.).
3) Explicit definitions of on-campus and off-campus with a visual or interactive guide that
highlights campus boundaries.
4) Provisions for anonymous, confidential and third party reporting.
275
5) Trained safety and security personnel, resident advisors, faculty, staff and administrators.
Mandatory training for all students during their first semester freshman year and for
transfer students during their first semester.
6) On-campus victim support services (i.e. health center that has a certified sexual assault
nurse examiner, counseling center, resource center, etc.) and a list of resources accessible
both in print and online. This list of resources should be included in the policy.
7) Educational programs and prevention efforts. This can include student groups, awareness
raising events, bystander intervention, training programs. Prevention programs need to
explicitly address non-stranger forms of rape such as date rape and acquaintance rape
(Karjane et. al, 2002, p. 126).
8) Incorporating a proactive stance and victim-centered approach. Postsecondary
institutions should be most concerned with first preventing sexual violence from
occurring on campus in the first place and taking the appropriate measures, such as
making avenues for expression available, to talk about the issues. Discussing the issue of
sexual violence and its prevalence is one way of ensuring that it stops happening.
Universities must also focus on making the victim’s needs a priority during crisis
intervention and ensure that the victim is aware of the grievance and adjudication process
should she decide to move forward with the case (Karjane et. al, p. 131).
My recommendations for institutions of higher education in the United States are some of the
major points which I continuously found within my research. These suggestions are in addition
to the arguments made throughout this work.
276
An Examination of the Impact of
Demand and Supply Side Variables
on Drug-Related Offenders in New
York and Pennsylvania
Frances Taormina
BA, Economics
Minor: Sociology/Anthropology
277
TableofContents:
I.
Introduction & Research Question…………... 3
II.
Historical Background ………………………. 4
III.
Literature Review…………………………….. 5
IV.
Conceptual Model & Hypotheses……………. 10
V.
Methodology…………………………………. 11
VI.
Results………………………………………... 12
VII.
Conclusion…………………………………….15
VIII.
Bibliography………………………………….. 17
IX.
Appendix………………………………………19
278
I. Introduction:
A variety of economic and social factors have affected drug markets in the U.S. over the
past three decades. Mandatory sentencing guidelines in some states have created controversy
over their impact on drug market activity. The incarceration of drug offenders, although
protecting society from socially harmful activity, may not work effectively as thought as a
deterrent in drug markets. It is important to examine this issue because, only by evaluating
current and past public policy can we gain a clear perspective on how we should proceed with
future policy planning.
This paper will analyze the major research presented on the economic factors impacting
drug-offenses in society. Targeting the drug market is a unique task as, unlike other forms of
criminal activity, the “replacement effect” allows the supply of street level drugs as to remain
constant as participating individuals are incarcerated. Society incurs additional costs as
mandatory sentencing legislation has caused prisons to become overpopulated in many states
including New York. Individuals receive little or no viable rehabilitation that could potentially
enable them to refocus their lives upon completing their sentence. As a society we may not be
operating under an optimal policy where drug market activity is concerned.
I have decided to examine this question by looking at the impact of demand and supply
side variables on drug-related offenses in New York and Pennsylvania. I consider the
introduction of the Rockefeller Drug Laws and the 1986 Anti-Drug Abuse Act in New York
State, examining the effect this legislation may have had on New York’s drug market. I will be
using Pennsylvania as my control group since Pennsylvania shares similar geographic and
demographic trends yet does not apply such punitive drug sentencing laws, as does New York.
279
The purpose of this paper is twofold: First, to separate and analyze factors affecting drug market
activity; second, to investigate the effectiveness of stricter sentencing on drug market activity.
II. Historical Background:
Gaining an understanding of drug policy over time is important as I plan to make
distinctions between various policy effects on the drug market. A presentation will follow of the
literature in the field examining how drug-related activities are influenced by demand and supply
side variables. The extent to which incarceration is efficient will be examined as the stricter
sentencing practices of New York State are presumed to have a significant impact on the drug
market.
