The Cupola 2021

Christopher Newport u n i v e r s i t y

The

Cupola 2020–2021

The Cupola 2020-2021 Volume 15 The Undergraduate Research Journal of Christopher Newport University

1 Avenue of the Arts Newport News, VA 23606

The Cupola is the undergraduate research journal of Christopher Newport University.

Publication of The Cupola is made possible by the generous support of the Douglas K. Gordon Endowed Fund.

Papers published in The Cupola have undergone review by the Undergraduate Research Committee. The final product has been edited and compiled by the Office of Undergraduate Research and Creative Activity. The Cupola is published in print and online at cnu.edu/research.

Each student published in The Cupola is awarded a $100 stipend in recognition of their fine work; the top two accepted submissions are awarded $500 from the Douglas K. Gordon Endowed Fund.

For a full color version of this issue, please visit cnu.edu/academics/research/cupola.

The Cupola (Newport News, Va. Print) ISSN 2688-5913 The Cupola (Newport News, Va. Online) ISSN 2688-5921

Volume 15 ©2021 All rights belong to individual authors The Office of Undergraduate Research and Creative Activity Dr. David A. Salomon, director Dr. Michaela Meyer, academic director (757) 594-8586 cnu.edu/research my.cnu.edu/research

A Note from the Director Welcome to the 2021 edition of The Cupola, Christopher Newport University’s undergraduate research journal. As the director of Undergraduate Research and Creative Activity, it is my pleasure to serve as the journal’s editor, establishing guidelines and facilitating the vetting process.

Our top two essays, Douglas Gordon Award-winning pieces by Brooke Nixon (in psychology) and Allison Lyne (in English), reflect the diversity and the complexity of research conducted

by Christopher Newport’s undergraduates. Nixon examines the role of grit in success among male and female STEM majors; she will graduate in 2022, has been involved a variety of undergraduate research activities, and plans on a career in cybersecurity. Lyne’s work looks at the role of female friendship in early modern literature; a 2021 graduate, she plans a master’s on the way to career in academia.

The Office of Undergraduate Research and Creative Activity (OURCA) is proud of these students who, with enthusiastic and skilled faculty mentorship, continue to produce insightful and meaningful work.

The OURCA would like to thank the members of the 2020-2021 Undergraduate Research Committee who vetted and reviewed the many fine submissions received: Co-chair Dr. Andria Timmer, Co-Chair Dr. Olga Lipatova, Dr. Dae Hee Kim, Dr. Anna Teekell, Dr. Farideh Doost Mohammadi, Dr. Mohammad Almalag, Dr. Robert Winder, Dr. Michael Mulryan, Ms. Mary Sellen and Dr. Michaela Meyer.

Thanks to Courtney Michel, creative services manager of the Office of Communications and Public Relations, for her astonishing talent, patience and artistry in designing the layout of The Cupola.

Special thanks to Provost David Doughty, Vice Provost Geoffrey Klein and OURCA administrative assistant Michaele Baux.

Dr. David A. Salomon Director, Office of Undergraduate Research and Creative Activity July 2021

Dr. Douglas K. Gordon Dr. Douglas K. Gordon taught at Christopher Newport College and then University for 28 years. He arrived at Christopher Newport College in 1980 as assistant professor of basic studies. In 1982 he was promoted to associate professor of English and in 1988 to professor of English. He became dean of the College of Liberal Arts and Sciences (CLAS) in 2002 after serving a year as associate dean. As dean, he chaired the Task Force on Curriculum and Academic Life that developed the Liberal Learning Core Curriculum, the only complete revision of the general education curriculum in the history of CNC/CNU. Because of his commitment to professional development, he established CLAS Dean’s Office Grants that have resulted in at least 10 book manuscripts, proposals, chapters and revisions.

Gordon held many leadership positions at the institution. He was president of the Faculty Advisory Committee (predecessor to the Faculty Senate) for two years, chair of the Department of Basic Studies and the Department of English, and NCAA faculty athletics representative. He founded Omicron Delta Kappa national leadership honor society at CNU and was faculty adviser to Alpha Chi National honor society and Sigma Tau Delta International English honor society. He chaired the Football Feasibility Committee that led to the football program and served as master of ceremonies at Department of Music events like Holiday Happening and as a reader for the Classic Club’s dramatic readings. He was the “Liberal Learning Guy” for HR orientation of new employees and during admissions events. His scholarship is in the areas of dogs in literature, teaching writing and bluegrass and country music.

Publication of The Cupola is largely made possible due to Gordon’s generous and continuous support of undergraduate research and creative activity.

Table of Contents Allison Lyne “‘I to Live and Die Her Slave’ The True Nature of Female Master-Servant Relations in Early Modern Tragedies” Winner of the Douglas K. Gordon Cupola Award

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Brooke Nixon “Diversification of Women in STEM: The Role of Grit” Winner of the Douglas K. Gordon Cupola Award

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Olyvia Bailey and Elizabeth Bergman “The Covid College Experience: The Effects of Covid-19 on the Life and Learning on a College Campus”

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Amanda C. Banks “Pandemic Pressures: Student Experiences in Higher Education during the COVID-19 Pandemic”

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Saran Cherif and Carlie Carter “Identity, Instability and Belonging: Experiences of First Generation College Students”

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Nick DeHoust “Martin Heidegger and Daniel Rozin: The Saving Power of Technological Art”

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Emma C. Dixon “Lost in translation: Film adaptations of queer coming-of-age novels”

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James F. Duffy “Authorizing Sustainability: How University Decisions Influence Student Environmentally-Responsible Behaviors and Sustainability Literacy”

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Alexander W. Freeman “Equity Valuation Theory & Applications”

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Madison Hoecker “Comparing the Effects of TGF-β Inhibitors on Glioma Growth Through Mathematical Modeling”

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Camille Kaiser “Female Friendship in Context: A Psychoanalytic-Deconstructive Reading of Female Friendship in Toni Morrison’s Sula”

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Nafeesa Lodi “A Tale of Four Governors: An Analysis of Adaptive Work and Communication Towards an Effective COVID-19 Response”

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Jack Lynam and Rafael Diaz-Cruz “Named Entity Recognition for Toxic Spans Detection”

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Mikaela Martinez Dettinger “The Role of Modern Technology in Spirituality Mediated by Wilderness”

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Joy Messina “The Politics of Pot: The Role of the Local Media in Framing Attitudes about the Legalization of Marijuana in Virginia”

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Zenith Nguon “Female Friendship in My Brilliant Friend

by Elena Ferrante: Creation of the Individual”

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Jonah Peters “Print and Practice: 19th Century Ukiyo-e Prints and Their Influence on Japanese Tattoo”

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Joseph Rekus “Inducing Separating Equilibria as a Strategy for Scholarship Award Distribution”

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Abby Saether “A Prescription for the Dissatisfied Society: Synthesizing Ágnes Heller and Axel Honneth”

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Sydney L. Smith “‘And We’re Still Talking About It’: Redefining Black Femininity Through Female Friendship and the Evolution of Microaggressions”

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Madelyn Tatum “Psychosocial Development in Disney Music: The Impact of Childhood Favorites”

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Abigale M. Waclo “Ending Mass Incarceration: A Critical Analysis of the Norweigan Criminal Justice System in Search of Carceral Solutions for the United States”

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Grace N. Wilson “Psychological Perspectives on Eminem’s Music: Empowerment Themes, Music Therapy, and the Effects of Violent Music”

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Vic Windt “‘Jenny, Darling, You’re My Best Friend’: Examining Queer Female Friendships in Young Adult Literature”

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Jordan Winnett “Trouble at Sea: China’s Claims in the South China Sea in Light of International Law”

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Katherine Witmer “Homelessness and the Hostile Environment”

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“‘I to Live and Die Her Slave’ The True Nature of Female Master-Servant Relations in Early Modern Tragedies” Allison Lyne Winner of the Douglas K. Gordon Cupola Award Faculty Sponsor: Dr. Margarita Marinova, Department of English

Abstract When considering friendships in the literary canon, some of the most recognized ones are between males: Nick Caraway and Jay Gatsby; Hamlet and Horatio; Darcy and Bingley; Frodo, Samwise, Merry, and Pippin are just a few out many. Meanwhile, female friendships have rarely been explored and are only recently being acknowledged by scholars. As this topic of female friendship continues to be “discovered” and analyzed in a literary context, it is evident that the relationships between females within Early Modern texts are hardly discussed. Because the classical definition was explicitly limited to the elite male, females were considered incapable of achieving a true, virtuous friendship with one another. This was especially true with women who differ in the social hierarchy, as they defy both the gender and social class requirements that were established by Aristotle and Cicero. Yet, the relationships between mistresses and their ladies in waiting on stage and within literary text indicate toward a deeper, personal bond that cannot be experienced by one that is solely based around mutual concessions and compromises. By examining the intimacy within these connections, these relationships between female mistresses and their servants demonstrate a closeness that is characteristic of a classical, ideal friendship. Even when the social hierarchy begins to break down near the end of the period in the seventeenth to eighteenth century, the friendships between females endure and remain intact, compelling the literary community to hark back to the past when considering and advancing the study of female friendships.

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For centuries, females have been overshadowed by men, both in and out of the literary world. Even in contemporary times, the female voice is still fighting to be heard and recognized as equal to their male counterparts throughout the literary world despite the societal advancements and advancements within academic scholarship that has been rightfully earned over the past years. Female friendships, for example, have hardly gained any recognition or attention within this field; if they have, they are overlooked or directly compared to the friendship between two male characters within the same story. Other times, they could be compared to two male friends from a different text that seem to have a similar chemistry or characteristics. Literary scholarship has recently come to realize this neglect of female friendships; however, scholars have explored this topic extensively and thoroughly only as far as the eighteenth to nineteenth centuries. Early modern friendships between females are rarely discussed within the field due to friendships at the time being both strictly elitist and masculine.

According to classical philia, women were considered incapable of true friendship especially those who were born to different social statuses. As stated in his Nicomachean Ethics, Aristotle would classify these relations as friendships based on utility, or friendships where “[men] do not love each other for themselves but in virtue of some good which they get from each other” (VIII.3) When determining what makes someone a good friend, Aristotle makes it clear that friendships that generate benefit, pleasure, or profit should not rank as ideal and may lead to morally ambiguous action (Garrison 372). Cicero shares a similar perspective in his De Amicitia and links friendship to virtue by suggesting that an ideal friendship can only be shared between good men: “Friendship was given by nature a helper of virtue, not an accomplice in crime... [virtue] should reach them when joined and allied with another” (Section 83-4).

According to these statements, Aristotle and Cicero are stating that classical friendships are contingent on how virtuous one man is toward the other.

It is evident that women are excluded from this foundational basis of understanding friendship, especially those who belonged to different social classes. While some research has gone into exploring friendships between females during the early modern period, the present scholarship mainly focusses on those between women of same elite or domestic social classes.

When it did focus on friendships of between the upper and lower class, it was mostly male dominated and argued as one based around utility rather than an ideal friendship. These kinds of friendships, especially if they were performed between women, could never become true friendships because they do not fit the elite, masculine framework.

Yet, alliances between women of different classes appear in both historical accounts and on the stage. Shakespeare and Webster, two of England’s prominent dramatists, show this relationship between master and servant in their works. The servants in the plays, such as the Nurse, Emilia, and Cariola, display an undying connection to their mistresses, supporting them in their time of need and offering advice. As their only female companion in the play, they provide comfort and partnership to the central, elite female character that the male characters are unable to provide. There are also moments within their respective plays where the servant characters act or make certain decisions where they aren’t restricted or limited by their lowranking position. Not only did the classist divide make friendships between individuals from different social statuses more complex in terms of defining how they truly viewed each other and their relationship, but friendships as a whole were understood in a different light compared to how they are understood now by a twenty-first century audience because of these divides.

Therefore, friendships cannot be limited to what appears on the surface. Rather, they have to be judged on the intimacy and mutual dependency that is created over a longer period of time. While a public interpretation of a master-servant relationship might include the typical expectations of a servant having bitter, resenting feelings toward their master for restricting their freedom, the more private, personal bond that’s created between them outweighs

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the duties and utility that is often accompanied and expected with such a position. Instead of having a relationship based on mutual interest and advantage, servants can have a deeper, significant connection with their master, and vice versa. Thus, I will examine the true, virtuous nature of female friendships that existed between a mistress and her servants within three early modern tragedies, two written by Shakespeare and one written Webster, while interweaving and highlighting the current scholarship surrounding early modern female friendships. Despite their restrictive societal roles and gender expectations, these friendships actually demonstrate a realistic interpretation of the closeness expressed between females at the time and illustrate the characteristics of the classical “ideal” friendship rather than one based off utility and gain.

Terms of Service: Servitude and Friendship in Early Modern England In order to understand why such an interpretation of friendship could be accepted by an audience during this time period, it is important to understand how people who lived during the sixteenth century perceived the notions of friendship and service. In his article discussing the differences between Aristotelian and contemporary friendship, David K. O’Connor notes that we as contemporaries “classify and rank our relationship with others according to degrees of intimacy” (110). Friendship is valued because of the support and advice that others provide when we seek it out. Our friends accept us for who we are. However, friendships that were formed five centuries ago were much stricter due to how society operated. Rather than intimacy, friendship was based on partnership and pursuing a common good (O’Connor 112). In the Early Modern period, social class was highly regarded throughout a society that was dominated by the elitist patriarchy and relationships were often created based on one’s standing in society, such as arranged marriages. Thus, friendships at the time were viewed and formed with more caution, as both gender and class are taken into much more consideration compared to how friendships are made in the twenty first century.

According to Classical thought, friendships were much more limiting due to being exclusively masculine and elitist. Because of these qualifications, the friend, according to Aristotle can be viewed as “another self ”, underscoring the ideal version of friendship as non-hierarchal (Garrison 372). As a result, Aristotle’s understanding puts female friendships and friendships between classes in a place of ambiguity. However, a closer examination of classical friendship proves otherwise. While all the stories that popularize noble friendships involve men, the core elements and rhetoric of an ideal friendship can be transformed and applied to women and other dissident groups (Schweitzer 348). There are different kinds of friendships (philia) that can extend beyond the stereotypical male aristocracy; the philia of comrades includes “friends living together... and are willing to lay down their lives for each other” which can be seen in female friendships outside the battlefield where this kind of philia would be most applicable (Schweitzer 341). Epicurus, another philosopher who studies the idea of friendship alongside Aristotle and Cicero, introduced the notion of guest friendships, or ‘fellowships’ that also support women and slaves through communal means. According to Schweitzer, guest friendships “existed alongside ideal friendship as a practice of ritualized hospitality” (343). Rather than excluding the stranger or the marginalized, these kinds of friendships allow them to be welcomed and give them the opportunity to create meaningful bonds with one another outside the traditional definition of philia. They oppose the Aristotelian understanding of philia by “embracing affective singularity, anarchist relationality, and other-directedness”, allowing groups outside the male elite could create meaningful relationships that equate to a true friendship and exist outside of his and Cicero’s definitions (Schweitzer 339).

These categories would especially apply and validate the friendships made by individuals that fall into two marginalized groups, such as female servants. The friendships between household servants and their masters are compound and layered behind the “service” that’s exchanged between them, which needs to be defined in order to clarified when analyzing such

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a relationship. Much like the contemporary understanding of the word, “service” had many connotations during the sixteenth century. Rivlin’s article on service and servants within Early Modern culture states that service was not limited to just slavery; the term can be defined in a wide array of ways much more broadly, such as performing commercial or theatrical activities for a client or audience (19). Anyone can participate in service. However, servants and servitude are more aligned with the traditional understanding of slavery: “To be a servant implies that one is subordinate to another, whether this someone is a master, a courtly lover, the sovereign, or God” (Rivlin 20). Unlike the term ‘service’, ‘servant’ means one is bound to someone else, usually of higher social rank. According to Rivlin’s definition, female ‘servants’ are bound to their masters, often gaining some form of benefit in the form of “a share of the power in the form through kinship, gifts, patronage, and such weapons as gossip and humiliation” (Brown 135).

There are servants that engage in this “servitude” with their masters both within and outside the Early Modern literary canon, such as Elizabeth I’s Privy Chamber. A group of twenty women that “had almost constant access to the center of power and held considerable power themselves because of their potential ability to influence the queen”, they are considered some of the most powerful people within Elizabeth’s court, even compared to Elizabeth’s male courtiers (Brown 133). These women exercised the power that came with constantly being close to England’s monarch as her closest confidantes. A similar situation can be noted in Shakespeare’s Antony and Cleopatra with Cleopatra’s two ladies in waiting, Charmian and Iras; both attendants provide care and companionship, devoting their loyalty to Cleopatra in order to achieve and further her goals as queen (Brown 137). Unlike Elizabeth’s women, they have no obligations outside their positions as Cleopatra’s attendants; their lives belong entirely to their mistress and they will ultimately have nothing beyond that of the woman they serve (Brown 138).

Yet, despite these benefits, the relationship between a female servant and her mistress seems to develop into a friendship that has more intimate and affection than that of a friendship that Aristotle would define as one of utility or pleasure. Rather than viewing their ladies in waiting as extensions of their own power and prestige, the mistress is able to form a personal connection with some of their attendants. Elizabeth was “much concerned about the death of Lady Knollys” and felt comfort when visiting another one her attendants once she reported the news of the attendant’s husband’s death (Brown 134). According to Amanda Herbert and her book on female alliances, household inventories demonstrate that the kitchen and the bedroom were the two places where a mistress and her servants could privately socialize, laugh, and exchange secrets and gossip outside of other male figures in the household (82). These women worked to overcome the differences in social and economic standing in order to maintain a complex, yet collaborative work relationship between them. The daily interaction, history shared, and exchange in confidences, especially in long-standing associations like those shared between Elizabeth and her Privy Chamber, may move to a relationship beyond the institutional roles of a mistress and her attendant.

Shakespeare and Webster: Female Friendships on the Early Modern Stage

The relationships between females portrayed on the Early Modern English stage reflected those that occurred in actual society. The playwrights at the time, while influenced by works from the past or other countries at the time, made sure to include aspects of Early Modern England in their play texts. Female friendships were one of those aspects and the playwrights would derive the interactions between their female characters on stage from those in real life, such the complexities of a relationship between a master and servant that were shared between Elizabeth and her Privy council when the plays were soon presented in court. While both Shakespeare’s and Webster’s portrayals of the female character aligns with the supposed view as young, naive, and involved in seeking a husband or secondary to a masculine hero or titular character, the female friendships between master and servant were often a realistic interpretation

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of the closeness between females despite their restrictive societal roles and gender expectations.

Juliet is one of the two titular characters of Romeo and Juliet. The title itself prepares for the reader and viewer to experience her tragic relationship with Romeo, establishing the two lovers defying the long-lasting feud between their parents as the main focus while their relationships with the other characters are pushed to the background in order to advance the plot.

When discussing the nature of friendship within the play, scholarship has tended to focus on either the story’s central, romantic relationship between Romeo and Juliet or the male dominated friendships that can be traced throughout the play. The friendship between Romeo, Benvolio, and Mercutio is often explored by scholars as they analyzed the comradery or different pairings that occur throughout the play between the trio. Juliet’s close relationship with Tybalt is also noted when thinking about friendships in the play, as well as Romeo’s trust in Friar Lawrence when he shares the news about Juliet and asks him to marry them in secret. Lord Capulet even insists on calling Paris his friend when he tries to convince Juliet that she should marry Paris (3.5.192). However, Juliet’s relationship with the Nurse can be argued to be just as close as those shared between the male characters, as well as her own bond with her cousin and lover.

The Nurse is a viewed as a friend and parental figure for the young Juliet; she is a secondary mother figure and the only other female presence in the Capulet household besides her own mother. Both of these traits are essential to understanding the Nurse’s relationship with Juliet, especially early on in the play. In the first scene where both Juliet and the Nurse appear, the Nurse informs the audience of the death of her daughter Susan who “is with God” and “was too good for her” (1.3.20-1). This detail, however, is glossed over and the older woman continues to satirize how she raised Juliet, readily calling her “the prettiest babe that e’er I nursed” (1.3.76). Despite Lady Capulet’s annoyance and insistence for the Nurse to stop talking, she continues this exposition of her close, tender relationship with Juliet to the reader and audience anyway: were not I thine only nurse, I would say thou hadst suck’d wisdom from thy teat” (1.3.68-9). Even though this scene establishes that the Nurse is the “comedic relief ” character that is often found in a Shakespearean tragedy, the fact that she has been beside Juliet since her birth and is familiar enough to regularly joke around with each other is not a joke.

Because of the premature death of her infant daughter, she finds the opportunity of what she could had as a mother with Juliet as her wet nurse. In return, Juliet returns her personal servant’s sentimentality by initially sharing the news of her budding romance with Romeo with the Nurse rather than her mother, as well as having the Nurse act as her private messenger between the two of them. Their relationship is intimate and personal, as both of them rely on each other as surrogates for a loss or neglect in their own personal familial lives.

This familiarity between them is highlighted in 2.5 when the Nurse teases Juliet in throughout the whole scene by delaying the delivery of her message regarding Romeo, thus making her impatient; “The excuse that thou dost make in this delay / Is longer than the tale thou dost excuse. / Is thy news good or bad? Answer to that, / Say either, and I’ll stay the circumstance” (2.5.33-6). However, Juliet immediately forgives her once the Nurse tells her to go to Friar Lawrence’s cell and get married to Romeo even though it goes against her parents’ plans to marry Paris. Because of the devotion and familiarity regarding her relationship with Juliet, the Nurse has aligned herself with Juliet three-fold as parental surrogate, messenger, and confidante.

The Nurse even continues to show her loyalty in Act 3 in the wake of Tybalt’s death in the beginning of the act. When Juliet is confronted with the prospect of marrying Paris, the Nurse does not rush to defend her when the Capulets threaten to disown their daughter after Juliet refused and expressed her desire to marry Romeo. Rather, she tells her mistress to follow her parents’ orders and marry the Count: I think it best you married with the county...

Romeo’s a dishclout to him: an eagle, madam Has not so green, so qauick, so fair an eye

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As Paris hath. Beshrew my very heart...

Your first is dead; or ‘twere as good he were, As living here and you no use of him.

(Rom. 3.5.218-26) When Juliet asks if the Nurse is “speaking from thy heart”, the Nurse confirms by replying, “And from my soul too, else beshrew them both” (3.5.227-8). Even though the Nurse, up to this point, has acted as a proxy to Juliet, following and serving her with uttermost love and devotion, she chooses to follow the will of her employers rather than vindicate Juliet’s romantic interests in Romeo. In the context of the Nurse’s “divided” duty to Juliet and her actual employers, an internal, insoluble problem surrounding class-based friendships emerges. The Nurse is aware of her social status compared to the other main characters in the Capulet household, and is trying to counsel her mistress while limited to her subordinate position as a servant. It is evident that she still cares and values Juliet as if she was her own daughter; out of love and for Juliet’s own future, the Nurse follows the needs of Lord and Lady Capulet and tells Juliet to listen to her parents’ wishes, stick to the expectations that are presumed of someone of her gender and social status as the only daughter of the Capulet family.

Their friendship exhibits the complexities of an ideal friendship between two women of differing social classes. Much like Aristotle’s definition of a virtuous friendship, the Nurse wishes the best for Juliet and her overall wellbeing both as friend and a secondary mother figure.

She supports Juliet relationship when she realizes her mistress is truly happy with Romeo, but also knows that such a relationship could put Juliet’s life at risk the moment Romeo was exiled two scenes prior. In return, Juliet relies on the Nurse to provide advice where her mother cannot and to keep her relationship with Romeo a secret; something that the Nurse upholds throughout the entirety of the play. Despite the difference in age, they were able to create and establish a bond where they are able to give and take for each other’s best interests through the time they’ve been together.

Othello too explores a class-based friendship between two females: Desdemona and Emilia, gentlewoman and maidservant respectfully. On the surface, the two are fundamentally “unlike”: one is still rather sexually naïve despite her recent marriage while the other was already married prior to their introduction in Act 2 and has years of experience with her relationship with Iago. However, as the play progresses, the two eventually seek companionship and comfort in each other, and their friendship strengthened over the abuse and mistreatment from their husbands whose own “friendship” deteriorates at the very end of the play.

It becomes clear that Emilia and Desdemona’s roles as the two female characters in the play (aside from Bianca who remains single at the end of the play despite her shortlived relationship with Cassio) is to serve their husbands. The play opens by introducing the reader and audience to Othello and Desdemona’s recent marriage through Rodrigo’s agitation and Iago informing Senior Brabantio about his daughter’s elopement, saying “an old black ram / Is tupping with your white ewe” (1.1.87-88). Once Brabantio learns of his daughter’s disappearance, he immediately pleads with the Duke of Venice and asks him to legally break his daughter’s relationship with Othello in the next two scenes, but to no avail. Much like Juliet’s relationship with Romeo in the Prologue, the audience is already aware that the main conflict is going to involve Desdemona and Othello’s recent engagement. Desdemona herself is truthful and righteous; throughout the play, she does what she can to help the men around her, such as providing a listening ear for Cassio when Othello strips him from his position as lieutenant and doing what she can to get him back in Othello’s graces as his wife. Except for Emilia, she, much like the other characters in the play, is unaware of Iago’s manipulation in the background. As a result, she ultimately pays the price for her kindness when Othello suffocates her, believing his ensign’s words over hers.

Emilia, on the other hand, serves her husband by assisting him in his elaborate plan to

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destroy Othello’s reputation. Despite her loyalty and growing friendship with Desdemona, she steals the handkerchief when Iago asks her to, saying that “I nothing, but to please his fantasy” (3.3.303). Similar to the Nurse, Emilia is bound by the social constrictions her positon as a wife which outweighs her position as Desdemona’s friend and maidservant. Therefore, she gives the handkerchief to Iago instead of returning it to its proper owner, even if she believes that stealing from Desdemona is wrong and doesn’t like betraying her in such a manner: “Poor lady, she’ll run mad / When she shall lack it” (3.3.21-22). Prior to her concern regarding Desdemona, she inquiries about Iago’s true intentions regarding the handkerchief; when she doesn’t receive a straight answer, she demands that he give it back to her: “If it be not for some purpose of import / Give’t me again” (3.3.19-20). While Emilia is choosing her loyalty to Iago over her loyalty to Desdemona, she still cares for her mistress by demanding to know what her husband is going to do with it, worried about Desdemona’s state of mind when she will soon find out the handkerchief is missing.

The friendship between these two “fundamentally different” women becomes more transparent as the play reaches its narrative climax. By 3.4, Othello has seen Cassio in possession of the handkerchief and suspects that Desdemona has betrayed him and their relationship by having a secret affair. As a result, Desdemona seeks advice from her more experienced maidservant.

From her own relationship background with Iago, Emilia educates Desdemona on the realities of being married and a woman’s role of submitting to her husband: “’Tis not a year or two shows us a man. / They are all but stomachs, and we all but food: / They eat us hungerly, and when they are full / They belch us” (3.4.104-07). Even though she is below Desdemona from a societal standpoint, Emilia is well-versed in the complexities and challenges of being married and a wife. She experienced this kind of masculine abuse from Iago firsthand; when she attempts to please him by giving him the handkerchief, he dismisses Emilia’s decision to betray her mistress by calling her “a good wench” and orders her to go away once she gives it to him (3.3.323). As her friend, she councils Desdemona about the inevitable, greedy nature of men and to be aware of her own vulnerable position as woman when compared to Othello’s true temperament as a man. Emilia is telling Desdemona through her speech to reassess the guilt she is feeling when failing to meet the unfair expectations of females within marriage. She must stay true to herself and she shouldn’t give into Othello’s accusation of infidelity.

However, Emilia’s advice is fruitless and Desdemona ultimately dies at Othello hands, fighting for him (and the audience) to see her as an innocent wife and friend. When she finds her mistress lying dead, Emilia speaks up for her against Othello when Desdemona cannot.

When he threatens her with his sword, she stands her ground and says, “I care not for thy sword, I’ll make it known / Though I lost twenty lives” (5.2.161-62). Desdemona’s death gives Emilia the strength to reveal the truth of her husband’s plan. She is not afraid to attack the men that wronged her mistress (and herself ) even if her life is at risk. Her faith and devotion toward Desdemona as her friend and only female companion in the play is what causes her to betray and expose her husband, redeeming Desdemona in the eyes of the other men as “the sweet innocent / That e’er did lift up eye” (5.2.197-98). Rather than remaining loyal to Iago and “keeping her peace”, she is determined to speak out, despite her lower status as a lady in waiting, and defend her mistress and friend. By uncovering the “Villainy, villainy, villainy!” that undercuts the trust Iago and Othello share with each other, Emilia’s speech reflects how female friendships between master and servant not only transcend the societal expectations, but also the marital bond that’s shared between a man and a woman (5.2.187).

Much like Desdemona, Emilia is ultimately punished and sentenced to death for defending herself (and her friend) against her husband. However, they are also, in a way, survivors.

Even though they were killed in the end, Emilia and Desdemona’s friendship remained intact.

Emilia is redeemed when she recalls the willow song Desdemona sang in the previous act: “Moor, she was chaste, she loved thee, cruel Moor, / So come my soul to bliss as I speak true!”

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(5.2.247-48). By ‘speaking true’, Emilia is able to defend her mistress and friend, demonstrating her loyalty toward Desdemona despite her earlier betrayal. Their friendship has reached its peak, while Iago and Othello’s friendship is destroyed once Emilia reveals that she gave the handkerchief to her husband. This negative correlation between the female friendship of Emilia and Desdemona and the rest of the friendships between the male characters throughout the play further emphasizes the importance of female bonds during the early modern period. Similar to Emilia and Desdemona, Othello and Iago’s friendship is based on honesty, which is gained through their close, confidential positions as military general and personal ensign respectively.

However, unlike Emilia who serves her mistress through allegiance and a sincere desire to protect her innocence from the dangers of men as a fellow woman, Iago pretends to serve Othello in order to fulfill his personal mission to destroy the Moor’s reputation. While the particular origin of his mission is not explicitly stated, it is obvious he is jealous of becoming second to Cassio in ranking: “I know my price, I am worth no worse a place” (1.1.10). This primitive, competitive nature that is implied in the friendships between males is lacking in those between females. Rather than viewing each other as competition, Emilia and Desdemona’s relationship is collaborative; they bond over the mistreatment of their husbands and the hardships of their positions as wives.

Shakespeare was not the only one who detailed the friendships between females in this way; his other contemporaries have written friendships between female master and servant in a similar manner in their tragedies as well. Webster’s Duchess of Malfi mainly revolves around the distrust and suspicion between the sibling trio of the Duchess, Duke Ferdinand, and the Cardinal. As a result, the surrounding relationships, such as the Duchess’s relationship with her waiting woman Cariola, is pushed to the background. However, the friendship between the two is the one that exemplifies the ideal form of friendship the strongest out of the three tragedies.

Compared to the friendships between the women in Romeo and Juliet and Othello, Cariola’s loyalty and devotion toward the Duchess stands out, as it is not restrained or restricted by employment to a higher authority than her mistress or marriage to a spouse. As Whigham observes in his article on social mobility within The Duchess of Malfi, Cariola “is not given any of the divided loyalties that would accompany the usual suitor of her own” (172). As he and the Duchess get ready to spend the night together, Antonio asks Cariola when she will marry to which she replies quite decisively, “Never my lord” (3.2.30). This moment emphasizes Cariola’s devotion toward her mistress; the way Antonio phrased his question with “when” she will marry rather than “if ” implies that Cariola will marry eventually and her response is indicative that she has no intentions of getting married or finding a husband. Even if this line was intended to be more comedic than serious, she at least recognizes the patriarchal system and its restraint on women at the time, which further highlights the fact she chooses to devote her undivided love and attention to the Duchess. However, she also questions her mistress’s decision to marry Antonio at the end of 1.3, telling the audience that “Whether the spirit of greatness or of woman / Reign most in her, I know not; but it shows / A fearful madness. I owe her much of pity” once Antonio and the Duchess leave the stage (1.3.258-60). The audience can see that she is both independent regarding her own agency and choices, and free to serve the Duchess without the dangers of betrayal or abusing her mistress’s trust.

Their friendship is further strengthened through their confidence and freely sharing secrets with one another. Secrecy is a major theme throughout the play, and the dramatic tensions are created around the numerous secrets and the acts of confidentiality that the characters make behind each other’s backs, such as Bosola acting as the Duchess’s servant under the orders of Ferdinand to report back to him about his sister and the Duchess marrying Antonio, someone of lower social status as a steward, without telling either of her brothers knowing they will condemn her for marrying someone below her status. The Duchess acknowledges the dangers of going against her brothers, and society’s expectations of her in general, and trusts Cariola enough to share her

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plans of disobeying her brothers by choosing her own husband by requesting that her woman in waiting “to thy known secrecy I have given up / More than my life, - my fame.” (1.3.71-72). Status was everything in the early modern period, especially if someone held a high-power title such as duke or duchess, and for the duchess to entrust her waiting woman with that information and to not betray her by sharing such a secret indicates their friendship resembles that of a strong female alliance than the mere master-servant relationship. Even if Cariola stayed silent as is her duty as a servant, she has no motivation or outside reward to break the alliance between her and the Duchess.

She stays faithful to her mistress while also maintaining her own conclusions and opinions.

Similar to Emilia, the loyalty Cariola displays for her mistress ultimately leads to her death. When the Duchess is contemplating her death, knowing her brothers have found out about her marriage and fidelity to Antonio, she asks Cariola “Dost thou think we shall know one another / In th’ other world?” (4.2.24-25). Carolia’s response is an unwavering “Yes, out of question.” (4.2.26). Their friendship and devotion for each other is powerful enough to supposedly transcend into the afterlife. Cariola even tells the Duchess that she “will die with her” before her mistress is forced off stage by the executioners (4.2.141). She is willing to continue to serve the Duchess until their strangulations at the end of the second scene of Act 4, and even beyond as a spiritual obligation. The allegiance between them is strong and Cariola recognizes that their fates are tied regardless of their differing social statuses as a servant and member of the aristocracy.

The Duchess also returns this devotion toward her lady in waiting. Not only does she initiate the conversation by asking Cariola if she thinks they will meet in the afterlife, but when she is questioned by Bosola if she fears death, she responds by saying “Who would be afraid on ‘t, / Knowing to meet such excellent company / In th’ other world?” (4.2.152-54). While she could be referring to members of her family based on the wax figurines that are on stage by the order of Ferdinand, the line could also reference the previous conversation with Cariola regarding the afterlife a couple lines earlier. Because the Duchess was the one who asked Cariola directly, the question links her waiting woman to the “excellent company” that she expects to see when she passes. Much like Cariola gains strength and agency as her mistress’s confidante and servant, the Duchess gains strength from her servant’s reassurance.

The removal of social difference in their friendship is reflected in how the two were killed. Unlike Emilia and Desdemona, where one was suffocated while the other is stabbed, both Cariola and the Duchess are strangled by the same executioners in the same room. After the Duchess’s death, Bosola tells Cariola that she is also going to be executed alongside her friend because “You kept her counsel; now you shall keep ours” (4.2.196). No matter how much she begs or tries to persuade Bosola otherwise, Cariola is punished for performing her duties as a servant by keeping the Duchess’s marriage a secret. This devotion equates them in terms of their death sentence. They are both equals and punished the same way for the “crime” that the Duchess committed; the Duchess does not get a special exemption for her status as a duchess and Cariola is not spared for her status as a mere servant and executing her duties of serving the Duchess. Both of them resisted the patriarchy, with the Duchess going against the wishes of her brothers and Cariola denouncing the tyranny both Ferdinand and the Cardinal are displaying, and both of them are punished for it together regardless of their positions in the play.

Conclusion When considering Cariola’s agency while simultaneously serving the Duchess in The Duchess of Malfi, questions surrounding the relationship between friendships and power start to emerge]. By the turn of the eighteenth century, it is evident that there is a shift in power between classes; as the lower classes start to gain social mobility, the tension within the hierarchy that’s been carefully crafted and established within society for centuries becomes more prominent.

Clegg mentions this anxiety between the classes in her article on the relationships between domestic servants and their masters during the later eighteenth century, stating that “relations between servants and masters were clearly at a crisis point... that crisis was continuous with

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the ‘servant question’ of the next century” (51). Clegg’s statement was correct; with the rise of reason surrounding the Age of Enlightenment, new thoughts surrounding power and an avocation of equal government emerged. As the public began to rise against the monarchy, the power breakdown within society between the different classes are also challenged. People started to consider and rethink how society can be equal in terms of rights and privileges between all individuals.

However, while this new age and way of thinking changed a lot of things within society, such as science and philosophy, the friendships between mistresses and servants remained the same. While these mistresses and their ladies in waiting are classified in different social spheres, their friendships surpass these social restrictions and the benefits that come with their respective roles. The aristocracy benefited from their servants by never having to lift a finger and work a day in their lives, and the lower serving class gained protection and good living and working conditions from their masters in exchange; all those benefits will change after the strict social hierarchy begins to break down. But the servants who managed to establish a true friendship with their mistress look past those interests and care for the wellbeing of their friend regardless of how much they’re willing to risk their lives and position. They are willing to speak up against those who might have a higher authority, such as going against the command of their husbands like Emilia. They are willing to defy the expectations of both a servant and female, such as Cariola openly acknowledging to her mistress’s husband and the audience how she refuses to marry; all to serve their friend. Even though they belong in different social classes, the ideal friendship shared between a master and her servant will continue beyond the pleasure and benefits that come with a friendship based on utility or gain. Their friendship won’t fade away as the power shifts and social classes aren’t as prominent moving forward because it transcended the obligations society expects of them for each other and their relationship.

Literary scholarship on female friendships now has the opportunity to grow by looking back and considering these early modern relationships. Both Shakespeare and Webster, and even other early modern playwrights who also include these kinds of female master-servant dynamics in their plays, demonstrated that there is more to the relationship between a mistress and a female servant than just service and advantages for both individuals. The actions they show on stage and words they say within the playtext are virtuous and loyal while maintaining their own individual identities. By limiting the scope of female friendships to those beyond the eighteenth century, these friendships are undermined and considered incapable of becoming true friendships according to the classical, elitist male limitations that friendship was founded on. After further analysis, this is proven to not be the case. As this ever-expanding trend of female friendships continues to expand even further in a literary context, the friendships between women from past centuries should be not be forgotten or disregarded; rather they should be considered just as much as contemporary friendships, and it’s time that the literary community recognizes it as well.

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Works Cited Aristotle. Nicomachean Ethics, edited by Eudora Welty and Ronald A. Sharp, W. W Norton & Company Press, 1991.

Brown, Elizabeth A. “Companion Me with My Mistress: Cleopatra, Elizabeth I and their Waiting Women.” Maids, Mistresses, Cousins, and Queens: Women’s Alliances in Early Modern England, edited by Susan Frye and Karen Robertson. New York: Oxford University Press, 1999. Pg. 131-45.

Cicero, Marcus Tullius. De Amicitia, edited by Eudora Welty and Ronald A. Sharp, W. W. Norton & Company Press, 1991. Pg. 71-9.

Clegg, Jeanne. “Good to Think With: Domestic Servants 1650-1700.” Journal of Early Modern Studies, no. 4, 2015. Pg. 43-66.

Garrison, John. “Shakespeare and Friendship: An Intersection of Interest.” Literature Compass, vol. 9, no. 5, 2012. Pg. 371-79.

Herbert, Amanda E. Female Alliances: Gender, Identity, and Friendship in Early Modern Britain.

Yale University Press, 2014.

O’Connor, David K. “Two Ideals of Friendship.” History of Philosophy Quarterly, vol. 7, no. 2, April 1990. Pg. 109-22.

Rivlin, Elizabeth. “Service and Servants in Early Modern English Culture.” Journal of Early Modern Studies, no. 4, 2015. Pg. 17-41.

Schweitzer, Ivy. “Making Equals: Classical Philia and Women’s Friendship.” Feminist Studies, vol. 42, no. 2, 2016. Pg. 337-64.

Shakespeare, William. Othello, edited by E.A.J. Honigmann. The Arden Shakespeare, 1997.

---. Romeo and Juliet, edited by Rene Weis. The Arden Shakespeare, 2012.

Webster, John. “The Duchess of Malfi,” Bartleby, 2001. https://www.bartleby.com/47/4/ Whigham, Frank. “Sexual and Social Mobility in The Duchess of Malfi.” PMLA, vol. 100, no.

2, 1985. Pg. 167-86.

About the Author Allison Lyne is a member of the class of 2021, majoring in English Literature and double minoring in Writing and Medieval and Renaissance Studies. She has been involved in various organizations on campus, such as being a member of the Marching Captains, serving as an officer for her fraternity Sigma Alpha Iota, and dancing in the K-Pop Choreography club. She also worked as a writing consultant in the Writing Center. Her research endeavors include participating in the Research Apprentice and Summer Scholars programs, as well as presenting at Paideia and the British Conference of Undergraduate Research. Once she graduates, she plans to pursue a master’s degree at Mary Baldwin University through the Shakespeare Master of Letters Program in order to become an Early Modern Studies professor.

“Diversification of Women in STEM: The Role of Grit” Brooke Nixon Winner of the Douglas K. Gordon Cupola Award Faculty Sponsor: Dr. Michelle Lange, Department of Psychology

Abstract Females in science, technology, engineering, and mathematics (STEM) majors and industries have historically been and remain marginalized in representation. Resultantly, academic and industry professionals continue to make efforts towards the diversification of women in the STEM fields. The present study explored the relationship between gender, undergraduate major, and the personality construct of grit. Two hundred and twenty undergraduate students completed the Grit-S scale and reported their gender and major. The results showed that female STEM majors scored significantly higher on the grit scale than both male STEM majors and female non-STEM majors. These results demonstrate the basis for universities and early education systems to explore the facets of grit and how they can be fostered and encouraged in females interested in pursuing STEM careers.

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Introduction Despite some of the highest efforts placed on improving attrition rates in recent years, the science, technology, engineering, and math (STEM) fields are among the lowest in female representation out of any college major (Chen & Soldner, 2013). Indeed, Chen and Soldner (2013) found that just under 50% of STEM bachelor’s degree candidates left the field before completing their degree, with significantly more females than males dropping out of programs.

These rates stretch beyond undergraduate programs, with women dropping out at a higher rate than men in STEM graduate and doctoral programs as well (Bekki et al., 2013). Women account for just 38% of bachelor’s degrees earned in traditional STEM fields (i.e., engineering, computer science, mathematics, and physics), and compose a mere 25% of the STEM workforce and 27% of tenured professors (Charlesworth & Banaji, 2019). These statistics and the underrepresentation they subsequently lead to in these key fields have left college administrators and STEM companies eager to better understand and address contributory factors so the adverse effects of undiversified career sectors can be mitigated.

Impacts of Underrepresentation of Women The impacts of women’s underrepresentation in STEM majors stretch far beyond undiversified academic programs. One important component of education is to grow the perspectives and diversity of rising experts in specific fields. Previous research has shown that fields with higher expert representation from across genders result in more diversified research efforts and findings (Dennehy & Dasgupta, 2017). Moreover, this representation is important for fostering mentorships and career support that are conducive to improving student success and attrition rates.

Beyond workplace and educational representation, marginalized gender representation in STEM fields advances larger systemic gaps in society. Beede et al. (2011) identified a lack of female role models and less family flexibility as contributory factors to the STEM gender discrepancy, noting that STEM related career paths are less conducive to accommodating flexibility in scheduling and periods of time off often necessary to raise a family. Further, Makarova et al.

(2019) reported that female students’ perception of science as a “masculine field” deterred them from pursuing it as early as the middle school years. Many of these factors also contribute to the persistence of the longstanding gender pay gap, in which women in STEM professions earn, on average, 82 cents for every $1 earned by men, a rate comparable to gender pay disparity in other fields. Such pay disparity itself may, in turn and when coupled with the above-noted lack of support structures in place for women, serve as further demotivation to pursue a career or advancement in these fields (Corbett & Hill, 2015).

Role of Traits Although women on the whole remain underrepresented in the STEM field, there are still many individual women who have found success. Research on the association between personality traits and academic pursuits has consistently found connections between specific characteristics and explanatory reasoning for academic behaviors. Thus, the lack of understanding behind female STEM representation has the basis to be addressed by exploring particular personality traits (McKinney, 2016). McKinney (2016) sought to identify personality factors that predict mathematics anxiety and STEM interest levels in female undergraduate students.

Using the Big Five Personality model, a well-established personality model which assesses five broad personality dimensions— openness, conscientiousness, extraversion, agreeableness, and neuroticism— McKinney’s findings indicated a positive relationship between mathematics anxiety and neuroticism, and a negative relationship between mathematics anxiety and conscientiousness and agreeableness. Self-efficacy, the ability to succeed in a given situation, was found to be a predicting factor for STEM interest, decreased mathematics anxiety, and ultimately, increased likelihood of majoring in STEM courses of study. Similarly, when looking at both male and female STEM students in medicine, Shi et al. (2015) found that the traits of agreeableness,

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conscientiousness, and openness were all negatively associated with anxious tendencies, whereas neuroticism was positively associated. Further, their research demonstrated a prevalence of anxiety in STEM students with resilience being a key trait that mediated the relationship between the Big Five and anxiety symptoms across genders (Shi et al., 2015).

Resilience Resilience can be defined as continued patterns of successful adaptation when faced with hardships or tumultuous circumstances (Masten & Powell, 2003). Studies have demonstrated a connection between resilience and academic achievement goals (Jowkar et al., 2014), self-esteem (Chung et al., 2018), and mental health in college students (Wu et al., 2020). Research into the relationship between resilience and persistence in STEM majors is sparse, but suggests possible differences along demographic lines. For example, Kuzmishin (2018) found no difference in resilience level across STEM majors compared to non-STEM majors, but found a moderately higher level of resilience in male STEM students compared to female STEM students.