In the early decades of the twentieth century drug use ultimately came to be seen as a
“social condition” fueled by moral and religious misjudgment. A superficial hysteria ensued due
to the media attention surrounding a film titled Reefer Madness (1936).
In 1969, Dr. Robert Dupont conducted a study that found a link between crime and
heroin addiction. In 1970 the Foundation of the Narcotics Treatment Administration was created
and funded by the Nixon administration in order to expand Dr. Dupont’s research. The
Comprehensive Drug Abuse Prevention and Control Act was also passed in 1970. This
legislation consolidated previous drug laws and reduced the penalties surrounding marijuana
possession. Law enforcement gained power as allowances were given to conduct “no-knock”
searches. The shifting of power to law enforcement agencies characterized the attitude adopted
by the Nixon administration as being comprehensive but inconsistent. It is important to note that
throughout the Nixon years more money is spent on treatment than on enforcement (Transform
Drug Policy). Yet this pragmatic policy proved to be at odds with the President’s tough rhetoric.
While treatment was emphasized, Nixon’s term emphasized how “tough on crime he was”.
280
President Nixon initiated the “war on drugs” in 1971. The DEA was established in 1973,
intended to be a “super agency” dealing with all aspects of illegal drug use in the U.S. Also in
1973 The Rockefeller Drug Laws were introduced into New York State by Governor Nelson A.
Rockefeller. The “Just Say No” movement, spearheaded by Nancy Reagan in 1982 paved the
way for the emergence of Drug Abuse Resistance Education (D.A.R.E). In 1985 the crack
epidemic hit New York with devastating impact, producing detrimental consequences. The
passage of the Anti-Drug Abuse Act in 1986 was the first time mandatory minimum sentences
were introduced nationally as a response to cocaine related drug offenses. Clearly, attitudes
towards that the illicit drugs had shifted from identifying drug use as a “socially curable disease,”
applying punitive sentencing practices. President Bush continued this trend in 1990 through the
proposed fifty percent increase in “war on drug spending” which added $12.1 billion to
enforcement efforts. In 2009, the Rockefeller Drug Laws were partially repealed due to years of
lobbying by citizens who applied pressure to policymakers. The most notable change was
mandatory minimum sentences now became a matter of judicial discretion.
III. Literature Review:
Debates about the negative externalities caused by illicit drug markets have always
sparked intense emotions. More fundamentally we need to discuss the structure of drug markets.
What demand and supply variables contribute directly to the functioning of drug markets?
The unemployment rate is a strong factor in illicit drug markets. To simply say the
unemployment rate has a direct effect is too broad a statement. “At the macro level,
unemployment rates and enforcement patterns structure illegal opportunities, affecting crime
rates and the relative attractiveness of legal and illegal work. Of course, when confronted with
the same set of criminal opportunities and risks, one person may define the situation as
281
appropriate for crime while another may not” (Uggen & Thompson, 2003). A distinction must
be made that it is an individual’s risk preference that ultimately determines how market
conditions will create the opportunity for participation in the illicit drug market. “In this research
and recent studies linking criminal gains to risk preferences, higher illegal earnings are generally
observed among those associating lower risks with crime and lower rewards with lawful work”
(Uggen & Thompson, 2003). Research has shown that increases in perceived risks reduce illegal
earnings, suggesting that crime is responsive to changes in the perceived threat of incarceration
or disciplinary sanctions. This research is in stark contrast to earlier research: “we find that
changes in perceived criminal opportunities are unrelated to illegal earnings” (Uggen &
Thompson, 2003- citing: Piliavin et al. 1986). “As expected, those perceiving higher legal
earning potential earn significantly less illegally” (Uggen & Thompson, 2003). The conclusion
of this study asserted that as offenders gain more lawful opportunities and become more attached
to work and familial relationships, their incentives to pursue illegal earnings quickly diminish.
Incarceration in the unemployment rate may influence participation in illegal drug markets.
Furthermore, participation in these markets will in turn affect the future employment and earning
opportunities of buyers and sellers.
MacDonald and Pudney found that the relationship between drug use and labor market
outcomes is gender-specific, and especially relevant to the past use of recreational or soft drugs.