Grit Grit is a closely linked concept to resilience and one that has received recent attention in the scholarly literature surrounding education. The construct of grit is defined as a combination of perseverance and passion to achieve a goal or complete a task (Duckworth et al., 2007). Initially, some scholars criticized the construct of grit, citing that it mainly reflects elements of resilience, perseverance, or conscientiousness, rather than existing as a distinct construct (Credé et al., 2017; Rose, 2007). Even Duckworth, the researcher attributed with coining grit, has acknowledged this potential shortcoming of grit’s theory and measurement in the initial creation of her grit scale (Duckworth & Quinn, 2009). Thus, the scale was revised to account for the key element of passion, and now includes two distinct facets: perseverance of effort (PE) and consistency of interest (CI). Each facet accounts for key variations in scoring and addresses initial concerns about the overlap with other personality constructs. Measurements of grit with Duckworth’s revised scale shared only 69% of the variance with conscientiousness, demonstrating that it measures something beyond this trait (Schmidt et al., 2018). Thus, the unique combination of the PE and CI facets of grit distinguish it from other personality constructs and find successful application to a variety of practical settings; the construct of grit has seen unique connections to goal attainment (Sheldon et al., 2015), health care management skills (Sharkey et al., 2017) and employment status (Griffin et al., 2016, as cited in Kannangara et al., 2018).

In Education Grit has also found to have unique applications in the educational setting. In early childhood, variables such as high levels of hope and positive familial relationships aid in the successful fostering of grit, and throughout the school years, those who perceive their academics as more mastery-focused rather than performance-focused have been found to be grittier and to earn higher grades (Park et al., 2018). Adaptive motivational patterns in learning include stronger learning goals and higher intrinsic motivation, and previous research has suggested grit to have a positive association with increased academic engagement and achievement (Karlen et al., 2019), academic productivity (Hodge et al., 2018), and hours spent studying (Cross, 2014).

Despite the frequently higher goals and ambitions of grittier people, a study conducted by Choi (2020) found that undergraduates with higher grit levels also had higher levels of sustainable behavior and emotional well-being. Thus, grittier people benefit pervasively in academic success and sustainable achievement, and certain majors and fields of study may uniquely benefit from the advantages that accompany grit.

In STEM Majors

Beyond looking at the role of grit in educational outcomes on a broad scale, grit plays a unique role in those pursuing STEM degrees. STEM majors often attract “the best and brightest” students with high levels of prior academic success. Many STEM majors are high-performing students in high school, but not all exhibit the perseverance and passion needed to proceed in

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the field after receiving lower grades in the transition to the college setting. Indeed, Bottomley (2015) found one’s grit to correlate not only with variables such as high school GPA and SAT scores that are frequently utilized in admittance to engineering programs, but, importantly, also with STEM retention rates. This suggests that the consistency of interest and perseverance of effort that comprise grit may be important predictors of who succeeds in STEM majors.

In Female STEM Majors While grit has received recent scholarly interest, there is still very little exploration into how diverse demographic variables may intersect with grit. A recent systematic literature review conducted by Direito et al. (2019) reported only four research articles that specifically explored the relationship between grit and gender in engineering students. Of those four, inconsistent results were found. Bracey et al. (2016) found a positive relationship between personal motivation and grit between minority STEM students, including female students and students of color.

Similarly, Bottomley (2015) found that female STEM students were statistically significantly grittier than their male counterparts. Conversely, Choi et al. (2016) explored demographic breakdowns and differences for STEM majors who partook in grit measures and did not find a significant difference in scores between male and female respondents. Similarly, Jaeger et al.

(2010) found grit to predict factors of success, but did not find significant differences among participant gender nor student athletes within undergraduate students.

Present Study Given the underrepresentation of women in STEM majors and subsequent STEM careers, the present study seeks to build on previous research, which showed inconsistent findings, and explore the relationship between grit and STEM majors along gender lines by examining grit scores from female STEM majors, male STEM majors, and female non-stem majors. The researcher hypothesizes that female STEM majors will score higher in grit than male STEM majors and higher than female non-STEM majors.

Method Participants

Participants (N= 220) were undergraduate students attending several universities along the eastern coast of the United States. About 90% of the participating students received credit in their introduction to psychology class for participating. Within the sample, 174 were female and 46 were male. Out of the female participants, 25 were STEM majors and 149 were non-STEM majors; for the males, 13 were STEM majors and 33 were not. Participants were predominantly Caucasian with 60 first-year students, 76 second-year students, 57 thirdyear students, and 27 fourth and fifth year students in the sample. As the researcher was only interested in the relationship between male and female STEM majors, and the relationship between female STEM and non-STEM majors, the data from the 33 male non-STEM majors were excluded from further analyses. STEM majors were defined as those majoring in physics, computer science, engineering, and mathematics, as these subsets of STEM majors see the most significant discrepancy in gender representation (Sassler et al., 2017).

Procedure

Participants completed a survey with two sections. The first section asked for the participants’ gender, race, year in school, and major. Next, participants completed the Short Grit Scale (Grit-S; Duckworth & Quinn, 2009). The averages of the Grit-S response scores were then taken to determine participants’ overall level of grit.

Grit Measure

The Grit-S scale consisted of eight, one statement questions (e.g., “I am a hard worker”) that measured various components of the personality trait of grit. Participants rated each question on a 5-point Likert Scale that ranged from 1 (not at all like me) to 5 (very much like me).

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Results A one-way ANOVA with post-hocs was run to predict average grit score based on gender and type of major. There was a significant relationship between gender by major and average grit scores, F(2,184) = 16.36, p = < .001. The first hypothesis stated there would be a significant difference between grit scores of male and female STEM majors. The data supported this where differences were found between the female STEM and male STEM conditions, where female STEM majors (M = 3.62, SD = .70) scored higher than male STEM majors (M = 3.01, SD = .41). The second hypothesis stated there would be a significant difference between female STEM and non-STEM majors’ grit scores. The data also supported this where differences were found between the female STEM and female non-STEM conditions, where female STEM majors scored higher than female non-STEM majors (M = 3.14, SD = .32). Thus, female STEM majors exhibit significantly higher levels of grit than both their male STEM major and female non-STEM major counterparts.

Figure 1 Mean Grit Score by Major and Gender Groupings

Note. There was a significant difference in mean grit scores across Major by Gender, where female STEM majors showed higher grit scores than both male STEM majors and female non-STEM majors.

A 3x4 factorial ANOVA was conducted to determine if there was an additional main effect for class year in predicting grit score, and to determine if there was an interaction effect between gender by major and class year. There was no hypothesis made regarding this analysis and there was not a main effect for class year; however, the data showed a significant interaction effect, F (5,176) = 2.362, p < .05. Post-hoc tests revealed that in the female STEM majors, second-year (M = 3.91, SD = .47) and third-year students (M =3.74 , SD = .74) accounted for the differences in overall higher mean grit scores between female STEM majors as compared to both female non-STEM majors and male STEM majors.

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Figure 2 Mean Grit Score Across Class Year by Major and Gender Groupings

Note. There was an interaction effect, where female STEM majors in their second and third years accounted for a significant proportion of the differences in overall mean grit score between female STEM majors as compared to both female non-STEM majors and male STEM majors.

Discussion

The purpose of this study was to explore if a relationship was present between gender, undergraduate major, and grit. The hypotheses that female STEM students would have a higher average grit score than male STEM students and female non-STEM students were supported.

Given the nascent research on this topic, replicability of previous findings is particularly significant. The findings concur with similar research conducted by Bracey et al. (2016) and Bottomley (2015). Further, this research replicates key aspects from a pilot study that was run as part of a class project in Fall, 2020. In that pilot, female STEM majors were also found to have higher grit than male STEM majors, but not female non-STEM majors. While limited prior studies have shown inconsistent findings in this area, establishing consistency through replication studies such as this helps to provide a foundation on which future research can build.

Additionally, these findings contribute to greater efforts directed towards diversifying the STEM fields in both educational settings and the workforce. As research supports that the composition of women in the STEM workforce fails to meet the demand (Wang & Degol, 2013), acknowledging the barriers that may influence career goal choice and the factors that are associated with success in that choice is beneficial (Blotnicky et al., 2018). Specifically, support for the notion that females who pursue STEM fields have higher grit than their non-STEM pursuing peers demonstrates the basis for universities and early education systems to explore the facets of grit and how they can be fostered and encouraged in females interested in pursuing STEM careers. On the whole, grittier people have been shown to have higher than average persistence, problem solving, and passion (Duckworth et al., 2007), which are constructs that have also been connected to those in the STEM fields (Sithole et al., 2017). As the underrepresentation of women in STEM majors and career paths persists, it is worth understanding and implementing programs to encourage the types of behaviors associated with high levels of grit for continued growth and diversification in the STEM fields.

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There have been studies that explored grit by class year with inconsistent findings.

Several studies suggest that first-year students have significantly higher grit than future years (see Chen et al., 2015; Senkpeil & Berger, 2016; Sheridan & Carr, 2017, as cited in Direito et al., 2019), while others have reported preliminary findings supporting that second and third year students have higher levels of grit (Lerner, 2013). Data from the present study concur with the latter, finding that of female STEM majors, there were significantly higher levels of grit in second and third year students. It is possible that students with lower grit or support leave STEM majors after their first year, resulting in higher grit scores during the following years. In addition, fourth and fifth year students experience additional stressors and demotivation as they consider future steps of graduate school or entering the workforce, which may account for the decline in grit for these years. None of the aforementioned studies nor the present study found data longitudinally within the same group of students, which can restrict the interpretation of these findings. However, if future research finds such factors to be contributing to the observed interaction, this further underscores the need for undergraduate universities, graduate schools, and companies to provide support and facilitate mentorship to improve retention rates for women in STEM fields.

Limitations

There are limitations to the present study which could restrict the widespread application of these findings. First, the vast majority of female STEM students who participated came from the same engineering discipline (mechanical engineering), limiting the generalizations of their scores to be representative of female STEM majors across disciplines. Additionally, the size of the sample for STEM students was relatively small. Specifically, only 25 female STEM majors and 13 male STEM majors participated in the study, which limits the conclusions that can be drawn from them. Thus, there were elements of the sample that can skew findings of our overall population of American college students. Resultantly, generalizations of these findings should be made cautiously to that population.

Finally, the study was unable to explore all potential confounding variables sought, specifically regarding race. While females in general make up the minority of STEM majors, racial minorities comprise an even small subset. This could suggest an even greater level of grit needed for them to succeed in STEM-related fields (Bracey et al., 2016). While data regarding participant race were collected, the participants were predominantly Caucasian, and there were too few participants in other races who participated to run meaningful statistical analyses.

Future Research

There are a number of directions that are suggested for future research. First, examining the relationship between grit levels in female STEM students should be conducted using a larger and more representative sample size than used in the present study, specifically regarding representation across race, STEM discipline, and first-generation students. Further, exploring this study in a longitudinal format would be of benefit to better understand the relationship between gender, major, grit score, and class year. Additionally, it is worth further exploring this relationship at colleges with more female faculty in STEM fields. Dennehy and Dasgupta (2017) highlighted the importance of female mentorship for female STEM students, and that the level of female representation in a program’s faculty could mediate the relationship between female students’ grit levels and STEM attrition rates. Finally, identifying and differentiating students who personally want to study STEM fields versus those who had a STEM career impressed upon them due to factors such as family wishes or desire to enter a well-regarded field should be further explored when studying grit. Karlen et al. (2019) highlighted the importance of passion when measuring grit through increased academic engagement and achievement. Thus, if a student possesses perseverance but not intrinsic passion, they will not score high on standards of grit. Identifying such students in future studies could be utilized to explore or predict success in STEM fields from the construct of grit.

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Conclusion

This study sought to explore the role of grit in relation to gender and undergraduate major. The findings implicate that the construct of grit plays a role in females who choose to major in STEM majors. As universities and industry professionals around the country continue to make efforts to foster and promote equal opportunities for women and women in STEM, these findings provide important evidence for the creation of and focus on grit-based and gritintegrated programs to help contribute to such goals.

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About the Author Brooke Nixon is a member of the CNU class of 2022 double majoring in Information Science and Psychology with a minor in Leadership Studies. She is dedicated to her studies as a member of the Honors and President’s Leadership Programs, as well as the Alpha Chi, Omicron Delta Kappa, Psi Chi, and Upsilon Pi Epsilon honor societies. In addition to undergraduate research, she is involved in Student Honor Council and the Newport Pearls a cappella group, and works as the Lab Manager at the Wason Center for Civic leadership, Site Team Leader for Serve the City, and is the incoming OURCA ambassador for the College of Natural and Behavioral Sciences.

Brooke plans to pursue a master’s degree in human computer interaction after graduation and work in the cybersecurity field.

“The Covid College Experience: The Effects of Covid-19 on the Life and Learning on a College Campus” Olyvia Bailey and Elizabeth Bergman Faculty Sponsor: Dr. Linda Waldron Department of Sociology, Social Work and Anthropology

Abstract The purpose of this study is to bring insight into the experiences of students attending East Coast Liberal Arts University under the restrictions of the Covid-19 pandemic. By analyzing data from 20 qualitative interviews with current University students, researchers sought to understand how restrictions on social life, campus involvements, and virtual learning environments altered perceptions of the college experience. Grounded Theory helped to identify four major themes of data: (1) Emotion, Stress, & Motivation, (2) Work, School, & Media, (3) Relationships, Social Life, & Involvements, and (4) Life Changes & Loss. These themes articulated the areas that life had changed for students or identified negative feelings which had been amplified from Covid-19 restrictions. This data was then analyzed using Durkheim’s Theory of Structural Functionalism, which helped to further understand the difficulties students were experiencing due to Covid-19. This study demonstrates that a loss of normalcy in the college experience has negatively impacted students’ understanding of life on campus, indicating the importance of community and solidarity within universities as a contributing factor to their overall functioning and unity.

Keywords: Anxiety, Covid-19, Virtual, Normal, Change(s), Mental Health

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Introduction With the emergence of Covid-19 during spring of 2020, the impacts on mental wellbeing for those with existing conditions such as anxiety and depression were negatively amplified (Sasaki et al., 2020). The impacts of quarantining and isolating, as well as the loss of jobs and steady incomes, caused individuals to worry more about certain aspects of life regardless of previous mental health conditions. The unknown timeline and desire to return to “normal” is presented as a constant and valid fear for many Americans and for those across the world. Covid-19 has contributed significantly to anxieties surrounding daily activities and social contexts, thus causing continued panic and unrest amongst communities (Lee, S. A. 2020).

Research has shown that college students, medical students, and adults in the workforce have experienced significant increases in worry and concern since the beginning of the pandemic in 2020 (Grether, S. T., Macdonald, H., & Higgins, K. 2020). Since there is a scarcity of research on the sociological implications on Covid-19’s impact on communities such as college campuses, this research aims to change that. Specifically, this study focuses on the effects of sudden restrictions due to Covid-19 on the social interactions, educational experiences and perceptions of the college experience for students on the campus of East Coast Liberal Arts University1.

In the U.S., college students were forced to uproot their lives in the middle of their spring 2020 semester due to nationwide lockdown. These same students at East Coast Liberal Arts University who had been accustomed to predominantly in-person learning had to suddenly shift to an exclusively virtual environment, until the following semester when they would have a variety of learning modalities, including fully virtual, hybrid, and in-person classes. When students returned to campus after the initial lockdown, they returned to a campus where they faced heavy restrictions in residential, educational, and dining facilities, which significantly impacted the students’ academic and social lives. This included disruptions to their involvement in such things as Greek life, campus organizations, and sports teams. Since social gatherings, campus activities, and engaging classes make up the college experience for most American students, changes, and restrictions due to Covid-19 meant that college students were unable to continue their college life as before.

As sociologists, there were reasons to expect that large or stressful societal events would contribute to the mental health problems at the micro-level, creating, increasing, or worsening disorders such as anxiety and depression. Since Covid-19 is an ongoing crisis in the United States, it can be predicted that these tensions and anxieties are not going away. Therefore, it is important to understand how students experienced these challenges so institutions of higher education can anticipate dealing with these issues into the future. This research aims to understand the effects of non-voluntary university and government restrictions on the social and academic lives of students at East Coast Liberal Arts University with a specific focus on how students negotiated changes related to their personal and social lives, new online learning platforms, and the many changes related to their overall college experience.

Literature Review Covid-19 is such a new phenomenon, therefore there is a paucity of information on the long-term effects of this virus on the social fabric of communities. There are some studies that are starting to emerge and the information that is currently being distributed on the effects of Covid has greatly increased public understanding of the short-term effects on mental health, working environments, and the economy (Mukhtar, S. 2020). But less is known on how Covid-19 has impacted social interactions. Due to the aggressively contagious and deadly nature of Covid-19, most of the research has been focused on medical aspects, economic factors, and psychological To protect the confidentiality of participants, pseudonyms were provided for the name of the university, as well as all participants.

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effects (Mukhtar, S. 2020). Further direction for sociological research can be shaped by the existing knowledge from these other fields. From the research that has been published in the last year, a few major sociological themes have emerged. Regarding overall anxiety surrounding the context of Covid-19, there has been a dramatic shift in levels of stress and anxiety. While a significant amount of this stress can be attributed to concern about health and the virus itself, a large portion of anxiety can be attributed to societal factors including media, anxiety from changing dynamics in work and school environments, and quarantine and isolation.

Anxiety Studies have shown there has been a significant increase in mental health conditions over the past twelve months during 2020, particularly in terms of anxiety and stress levels (Ma, Z. F., Zhang, Y., Luo, X., Li, X., Li, Y., Liu, S., & Zhang, Y. 2020). Two of the largest stressors researchers have associated are a heightened anxiety related to work and education. With such rapidly shifting work and educational environments, researchers have been able to focus on the impacts of Covid-19 protocols on the mental health of employees in these contexts, specifically regarding healthcare. There was a distinct rise in levels of anxiety and mental distress in health workers, specifically fear over the virus, during the height of the outbreak in 2020 (Sasaki et al., 2020). Nurses and nursing students in particular had heightened mental health conditions during the Covid-19 outbreak, but a substantial proportion of anxiety also included worry over finances and family matters (Savitsky et al., 2020). Research that has used mental health screenings to determine community level impacts have found that anxiety impacts large scale communities but varies depending on an individual’s opinion on Covid-19 restrictions, their politics, and feelings about other controversial topics (Lee, 2020).

In addition to anxiety over work environments, particularly in healthcare fields, students in all educational capacities have expressed heightened anxiety, stress levels, and discontentment with virtual learning (Apolstol & Netedu, 2020; Gillis & Krull, 2020; Ma et al, 2020). Some early research has begun to indicate that there have been overall increases in stress levels among students and younger generations (ages 18-29) due to factors related to adaptation to virtual education, financial instability, and social isolation (Ma et al., 2020). Studies have shown that some students from higher education institutions were disappointed with their virtual learning experience compared to previous in-person education (Apostol & Netedu, 2020). In addition to technological hindrances, college students had an overall difficult transition to virtual learning environments and experienced a lack of understanding of content, a decrease in learning, and overall, less enjoyment of the college experience and classroom environment since the start of the pandemic (Gillis & Krull, 2020).

Isolation and Quarantine Another area that scholars have begun to explore are the effects of social isolation on individuals due to Covid-19 (Gunther et al., 2020; Savidtsky et al., 2020; Yang et al., 2020).

Because of the easily transmittable nature of Covid-19, the ways in which individuals interact with family and friends has drastically shifted to less in-person and more virtual settings.

The lack of physical interactions with those outside of an immediate circle caused changes in family dynamics, friendships, and romantic relationships (Gunther et al., 2020). Restrictions in social circles and social isolation during lockdowns have led to a number of interpersonal issues, specifically rules that are directly related to isolation and quarantine protocols, such as emotional distress over social isolation (Savitsky et al., 2020), increased insomnia and anxiety (Yang et al., 2020).

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Media Influence The changing norms in institutions, social isolation, and lack of human connection outside of virtual platforms, coupled with the proliferation of Covid-19 related news stories for many months was found to have a significant traumatic effect on individuals and is complicated by the amount of media consumption a person participates in (Mukhtar, 2020). In regard to media viewing, researchers have found a positive correlation between consumption of Covid-19 related media material and heightened anxiety and worry (Stainback et al., 2020). With the wide variety of social media and news platforms at the publics’ fingertips, access to media stories about Covid-19 has been more prevalent than ever. Younger generations, specifically college-age students, have been found to consume media at higher rates than other age groups, for both entertainment and educational purposes (Sudhahar & Sengottuvel, 2020). One major issue with our current media climate is the abundance of biased information and “fake news” that is published. News outlets easily and rapidly spread misinformation about Covid-19 and other current issues (Candle, 2020). Fake news related to Covid magnified the already heightened anxiety surrounding this virus (Mukhtar, 2020) as well as established a sense of division amongst communities and countries that created a further sense of disharmony and isolation between differing perceptions (Pradana et al., 2020).

Theoretical Perspective Durkheim’s Structural Functionalism can provide a theoretical lens to better understand anxiety, isolation, and the role of media in people’s lives during a global pandemic. This theory states that solidarity and connectivity are established through shared values and norms, which work together to help create stability and social order (Mueller & Abrutyn, 2016). Deviance, whether voluntary or not, from the norms and values of a structure can disrupt the things that regulate people’s behavior and integrate people within communities. It can cause detrimental results to one’s mental well-being through feelings of anomie, or normlessness and disconnectedness due to rapidly changing structure and values. Based on Durkheim’s insights, adequate social integration plays a significant role in communities, as “the structure of social relationships surrounding individuals [shape] their ability to be happy and healthy” (Mueller & Abrutyn, 2016, p.879 ). Sociology as an academic discipline focuses on how societies function together, particularly on how and why individuals interact in the ways they do. Durkheim’s findings state that “socially isolated or under-integrated individuals are more vulnerable to suicide” (Mueller & Abrutyn, 2016, p.880), which begs the question, what happens when one is forced to isolate themselves for days, or months at a time?

Since the initial nationwide shut down in March 2020, Covid-19 brought many months of stay-at-home orders, social and physical distancing practices, and gathering restrictions that are currently still in place. Due to the requirement of face coverings, a simple smile from a stranger at a grocery store is no longer possible and handshakes and hugs are seen as health risks that should be avoided. Arguably, one of the largest drawbacks of Covid restrictions is that most, if not all, social events have come to a standstill until further notice. This rapid shift of societal values and norms has resulted in anomie and a lack of social solidarity within communities, particularly on university campuses. In all educational institutions, classes have been conducted differently, no matter in person or online. The norms that students and professors once knew are completely changed or cancelled. Virtually every aspect of the college experience has been changed during the Covid-19 pandemic, breaking down the normal function of the college experience. For the last several months students on college campuses have attempted to adjust to their “new normal.” Through the framework of Durkheim’s social theory of mental distress due to isolation, researchers sought to understand what short and long-term effects Covid-19 restrictions have had on East Coast Liberal Arts University students. Anna Mueller and Seth Abrutyn’s 2016 study Adolescents Under Pressure: A New Durkheimian Framework

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for Understanding Adolescent Suicide in a Cohesive Community examines Durkheim’s perspective and provides an additional avenue for understanding the effects of forced isolation on a college campus has had for students, particularly for students attending a university that has a strong culture that promotes community and involvement. Mueller and Abrutyn expand Durkheim’s original analysis by focusing on how an individual can become too altruistic from over-integration in society. This level of over-integration can be applied to the pressure college students feel to become involved, particularly on campuses that value such involvement. This study theorizes that when such involvements are involuntarily stripped from students due to the pandemic, there exists a potential that this loss of over-integrations could cause a crisis of mental wellbeing and create a feeling of purposelessness. This may be further exacerbated by the implementation of social isolation due to Covid-19 restrictions. Thus, this study theorizes that the effects of forced social isolation and regulations will be detrimental to college students’ mental health and social wellbeing and will have significant implications for their sense of community and solidarity with their college.