“In particular, we find a positive association between past soft drug use and the wages of older
women. However, there is practically no evidence to suggest any positive relationships to drug
use in the case of younger cohort groups, particularly for men. In all cases, the estimated
coefficients are negative for men” (MacDonald & Pudney, 2000).
What we do find is a highly significant relationship between hard drug use and unemployment, where it
represents long-term harm to employment prospects. We suggest that taking the relationship between drug
use and unemployment into account may help explain why recent work has failed to find any significant
282
negative relationship between drug use particularly hard drugs and earnings. We have shown that drug use,
particularly hard or dependency drugs, greatly increases the risk of unemployment, and any association with
earnings for those in work therefore misses much of the impact. The strong evidence of the adverse effects
of drug use on employment prospects overwhelms the mild estimated positive association between past soft
drug use and occupational attainment for women (MacDonald & Pudney, 2000).
Andrew Gill and Robert Michaels (from the Industrial and Labor Relations Review;
Cornell University) have come across an unusual finding. Prior research, with one exception,
has found that drug use lowers wages or earnings. This report has found those studies to be:
…fundamentally flawed because they do not deal with the determinants of the decision to use drugs. That
decision depends on individual attributes that may also affect earnings directly. If individuals with certain
characteristics are more likely than others to choose drug use, cross-sectional OLS estimates of the
marginal effect of drug use on wages will be biased and inconsistent (Gill & Michaels, 1992).
The results of this study coincide with the intuition that individuals who decide to engage in
illicit-drug activity differ from those individuals who decide not to engage in such activities. An
important distinction was made indicating that questioning whether illegal drug use is rational is
much different from questioning whether an individual can rationally choose addiction as a
lifestyle. “Addiction may likewise be a rational choice, particularly for activities or substances
that the individual views as benign” (Gill & Michaels, 1992). Under this assumption, one can
see that drug use and offenses are not necessarily a consistent predictor of real income.
“The number of prisoners incarcerated on drug-related offenses rose fifteen-fold between
1980 and 2000” (Kuziemko, I. & Levitt, S.D. 2001). This article goes on to point out that in
1980 within both state and federal prisons there were approximately 24,000 inmates on drugrelated offenses while, by 2000, there were approximately 400,000 inmates. By 2000, drug
offenders made up 30 percent of all incarcerated individuals in contrast with less than eight
percent in 1980 (Caulkins J. & Chandler S. 2005). Caulkins and Chandler also reference this
fact as it is pointed out that US incarceration rates, as a whole, have grown so much that they
now exceed those of other Western countries while, furthermore, drug-related incarceration itself
330
has risen immensely (Caulkins J. & Chandler S. 2005). During these decades monumental
changes were incorporated into the federal, state, and local laws such as the three strikes law, and
enforcement of the Rockefeller drug laws along with various forms of minimum sentencing for
drug charges. Roughly two and a half times as many drug offenders exist in local jail than in
federal prison.
The threat of incarceration is believed to create a general deterrent effect on potential
offenders as those incarcerated are unable to offend as they are, temporarily, incapacitated (Avio
1999). Avio points out that while there may be some efficiency gained through incarceration,
inefficiency also can manifest by creating an incentive to offend among others as the
incapacitation of drug-offenders simultaneously creates an opportunity for potential gains to
others. This is known as the replacement effect. In order to reach an optimal public policy, Avio
proposes that one “constructs a static model of optimal sentencing where the planner chooses
sentences to minimize the direct social harm from crime together with the cost of imposing
punishment. Optimal sentences are derived after making strong simplifying assumptions on
functional forms and the relationships between variables” (Waldfogel 1993).
Demand for drugs is derived, in part, from their market prices that are consequentially
affected by the costs imposed on traffickers (Becker, G.S., Murphy, K.M., & Grossman, M.
2004). These costs emerge, as traffickers, in order to maximize their utility and returns, must
factor in costs such as the prospect of apprehension and conviction along with ongoing operating
expenses. With the prosecution of drug dealers, the street price of drugs is ultimately raised as;
users will bear the brunt of the increase in costs incurred by the supplier. When demand for
drugs is more elastic, more vigorous enforcement efforts can more effectively reduce market
transactions, possibly nullifying the substitution effect. Based on the price elasticity, the total
331
resources spent by drug traffickers to transport and deliver drugs are reduced (Becker, G.S.,
Murphy, K.M., & Grossman, M. 2004).
Paradoxically, when the demand for drugs is inelastic, the total resources spent by
traffickers will increase as consumption falls (Becker, G.S., Murphy, K.M., & Grossman, M.
2004). “With inelastic demand, resources are drawn into the drug business as enforcement
reduces drug consumption” (Becker, G.S., Murphy, K.M., & Grossman, M. 2004). Kuziemko
and Levitt raise a related point that the large increase in drug offenders incarcerated within the
criminal justice system came at a time when U.S. drug use as measured by self-reported surveys
had been steadily falling. This seems to be by the role that economics plays in the drug business.
When drug usage is lower, suppliers must take greater risks in order to generate the levels of
profit earned when business activity was stronger. The U.S. has made dramatic investments in
drug-related incarceration to the extent of $13.5 billion in 2002 (Caulkins J. & Chandler S.
2005). The question becomes; what is the return to this investment? Levitt and Kuziemko have
examined these trade-offs by concluding that incarceration reduces drug use but only minimally.
Incarcerated sellers are easily replaced which would not decrease societal cost by any noticeable
amount. When looking at the short-term, the structural characteristics of selling drugs
undermine deterrence primarily because of the hierarchy existing within this business. Many of
those incarcerated may simply be low-level functionaries and not “drug king-pins”. It becomes
apparent that it is not so easy to dismantle such an organization and one cannot systematically
disrupt a hierarchy as responsibilities and tasks are spread throughout neighborhoods involving
many individuals.
332
IV.
Conceptual Model & Hypotheses:
My hypothesis is that punitive drug sentencing will prove to be inefficient and ineffective
in reducing the prevalence of drugs within society and in deterring individuals away from the
illicit drug market. New York State was central to my investigation as it is notorious for having
some of the toughest mandatory drug sentencing in the country. By the early 1970’s New York
State’s legislation severely criminalized illicit drug activity. Yet not all states had such an
approach. Pennsylvania did not enforce such harsh sentencing practices and, by comparison to
New York, was more lenient in its drug legislation. By comparing New York State with
Pennsylvania I can gain insight into the effects of punitive sentencing policies.
My dependent variable is the total number of all drug offenders in both New York State
and Pennsylvania. I got this data from the FBI’s Uniform Crime Reporting Program. My
independent variables are: (1) the unemployment rate- obtained through the Bureau of Labor
Statistics, (2) real income- obtained from the Tax Foundation, (3) total state population- obtained
from RAND State Statistics, (4) male offenders who were in possession of marijuana, crack,
cocaine, or heroin, (5) female offenders who were in possession of marijuana, crack, cocaine, or
heroin, (6) male offenders who were selling or manufacturing marijuana, crack, cocaine, or
heroin, and (7) female offenders who were selling or manufacturing marijuana, crack, cocaine, or
heroin. I also created two additional variables: (8) an aggregate of male and female possession
and, (9) an aggregate of male and female sale/ manufacture. It is important to note the distinction
between my dependent variable (offenders of every type of drug and those participating in every
aspect of the market) and my independent drug-related variables which are only looking at
possession, sale, or manufacture of four drugs; marijuana, crack, cocaine, and heroin. All of my
333
data pertaining to drug offenders was obtained through the FBI’s Uniform Crime Report. All
data for independent variables were gathered for both New York State and Pennsylvania.