Research Question & Hypotheses Students go to college in search of freedom, new friend groups, and unique experiences.

Since the outbreak of Covid-19, colleges and universities in the United States have struggled to make college life as normal as possible; the Spring and Fall semesters of the 2020 school year have been unlike any other year. At East Coast Liberal Arts University, many new regulations to protect students, faculty, and staff from the virus were implemented that changed the environment of the school. Guests were no longer allowed on campus or in Residence Halls and face-coverings and physical distancing were required in all buildings and main outdoor spaces.

Off campus events were restricted to a minimal number of guests. Strict closing hours were in place for buildings such as the student union and library, which previously were available to students at all times. Many classes were either fully online or taught in a hybrid virtual setting, and organizations such as campus activities and Greek Life were not able to host events in person if they were able to host them at all.

After an entire year of living under Covid-19 restrictions, it was speculated that social life, mental wellbeing, and satisfaction with online social and educational environments would be one of the biggest concerns for students. This study was additionally interested to find how social relationships had been impacted or changed, as well as if participation in campus involvements has decreased in the past semester. Through the works of Durkheim, researchers used Structural Functionalist theory to predict the effects and the potential crisis that restrictions, loneliness, and virtual platforms caused within the student body. The effects of Covid-19 have deeply impacted individuals in many ways and researchers were interested to see the specific areas in which Covid-19 has impacted East Coast Liberal Arts University students in particular.

Specifically, this study sought to understand what these impacts would have on educational environments, social interactions and involvements, and the overall satisfaction with college during a pandemic.

Methodology The goal of the research in this study was to understand how little-to-no social integration and forced isolation has affected college students. Researchers conducted a qualitative study by interviewing with East Coast Liberal Arts University students that were actively taking classes during the 2019-2020 and 2020-2021 academic school years. This research specifically focused on the impacts that forced isolation and university and government regulations on social lives have had on college students during semesters impacted by Covid-19 compared to those pre-pandemic.

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Source of Data The population for this study included all students at East Coast Liberal Arts University that were full time students taking 12 credits or more during both the 2019 to 2020 academic school year and 2020 to 2021 academic year. The sample size was 20 students, and the unit of analysis was the individuals being interviewed. The participants in this study must have attended all semesters at this university during the 2019-2020 and 2020-2021 academic years and must have lived on campus. The study consisted of 12 female-identifying and eight male-identifying participants, with 10 in Senior academic standing, seven in Junior academic standing, and three in Sophomore academic standing. Sixteen participants identified themselves as partially or fully White, one identified as Asian, two identified as Black or African American, one identified as Native Hawaiian or Pacific Islander, and two identified as Hispanic or Latinx. The ages of the participants ranged from 19 through 22, with three students age 19, three students age 20, eleven students age 21, and three students age 22. Fifteen students were employed during the academic year both on campus and off campus. While the sampling method of this study did not allow for wide-scale generalizability, the researchers believe that this study was representative of a small group of college students who fit within the demographic of the university as a whole as well as other small, liberal arts colleges.

The Institutional Review Board approved this research, and researchers believe that there were minimal ethical issues with this study. Researchers interviewed adults over the age of 18 who are not in vulnerable or protected classes. They did not use any form of deception with participants, and reduced harm to participants through voluntary participation and withdrawal from the study at any time. Researchers gained informed consent from every participant in the study and clearly explained the purpose of the research. Participants were allowed to withdraw from the study without repercussion at any time if they wished to do so. Regarding privacy, the participants maintained the right to control the extent of content regarding their personal lives and ideas that they shared with the researchers. Because of this, participants were not required to disclose information they were not fully comfortable discussing. There is no anonymity because the researchers were aware of the identities of the participants, but confidentiality has been maintained for all participants. All data and information that was shared in interviews was not publicized in any way that related it back to specific participants. Participants were assigned random pseudonyms to ensure this. Since this study discussed mental health conditions during a global pandemic, researchers were not fully able to eliminate all risk of mental, emotional, social, or psychological harm but this was clearly articulated in the informed consent, so participants were aware of this prior to agreeing to participate.

Conceptualization of key variables The key concepts analyzed for this research focused on the effects of Covid-19 restrictions such as forced isolation, stay at home orders, and very limited social interaction.

The researchers examined this concept in relationship to mental health and well-being, as well as overall enjoyment of the college experience by East Coast Liberal Arts University students.

Mental well-being was defined as the overall mental health of students, including the presence or absence of a diagnosable mental health condition. These conditions included, but were not limited to, anxiety and depression. Enjoyment of the college experience was defined as the overall level of enjoyment and satisfaction students get from living and dining on campus, attending social events on and off campus, attending classes, and beginning to establish themselves as an independent adult in a community. Covid-19 restrictions refer to the university and governmental policies that were established during the Covid-19 pandemic. Governmental policies included but were not limited to stay at home orders, quarantining when exposed to or sick with Covid-19, limited gathering sizes, limited travel, restricted store and restaurant operation hours, mandated masks, cleaning efforts, physical distancing of 6 ft or more, and any other policy or

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guideline outlined by the Center for Disease Control and Prevention (CDC) or government officials of any level. University specific policies included but were not limited to closed-to-public campus, mandated masks inside and outside, no-guest policy in residence halls, limited on and off campus gathering sizes, daily health screenings, and size-restricted or canceled social events.

Collection of Data Data was collected through qualitative, semi-structured interviews conducted by two researchers. Non-probability sampling was used due to the inaccessibility of all student records, which would be needed for a random probability sample. Instead, researchers used purposive sampling to reach out to potential participants who fit the qualifications for the study. Researchers were students at this particular university and thus were able to match the demeanor of participants, making participants more comfortable. Researchers ensured that the time and place of the interviews conducted were convenient for the participants. Researchers also avoided collecting data in the midst of stressful school seasons such as midterms or finals week for the ease of their participants. They also offered the opportunity for interviewees to schedule a time that worked best for them.

The interviews conducted by the researchers were in-depth and in a semi-structured format. There was an outline of questions formed for each interview, but the researchers allowed for changes and deviation from the interview guide to adapt to each specific participant. While researchers could not ensure full validity and reliability of this study, the open-ended structure of the interview guide utilized across interviews increased the validity and reliability of this research through the consistent use of the same interview guide by all researchers and through the use of open-ended questions that allowed participants to construct their own meaning of events (See Appendix A). Additionally, two researchers worked on collecting, compiling, and analyzing data, which increased the reliability of the study and decreased potential researcher bias.

To collect data, researchers interviewed participants one-on-one, meaning only one researcher and one participant interviewed at a time. These were conducted either in person following all CDC Covid-19 Guidelines or conducted virtually via Google Meet during March and April 2021. These interviews were recorded at the consent of the participants and transcribed by researchers. Interviews were approximately 30 to 60 minutes in length and followed the semi-structured interview question list with flexible question wording, order and, allowing for additional clarifying questions when needed.

Analysis of Data When analyzing this data, researchers utilized Otter.AI transcription service to transcribe the interviews. Data was then assessed through the research paradigm Grounded Theory.

Grounded Theory builds sociological theory from observed data based on observed data. It can otherwise be understood as “the attempt to derive theories from an analysis of the patterns, themes, and categories discovered in observational data” (Babbie, 2017, p.308), assisted in the process of coding as the researchers went line-by-line to code. Major concepts were identified and coded for using keywords or phrases to isolate the themes. Codes were then combined into pattern codes that identified general categories of data and narrowed down into four cohesive and holistic schema of themes surrounding the topic of interest.

Before interviewing and analyzing the data, the researchers had assumptions about what the participants were going to say and what thoughts they would have regarding the topic. This research investigated the effects that Covid-19 restrictions and regulations had on the college experience, as well as the reactions and coping mechanisms of students who personally experienced this loss. Through the research findings, researchers were able to come up with multiple descriptive codes. These codes mainly included feelings, emotions, and changes that these students had gone through because of the multitude of restrictions. The most populated

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words included stress, anxiety, worry, concern, unknown, difficult, sadness and frustration. All these descriptive words supported the predictions the researchers had made prior to starting the interview process. After developing descriptive codes, the researchers created categories in which these words would be placed in. Because there were two researchers working on this qualitative study, there was intercoder reliability regarding said coding, creating a more reliable study overall.

The pattern codes were more focused on encompassing all the descriptive codes into ten categories. These categories were mental health and stress, virtual world, rules and regulations, motivation and burnout, normalcy vs. newness, emotions, social life, loss and grief, news and social media, and relationships. These ten pattern codes were found commonly throughout the bulk of interviews. The researchers focused on manifest content when the participants typically would say these specifically coded words that were produced in the descriptive code list, however, there were times where the researchers had to make inferences about the latent content and use the participants’ words to provide examples of how they fit into one of the categorical codes created. For the final and broadest breakdown of codes, the researchers focused on four areas that were the most prevalent and encompassed all the descriptors that had previously been found. These analytical codes included emotion, stress & motivation, work, school & media, relationships, social life & involvements, and life changes & loss. Because the researchers were able to interview and observe the ways in which the participants lived their lives prior to Covid versus the present day, it was fascinating to see the differences and realize that most students experienced the same sense of loss, sadness, and lack of control.

Limitations of methods As with all interviews, there were concerns with reliability within this study. Anxiety, stress, and mental health are topics that some are not comfortable speaking about which had the potential to create an issue as researchers began data collection. To better improve this research, participants were only interviewed by one researcher which allowed interviewees to feel more comfortable with the researchers and to build relationships beforehand. This allowed individuals participating in this study to be more comfortable answering questions open and honestly.

Another issue found was that since most interviews were conducted through a Google Meet call, being able to read body language or observe facial expressions was more difficult. To combat this, researchers specifically looked for physical cues during the data analysis. Researchers also ran the risk of interviewees refusing to answer questions, or simply giving an answer they felt that the researchers were looking for since participants were aware of the purpose of this study before the interview. These limitations could have been harmful to this research but being able to identify challenges prior to the beginning of the research allowed researchers to adapt and make the changes needed to obtain the most unbiased results as possible.

Analysis and Findings Four major themes were identified: (1) Emotion, Stress, and Motivation that included feelings and attitudes in reaction to shifted norms of the typical college experience, and difficulty remaining engaged in academics;(2) Work, School, and Media which depicted participants’ experiences in virtual work and school environments, as well as their interactions with a variety of media sources. (3) Relationships, Social Life, and Involvements which included participants’ familial, platonic, and romantic relationships, abnormal social dynamics and participation, and engagement in extracurricular activities. (4) Life Changes and Loss which encompassed the shifting of opportunities and expectations of the college experience and students’ loss of normalcy. In the findings for the purpose of confidentiality, the participants were identified using pseudonyms.

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Emotion, Stress, and Motivation Throughout this study, all participants expressed difficulties with handling emotions, stress and finding motivation to do daily requirements. Due to the unprecedented nature of Covid-19, the college experience was drastically different. The students interviewed spent significantly more time stressed and under emotional distress about the nature of the virus, school and living environments, and relationships. Participants expressed higher levels of sadness and depression throughout the shutdown of the university and the transition to online learning in March 2020. The emotion of despondency appeared as a common response to being involuntarily withdrawn from their typical college experiences. One student, Corey, expressed his resentment towards the unexpected college experience he was given during the 2020 and 2021 school years.

“College during COVID has been a very isolating and lonely time... overall, like just very not the college experience that anyone wants, or you know, signed up for it all.” (Corey) Other students such as Lily described the effect that a global pandemic had not only on her perception of the college experience but on her understanding and despondent emotional state regarding Covid-19 as a whole.

“I think my well being ever since that whole situation started just went downhill until I became happy again, I realized that it wasn’t my fault. It was the state of ...the state of the world.” (Lily) Declining mental health was also a commonality amongst participants in this study. Students articulated feeling much sadder over the situation they were faced with and the changes in their college semester, as seen in Shannon and Katie’s interviews.

“My mental health has definitely gone down… just like being sad that I can’t do the things that I would typically be able to do or see the people that I want to see.”

(Shannon) “I was sad. I was very sad. It was, yeah definitely sad.” (Katie) Overall stress levels within students also notably increased. With the uncertainties facing students both as the U.S. went into lockdown in March 2020 to returning to the university campus in the fall, participants experienced concern over Covid-19 and the prospect of another national lockdown, as well as anxiety over returning to an altered campus experience.

“I always am a little bit stressed coming back for like a fall semester...I was definitely more stressed about different things...I was really, really excited to come back, because I hadn’t seen my friends in several months...But I was stressed definitely just about like COVID. And not knowing how everything was going to work, not knowing if we were going to be sent home not knowing if I should even come back.” (Shannon) “[My stress levels] increased because it was always a stressful factor like, are we going to get sent home? And just how the school was going to manage all these new COVID cases and stuff like that, and just getting COVID itself is a stressful thing.” (Michael) Because of heightened anxiety due to Covid-19 and its subsequent restrictions, students like Shawn struggled to adjust back to the college environment after so many months in an unprecedented pandemic.

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“Adjusting back into campus life after that was really hard. Especially because my stress level being around other people and just like stress about like, everything, it just increased, like I felt like I was more anxious this past fall semester.” (Shawn) Participants indicated that motivation levels had drastically fallen with the transition to online learning. They recalled negative interactions with schoolwork as well as the desire to remain engaged while they felt the world was filled with so many unknowns. Quinn spoke about how the expectations of school performance remained the same or increased while her desire for engagement was non-existent.

“I’d say [my stress] was school related, just because I was still taking five classes and [my professors] still like, expected equally, if not more things to do. And they wanted us to, like, be engaged and like check in and stuff like that. So, it was just like, a lot.” (Quinn) Participants also struggled with the lack of structure that the online learning environment had caused. Corey recalled his initial transition and described the hassle it created. Also, Kaitlyn described her negative self-reflection as it was difficult to refrain from comparing her motivation and performance levels to those around her. “[My transition to online school was] very difficult, very hard to stay engaged and stay motivated during that time. Because there were so many other distractions, I very much have to be in that setting or that environment to stay engaged [and] ready to learn. And so being taken out of that environment, again, very unmotivated or disengaged. “(Corey) “You compare yourself to how you’re not working on yourself either. And says, like, how come these people can do it? And I can’t, like I lost all motivation.” (Kaitlyn) Work, School, and Social Media Distractions Due to a primarily virtual platform for all social interactions, many participants expressed concerns about school and work taking place in the same environment. This lack of separation between social and school lives created a sense of distress for students. Parker expressed his personal experience with the struggle of how to differentiate between workspace and relaxation space.

“School is suddenly all the time happening at home. It’s hard to like get away from that and like find time to relax because the places where I was only relaxing when also going to these places where I had to do work or homework.” (Parker) Participants also shared frustration with professors’ lack of technological skills. Students identified changing class expectations and communication as barriers for education, making the transition to online learning more difficult. Michael and Taylor spoke about professors’ inability to thrive in an online environment and their lack of enthusiasm and support for students, a sentiment shared by other participants that ultimately hindered their educational experiences.

“I think it changed particularly because the professors had to get used to this new learning transition…. So, they had to compensate for that. So, I think that was a little bit harder.” (Michael) “When your professors are kind of showing that like discomfort and, and not wanting to do this, this platform, even when they have to, it’s really discouraging, and it makes it a lot harder to find the motivation to do your work and stuff like that. And I feel

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like just being so disconnected from it, it now felt like something that wasn’t real in a way, because you’re not going to classes, you’re not physically seeing people.” (Taylor) Findings also suggested that students struggled with their ability to focus and perform while participating in online class environments. Students indicated that different tasks could be completed while in virtual classes, causing participants’ attention span to become diminished during educational contact hours. This ultimately interfered with students’ feelings of success in school. Katie and Shawn struggled with a lack of consistency and normalcy when it came to transitioning and remaining present in online classes.

“I had a very difficult transition to online classes, I’m definitely a person that needs that face to face interaction in order to learn, I’m super easily distracted.” (Katie) “[Being in person] kind of brings a sense of normalcy. And for me, it’s easier to focus when I’m in person… virtually it was easier to get distracted, start working on other things, but like in person, like just being there, helps me focus more.” (Shawn) In addition to the distractions of other work while in online classes, participants also explained how social media and other technology became a heightened distraction. Taylor and Cameron both explained how social media and digital media as a whole became a more habitual response when they had free time, even when participating in class.

“But since being in COVID, and even now, the habits are still there, where it’s like, you just find yourself just mindlessly scrolling, when you don’t need to. ... And like, even in classes, it is so much harder to not pick up your phone, and to pay attention.

And so, it definitely went up quite a bit. And it’s much harder to feel like you don’t need that now. Just because everything revolves around it.” (Taylor) “I just had so much free time and I was like, I don’t know what to do, I can’t go anywhere.

[We] would be on it for maybe five hours a day... it just goes on forever.” (Cameron) Students also spoke about their personal experiences and worries about social media being a breeding ground for negativity. Participants identified media as a way for other students to call out behavior and actions they did not agree with. Despite increase in media usage, Kaitlyn expressed her newfound consciousness and anxiety when it came to posting and being active on social media.

“I’ve gotten much more conscious about social media and what I’m posting, or like, even who’s gonna see it like taking friends off of Snapchat stories or just being super careful about what I’m posting just because you don’t know how someone’s gonna react to it.” (Kaitlyn) One student, Corey, spoke about how traveling to attend a job-sponsored event evoked worry over potential social media backlash from other students, specifically via Twitter. Parker also touched on Twitter, explaining how it quickly became a dividing factor amongst students and their personal choices in activities amidst Covid.

“Because I knew that regulations on campus were super tight. And like, Twitter is wild.

So, like, I didn’t want to post anything, or like where I was or what I was doing.” (Corey) “I think the Twitter backlash was definitely something that I noticed a lot. And I think that definitely didn’t help make the university feel like a fully unified place.” (Parker)

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Relationships, Social Life, and Involvements With the drastic changes that occurred during March 2020 with the emergence of Covid-19, students at East Coast Liberal Arts University faced significant changes in their relationships. Many students returned to their family homes, adding changes in familial relationships to already existing anxiety over diminished social lives and student involvements.

Faith and Matt both expressed this tension with family members during the transition to online classes that occurred. “[My stress was from] Probably being back home, and everybody being back home, because my dad then was also working full time from home.” (Faith) “At the beginning, it was honestly really good to like, spend time with like, your family or like, my parents, because I hadn’t seen them in a long time. But after like, a few weeks, we just wanted to kill each other. Because we’re never used to like, being around each other for more than a week or two at a time. So just like being around each other every minute of every single day. It was just not good. It’s like everyone just like butting heads.” (Matt) With the return to an altered college experience in Fall 2020, students found that university restrictions severely limited the times and locations in which they could spend time with friends and loved ones. With these restrictions, participants disclosed fears over losing friends. They also expressed concerns over a diminished social life as a result of the extreme shift from previous college semesters. Taylor and Kaitlyn spoke about their anxieties and hopelessness regarding the quantity and quality of relationships that would remain throughout Covid 19 and all the social restrictions that came with it.

“I feel like at first, it was a lot of social stress, honestly, I felt like oh my god, I’m going to lose friends, like how are we going to stay in touch as much? I can’t hang out with people? How are we going to hang out?” (Taylor) “The most stressful thing was not being around friends, I was very worried about losing relationships that I built over the year, like not being able to see my senior friends who are graduating that year again... So, I was like, oh, I just lost all my friends.” (Kaitlyn) Participants who were involved in campus organizations such as Greek life, campus-sponsored activity groups, and sports teams shared how limitations created different environments than previously experienced. It was also noted that participation in these involvements diminished due to restrictions and primarily virtual platforms. Lily referenced her own lack of involvement in extracurriculars due to the lack of social connection that came with a virtual environment.

“Doing things social wise was difficult because of number capacities with my campus activities group and Greek Life, we just kind of did things virtually, which caused me to not really participate.” (Lily) Students such as Kali and Kaitlyn, who held leadership roles in their organizations, felt pressure to lead by example. They felt anxiety over the need to strictly adhere to all new rules from the university and to deal with any backlash that fell upon their organizations.

“Since I was president of my organization, I had to deal with refunds and canceling events and sending seniors things and listening to angry seniors. And I just like took

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all the weight of it, because I knew I could handle it. And so, I kind of wore that burden. And it was hard.” (Kali) “You have to follow all these rules, but because you are the leader that people look at, sometimes they might look at you as the bad guy...so that’s a lot, it was a lot of stress.

Just making sure you didn’t miss any of the protocols either. Because if you missed one, your organization is out.” (Kaitlyn) Life Changes and Loss With Covid-19 also came with significant changes in daily University operations and the loss of anticipated events and experiences. The college experience that students were used to and were expecting to continue disappeared with new restrictions. Participants expressed their feelings of loss regarding the major life changes they had experienced and continue to experience from March of 2020 to now. There was an overall theme of confusion, frustration, and overwhelmed feelings about the unknowns in the student population. Corey and Kaitlyn expressed their frustrations and confusion with the abruptness of the changes that occurred during the Spring semester 2020.

“It was really sad to know that junior year that was so lively, and so much fun in all these different ways had come to such an abrupt halt.” (Corey) “I was so in the mindset of like, this is sophomore year, we don’t get this time back.

So, I was like, I was just frustrated and angry.” (Kaitlyn) Shawn explained his state of uncertainty about the state of the world and feelings of helplessness in transitioning out of college during the shutdown of the university, as well as concern over the timeline of return to campus life.

“I really felt frustrated, really just confused as to not only why this was happening, but just frustrated that this was happening. And there was really nothing I could do about it or expect, this surprised everyone. Everyone was just trying to figure out how to adapt.” (Shawn) These ideas of uncertainty and anxiety toward the unknown were identified frequently in the students interviewed. Due to the unprecedented nature of Covid-19, students explained their tension and unsettled feelings about their last moments on campus, lack of proper closure for seniors, and disruption of social lives without warning. One senior, Katie, expressed the worry she experienced at the start of the pandemic in March 2020.

“I think that the biggest thing was just the uncertainty of not knowing was I gonna be able to move out of my apartment, was I gonna be able to come back here? Was I ever going to see my friends or my professors again?” (Katie) Participants shared that, at East Coast Liberal Arts University, students and faculty take pride in the community feeling of the campus. With Covid-19 restrictions, not only were classroom and living environments changed, social aspects such as meeting up with friends to sit outside, attending University-hosted events, and visiting in-person office hours with professors were altered. Caleb and Parker, two participants, expressed their personal experiences with the loss of normalcy of traditions and the community-like feel this campus once had.