The unemployment rate is a demand variable. I expected that the unemployment rate
would have a positive relationship with my dependent variable (as the number of unemployed
increases, so too, will the number of drug offenders). This could be explained by a number of
factors but in this case I used the unemployment rate as a demand indicator. Under this
assumption, as the unemployment rate increases, individuals will be more prone to consume
illicit drugs as their opportunity costs of doing so are lowered. They may feel they have “nothing
better to do” and their incentive for using illicit drugs will rise. Real income is expected to have a
positive relationship with drug offenders. Therefore, as real income increases, so too, does the
amount of disposable income one has available to use toward drug consumption. Real income in
this case is assumed to be a demand side indicator. Total population will have a positive
relationship and also affect the demand in the illicit drug market (as the population grows the
number of likely drug offenders will also increase). I predicted that male sale, manufacturing,
and possession as well as female sale, manufacturing, and possession will have a positive
relationship (as these cohort groups increase so will the number of drug offenders). All variables
dealing with possession, sale, or manufacturing are supply side variables.
V: Methodology:
I performed statistical analysis using multiple regression analysis. For each state, I ran
eight initial regressions to establish which variables were the most significant and heavily
correlated with my other independent variables. By analyzing signs and the statistical
significance of the coefficients I can determine what variables have the biggest impact on the
drug market. I ran eight identical regressions for both New York State and Pennsylvania. The
334
variables that were held constant varied throughout the models. I also compared the significance
of the Adjusted R-squared in each of the models. This allowed me to note what happened as a
new variable was introduced to/ taken away from the model.
VI: Results:
The unemployment rate and real income proved to have very interesting implications, as
their results were reversed between New York State and Pennsylvania. My results for the
unemployment rate in New York State and in Pennsylvania were both significant, however, New
York models contradicted my expected results. New York models exhibited a negative
relationship between unemployment and drug offenders. In other words, as unemployment
increases the number of drug offenders decreases. New York State models exhibited a negative
relationship between real income and drug offenders, contradicting my expectation. The results
indicated that, for New York State, as real income increases the number of drug offenders
decreases.
In the case of Pennsylvania, a positive relationship existed between the unemployment
rate and the number of drug offenders. That is, as unemployment increased in Pennsylvania, the
number of drug offenders also increased, as was hypothesized. Real income had a positive
coefficient as well, so did the number of drug offenders supporting my hypothesis.
The differences between both states with respect to the unemployment rate and real
income were surprising. I was at first puzzled and asked myself how could New York’s results
defy such a logical pattern? After further reasoning I came up with a logical explanation to
explain such deviation in my results. The unemployment rate and real income are demand side
variables in my models. As more offenders have become incarcerated in New York State, while
their demand has not been reduced it has been incapacitated. In New York, the individuals most
335
likely to participate in the drug market are not able to do so. Pennsylvania, on the other hand,
still has the same a market demand of able and willing consumers. Therefore, the response to
changes in real income and in the unemployment rate has been opposite that of the effect in
Pennsylvania on drug offenders.
Since Pennsylvania’s laws are not as severe as those of New York, most of those
demanding drugs are able to participate in the market and obtain their drug of choice. This
assumption explains why both of Pennsylvania’s demand variables have a positive relationship
with the number of drug offenders. New York’s demand variables have negative coefficients as
punitive laws have pulled out many consumers from the illicit drug market and incapacitated
them through incarceration.
Both states exhibited a positive relationship between all of the significant supply side
variables and the number of drug offenders. It appears that the supply side of the market has not
been affected by the legislation. This is reaffirmed as, even with harsher sentencing, drug supply
in New York continues in a statistically significant manner. One should question how efficient
punitive legislation is in reducing the drug market if, even with harsher laws, the supply has not
been reduced.
Total population, overall, proved to be the least significant variable. In New York, total
population’s coefficient was negative (against my expectations) yet minimally significant. In
Pennsylvania the total population coefficient was very small and fluctuated between models with
regard to its sign. This variable’s impact is inconclusive, yet was left in the models due to its
theoretical value.
The Adjusted R-squared for both states in all regressions, except one, is very high (see
Appendix). This affirms that most models hold a high degree of explanatory power. New York
336
does have three models whose Adjusted R-squared’s are weak suggesting the possibility that the
New York drug market is more complex than Pennsylvania’s drug market.
As an afterthought after examining all of my models I ran a ninth regression for both
states whose results are not included in my Appendix. From a theoretical perspective I felt that I
may be able to make my eight models stronger as it has potential for very high multicollinearity
among my variables. Total population, male drug possession, an aggregate of female and male
drug possession, male drug sale/ manufacturing, and an aggregate of male and female drug sale
and manufacturing seem to have a lot of interrelation. I was curious to see what would happen if
I tried to eliminate some of this overlap as much as I could. My ninth model consisted of four
variables; the unemployment rate, real income, an aggregate of male and female drug
possessions, and an aggregate of male and female drug sales and manufacturing. What I found
was that (when comparing the VIF’s was that some multicollinearity was reduced).
There are a few criticisms of my models that I would like to discuss. The supply and
demand variables are not independent of each other, in other words, their market implications
can be interrelated. For example, while this paper considered real income as a demand side
variable, it can also be considered a supply side variable. If this were the case, there would be a
negative relationship since the increased opportunity for income from alternative sources, as
individuals need to engage in the drug market for profit is diminished. A structural model
approach is needed for this situation that could turn out to be more representative. This would be
achieved through running simultaneous regressions to simulate actual market activity (2SLS).
The Anti-Drug Abuse Act created a structural break in the data of my control group. The
differences between New York and Pennsylvania became slightly blurred as some mandatory
sentencing becomes implemented, for the first time, nationally. The difference in application of
337
drug legislation existing between New York and Pennsylvania s disturbed as a result of the new
legislation. However, it is important to note that even with this inconsistency, the divergent
trends between New York and Pennsylvania point to the fact that significant implications remain.
In a future investigation, it would be interesting to run a regression using dummy variables to
take into account the changing national legislation. This would be achieved by obtaining data for
the same variables, annually, at a national level. It would then be beneficial to extend the
number of years in the data set to 1970. This would allow one to run a time series regression,
comparing the U.S. illicit drug market variables with the national drug market from 1970 to 1986
(prior to mandatory sentencing) and over a second period beginning with the introduction of
mandatory sentencing from 1987 to 2010.
Finally, two variables that I feel are important have been omitted. The high school
dropout rate should be correlated with activity in the illicit drug market and therefore would be
an interesting addition as an independent variable, predictably positive. Also, a new dependent
variable of the drug offender prison population would be more congruent with a study of the
efficiency of a supply side drug policy remedy.
VII: Conclusion:
My results imply that legislation enacted in New York have had a stronger effect on the
demand side of the illicit drug market than on the supply side. There have been declines in drug
offenders, given certain market conditions and one would expect to see a rise; a characteristic
which can be attributable to stricter sentencing. However, what we also see is that the supply of
drugs has remained positively related with the effort of production and distribution. Factors such
as the replacement effect and the crowding-out effect have blanketed the illicit drug market from
fully feeling deterrence-based ramifications. I have come across key findings from this study.
338
The unemployment rate and real income (demand variables) have a negative relationship to the
dependent variable in New York State (against what was predicted). The unemployment rate
and real income (demand variables) have a positive relationship to the dependent variable in
Pennsylvania. The total population in New York State was significant and negative (against
what was predicted). The total population in Pennsylvania was very small and its sign fluctuated
between models. Supply side variables for both states, when significant, exhibit positive
relationships. My results from this study are intriguing and imply that further research should be
done in this field. The efficiency of punitive sentencing laws should be questioned and policymakers should explore alternatives to incarceration n order to attempt to effectively target both
the demand and supply of the illicit drug market.
339
XIII: Bibliography:
Avio, L. Kenneth. (1999). Working Paper#8300. The Economics of Prisons. Professor of
Economics, University of Victoria.
Becker, G.S., Murphy, K.M., & Grossman, M. The Economic theory of Illegal Goods: The Case
of Drugs” NBER Working Paper No. 10976 National Bureau of Economic Research.
Caulkins, and Chandler, 2005, “Long Run Trends in Incarceration of Drug Offenders in the US”.
Gill, Andrew and Michaels, Robert. Does Drug Use Lower Wages? Industrial and Labor
Relations Review, Vol. 45, No. 3 (April 1992). Cornell University.
Kuziemko, I. & Levitt, S.D. (2001). An Empirical Analysis of Imprisoning Drug Offenders,
NBER Working Paper No. 8489.