“Our university is such a community school. It’s a residential school pretty much. And the part about being a residential school is that that community aspect and once you

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take out the community aspect it is kind of like a hotel.” (Caleb) “I would say [life at this university is] a lot more work and a lot less play. I’m definitely burning out in the sense of having the ability to see friends, to have a social life, and to get the non-school aspect of a college experience has definitely not been nearly as good as it was prior.” (Parker) Another student, Matt, talked about his concern over the future of the university regarding retention rates. He also mentioned concern of prospective students being drawn to other universities that had such strict rules and regulations regarding Covid “I feel like a lot of people, especially freshmen, don’t really know what this university was like before COVID. Like, they only know what it’s like to be restricted. They don’t know what it was like, when we had all the freedom.” (Matt) Faith, a senior, somberly revealed her personal feelings toward the experiences her senior class was unable to have. After almost an entire academic year full of restrictions, regulations, and cancelled or virtual events, feelings of loss and grief were demonstrated by many of senior-standing participants.

“I think in a way, your spring semester, senior year should be your easiest, most fun semester. This is when you really start celebrating the end. But, as a senior, we haven’t had any of the celebrations of this milestone that we’re about to have...we’re not going to get that.” (Faith) Discussion These findings provide insight into the struggles and impacts of Covid-19 restrictions on the college experience. The lens of structural functional theory sheds light on how the sudden anomie caused by the pandemic created feelings among college students that included a loss of solidarity and community, struggles to integrate with new academic and social norms, and loss of control over their everyday lives This study also contributes to the specific understanding of the Covid college experiences in relation to emotional disturbances, including stress and apathy, and loss of normalcy, and the impact this had on virtual work, learning, and social environments, and overall involvement and interactions with friends and family. .

Findings from this study provide additional evidence suggesting that students in college overall have decreased satisfaction with their college experience due to the restrictions and lack of social interaction from Covid-19 (Ma et al., 2020). The experience has led to increased isolation and despondency related to the state of the world and the overall college-going experience. This increased isolation can indicate an involuntary lack of integration, leading to feelings of anomie, or the loss of norms in a community, within students (Mueller & Abrutyn, 2016). Regarding this study, anomie was seen through the increased feelings of despondency and lack of connection with other students and faculty. Findings also showed that there was an overall decrease in mental wellbeing, which can be attributed to feelings of anomie due to lack of social solidarity. Social solidarity in structural functionalism believes that communities such as colleges and universities are interdependent and rely on certain levels of involvement to successfully function. The findings in this study showed that East Coast Liberal Arts University students felt an overall disconnect with the university, not just physically during the March 2020 shutdown of the university, but in transitioning back to college life the following semester due to drastic changes in norms. These findings also demonstrated that the loss of norms contribute to heightened feelings of apathy and a lack of motivation, particularly towards the virtual school environment (Apostol & Netedu, 2020).

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With the restrictions from Covid-19 on the university experience, findings also showed increased concern over virtual environments and dissatisfaction with online school and social life. Consistent with other research, students struggled to differentiate between work, school, and leisure spaces, as many organizations and classes were shifted to an online environment (Gillis & Krull, 2020). Limitations from the university and lack of technological skills from professors also increased students’ anxiety over learning. Findings show that students overwhelmingly felt distracted by virtual learning and work environments and that their social media consumption was increased due to blurred environment boundaries from the collapse of societal structure (Sudhahar & Sengottuvel, 2020). Findings showed that there was increased anxiety and worry associated with higher consumption of media due to polarized beliefs, particularly over politics and Covid-19 regulations. Due to the unprecedented situation of transitioning to virtual classes and moving off campus, social solidarity dwindled, and students felt disconnected and preoccupied with family worries, educational anxiety, and generalized fear over the Covid-19 virus (Sasaki et al., 2020). The conflicting environments contributed to feelings of anomie, a lack of social solidarity, and a lack of unity amongst the university, which led to isolation and a lack of norms (Pradana et al., 2020).

This study also found that relationships and involvements that were a key aspect of college students’ experiences were altered. Because this University shut down with Covid, relationships with family and friends were shifted and restricted (Gunther et al., 2020). Findings showed that participants feared a loss of friendships and other social relationships due to involuntary restrictions and limitations on social events and gatherings due to the restrictions in place.

There was an increase in anxiety due to the social isolation and lack of social solidarity during this time (Savitsky et al., 2020). Because of the nature of the Covid-19 virus, the structure of campus life was dramatically different for returning students, which caused a lack of unity and feelings of instability. Student leaders at East Coast Liberal Arts University expressed increased anxiety and stress from restrictions as well, as these new regulations had rapidly occurred and were different than previously held norms and expectations.

Lastly, an overarching finding throughout this study was the loss of normalcy, relationships, and the anticipated college experience due to Covid-19 restrictions. Participants shared feelings of frustration over the lack of control over these changes. Similar to other research, the abrupt change to the norms of the community resulted in difficulties in education and relationships, specifically with the loss of friends and adjusting to living with family (Grether & Higgins, 2020). With the disruption of normal societal functions, individuals who were normally integrated into the East Coast Liberal Arts University community experienced loss of interconnectedness, thus experiencing isolation and anomie. The collapse of the collective consciousness due to Covid-19 drastically changed norms and expected roles in the community, leaving students feeling isolated and dissatisfied with their experience (Savitsky et al., 2020).

Findings also showed that students, particularly those in their later college years, experienced feelings of grief over the loss of their anticipated college experience. The changes in norms within the last months have caused participants’ attitudes towards their college experience to shift towards feelings of isolation and anomie compared to the collective consciousness and feelings of inclusion participants had once felt at the University.

Limitations East Coast Liberal Arts University is only one of the many colleges and universities that has been impacted by strict social restrictions and subsequently have had students negatively impacted by these regulations. However, East Coast Liberal Arts University is different from most public universities in that its total enrolment is roughly 5,000 students. The small nature of East Coast Liberal Arts University provides the “community” feel of college that is comparably different from other larger schools due to small class sizes and a primarily residential

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campus. Greek life remains smaller at East Coast Liberal Arts University than other campuses, and university traditions help further unite the campus as a whole. This small community allowed researchers to have a better chance of encountering participants who were willing to be interviewed for this research. Additionally, the sense of community at East Coast Liberal Arts University was proven helpful in interviews because it was more likely that these students were affected by the lack of social opportunities due to the Coronavirus restrictions. In the same regard, given the unique campus culture of ECLA, results are not necessarily generalizable to all colleges and universities.

Since the research method of this study utilized in-depth interviews, participants could have a higher reactivity to the fact that they were being studied. This could have influenced how participants answered questions or the amount of sincerity they offered in their responses. As with all interviews, there were concerns with reliability within this study. Anxiety, stress, and mental health are topics that some are not comfortable speaking about, which had the potential to create an issue as researchers began data collection. To better improve this research, participants were only interviewed by one researcher which allowed interviewees to feel more comfortable with the researchers and to build relationships beforehand. This allowed individuals participating in this study to be more comfortable answering questions open and honestly.

Another limitation to this study’s research design was that most interviews were conducted through a Google Meet call, so being able to read body language or observe facial expressions was more difficult. Future research is needed to fully understand the differences between in-person and virtual qualitative interviews, and how these differing environments may play a role on the way in which data is collected.

Finally, as with any qualitative study, researchers also ran the risk that interviewees might refuse to answer questions, or simply give an answer they felt that the researchers were looking for since participants were aware of the purpose of this study before the interview. The researchers believe that the voluntary nature of participation in this study and the inductive way in which data was collected helped to mitigate any of these potential limitations.

Conclusion Through this study, researchers sought to better understand the effects of Covid-19 on social lives and the college experience. With the outbreak of Covid-19 in March 2020, traditional ways of life have drastically shifted, and mental health struggles have skyrocketed (Yang, L., Yu, Z., Xu, Y., Liu, W., Liu, L., & Mao, H. 2020.) University and government policies restricted the social lives of the East Coast Liberal Arts University student body and were consistent with previous research (Gillis, A., & Krull, L. M. 2020), the impacts of this pandemic included increased stress levels related to work, educational, and social environments In addition, this study revealed that this played a role in the decrease in the enjoyment of college life and feelings of loss related to expectations of what their college experience should be. The findings demonstrate the feelings and perceptions of East Coast Liberal Arts University students towards the loss of normalcy in their college experiences. It is important for students at universities to feel solidarity and connectivity towards their schools for the college to thrive and succeed. This research identified the significance and need for community at universities that had been altered due to Covid-19 restrictions and as institutes of higher education move forward, policies should address ways to sustain social solidarity in the face of a major worldwide crisis.

Recommendations for future research on this newly explored topic could study the long-term effects that forced isolation can have on individuals and communities as a whole.

These effects could include mental health concerns, financial and economic worries as well as social connectedness. This future research could be utilized as a tool for colleges and universities impacted by Covid-19 to identify the specific areas of need within specific student populations to better serve their universities and work towards rebuilding communities after a global pandemic.

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Appendix A Interview Introduction

Hi there! My name is [interviewer] and I’m thrilled to be speaking with you today as a fellow student at CNU amidst Covid-19.

(Purpose) I am going to ask you some questions about your background, your education, and your experiences at CNU during the Spring and Fall 2020 semesters.

(Motivation) I hope to use this information to help better understand the effects of Covid-19 on students at Christopher Newport, their mental health, and their college experience.

(Timeline) The interview should take about 45 minutes. Are you available to respond to some questions at this time?

Great! Let’s get started.

Interview 1. Informational Questions a. Education i. What is your definition of the “college experience”? ii. Why did you choose to attend Christopher Newport University? iii. Can you tell me a little bit about your major or minor?

1. How did you choose them? What do you plan to do with them after college? iv.

Describe life at Christopher Newport before March 2020.

1. What would a regular day look like for you?

2. How did you spend your free time?

3. Did you enjoy your classes? v. What are you involved in outside of academics?

1. Do you work or have a job?

2. Are you involved in clubs, sports, Greek Life, etc.?

3. What extracurricular activities did you enjoy the most before Covid-19? vi. Can you tell me about your school workload before last March?

1. How much time did you dedicate to school?

2. Had you ever taken an online class before? Did you enjoy them? b. Covid-19, College, and Mental Health i. Describe how your transition to online classes in Spring 2020.

1. Where did you go when the school shut down?

2. How did you feel when CNU shut down? ii. Did the difficulty of your workload change with online classes?

1. Tell me more about how it changed, was it because of

the online learning environment? Professors? Outside influences? iii. How did your stress levels change during this transition?

1. What aspects of your life caused the most stress during this transition? Was it school-related? Work-related?

Relationship related?

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c.

Post-Covid-19 College i. Tell me about your Fall 2020 semester.

1. Were your classes in person or online?

2. Which classes did you find most difficult?

3. Were you actively involved in clubs or other activities? ii. What was life like on campus?

1. Tell me about living in residence halls on campus.

2. What were the dining halls like?

3. What did you do for fun in your free time?

4. Who did you spend your time with?

5. Did you travel to see people who don’t attend CNU?

(ie. friends, family, significant others, etc.) iii. Describe your stress levels during the Fall 2020 semester.

1. Did it change from the Spring, if yes, how so? iv.

Were you anxious about getting sick from Covid-19 at CNU? 1. What aspect of the pandemic was the most stressful

for you?

2. If you chose to return to campus, were you more

anxious about being around other students/faculty

who could be sick, more concerned about what

classes/coursework would look like, or concerned

about what campus life would be like? v. News 1. How do you consume media? Through the television

news networks, or news media through your phone,

internet, or other services?

2. Did you or do you currently watch Virginia government announcements? What about CNU town hall streamings?

3. Do you feel that social media impacts your relationships with family and friends? Do you feel

more or less connected with family and friends through

media use?

4. How do you feel CampusClear as a media source has

impacted CNU and its students? vi. How did your semester during Covid-19 differ from other years

in school? vii. Have you experienced a negative impact, or noticed a change in

your overall health and well-being since the start of the pandemic? viii. Moving forward as the pandemic continues, if you choose to

continue your education at CNU, what do you believe should

change for the mental wellbeing of students to be cared for?

1. What is a helpful coping mechanism for you?

2. Did you learn coping skills from anywhere specific?

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Conclusion (Summarize what interviewee said) I appreciate the time you took for this interview! Is there anything else you think would be helpful for me to know so that I can correctly recount your interview?

This looks like it’s about all I need. Would it be alright to call you if I have any more questions? Thank you so much again, I appreciate your help with this research!

About the Authors Olyvia Bailey and Elizabeth Bergman are recent graduates of the class of 2021 at Christopher Newport University, where they both received a Bachelor of Arts in Sociology. Olyvia obtained a minor in Childhood Studies and is continuing her education at Christopher Newport for the 2021-2022 academic year as a part of the Master of Arts in Teaching Program to become an elementary school teacher. Elizabeth obtained minors in Leadership Studies, Museum Studies, and Art History and has accepted a job as a Chapter Consultant for Phi Mu National Headquarters.

Their work has been in the field of Sociology and sociological research. Specifically, this study was conducted as an attempt to understand the effects Covid-19 has had on current university students regarding academics, social life, and overall well-being.

“Pandemic Pressures: Student Experiences in Higher Education during the COVID-19 Pandemic” Amanda C. Banks Faculty Sponsor: Dr. Linda Waldron Department of Sociology, Social Work, and Anthropology

Abstract College students faced great change to their routine in March of 2020 when sent home because of the COVID-19 pandemic, causing their school and personal lives to intertwine in new ways. This study is centered on junior and senior college students who have a campus involvement and take at least one virtual class as a result of the COVID-19 pandemic. An understanding of student experiences with virtual education and social involvement was gained through a grounded theory-based study using the symbolic interactionist framework to find trends in how the pandemic impacted college students’ use of time and space. Data was collected through 10 qualitative interviews. This study’s findings resulted in four themes: challenges faced at home relate to spatial conflicts and academic uncertainty; locational differences upon return to campus in fall 2020; a greater flexibility associated with virtual classes than in-person classes; and unaffected involvement levels regarding social interactions of participants.

Keywords: Virtual education, Pandemic, Teleworking, Grounded Theory, Qualitative Methods

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Life as college students knew it came to a screeching halt in the spring semester of 2020 with the coronavirus spreading all over the United States. The disruption created swift change “as more than 1,300 colleges and universities in all 50 states canceled in-person classes or shifted to online-only instruction” (Smalley, 2021). These students had previously sought out an in-person institution to receive their higher education, not an online degree program.

Online education has been an option for some time, though the widespread scale and the rapid change is unprecedented, noting that in 2012, the enrollment in online courses grew 9% alone (Yalof, 2014). Even with a shift to virtual programs in recent years, there is little offered to guide traditional programs in the transition during an emergent time such as a pandemic.

With these changes came the urgent move from campuses back to hometowns for many students, especially those residing in dorms, to work out of their family homes. The harsh transition from fully in-person to fully virtual class was a stressor for students and created a work-life or work-family conflict. This affected students’ abilities to focus and balance school, work, and family. With the uncertainty of the future and experiences of 2020, exploring the effects of engagement and virtual schooling environments on work-life conflict and conception of time is crucial. How has a transition to virtual interactions changed student understandings of time and space boundaries? In what ways do students participate in the active separation of school, organization, and social life?

Literature Review Taking into account the histories of virtual education and teleworking, along with their rise over recent years, literature covers the benefits and challenges associated with distance from campus life and management of work and life responsibilities. Recently, research has looked at the COVID-19 pandemic and how students communicated with professors in the spring 2020 semester as it is a quickly developing area of study.

Teleworking and Work-Life Conflict The world continues to experience an accelerating increase in technology and its hold on people’s lives. These advancements make working from home and flexible schedules more prominent, and to some degree more accepted, to meet the demands of both the work environment and employees’ personal life needs (Agovino 2020; Lott 2020). Full remote working, working-time autonomy where one sets their own schedule, and the ability to telework when needed shape both the personal and professional lives of individuals (van der Lippe & Lippényi 2020; Lott 2020). Given this expansion of remote and virtual capabilities, working from home can have both positive and negative effects.

Through various combinations of time, space, autonomy, and technology, the barriers and boundaries between an individual’s work and personal responsibilities are broken down when combining all aspects of life into one physical space (Agovino 2020; Lott 2020; van der Lippe & Lippényi 2020). This lack of boundaries is widely referred to as work-life conflict and the spillover of work into the time and space previously reserved for one’s personal life. Working from home is directly associated with higher levels of work-life conflict (van der Lippe & Lippényi 2020; Lott 2020) and a notable decrease in employees’ sense of belonging (Cheung et al., 2013). The increased permeability between boundaries leads people to work more than they would in their employer’s office. However, when employees are specifically trained to work from home, they do demonstrate increased performance as well as positive job attitudes and behaviors (Staples et al. 1999; Cheung et al. 2013).

Gender is crucial in terms of benefits and lifestyle choices with teleworking, working-time autonomy, and flexible work schedules. Troup and Rose (2012) found that men and women were equally likely to be involved in teleworking or flexible scheduling. While women primarily benefit from a flexible work schedule and see increased job satisfaction with this ability

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to telework, men were more likely to have formal arrangements for this previously nontraditional practice of working outside the office or at odd hours (Lott 2020; Troup & Rose 2012). These formal arrangements, however, were found by Troup and Rose (2012) to be more conducive to women’s job satisfaction. This may result from their increased ability to accomplish their roles in both their professional and personal lives. The ‘second shift’ for women involves the unpredictability of childcare and housework, improving their ability to manage the borders of their roles, while men take on long working hours and experience difficulty switching between roles at work and in the home (Lott 2020; Troup & Rose 2012; van der Lippe & Lippényi 2020).

The ability to work remotely does not always have to be negative. There is a freedom associated with teleworking as employees can log on and accomplish work tasks from home.

Employees who set a specific schedule with predictable working hours do benefit from this style of work (Lott 2020; Troup & Rose 2012) as do employers who place a high value on work-life balance and productivity, as commuting time is cut out (van der Lippe & Lippényi, 2020). With the COVID-19 pandemic, the research firm Gartner Inc. surveyed 130 HR professionals and found that 90% of respondents plan to allow employees to work from home part of the time and 60% said that their companies would continue to give flexibility on when the employees work (Agovino 2020; Gartner Inc 2020).

School-Work-Life Balance As research has shown how flexible schedules and teleworking can contribute to workers’ feelings of job satisfaction, a similar dynamic takes place for college students, who have to juggle the responsibilities of a job with their academics. Employed students in recent years have shown an uptick in numbers, balancing at least one job, if not more, on top of their extracurricular activities and schoolwork (Driscoll et al. 2012; Greene & Maggs 2015; Yalof 2014). Driscoll et al. (2012) specifically found in their study of online and in-person class outcomes that students who sought out the online courses tended to be college seniors, take fewer classes, and work a greater number of hours per week than other students. This coincides with Yalof ’s (2014) review of online learners, finding that more students took on jobs due to the spiraling cost of tuition, and to gain work experience before graduating.

Academically, students experience stress and worry trying to balance different aspects of their lives while recognizing the importance of their academic careers (Greene & Maggs 2015; Grether et al. 2020; Villa et al. 2020). Greene and Maggs (2015) found a strong inverse association with academics and time working on both weekends and weekdays which is in contrast to Driscoll et al.’s (2012) findings that specified weekdays, not weekends, showed more trade-off.

However, both conclude that as work time increases, the time spent on academics decreases and also note variance by day given fluctuating assignments and working time (Greene & Maggs 2015; Driscoll et al. 2012). Students who purposefully schedule their time and acknowledge commitments in a realistic manner have more balance and a rewarding experience (Rockinson-Szapkiw & Herring Watson 2020). Women also reported poorer academic-family balance and an increased desire for formal boundaries over men (Rockinson-Szapkiw & Herring Watson 2020), while also spending more time on both work and academics per day and week than men (Greene & Maggs 2015). When this balance was disrupted in March of 2020 and continued into the next academic year, Villa et al. (2020) found students concerned with their grades and the overall academic impact the uncertainty would have on their futures.

Engagement During a Pandemic Given that work-life conflict is evident when working from home and teleworking, the same should be considered in residential, full-time higher education as students in virtual education must learn to manage their life within a small living space. With a shift from their in-person lifestyle to virtual courses in March of 2020, students had to recreate their schedules

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and renegotiate aspects of their life such as school, work and extracurricular activities. Many students were forced by university administration and state governance to leave campus, returning home to assume family responsibilities, find new jobs, and resume courses in a new, virtual format (Grether et al., 2020). Prior to the pandemic, this management of responsibilities had already proven difficult for higher education students as roles often conflict and responsibilities are considered by priority (Greene & Maggs 2015; Grether et al. 2020; Rockinson-Szapkiw & Herring Watson 2020). Disruption of students’ norms and daily life takes a toll on their level of engagement and involvement in their academics and extracurriculars alike (Pazos et al. 2020; Grether et al. 2020; Tejedor et al. 2020). Students residing in campus housing had higher GPA averages than those of off-campus students (Melius, 2011). Living on campus also significantly increases students’ involvement in extracurricular activities to supplement their college experience (Melius 2011; Van Ryzin 2011).

Satisfaction in one’s academic experience increased for students who favor working in groups and also place a high value on instructor interaction, something that students felt was lacking as they transitioned off campus to virtual class (Driscoll et al. 2012; Pazos et al.

2020; Tejedor et al. 2020). Tejedor et al. (2020) notes that the method of teaching is extremely important to student engagement, especially in an emergency remote teaching platform, as lectures in a remote setting do not facilitate the level of interaction desired by students. This is supplemented by Pazos et al.’s (2020) study which shows 77.2% of students surveyed valued direct and frequent contact with instructors as highly important to their success, though Melius (2011) found that senior students, rather than freshman, were more likely to interact with instructors and engage in class. This feeling of involvement in the classroom is linked to one’s perception of autonomy and the institution’s environment, influencing motivation and achievement (Van Ryzin 2011; Pazos et al. 2020).

In the specific context of the COVID-19 pandemic, schools had a heavy influence on students’ ability to be involved and engaged, both academically and socially. Schools were forced to cancel events like commencement and orientation that signify transitional time periods for students, along with the daily events held on campus by student organizations (Grether et al., 2020). As institutions scrambled to create plans and push forward with the 2020 spring semester, their focus was “to not paralyze academic activity” though they did drastically alter their students’ lives in a matter of days (Pazos et al. 2020). Support systems are crucial in both times of transition and virtual learning as students may not be able to interact with their instructors or classmates, especially in fully virtual programs which in turn diminishes the sense of connection with their university, something that affects one’s overall ability to engage and feel a sense of community (Cairns et al. 2020; Yalof 2014; Van Ryzin 2011).

Virtual Education Opinions from students on virtual classes are mixed. Students enjoy the flexibility and autonomy of online courses (Tejedor et al. 2020; Rockinson-Szapkiw & Herring Watson 2020), causing traditional programs to lose traction as the benefit of working while getting a degree becomes more alluring (Yalof, 2014). Students who seek a fully virtual degree and asynchronous classes find it attractive to schedule their academics around their other obligations. This ability to manage one’s time is appealing to students as the costs of higher education rise, forcing many students to work to cover the cost of their education (Tejedor et al. 2020; Yalof 2014).

When looking at the involvement of students in an online program, students report feeling less connected to the university as a whole, but also less respected by the administration (Cairns et al, 2020). This bleeds into their personal lives as well, lacking a support system, experiencing isolation, and even pursuing their degree at the direct expense of their personal life and relationships (Rockinson-Szapkiw & Herring Watson 2020; Cairns et al. 2020; Yalof 2014). Cairns et al. (2020) found that the quality of a virtual education varies, especially across

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professors and with the use of different tools, as some degrees are unable to convert effectively to a virtual format. Yalof (2014) adds that virtual education students have time sensitive needs that create stress when not met, supported by Rockinson-Szapkiw & Herring Watson (2020) who say that these students also experience interference between different aspects of their life due to the stress, similar to that of Lott (2020) and van der Lippe & Lippényi (2020) when discussing work-life conflict among teleworkers.

Purpose and Theory This similarity, of students’ academic-family balance to employees’ work-life conflict, has yet to be extensively explored. There has been a great deal of research into the work-life balance of working age adults considering both the in-person and virtual formats, as well as research into students who sought a fully virtual education. However, the COVID-19 pandemic has brought new elements into the mix and as virtual work does not show signs of slowing down (Agovino, 2020) the same should be explored in higher education. Students are completing their education virtually and learning how to manage boundaries, as their entire lives may be conducted from a single space. It is important to see how the shift in participation in non-academic activities and a virtual school environment have impacted students’ concept of time and space boundaries.

This research addresses how a transition to virtual interactions has changed college students’ understandings of time and space boundaries. In order to guide research, the symbolic interactionist perspective framework will be used to explore student understandings of time and space boundaries as a result of forced virtual education. This theoretical perspective functions on three premises surrounding the interaction of people and meaning which, in summary, suggest that human beings act towards things based on the meanings they have and that this meaning is both formed and modified through social interaction (Blumer, 1969).

Symbolic interactionism provides a useful lens to understand the ways in which students develop meanings for people, places, roles, and other aspects of their life at their higher education institution. During this time, students reframe and modify the meanings which they hold for faculty, in-person classes, campus involvement and engagement opportunities, as well as the overall value of their education. They engage with others in more virtual manners which limits the amount of face-to-face socialization and true human interaction. These meanings which students hold for various elements of their lives have adapted and adjusted during the COVID-19 pandemic with the massive shift to virtual education and the emergency removal of students from campus, throwing them into situations where norms and meanings may not have been what students were used to in terms of an educational environment. Looking at students’ experiences and interactions through a symbolic interactionist lens, the roles which students have and the meanings that they hold for time and space will be evaluated in the context of their higher education institution.

Research Method and Analysis Source of Data The focus of this study is college students’ experiences during the COVID-19 pandemic in regard to their academics and involvements. From this population, a sample of students from a small, liberal arts university in the southeastern United States was drawn. Qualitative interviews were conducted with 10 undergraduate students over the course of 33 days in the spring semester of 2021. Specifically, participants are seniors and juniors due to their ability to recall their experience with college academics and life prior to and with adjustments for the COVID-19 pandemic. Participants are all full-time students and include 5 students in their junior year (3 male and 2 female) and 5 students in their senior year (2 male and 3 female).

Full time students carry, at a minimum, a full course load of 12 credits. Students with a part time status do not carry the same academic course load and should not be directly compared

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to full time students. The unit of analysis in this study is the individual student, as they are directly interviewed about their own perspective and experience that, upon review in combination with other students’ perspectives, yield a wider understanding of the general experience of upperclassmen college students with virtual classes (Babbie, 2017, p. 99).

This study was submitted to and approved by an Institutional Review Board, qualifying for exempt status, prior to conducting any interviews. Anonymity was not possible in this study as the interviewer must contact and interview the participants, however, confidentiality was maintained by removing identifying markers from the transcripts. Each participant’s name was removed and relabeled as “Interviewee” followed by a number. Participants were made aware of this confidential nature in the Informed Consent Form and were reminded of this by the researcher prior to their scheduled interview. These practices limited the potential harm to participants as did informing them of topics to be discussed and providing resources for the university counseling center should they have experienced any stress or discomfort.

Collection of Data Given the qualitative nature of interviewing subjects on a college campus, this study is centered in non-probability techniques. This sample is not representative of the entire population as subjects were selected in a manner which makes them useful to the objective of the study (Babbie, 2017, p. 196). Purposive sampling was used to find initial participants, reaching out to individuals with significant involvements with campus organizations. Four participants were identified through purposive means of social media messaging based on known involvement on campus by the researcher, and through these four individuals, six more participants were identified by snowball sampling. These students were contacted via email or text to inquire about participation.

Students who indicated voluntary participation were sent a Google Form with the informed consent document to sign and acknowledge consent. If they selected that they did not want to participate, the form closed, and they were not prompted to provide any additional information. After acknowledging consent, participants proceeded in the Google Form to questions that appear on a face sheet, requesting general information such as their major, year of study, and their involvement. This information was used to confirm they were of the desired group to participate and to provide the researcher with basic knowledge before the interview.

The researcher emailed the participant a link to coordinate a time for the interview.

This study used Google Meet as the site to collect data through interviews due to the COVID-19 pandemic, with participants joining from various locations for their convenience.

The virtual capacity of this site provided for a smooth recording and transcription process due to features of the platform. The interview questions were constructed to be open-ended to allow participants the ability to respond how they see fit, increasing the validity of responses.

Questions related to the participants general education, student engagement, time management, and management of stress and relationships. These topics gave way for discussion of both pre-Covid times as well as experiences during the pandemic. At the conclusion of the interview participants were asked if they had anything additional to share along with any questions for the interviewer. Participants were made aware that the interviews were expected to last anywhere from 30 to 45 minutes, with a note that they could last longer if the participant wished to share more information, and they would only be interviewed once. These interviews took place over a six-week time period in March and April of 2021, with one interview in both weeks one and two, two interviews in week three, four interviews in week four, and one interview in both weeks five and six. Most interviews occurred between typical business hours, though one interview occurred at 10 PM. The shortest interview was 30 minutes and the longest was 45 minutes, with the other eight interviews falling in between.

The researcher worked alone to conduct interviews and analyze data. The researcher

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was also a college student at the time of the interviews and thus had to approach participants carefully in order to maintain confidentiality and a professional demeanor towards their peers.

This status both benefited and detracted from the interview experience, as it created potential biases based on personal experiences and opinions of the researcher about the university during and before the pandemic. However, the researcher understood the context and details provided by participants in more depth than a third-party researcher would have given extensive experience with the university. The status was also beneficial in the use of gatekeepers, as the researcher had contact with leaders in different campus organizations and jobs which enabled a quick data collection process.

Code Academic Performance Attendance Attentiveness Dining Family Space Conflict Focus Free Time Home Academic Space In-Person Class Intentional Boundary Interaction with Peers Involvement Actions Involvement Connectedness Involvements Isolation

Operational Definition Mentions of grades, GPA, performance in the classroom Talking about attendance, logging on to class, motivation to attend Mentions about multitasking during class, doing other things, not paying attention, etc.

Talking about which plan they have, usage, features of the dining hall, experience given COVID Managing space with others at home Mentions of ability to stay focused on assignments, meetings, in class, involvement work, etc.

Any information about unscheduled time, how free time is spent, and where Mentions of where work was completed at home Mentions of curriculum, expectations, procedures, etc.

Designating spaces in room or between spaces for academics Mentions of how time is spent with friends, not location specific What the organization did and is doing for members

Discussion of how connected members feel to other members What the participant is involved in and time it takes up Expression of comfortability with being alone Mentions of space usage and changes from COVID Campus Space (library, student union, lawn, etc) Log On Location Where virtual class is joined from physically Any mention of desire to accomplish tasks, ability to Motivation stay productive Pre-COVID Class Mentions of interactions with peers, professors, the space, etc.

Pre-COVID Experience Discussion of campus life and culture prior to COVID-19 Procrastination Not wanting to work, putting off tasks Information shared about communication with professors in Professor Interaction spring 2020 Separation Information about being separated from school social setting Discussion of courses and academics during Transition Courses spring 2020 transition Transition Opinions Feelings about the transitional time and expectations Uncertainty Expression of confusion about future and unclear guidance Virtual Class Mentions of functions of the virtual setting Mentions of class experiences/projects or involvement Virtual Interaction virtual activities

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Analysis

A grounded theory approach to both data collection and analysis is consistent with the symbolic interactionist lens taken on during the theory and literature review phase of the study and helped focus the analysis on how meaning is formed through interactions that can be repeatedly reviewed in the process of conducting research (Chamberlain-Salaun et al., 2013). In typical fashion, the grounded theory approach begins with observations and coding to identity patterns while revisiting literature. There is an emphasis on the constant comparison of data to other data before coding and translating into categories and themes which lead to theorizing (Mills et al., 2006, p. 27). These patterns develop as “issues of importance to participants emerge from the stories that they tell about an area of interest that they have in common with the researcher” (Mills et al., 2006, p. 26). Theory may be generated from the data or adapted from another theory developed in past research, which takes place here as the theory from prior literature was adapted to the circumstances (Strauss & Corbin, 1994, p. 273).

Data was analyzed by the primary researcher and codes were compiled in a codebook for consistency. Start codes, being the more focused and research-based terms, were prompted by the research question and prior research. The transcription process yielded a wealth of common phrases and topics which provided additional open codes through line-by-line coding of a few fieldnotes. Codes were influenced by the academics and involvements of the students which were covered in the interviews, resulting in 44 codes that were pared down to 29 codes to be categorized. These category codes are as follows: managing home space, March academics, worries and coping, space - not room, pre-COVID, intentional boundary, engagement, course experience, mentality, virtual interaction, and peer interaction. After coding four fieldnotes in an in-depth manner, subsequent field notes were coded with more focus and purpose, paying attention to the four common themes of social lives, in person academics, virtual academics, and work-life management.

Through this grounded theory approach of data collection and analysis, three dominant theories emerged. Self-determination theory states that young people have a need to control their education to some degree (Van Ryzin, 2011). Given the unpredictable nature of the COVID-19 pandemic, the ability to control has diminished and decisions were made by public health officials around the United States and at the university level that impacted students directly. Role theory makes a contribution here, saying that in order to understand an individual action, one must understand also that intrinsic motivations are based in socially constructed categories (Grether et al., 2020). Considering this research, participants hold various roles in their different responsibilities whether that be student, employee, child, sibling, caretaker, etc.

Given these roles, the spillover theory explains that emotions from a work domain spill to the personal domain despite physical boundaries which should make this spillover more difficult (Lott, 2020). In the case of students, there are little to no boundaries that separate their different domains, requiring adaptation of this theory to fit the purposes of this study. These three theories are used as a result of data demonstrating that students do set boundaries between work and relaxation space yet have trouble balancing the different elements of their life from a singular space during a pandemic.

Validity, Reliability, Generalizability This study is based in qualitative interviews which rely on participants to provide data through narratives. The validity of this study, also to be considered as the appropriateness of the processes used, was enhanced by a consistent line of questioning which yielded responses that do, in fact, follow in line with anticipated topics. Ten students at the same university were interviewed and their common situations under the rules of one institution increases the accuracy of the measure. In terms of reliability, the operational definitions given for the codes can be provided to another coder for verification. Given the constant data comparison done

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throughout the data collection process, similar responses were gathered at both the beginning and the end of this phase, signaling reliability and ease of reproduction. It should be noted that as students’ experiences are specific to the individual replication of responses cannot be guaranteed. However, university policies and guidance were the same for the entire student population which also creates reliability.

Findings and Discussion Space Management from Home During the data collection process, participants circled back to the fact that they were living where they were working, both when returning home in March of 2020 and throughout the fall and spring semesters. Returning home disrupted the autonomy and everyday life of students as they transitioned to completing their role of student, among other roles if applicable, from home instead of their school’s campus. This sudden need to integrate the professional and personal lives of parents with the academic and personal lives of the participants is consistent with the trend for teleworkers who experience a similar melding of different roles into one shared space (van der Lippe & Lippényi 2020; Lott 2020). Given that “all individuals take part in many different role relationships, for each of which there will be somewhat different obligations,” it stands that conflict arose when participants moved home (Goode, 1960).

All ten participants returned to their family homes when directed to vacate their campus

by March 16, 2020. Most participants reside in the same state as their school and had a relatively easy time getting home, though Interviewee #6 is an out-of-state student and traveled farther.

Interviewee #3 brought their roommate home due to concerns that their roommate had an unreliable internet connection that would not have supported fully virtual classes for what was then an unforeseeable future. Of these ten participants, six had one or more siblings who were completing school from home, either at a high school or college level. While all ten participants did have parents in the home who they had to work their schedule around, seven participants faced struggles because their parents were working out of their home due to the pandemic. Of these seven, three had a parent working from a home office prior to the pandemic, while the other parent or set of parents for other participants had to create a space for this purpose.

By combining these roles into one space, participants described a conflict in performing the roles of student and child. As a student these participants must attend class, complete assignments, and correspond with classmates and professors among other duties. When at school, they exert complete control and agency over these decisions and experiences. However, when returning home, they also took on the role of child and sibling which may carry other duties inconsistent with their life as a student. Interviewee #2 lives with four other family members and describes a struggle of coordination between space and internet, with the latter being brought up by two other participants.

It was really difficult, because what would happen is my stepmom would be on an important presentation, she’d be like, “every single person has to be quiet in the house.” And then that was frustrating. Or we would have too many people on the Wi-Fi and she’d be like, “I can’t connect to my presentation. You have to get off the Wi-Fi.” And I’m like, “Well, I can’t get off the Wi-Fi. What do you mean?” (Interviewee #2, Junior) There was also a common hardship surrounding the participant’s family not understanding the demands of college academics and the time it requires. Interviewee #1, who remained at home for the fall 2020 semester to complete classes from an entirely virtual format, found themselves constantly reminding their family about their class times and meetings for extracurriculars. This need to actively separate from one’s family when at home was also mentioned by Interviewees 3, 4, 8, and 10, a prime example of making decisions to reduce role strain (Goode, 1960).

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Given the scheduling and academic requirements of their college lives, eight participants found themselves restricted to their rooms to join classes and complete schoolwork, with the remaining two not specifying their location when asked. It was common across the seven participants with parents working from the home to have the main spaces of the house designated for the parent’s workspace and the participants and any siblings working from their rooms.

The spring semester of 2020 was coming to a close when students were sent home and though coursework was already heavily underway many participants reported having a difficult time transitioning to virtual learning. Five participants explicitly stated that their professors turned to asynchronous courses or video lectures instead of holding class at the usual class time.

This left participants feeling lost and out of the loop academically. As self-determination theory focuses on maintaining a level of control over one’s education, participants are not given the level of control noted by studies in schools and work organizations to have “more positive outcomes, including greater intrinsic motivation, increased satisfaction, and enhanced well-being” (Deci & Ryan, 2000). Interviewee #3 explained that “school was almost non-existent” as professors chose the asynchronous route and one of their professors “literally didn’t say anything to us until finals came around.” This caused more difficulty during final exams as the participant had not been actively working on class material for the weeks prior. This trend of absent professors is similar to the discussion of students in the study by Grether et al. (2020) where students felt that they must take on the role of teacher when transitioning to virtual schooling as the professors did not fulfill their duties any longer.

Interviewees 2, 3, and 4 all noted that their coursework had been adjusted from routine lectures to video lectures and their assignments were pared down or were canceled altogether, saying that professors understood that the pandemic crisis necessitated alterations and understanding. Interviewee #4 encapsulated this decreased engagement by professors when saying that “they kind of just fell off the earth and they were like, ‘here, go do this.’” While this increased the agency of participants in their time usage through asynchronous classes, noted

by Deci and Ryan (2000) as a positive element, participants previously were not balancing the roles of teacher and student and were ultimately left feeling as though they had no control. This experience was not shared by all participants, such as Interviewee #5.

I was concerned about the course load and how that would change with being online. I was particularly struggling in one of my classes, it’s the hardest course I’ve ever taken. I was absolutely miserable in it. That one I was specifically worried about with going online. And my concerns were valid. The professor upped the coursework when we went online instead of dialing back, because it was a “oh, well since you’ve got all the free time, now that you’re home, we can pile more stuff on you.” So that wasn’t a fun time in regard to that class. I ended up pass-failing that class and another one with the two pass-fails that they gave us. (Interviewee #5, Junior) This participant was the only one to note a rise in academic expectations by a professor and did explain that other professors did choose to be more understanding.

Along with academic struggles, participants also experienced a great deal of uncertainty and feelings of worry surrounding the social separation. The global crisis made the future uncertain, and participants noted this by phrasing rhetorical questions such as Interviewee #1’s “how is everything gonna work?” and Interviewee #6’s “is this going to be a short thing? Is my summer gonna be affected? Is next year going to be affected?” Interviewees 4, 5, 6, 7, and 9 all expressed worrying about not knowing what would happen and wondering how everything would work moving forward. This indicates a lack of control which participants exerted over their education and personal lives. The social aspect of the college experience was mentioned by seven participants as a major element that they were both worried about and going to miss.

The three participants who did not mention it are seniors and they have well established social

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circles that may not have been as affected by the pandemic between junior and senior year as the relationships of participants who were finishing their sophomore year and beginning their junior year as Interviewee #10 makes clear.

I mean, I definitely was frustrated that I was losing social momentum at school.

And that’s something that, you know, for better or for worse, is important to me.

And because I’m a junior now, so that was my sophomore year. That was really when I was kind of finding my groups and finding my people, and so to finally kind of lock that down and then be away for so long. That’s what I was most worried about.

(Interviewee #10, Junior) Considering the common social isolation worry, participants do not fully support their own claim. Eight of ten participants stated that they are comfortable being alone and feel that the time in quarantine and physical distancing has made them either more introverted than they were previously or that they have learned to appreciate their own company more. This does not discount their desire to be with people but does show that they were able to adapt to the circumstances.

Participants’ negative experiences with decreased professor interaction are congruent with the findings of prior research suggesting that professor interaction diminished even when noted by students to be highly important to their success (Driscoll et al. 2012; Pazos et al.

2020; Tejedor et al. 2020). However, Staples et al. (1999) and Cheung et al. (2013) noted that when trained to work remotely employees demonstrated increased performance. Participants’ experiences do not confirm this notion, as they are prompted by the university lifestyle to live and work to some capacity from their dorm room. This prior experience did not result in increased performance for participants when combining their personal life with virtual classes.

Location Utilization Comparison: Pre-COVID and During COVID The COVID-19 pandemic caused new guidelines to be placed on the students by the administration at John Hamilton University. As with going out into the public and local community, masks were required any time the student is not in their dorm room. For classes that met in person students wore masks at all times similar to the standards for everyone who visits the library and student union. Spillover theory is demonstrated by participants in responses about where they spend time in a typical week, being limited to fewer locations causes strain when roles conflict and spill over into other areas of life (Lott 2020; van der Lippe & Lippényi 2020).

When asked to look back over the fall 2020 semester and first portion of the spring 2021 semester, participants shared that they have not been using the library to the extent that they had in past semesters. Interviewees #3, 4, 7, and 8 explain that as the conditions of the campus changed, their usage of the library as a study and social space decreased. The library started closing earlier and required masks like other campus spaces. Meaning was changed as it was no longer a social place where participants, such as Interviewee #8, felt they could behave in ways that make them feel most comfortable while studying.

I’m not walking around as much as I used to and so when all my classes and events were in person, I was out and about more often. So, it made more sense for me to just stop in the library and work there for a little bit rather than coming back to my room. But since I have a mix of in person and online, I’m just in my room more often because I don’t want to leave and then come back and then leave again. So, I think I’m using the library and the Student Union less often than I would have last year. (Interviewee #8, Senior) Interviewees #1 and 10 still use the library, explaining that they use the space to log on to virtual classes with friends, while Interviewee #9 works in the library, making it a frequent place for

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them to visit. Given that participants are generally forgoing the experience of studying and completing schoolwork in the library, they are carrying out their role of student from their living space. In a non-COVID semester, students completed schoolwork in their rooms to a lesser extent and the COVID restrictions have broken down the barriers between the personal and academic lives, illustrating the spillover theory described in research about work-life conflict (Lott 2020; van der Lippe & Lippényi 2020).

Operations in the dining hall look very different with participants explaining that the promotional video which the university put out to explain procedures made it seem “hectic.” Interviewees #1, 5, 6, 7, 8, and 9 all retained a meal plan in some capacity, and all noted that they find themselves grabbing their meal and heading outdoors and to their rooms, in a stark contrast to the social element of the dining hall which they used to enjoy. This further supports spillover theory by adding yet another element to the confines of the participant’s dorm room. Interviewees #2, 3, and 4 all reside off campus and commute to school for the few in person classes they do have, which aided in their decision to cancel their meal plans, not feeling that the confusion surrounding the guidelines and the reduced social aspects were worth their time and money. Each participant was asked if COVID guidelines impacted their decision to retain or cancel their meal plan to which Interviewee #4 discussed it in this way.

Yeah, it definitely did. Just because when I would watch the videos, I’m like, this seems so hectic I’m not even gonna bother. I was definitely considering a five [swipe per week meal plan] but then I was like, “You can’t even eat in there.” And it doesn’t seem that bad, but the videos just made it seem like it’s gonna take forever trying to get through all the lines. So that definitely impacted me getting a meal plan. I was like, never mind, I’m not gonna do that. (Interviewee #4, Senior) John Hamilton University did adapt dining options to allow for more “pop up” locations around campus and offered meal swipes at select vendors which Interviewee #8 hopes they continue to do in years to come. This change has given students more places to eat on and off-campus using their established meal plan which does aid in diminishing the spillover effect.

The expressed disdain for some of the changes made by the University extends to the classroom experience as well. Students are expected to wipe down desks and chairs before using them and wear their mask at all times. Participants overall experienced a mix of in person and virtual classes during the 20-21 school year and expressed that, in their search for a higher education institution, they were seeking a smaller college experience with more connection to peers and professors. This directly follows through to their overall desire to have in person classes during the 20–21 school year, with Interviewee #1 stating that “it motivates me to get ready and be like a real person for even a couple hours, so, if that makes any sense.” Interviewees #1, 2, 4, 6, and 8 all expressed that they prefer classes to be in person and feel that they pay better attention and be more engaged with this platform. Interviewee #8 said this about interacting with students and managing space with safety.

A lot of my classes have had group projects and so rather than having us turn the desks around and be all right up in each other’s faces, we’ve done group work on Google Meet, and then done our presentations in ways that we aren’t talking right in each other’s faces. (Interviewee #8, Senior) This adapting of an in-person class to also fit the virtual realm for safety reasons is also noted by Interviewee #2 in regard to presentations in their business class, making the point that coming back together to present in person was difficult as students had to remain six feet apart while presenting. However, this does add another element to the function of the living space, serving as a space to work with peers on schoolwork and engage in the creative and collaborative processes classes may require.

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This struggle to find new ways to engage with peers in the classroom space carries over into the participants’ personal lives as well, given that locations for casual hang outs have been limited. For much of the academic year, John Hamilton University had a baseline policy that students were only allowed to enter their own residence hall and not those of friends and classmates. Participants shared that they are meeting their friends for lunch outside on the campus lawn, watching The Bachelor in their off-campus houses which have become the regular hang out spot, and exploring places off campus where fewer regulations are in place. This severely limited the amount of in-person engagement students have in a private settings, forcing them to get creative as Interviewee #8 shares.