Levitt, S. (1995) “The Effect of Prison Population Size on Crime Rates: Evidence From Prison
Overcrowding Litigation” NBER Working Paper No. 5119 National Bureau of Economic
Research.
MacDonald, Ziggy and Pudney, Stephen. Illicit drug use, unemployment, and Occupational
Attainment. 2000. Public Sector Economics Research Centre, Department of Economics,
University of Leicester, UK. Journal of Health Economics 19, 1089–1115.
Piehl, Anne Morrison and Dilulio, John J., Jr (1995), ‘Does Prison Pay? Revisited’. Brookings
Review, 21-25
Uggen, Christopher and Thompson, Melissa. The Socioeconomic Determinants of Ill- Gotten
Gains: Within-Person Changes in Drug Use and Illegal Earnings. 2003. University of
Chicago. AJS Volume 109 Number 1,146–185.
Waldfogel, Joel (1993), ‘Criminal Sentences as Exogenous Taxes: Are they “Just” or “Efficient”.
Journal of Law and Economics, 139-151.
340
DataSources:
NYS Unemployment Rate:
http://data.bls.gov/pdq/SurveyOutputServlet
PA Unemployment Rate:
http://www.bls.gov/eag/eag.pa.htm ; http://data.bls.gov/pdq/SurveyOutputServlet
NY Income Per Capita:
http://www.taxfoundation.org/taxdata/show/471.html
PA Income Per Capita:
http://www.taxfoundation.org/taxdata/show/477.html
*All Drug Offender Data from the FBI: Uniform Crime Reports
341
IX: Appendix:
T-Score:-2.39
SE: 4i5H8
T-Soore:-HB
SE: 2492.11
T-Score:-2.21
T-Score:-1.29
COEf: -409.47
SE: 92.0
T-Score:-4.45
coef:-3n.40 COEf:222.10
SE:56.04
SE: 100.13
T-Score:-6.64 T-Score: 2.22
<:oef:.11
SE: 0.02
T-Score:-6.39
SE: 2911.91
T-Score:.12
SE: 2447.55
SE: 40¥.i.6
T-Score:-2.20
T-Score:Q 70
<:oef:-360.71 COEf:-107.26
SE: 51.23
SE: 114.4
T-Score:-7.04
T-Score: u.o
COEf:.02
<:oef:.11
SE: 0.02
SE: 0.02
T-Score:-1.16
COEf: .0.11
SE: 0.03
T-Score:Q90
T-Score:7.64
T-Score: H7
0.1123
0.5923
0.8720
342
0.8&33
0.8754
0.7156
SE: 0.35
T-Score: 7.66
0.8736
0.9803
PA Regression
I
Analysis
Unemployment
Rate
Hcore 2.04 T-Score·0.37 T-Score 0.37
se 364.67
se 455.67
T-Score. 1.64
se 404.26 se 363.51
T-Score 1.91 T-Score 1.44
Real Income
Coef 311.73
Coef 104.25
Coef: 233.68
Coef 242.64 Coef 263.27
Coef.313.85
se 407.71
se 51.14
se 14.0
se 29.34
se 13.31
T-Score 23.43 T-Score 22.43 T-Score 2.04 T-Score 7.96
se 26.66
T-Score 0.26
se 16.71
T-Score 0.87
T-Score 9.10
Coef.0.01
Coef : .0.01 Coef.0.02
se o.oo7
se 0.01
se o.006
se o.o1
Hcore ·2.91 T-Score:1.76 Hcore .0.99 T-Score·3.02
Coef ·0.02
Total Population
I
I
Male Drug
Possession
Female Drug
I
Possession
Male & Female Pos­
session
T-Score 5.81
I
Male Drug Sale/
Manufacturing
T-Score··2.08
I
Female Drug Sale/
Manufacturing
Male & Female
SE 5.72
Sale/ Manufacturing
Adjusted R-Squared
T-Score 4.06
0.9623
0.9613
0.9774
I
343
0.9759
0.9702
0.9754
T-Score 6.44 T-Score 2.34
0.9205
0.9918