We found a workaround where we would go to the lecture halls and we would watch movies and stream stuff on Netflix in the lecture halls because we could still watch together. We just weren’t breaking guest policy by being in a residence hall. It made it a little bit more challenging, but it was still doable for us and it was kind of fun being able to watch TV in different places around campus. (Interviewee #8, Senior) This anecdote demonstrates a reversal of the traditional spillover theory that indicates bringing elements from a work setting into a personal setting, as this participant indicated bringing their personal life to an academic setting for the purpose of hanging out with their friends. This was not a typical example among participants and most do subscribe to the traditional spillover theory. These limitations on gatherings resulted in students shrinking their circle of friends as Interviewees #1, 4, 5, 7, 9 and 10 all shared that they interact with fewer people on a weekly basis and have lost touch with people as a direct result of COVID since they don’t casually run into people on campus, as Interviewee #6 reflects.

I feel like there was always activity going on. I would be in my dorm and then just like walk to class, then maybe the dining hall then another class, back to the dorm, back to a class. So, it felt very, like, there’s always kind of movement and activity, in that sense and a lot of kind of being outside, I guess, going from class to class and just seeing and interacting with a lot of different people. (Interviewee #6, Senior) Through this decreased in person interaction with other students, participants have made it clear that they had to find new spaces and have decreased their use of other preferred spaces in a typical semester which is similar to the transition home in March of 2020. Participants also clearly demonstrate spillover, role, and self-determination theories by having to narrow down the locations which they can travel to, both by choice and by university policy, and combine their roles into one common space, their bedroom or apartment. The unprecedented combining of life aspects into one space has been drawn out by the need for virtual education.

Flexibility of Virtual Classes

The pandemic has forced students, faculty, and administration to adapt to new methods of communicating and conducting their lives. Following virtual practices that have been in place for years with remote and teleworking, along with fully online degree programs, the higher education institution as a whole adopted many processes and procedures to a virtual format. This new platform for completing one’s role as a student has the ability to increase flexibility and accommodate personal needs (Agovino 2020; Lott 2020). With classes meeting asynchronously, a freedom is associated with setting one’s schedule on their own and suiting the lifestyle they desire (van der Lippe & Lippényi 2020; Lott 2020; Troup & Rose 2012).

Regarding classes pre-pandemic, participants noted that the experience was enhanced by making friends in class. Many also stated their preference for the in-person class style because they were much more engaged with the professor standing right before them.

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During the fall 2020 semester, Interviewee #1 chose to remain at home for safety reasons and expressed difficulty with being one of the few students joining class virtually.

The professors weren’t really talking to me, they were talking to the rest of the class.

And then they would help if we had a question or whatever. So that was really interesting, because I’m like, oh, sometimes I feel like I really couldn’t say anything. Not that I talked much in class anyway, but it was just like, if I wanted to ask a question, I’d have to wait until there’s like a pause or something, not to interrupt. The classes that were fully online were much easier to navigate because the professors were directly talking to all of us. (Interviewee #1, Senior) This difficulty navigating a virtual class was also felt widely by participants in how the virtual classes were more “awkward” with peer participation. Interviewees #1 and 3 were more likely to share their opinions or answers in the chat feature rather than unmuting themselves and participating directly in the class. Participation in virtual classes is also affected by the log on location. If joining class from the library, participants made it clear that because of their mask and the quiet nature of the building, they were not likely to unmute and participate. However, the library was not a common location for participants attending virtual class. Most participants noted that their room doubled as their classroom for these virtual classes with Interviewee #1 saying that “it blends because I’m doing work in here all the time and trying to relax in here.”

The division of space was not as clearly noted between participants, with some working strictly from their desk and others strictly from their bed. Few participants had an experience like Interviewee #3 did, sharing that “I started off the semester being at my desk and then as things got further in, I usually just did it from my bed.” When working in their rooms, Interviewees #1, 4, 5, 6, and 8 all have to be at their desks, otherwise risking further distraction and falling asleep. Given the flexibility of virtual classes and where one can join from, such as the library, student union, a coffee shop, apartment, room, bed, or elsewhere, a conflict of expectations is created for each space. This notion supports the use of the adapted spillover theory, stating that strain is caused when duties of the academic and personal life are combined to one space (Lott 2020). In the case of some participants this also extends to their roles as university employees, remote workers, and student organization leaders.

Interviewee #6 combines both time and space elements by saying, “I’ll be sitting here anyway watching Netflix and then I just open a new tab and sign into class. It kind of blurs together. So, I definitely have to make an effort to make that split.” Participants mentioned an inability to focus frequently, with all of them either finding themselves getting sidetracked in online classes or while completing schoolwork by their phones, television, or another form of communication. This affects students’ schedules outside of class time, just as Interviewee #8 said that “it’s harder for me to pay attention in class and then outside of class I’m trying to teach myself what I didn’t learn in class.” This also engages role theory as the participant had to become the teacher by choice in how they focused their time.

Attentiveness was a highly discussed topic, mentioned by all participants in some way.

The flexible nature of virtual classes, as noted, allows for students to log on from anywhere that they find convenient, however, this affects how attentive they truly are. Some participants shared that their professor requires their camera to be on for the entirety of the session. Interviewee #1 said that they felt this was beneficial so that they pay attention, otherwise they will treat it “like a podcast in the background” and proceed to do other things which Interviewee #9 does as well.

Yeah, definitely paying attention a bit less on online classes, doing other things every now and then. But I tend to sort of get the same out of it… I’ll notice something and be like, ‘Oh, I need to do that’ or whatever. Like, I’ll be doing dishes sometimes during class, make food sometimes during class, eat during class, drive during class, got a COVID test during class, appointments during class. (Interviewee #9, Junior)

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There is little that professors can do to prevent this trend of participants completing other tasks during time that is intended for class, other than requiring cameras on and logging attendance.

Participants are easily distracted by other aspects of their life especially when logging in from their room which might previously have been focused more on relaxation and time not designated for schoolwork. Interviewees #3, 6, 7 and 9 all shared a common distraction in their phone, buzzing with news, social media, and friends all vying for the participant’s attention.

It’s so hard to stay focused. I think that kind of comes back to the whole making a distinction between school time and like life time. It’s just so easy to be sitting here and I could be in class, I can just turn off my mic and my camera and do anything.

I could, you know, for a lot of my classes, I’m usually on my phone, like the whole time. So, with access to all that there’s really no repercussion to just not paying attention. That’s probably the biggest downside is that it’s just super hard to stay engaged and actually take anything away from it, I think. (Interviewee #6, Senior) As this participant noted, the distinction between the spaces is just as important as the distinction between time, designating with a purpose creates engagement in the task.

Though the study participants demonstrate lower attentiveness, they do not show a decrease in their attendance to classes online or in person. Many note that due to their fewer opportunities to engage with others in person, they have not missed any of their in-person classes. Attendance to classes in general is reported to be better for Interviewees #2, 3, and 5 than in comparison to before the pandemic while Interviewees #1, 4, 6, 8, 9, and 10 attend at about the same rate and note no noticeable changes. As for Interviewee #7, they also attend more than in pre-COVID semesters but explicitly noted a change which other participants alluded to but did not state.

With an online class, I did not miss a single one. Because it was a lot easier, even if you weren’t going to pay attention. To just turn on the program and just leave. Like even if it’s like you weren’t going to pay attention, you’re counted for participation.

So, I’d say my attendance was stronger, but participation was lower in online classes.

(Interviewee #7, Junior) Students at this university are told that if the class is to meet in-person, that is how they must join unless they are granted special permission, however, not all professors adhere to that guidance and allow students to join virtually on a regular basis. Interviewee #4 noted this lax rule as a reason which they have decreased in-person attendance to a singular class since the online portal remains open for student use when they deem it convenient. With a different mindset, Interviewees #3 and 5 shared that they have perfect attendance to their virtual classes because they feel as though they “don’t have an excuse” to skip the class. The flexibility of logging on from their room does affect the autonomy and agency which these participants feel they have in regard to their time and education. Though there is no guarantee that these participants would have skipped a class in general, they do not feel as though it is acceptable to do so given the virtual and flexible format.

Participants have made clear that there is an increased flexibility through virtual classes in regard to the location with which they can complete their duties as a student. Given that students today are balancing more than students in past years, the flexible nature of courses and locations was thought to improve the scheduling and ability to balance duties (Driscoll et al. 2012; Greene & Maggs 2015; Yalof 2014). This research, however, found that while it did allow students the opportunity to feel comfortable from the location they chose to log on from, it did not aid in the balancing of duties and took away their agency and ability to control their education (Deci & Ryan, 2000). Van Ryzin (2011) found that “students’ perceptions of the school environment were linked to engagement in learning, which, in turn, was linked

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to change in hope and academic achievement over time.” Participants, overall, felt that their ability to focus was diminished by the distracting nature of their environment which caused them to watch lectures or view slides after class, elongating their time spent on schoolwork.

Unaffected Involvement Levels In the pre-pandemic campus culture of John Hamilton University, participants noted that students were quick to get involved in many things, sticking with them through their college career. This high level of involvement and management of responsibilities proves difficult when considering how to accomplish all that they set out to do, creating a conflict of roles (Greene & Maggs 2015; Grether et al. 2020; Rockinson-Szapkiw & Herring Watson 2020; Goode 1960). Participants established routines that were then disrupted by the pandemic. Literature suggests this greatly affects engagement and continued participation as students needed to cease involvement to take on other roles (Pazos et al. 2020; Grether et al. 2020; Tejedor et al.

2020). However, that was not the case for participants in this study, with some noting greater involvement due to the virtual format of meetings and subsequent convenience.

Participants in the study are involved in many things. Seven are members of social Greek organizations, with five in leadership roles. There are seven participants who are employed in some manner as well as some who hold more than one job, four as tour guides, one as an intern, and five employee roles are held. Three participants explicitly stated service involvements and nine of the ten participants were involved in a special interest group not service or Greek affiliated. All ten participants’ involvements have adapted from a fully in-person experience to a fully virtual experience, apart from the two participants involved in Campus Event Planning which has been able to host limited events for the university.

Due to the virtual platform used for student involvement, many participants noted an ease in scheduling resulting from reduced travel time. Interviewee #3 discussed the convenience of virtual meetings as an off-campus resident and Interviewee #8, who lives on campus, shared a similar benefit by not having to run across campus to a new meeting but instead just switching browser windows on their laptop. The unintended consequence of these virtual interaction platforms is more programming for students than would have been available or required in a typical semester. Most participants estimated their number of non-academic online meetings to be around five times per week, more than they experienced in pre-pandemic semesters. Interviewees #3 and 4 are both involved in a special interest group and saw an increase in membership and participation due to the virtual platform, making it easier to join the meetings due to the relatively inconvenient time on a Friday afternoon. The requirements of these campus involvements have also shifted, and mandatory attendance to speaker events is seen more frequently by participants, given that organizations can reach more people who can be anywhere when logging on, as noted by Interviewee #7.

Best thing with virtual stuff is that I can do a lot of my virtual requirements or events from anywhere. I know I had to go to a meeting, but I was at a restaurant with one of my friends and didn’t have to pay attention, I could just turn on my thing, turn off my camera, turn off my mic and be there for participation. So, I’ve been able to be more creative. (Interviewee #7, Junior) This demonstrates that the flexibility in peer engagement and in students’ location to join virtual class carries over to their involvement requirements as well. Schedules also had to be adjusted by participants as they explained how their involvements offered events at different times. Literature specifies that students who are vigilant and monitor their schedules in regard to their commitment experience a more rewarding experience and have greater balance in their lives (Rockinson-Szapkiw & Herring Watson 2020). Interviewee #6 gives an example of scheduling changes and balance when discussing how tour guides had to completely shift their

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expectations because prospective students are not traveling as a result of the pandemic, creating events during the week to advertise the school.

I just mean where something that would normally be on a Saturday morning, when people can sign up, they’ll do it at little pockets during the week and sometimes it’ll be early in the morning, but sometimes it’ll be really late, like 6 or 7pm. So that can be kind of kind of weird, with classes going on and everything. (Interviewee #6, Senior) Even with major changes to schedules and requirements, participants did not see a decrease in their activity levels in their respective organizations. Not one participant noted quitting an involvement due to the pandemic or transition to virtual operations. Four of the five participants in their junior year shared that their activity increased during the pandemic resulting from their taking on leadership roles, though all did explain that they believe this would have been the same without the pandemic as they had a desire to lead regardless of the situation.

Along with their need to balance their roles as leaders, they also have to consider how this new role impacts their friendships. Interviewee #7 said that it is “interesting having to hold your friends accountable for their actions” which adds yet another role to their list of roles that include student, employee, and member of the organization. Goode (1960) says that “difficulty in meeting given role demands,” which is role strain, is completely normal. If the participant is to conform to one role entirely, they will lack fulfillment in another area, focusing solely on their role as leader may leave them unfulfilled in terms of friendships and social activity, for example (Goode, 1960).

Student organizations on John Hamilton University’s campus have been impacted in their ability to plan events in-person to allow for more intentional interactions. This directly impacted the level of connectedness participants reported when asked specifically about their main involvements. Overall, participants feel more connected to the organizations or friends that they see in person, rather than online. The virtual platform diminished how connected members feel to each other, as Interviewee #2 explains feeling involved but not connected.

Online leadership sucks…sometimes it does feel pointless and forced and that no one really wants to be there. The point is to build community into a level where we feel connected with one another, but at this point, it just feels super forced and like no one wants to go. (Interviewee #2, Junior) The meaning associated with the organizations and the connections they offer in a typical semester have diminished as a direct result of the pandemic. With the symbolic interactionist lens, meaning is formed through interaction and when unable to interact, connectedness and meaning are lost (Blumer, 1969). Interviewees #4, 7, 8, and 10 made clear that they feel connected only to the people they see regularly.

It’s funny so like, in Campus Event Planning I feel very connected to my committee and the other leadership members. But the organization as a whole I don’t feel that connected at all, like unless I see them at an event, I really don’t connect with them as much. (Interviewee #4, Senior) This sense of lost connection was not felt by all participants, as Interviewees #1, 3, 5, and 6 reported still feeling connected to their organizations and employment in a similar manner as before the pandemic. For them, the virtual nature of interactions did not belittle the meaning of the experience or their sense of connectedness.

In a similar nature to the change from in person classes to virtual classes, the organizations to which participants are members have had to adapt to the virtual platform of interaction. The participants interviewed were heavily involved on their campus, with one managing

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one organization and classes and another balancing a full 15 credit hour schedule with two jobs and five organizations. This balancing act is in agreement with literature that suggests taking on many roles creates conflict and increases the difficulty of maintaining status and activity levels in all organizations (Greene & Maggs 2015; Grether et al. 2020; Rockinson-Szapkiw & Herring Watson 2020; Goode 1960). The unintended consequence of virtual platforms taking over educational functions on this university campus is an increase in programming for student organizations given the ease and convenience of joining via a laptop with the locational flexibility also noted by virtual classes.

Limitations and Further Exploration

This study is not without limitations. Participants were all drawn from one small, public liberal arts university in the southeastern United States. This sample is not generalizable to a wider variety of schools given the size and student body composition, as well as the nature of the qualitative study being one of thematic results and small samples. Low representativeness for college students is presented as other universities and students around the country and globe may exhibit different patterns and themes given the tendencies and policies of said institutions.

Participants in their junior year took on leadership positions during the time frame that the study covered, and this makes the study not inclusive of or generalizable to students who do not take on responsibility in their organizations. In future studies the sample should include students both with and without leadership roles. Qualitative research also presents interviewer bias in question phrasing, reactivity, and the consideration of self-report data in open-ended question responses. Finally, this sample does not account for students at universities functioning completely remotely, with fully virtual course schedules, or operating asynchronously.

Those with synchronous classes may find similarities to the university presented in this study.

Conclusion This study demonstrates the impact that virtual platforms have on higher education students during the pandemic in both their home and school domains. Spatial negotiation between participants and family members caused conflict between participants’ school and home role sets. Participants experienced no advantage from experiences with combined spaces and were instead given the disadvantage of taking on an additional role of teacher. This embodiment of role theory stems from symbolic interactionism as prior to the pandemic, professors held meaning through a level of knowledge and authority. However, when these individuals ceased communication, the meaning tied to professors was modified through a lack of social interaction.

Negotiating space continued on campus with participants experiencing spillover of duties from one role affecting another. Taking fewer trips to campus locations, there was a notable decrease of in-person interactions and the meaning tied to these places shifted. In accordance with symbolic interactionism, the meaning of class time was modified for virtual classes as professors did not require computer cameras to be on and were unable to hold participants accountable as they would in a physical classroom. This was demonstrated through participants logging on in various locations or walking away from their laptops entirely.

With meaning and significance lost in academics, the meaning tied to participants’ involvements was altered but not diminished. Responses revealed similar or increased levels of connectedness with virtual interactions. Instead of meeting in person, their laptop became their portal to interacting with friends. In this way, the students’ laptop took on the role and meaning associated with relaxation time, academic time, and their organizational involvement, among others specific to the participant. Most specifically, the laptop took on meaning previously tied to a classroom as professors and students gathered via personal devices instead of at desks in a

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classroom. It may be that participants always used their laptops in a manner that transcended boundaries of school, social, and personal life, though the degree to which this behavior was mandated increased among all participants.

In respect to online degrees as a primary avenue for obtaining a higher education, the connectedness of students and effectiveness of methods should be considered in the quality of the educational experience. Students who previously sought out the in-person setting were able to try their hand at what an online degree program offers, with participants enjoying the flexibility and comfort of choosing the class location. With these known experiences, institutions that previously claimed to have no interest in offering online classes need to reevaluate their thoughts and opinions. Some students may have discovered their previous distaste or hesitation to enroll in online classes or degree programs to have been misled and this could greatly impact the future enrollment or retention of students at traditional in-person institutions.

For traditional higher education pathways, plans should be developed to avoid loss of in-person experience elements if transitioning to virtual means in the event of an emergency.

Through the COVID-19 pandemic, great weaknesses were demonstrated amidst the higher education community as plans had not been made in consideration of such a disaster and emergency. Institutions need to consider how students manage their various roles when outside of the typical university setting as well as how they can maintain a sense of connectedness and communicate with others experiencing the same and similar struggles. These considerations trickle down to the level of campus organization leadership, creating plans for how to engage members and continue to operate under difficult circumstances. Each facet of the university was affected by the pandemic and should allow them an opportunity to create plans for future instances that may occur and require emergency remote operations.

Participants in the study experienced trials relating to their academics, social life, and home life all due to an unexpected pandemic. While the world was focusing on safety and preventing the spread of the virus, students were still responsible for their academics and maintaining forward progress. Responses highlighted both struggles and triumphs as individuals grew through self-discovery and became more comfortable in isolation. As the entire world was affected by the COVID-19 pandemic, this research is of sociological significance as the student population adapted behavior and changed interaction levels in reaction to virtual education and limited social contact permitted.

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Pazos, A. J. B., Ruiz, B. C., & Pérez, B. M. (2020). Digital transformation of university teaching in communication during the COVID-19 emergency in Spain: An approach from students’ perspective. Revista Latina De Comunicación Social, (78), 265-287. doi: http://0-dx.doi.org.read.cnu.edu/10.4185/RLCS-2020-1477 Rockinson-Szapkiw, A., & Herring Watson, J. (2020). Academic-family integration: How do men and women in distance education and residential doctoral programs integrate their degree and family?. Online Learning, 24(4). doi: http://dx.doi.org/10.24059/ olj.v24i4.2318 Smalley, A. (2021, March 22). Higher education responses to coronavirus. National Conference of State Legislatures. https://www.ncsl.org/research/education/higher-educationresponses-to-coronavirus-covid-19.aspx Staples, D. S., Hulland, J. S., & Higgins, C. A. (1999). A self-efficacy theory explanation for the management of remote workers in virtual organizations. Organization Science, 10(6), 758.

Strauss, A. & Corbin, J. (1994). “Grounded Theory Methodology.” In N.K. Denzin & Y.S. Lincoln (Eds.) Handbook of Qualitative Research (pp. 217-285). Thousand Oaks, Sage Publications. https://www.depts.ttu.edu/education/our-people/Faculty/additional_ pages/duemer/epsy_5382_class_materials/Grounded-theory-methodology.pdf Tejedor, S., Cervi, L., Tusa, F., & Parola, A. (2020). Education in times of pandemic: Reflections of students and teachers on virtual university education in Spain, Italy, and Ecuador.

Revista Latina De Comunicación Social, (78), 1-21. doi: http://0-dx.doi.org.read.cnu. edu/10.4185/RLCS-2020-1466 Troup, C., & Rose, J. (2012). Working from home: Do formal or informal telework arrangements provide better work–family outcomes? Community, Work & Family, 15(4), 471–486. https://doi.org/10.1080/13668803.2012.724220 van der Lippe, T., & Lippényi, Z. (2020). Beyond formal access: Organizational context, working from home, and work–family conflict of men and women in European workplaces. Social Indicators Research, 151(2), 383–402. https://doi.org/10.1007/ s11205-018-1993-1 Van Ryzin, M. (2011). Protective factors at school: Reciprocal effects among adolescents’ perceptions of the school environment, engagement in learning, and hope. Journal of Youth & Adolescence, 40(12), 1568–1580. https://doi.org/10.1007/s10964-0119637-7 Villa, F. G., Litago, J. D. U., & Sánchez-Fdez, A. (2020). Perceptions and expectations in the university students from adaptation to the virtual teaching triggered by the COVID-19 pandemic. Revista Latina De Comunicación Social, (78), 99-119. doi: http://0-dx.doi.org.read.cnu.edu/10.4185/RLCS-2020-1470 Yalof, B. (2014). Marshaling resources: A classic grounded theory study of online learners. Grounded Theory Review, 13(1), 16–28.

About the Author Amanda Banks is a graduate of the class of 2021 from Leesburg, VA. A member of the President’s Leadership Program, she earned a Bachelor of Arts in Sociology with minors in Leadership Studies and Business Administration. A leader in her sorority, Phi Mu, Amanda took on the roles of Panhellenic Delegate, Honor Chair, and Chapter President. She was involved in the Newport News community as a Girl Scout troop leader. Amanda is passionate about her academics and was awarded the Purtle Award for excellence in qualitative research in May of 2021.

“Identity, Instability and Belonging: Experiences of First Generation College Students” Saran Cherif and Carlie Carter Faculty Sponsors: Dr. Linda Waldron, Dr. Danielle Docka-Filipek, Department of Sociology, Social Work and Anthropology

Abstract First generation students or “first-gens’’ are typically defined as a student who does not have a parent/guardian who has completed a four-year degree. In some cases, this includes students whose parents have no post-secondary education at all. In 2011-2012, about 33% of all students enrolled in post-secondary education were first-gen, making them a fairly underrepresented group on college campuses (Skomsvold, 2015). For first-gen students whose parents have no college experience, only 26% will end up at a 4-year institution (Chen, et al, 2017). Since families play a pivotal role in helping a child navigate the process of applying to and attending college, first generation students are often left to navigate the academic and financial challenges of college life on their own. In addition to their limited cultural capital, research suggests that families of first-gen students may place an additional emotional burden on students who have to struggle with “survivor’s guilt” – namely guilt associated with leaving family members behind in adverse conditions stemming from poverty and/or economic uncertainty (Strangfeld and Strahm, 2019).

Potential pressures (from family, school, community, society, self ) impact the first generation college student in ways that may not be common for a student who has at least one parent with a four-year degree. This current study includes interviews with first-gen students drawn from a public liberal arts institution in the mid-Atlantic U.S. Participants were recruited from direct email invitation, social media, campus announcements, and via snowball sampling. A research team of faculty and undergraduate students conducted semi-structured, qualitative interviews, examining the participants’ beliefs, experiences, and attitudes regarding their college experiences.

Research questions probed how participants identified with their first generation status, their family dynamic, decisions about attending college, feelings of belongingness or inclusion, and any COVID-19 pandemic impacts on their college experience. The interviews were transcribed, coded, and analyzed using a grounded theory approach. Preliminary data analysis focused on familial instability, issues of identity and belongingness, and stigma surrounding participants’ status as first generation college students. Bourdieu’s social reproduction theory was used as a lens to interpret these experiences of First Gen students.

a student whose parents or guardians have not completed a four year degree

Definition of a “first gen” -

Bourdieu, P. & Passeron, J. (1990). Reproduction in Education, Culture and Society, 2nd edition. Sage.

Chen, X., Lauff, E., Arbeit, C., Henke, R., Skomsvold, P., and Hufford, J. (2017). Early Millennials: The Sophomore Class of 2002 a Decade Later (NCES 2017-437). U.S. Department of Education. Washington, DC: National Center for Education Statistics.

Orbe, M. (2004) Negotiating multiple identities within multiple frames: an analysis of first‐generation college students. Communication Education, 53 (2), 131-149.

Schwartz, S., Kanchewa, S. S., Rhodes, J. E., Gowdy, G., Stark, A. M., Horn, J. P., Parnes, M., & Spencer, R. (2018). "I'm Having a Little Struggle With This, Can You Help Me Out?": Examining Impacts and Processes of a Social Capital Intervention for First-Generation College Students. American Journal of Community Psychology, 61(1-2), 166–178 Skomsvold, P. (2015). Web Tables—Profile of Undergraduate Students: 2011–12 (NCES 2015-167). U.S. Department of Education. Washington, DC: National Center for Education Statistics.

Strangfeld and Strahm. (2019). Accessing Family Wealth: First-Generation College Students and the Role of Family in Achieving College Success. Conference Papers -- American Sociological Association, 1–10.

References

Methodology ● N= 6 female (3 Latina, 2 Asian American, 1 White) first-generation students ● Small liberal arts college in the southern United States ● Research Team: 2 professors, 2 undergraduate research assistants ● Qualitative Interviews, 60-90 minutes ● Comparative, qualitative coding of transcripts ● Coding focused on: participants’ beliefs, experiences, and attitudes regarding diversity, equality, helpfulness, and opportunities at different institutions of higher education; first generation experiences; effects of COVID-19 pandemic

● What are the experiences of first-generation female college students? ● What are some of their challenges and how do they overcome such challenges? ● How did the COVID-19 pandemic impact these experiences?

Research Questions

❏ Students may also have a different experience when one of their parents may have some college experience, whether with an associates degree or some undergraduate coursework.

These students may feel like they have slightly more guidance from their parents than those whose parents have absolutely no experience with higher education.

● Parents with no college vs. some college

❏ not representative of the entire population of first-gen. undergraduate college students

● Implications of small, female sample

Conclusion

❏ “It was a lot harder for me to focus because of my family…”

The evacuation of campus rested on a notion that everyone had a home to go back to and that there would be a good working environment for them to do their school work in. Many lost their income from on campus jobs and others lamented over the money they lost with their housing, money that they simply didn’t have to throw away.

● COVID & conflict

❏ “When my parents were like, Hey, we want you to have that chance, like you should go to school…” ❏ “They are there to support me and just basically just understand my circumstances. Like, that's all I ask….”

Some of this centered around financial issues: navigating FAFSA, understanding what subsidized loans or Pell grants meant, or knowing how and when to pick a major. Others expressed the challenges of coming to a campus that seemed to assume they had parents that would know how to help them with these things. This created a sense of liminality for these students, creating a cultural shift for them.

● Middle class normativity: Family as support, family as discordance

❏ “A lot of people just assume that you have parents that went to college….” ❏ “ The lack of connections is so overwhelming…” ❏ “I'm a part of the school, but I'm not actually a part of the school…”

The identity of “first generation” though is more likely to be something that is placed on first generation students externally through institutional policies and practices.

Findings

● Identity, inclusion & belonging

First generation college students, or students whose parents or guardians have not completed a four-year degree, are underrepresented on college campuses, making up about 33% of all students in higher education (Chen, et al, 2017; Skomsvold, 2015). The role of the family in the decision to attend college and the process leading to attendance are important factors in understanding the difficulties faced by first generation college students. Many students who want to apply to and attend college must do so without guidance from their parents (Strangfeld & Strahm, 2019). In addition to deficits stemming from limited cultural capital (Bourdieu & Passeron, 1990), research suggests that first generation students face challenges in college related to grades, attrition, finances, and obtaining a general sense of belonging (Orbe, 2004; Schwarz, et al, 2018). This qualitative study seeks to better understand the experiences of first generation college students, why they chose to attend college in the first place, when they realized their identity as a first generation student, and other factors, including how the pandemic has impacted their lives and educational experience. The identity of “first generation” is more likely to be something that is placed on first generation students externally through institutional policies and practices. This study sought to understand this dynamic. Researchers conducted qualitative interviews with first generation students at a small liberal arts college in the mid-Atlantic region of the US. Each individual discussed their own individual experiences, hardships, childhood experiences, parents, and their decisions leading up to attending college. There were many differences among interviewees such as: parental careers, childhood experiences, financial backgrounds, and familial support. However, there were many commonalities among participants too. Data collection from this study is still ongoing, though six interviews have been transcribed, coded, and analyzed using a grounded theory approach. Social reproduction theory (Bourdieu & Passeron, 1990) is used as a lens to understand this data.

Introduction

By: Saran Cherif and Carlie Carter, Faculty Sponsor: Dr. Linda Waldron and Dr. Danielle Docka-Filipek Department of Sociology, Social Work, and Anthropology

Identity, Instability, and Belonging: Experiences of First Generation College Students

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References Bourdieu, P. (1990). Cultural Reproduction and Social Reproduction. Power and Ideology in Education.

Chen, X., Lauff, E., Arbeit, C., Henke, R., Skomsvold, P., and Hufford, J. (2017). Early

Millennials: The Sophomore Class of 2002 a Decade Later (NCES 2017-437). U.S.

Department of Education. Washington, DC: National Center for Education Statistics.

Retrieved October 3, 2017, from https://nces.ed.gov/pubsearch/pubsinfo. asp?pubid=2017437.

Skomsvold, P. (2015). Web Tables—Profile of Undergraduate Students: 2011–12 (NCES 2015 167). U.S. Department of Education. Washington, DC: National Center for

Education Statistics. Retrieved May 24, 2017, from https://nces.ed.gov/pubsearch/ pubsinfo.asp?pubid=2015167.

Strangfeld and Strahm. (2019). Accessing Family Wealth: First-Generation College Students

and the Role of Family in Achieving College Success. (2019). Conference Papers —

American Sociological Association, 1–10.

About the Authors Saran Cherif is a Christopher Newport Summer 2021 graduate, earning her bachelor’s degree in Psychology and French, with a minors in Sociology. For 2 school years, Saran has been working with the Sociology department in researching the needs/experiences of First-Generation College students. Saran is planning on taking a gap year before starting Law School.

Carlie Carter is a 2021 Christopher Newport University graduate. She received her Bachelors of Arts in psychology with minors in childhood studies and sociology. She has worked at the Virginia Living Museum for the past three years of her undergraduate career and been involved on-campus in Student Government Association, Club Field Hockey, and as a study abroad ambassador. Carlie is passionate about the research conducted on first generation students because she is one and understands the challenges that are often presented to first-gens.

Carlie will be continuing several research studies to prepare for graduate school and also has accepted a full time position as a content marketer with Aspiration Marketing.

“Martin Heidegger and Daniel Rozin: The Saving Power of Technological Art” Nick DeHoust Faculty Sponsor: Dr. Dawn Hutchinson, Department of Philosophy and Religion

Abstract In the mid-1900’s, Martin Heidegger set out to question the essence of modern technology. In doing so, he discovered the most troubling danger for our current age: the essence of modern technology as “enframing.” He then suggested that art may offer salvation from this danger, but he declined to further elaborate this claim. With this project, I carry Heidegger’s suggestion a step further by presenting Daniel Rozin’s contemporary technological art (his “Mirror No. 10,” specifically) as the kind of art to which Heidegger was referring. In order to do so convincingly, I also address Heidegger’s later pessimism regarding the ability of art and philosophy to change the world as the most powerful counterargument to my claim. This paper is the first to suggest a concrete example of the saving power of technological art, and it may inspire a more lively dialogue regarding Heidegger’s suggestion and its current relevance.

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Introduction In the early nineteenth century, Hegel opened the possibility for a new question when he pronounced the death of art. Indeed, after carefully evaluating the function of art in the post-enlightenment modern world, Hegel observed that “art counts no longer as the highest mode in which truth fashions an existence for itself ” (103). He thus argued that art had died to its former purpose, which unfolded according to its unique and compelling “way of apprehending and representing the Absolute” (Hegel 102). Now that science has replaced art as the primary way by which we as humans come to know truth, he asked, what purpose can art serve? He suggested that art may have been freed to gaze back into itself and reflect on itself, but such a looking-back would still constitute a total liberation from its former purpose.

Thus, Hegel concluded that art had died.

Over a century later, Heidegger offered an alternative answer to Hegel’s initial question.

In 1954, Heidegger published an essay titled “The Question Concerning Technology” in which he discussed the essence of technology, its dangers, and the possibility of salvation from these dangers. According to Heidegger, the key to this possibility lies in art. On Heidegger’s view, because art and technology share a common origin in the Greek idea of tēchne, or “a creative project of Being,” art can help us answer, or at least pose a more genuinely interrogative and critical question concerning modern technology (Fynsk 154). Thus, for Heidegger, art is far from dead. Rather, art is needed societally to help restore a deeper sensitivity to and concern for Being, or “The To Be,” an infinitive verb-turned-noun that lies at the heart of Heidegger’s entire philosophical project (Gelvin 5). However, Heidegger never went further than to merely suggest the possibility of art’s saving power. Moreover, later in his career, Heidegger himself grew increasingly pessimistic toward the potential of philosophy and art to effect any such societal awakening. How can one man’s philosophy mobilize the entirety of modern society to critically reevaluate the essence of the very thing which most ubiquitously pervades it? In this sense, I maintain that Heidegger overseparated art and modern technology with his argument, and that the kind of art that can reveal the danger of modern technology must artistically incorporate modern technology itself. In other words, in order to ask a new question, we need a new kind of art that brings both art and modern technology together in the artwork.

In this essay I intend to advance Heidegger’s philosophical project in two ways: first and most importantly, by presenting Daniel Rozin’s art as an example of the kind of art that foregrounds this potential saving power through the artistic incorporation of modern technology, and secondly by responding to Heidegger’s strongest counterargument by narrowing his societal optimism to a narrower focus on the individual viewer. In accomplishing these objectives, I will review Heidegger’s philosophy, apply it to Daniel Rozin’s contemporary technological art, and then address the aforementioned counterargument. Ultimately, with this essay, I argue that Daniel Rozin’s contemporary technological art provides a conclusive answer to a strengthened version of Martin Heidegger’s suggestion concerning the saving power of art.

Heidegger, Art, and Technology Heidegger’s disapproval of the history of philosophy and its mishandling of Being largely acted as the catalyst for his revolutionary philosophical project. “Heidegger wanted to address what he saw as the neglected question of the being of intentionality” — the kind of being for whom Being is a question (Greeves 21). In pursuing this inquiry, Heidegger was careful not to ignore “the difference between what there is and the [B]eing of what there is, the difference between beings and [B]eing — on one side, all that exists, on the other, the very existence of what exists” (Nicholson 1). Heidegger argued that human beings — which are entities — ask the question of Being — “The To Be” — and that they thereby give meaning to Being (Gelvin 5). For Heidegger, this asking is bound up in the fundamentality of human temporality; as we careen toward our inevitable deaths, we ask of Being the question of meaning. We “project open

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a world of meaning and in doing so we are able to be committed to truth and make the truth manifest” (Greaves 88). In asking this question, however, we do not approach the historically well-established “Aristotelian-Thomistic and Cartesian view of truth as that of an agreement or adequation between perception and object” (Steiner 114). Rather, Heidegger derives his definition of truth from the Greek term alētheia, which means “revealing” (Heidegger “Question” 318). For Heidegger, the “truth is that ‘unhiddenness’ which shows, which shines through in that which ‘is true’ (whose existence is a truth of being)” (Steiner 114). Truth is therefore better understood to be a dynamic event of unconcealment wherein Being moves freely from concealment into the open clearing of disclosure. Alētheia refers to such an event. Thus, the “‘a’ at the beginning of the Greek word [alētheia] denote[s] a lack or privation and lēthe, what is forgotten, meaning for Heidegger what is covered or concealed” (Greaves 89). In his mission to bring about a wider understanding of the verbal and complex nature of Being, Heidegger fittingly privileges art and its undomineering granting of appearance. “Art does not describe; it makes visible” (Safranski 297). Thus, for Heidegger, alētheia refers to the dynamic event of the unconcealment of the truth of Being, and art plays a pivotal role in this alētheic understanding.

In order to understand what Heidegger means when he suggests that art may be able to save us from the essence of modern technology, we must first understand how he defines art itself. In “The Origin of the Work of Art,” Heidegger attempts to identify both the essence of the work of art and “that from which and by which it is what it is and as it is” (143). Ultimately, Heidegger concludes that art is itself the origin of both the work of art and the artist. “Without the project of a work of art and the attempt to realize it, there would be no artist. … Their interrelation takes place in the realm of art. Art encompasses both” (Jaeger 1). This is a radical rejection of the traditional understanding of art as the result of either the artist’s intention or the spectator’s judgment. “Art lets truth originate,” writes Heidegger, not the other way around (“Origin” 202). In arriving at this conclusion, Heidegger determines that “the essence of art would then be this: the truth of beings setting itself to work” (“Origin” 162). For Heidegger, this means that art opens a space in which beings — or entities; the things that constitute the world in which we live — are presented in a way that allows the truth of what they are and as they are — their essences — to shine through. Alētheia occurs within and through the artwork.

Heidegger discovers the essence of art — “the truth of beings setting itself to work” — by turning to the artwork itself: the only place where “[a]rt essentially unfolds” (“Origin” 162, 144). In this way, Heidegger deliberately lets art “be as it is” in his questioning of its essence, and he selects Van Gogh’s A Pair of Shoes for the purposes of his investigation (“Origin” 157).

As he gazes at the subject of the painting (a dirty pair of peasant shoes), however, Heidegger finds himself contemplating it rather than the artwork itself. Thus, in considering Van Gogh’s painting — an artwork — Heidegger first discovers the essence of equipment, which he calls “reliability” (Heidegger “Origin” 160). At this point, he apprehends the essence of art. Indeed, “the equipmentality of the equipment first expressly comes to the fore through the work and only in the work,” Heidegger realizes (“Origin” 161). For Heidegger, this artistic revelation is an event of a​ lētheia​. “[I]t is van Gogh’s canvas that makes it possible for us to experience the integral reality, the innermost quiddity and meaning of the two shoes” (Steiner 133). Thus, he concludes, “art is truth setting itself to work” (Heidegger “Origin” 165). I​n other words, we glimpse the truth of Being as it unconceals itself in the artwork.

For Heidegger, art is how the truth of Being becomes meaningful to men, and it accomplishes this purpose in two ways. First, Heidegger writes that the artwork “gives to things their look and to men their outlook on themselves” (“Origin” 168). Art sets up and characterizes the world in which we live — the human world as distinct from nature. For Heidegger, the second way that art shows us the truth of Being lies in its ability to “[set] forth the earth” (“Origin” 172). In this way, the artwork makes use of the natural world without simply using it up. In other words, the way that art uses the earth resembles the tendency of

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the natural world to simultaneously unconceal and conceal itself, thereby allowing the earth to persist within the artwork undominated — as earth (“Origin” 168-169). “It is this unity of world and earth,” writes Jaeger, “which we are looking for in a work of art, when we conceive it as resting within itself, in complete self-composure. And it is this composed unity of world and earth which constitutes the truth of the work of art” (64). Thus, the essential setting-up of world and setting-forth of earth within the artwork presents a dynamic in which the unity of earth and world is unconcealed.

But what does this mean for us — how is this significant beyond the walls of the lecture hall in which Heidegger first delivered “The Origin of the Work of Art?” Heidegger shows that the “workly character of the work consists in its having been created by the artist” (“Origin” 183). The artwork does not occur out of itself; it requires the work of an artist. In this way, he emphasizes the importance of the createdness of the artwork and the creative impulse of the artist. The artist has a responsibility to the truth in the sense that the artwork is the space in which truth ultimately sets itself forth. Thus, for the artist, the possibility for the “​impulse toward the work ​lies in the essence of truth” (Heidegger “Origin” 187). In other words, with the artwork, the artist guides the truth out of unconcealment. Heidegger then relates another necessity: preservers of the artwork, for “what is created cannot itself come into being without those who preserve it” (Heidegger “Origin” 191). Indeed, “a work of art can only be an event in which truth ‘happens,’ if the work of art finds those who enter into and linger in the truth revealed by it. In doing so they preserve and guard it” (Jaeger 67). Thus, the artwork establishes the essential co-responsibility of both the artist and the preserver. Given this function of the artwork, Heidegger concludes that “art is the creative preserving of truth in the work” (“Origin” 196). As the responsibility of the artist and the viewer, art is both a creative setting-forth of truth and a careful preservation of that truth.

Therefore, Heidegger reasons, art is “a becoming and happening of truth”​ (“Origin” 196). Art is a becoming of truth in that the artist and viewer must attend to and guard truth in the work, and it is a happening of truth in that truth unconceals itself within the artwork in an event of alētheia. Truth is revealed in the artwork, and this revelation is accomplished by the attentive artist for the preservation of the truth of Being. Thus, in concluding “The Origin of the Work of Art​,” Heidegger argues that “[t]he origin of the work of art—that is, the origin of both the creators and the preservers, which is to say a people’s historical existence—is art. This is so because art is in its essence an origin: a distinctive way in which truth comes into being, that is, becomes historical” (202). Therefore, by allowing a space in which truth may unconceal itself in the work according to the co-responsibility of both the creators and preservers of the work, art establishes the truth of the human world. This is how Heidegger views art, and this view is crucial for his understanding of its potential saving power. When Heidegger makes the claim that art many constitute a saving power, it is this understanding of what art is and what it can accomplish to which he is referring. On Heidegger’s view, art’s saving power is bound up in its essence as both a becoming and happening of the truth of the Being of beings. Art in this way unveils the truth, including, perhaps, the truth of the dangerous essence of modern technology.

A few years prior to making the suggestion of art’s saving power, Heidegger poeticized that “The world’s darkening never reaches / To the light of Being” (​Poetry​4). For Heidegger, “the world” is the modern world, which is organized according to techno-science (​Poetry​ 4).

This reliance on technology darkens, but never fully extinguishes the light of Being, which for Heidegger is the disclosure of the truth of Being. In other words, modern technology asserts itself domineeringly as the foremost way to understand the world in which we live, simultaneously pushing away all other ways of encountering the truth in its verbal dynamic of unconcealment and concealment. Even while technology itself relies on Being for its existence, it turns on Being and demands that we only understand it techno-scientifically. Thus, the world is darkening, and the light of Being longs to shine once more. Such is Heidegger’s poetic confrontation with

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the essence of modern technology, which he elaborates more technically in “The Question Concerning Technology​.”

Four years after publishing “The Origin of the Work of Art,” Heidegger suggested art’s saving power in response to his exploration of the essence of modern technology. In “The Question Concerning Technology,​” Heidegger makes it his objective to “experience the technological within its own bounds,” for otherwise “we shall never experience our relationship to the essence of technology so long as we merely represent and pursue the technological, put up with it, or evade it” (“Question” 311). In other words, Heidegger sets out to deliberately confront the essence of modern technology. In doing so, he first elaborates the meaning of the Greek term p​ oiēsis​, which refers to a bringing-forth of truth out of concealment. As I have already shown, for Heidegger, truth is the final revealing of this unconcealment, or ​alētheia​ (Heidegger “Question” 318). Heidegger then explains that ​poiēsis​occurs as either ​physis, “the arising of something from out of itself,”​or technē, “what is brought forth by the artisan or the artist” (“Question” 317). Therefore, Heidegger concludes, as ​technē,​​“​technology is a mode of revealing. Technology comes to presence in the realm where revealing and unconcealment take place, where a​ lētheia,​truth, happens” (“Question” 319). In other words, technology is a way that humanity brings the truth out of unconcealment in an event of alētheia. However, he points out the inherent danger in the modern techno-scientific mode of revealing. “The revealing that rules throughout modern technology has the character of a setting-upon,” he observes, as opposed to the undomineering appearance granted by the artwork (Heidegger “Question” 321). Moreover, he writes, “[w]hatever is ordered about in this way has its own standing. We call it the standing-reserve” (Heidegger “Question” 322). Modern technology can only reveal in a way that domineeringly orders that which it reveals as standing-reserve, or as a resource to be used up. “We now name the challenging claim that gathers man with a view to ordering the self-revealing as standing-reserve: enframing,” writes Heidegger (“Question” 324). For Heidegger, this enframing is the essence of modern technology.

Here, Heidegger turns his attention to how the essence of modern technology affects our relationship with the earth in the modern world. “The essence of technology,” he writes, “starts man upon the way of that revealing through which the actual everywhere, more or less distinctly, becomes standing reserve” (Heidegger “Question” 329). Enframing “drags … things into a colossal gridwork and reduces them to calculable and manipulable surfaces” (Harman 22).

Technology therefore destines man to see the world in a certain way — as enframed standing reserve. Thus, as “the ones whose activities everywhere, public and private, are challenged forth by enframing,” Heidegger implores us to carefully evaluate our relationship to modern technology (Heidegger “Question” 329). According to Heidegger, as long as the essence of technology remains unthought, it will continue to destine​man to identify the earth and its inhabitants as standing-reserve, thereby subverting the truth of Being and rejecting our essential responsibility as the only kind of being for whom Being is a question. Thus, writes Heidegger, “[e]nframing is an ordaining of destining” (“Question” 330). In this way, modern technology obscures alternative ways of bringing forth the truth of Being into unconcealment.

However, Heidegger is careful not to exclusively problematize modern technology.

Indeed, the modern technological “unconcealment in accordance with which nature presents itself as a calculable complex of the effects of forces can indeed permit correct determinations; but precisely through these successes the danger may remain that in the midst of all that is correct the true will withdraw” (Heidegger “Question” 331). Thus, for Heidegger, the “destining of revealing is in itself not just any danger, but the danger,” for the essence of modern technology destines man to sacrifice the dynamic, alētheic truth of Being for reductive technological correctness (“Question” 331). Moreover, this danger “attests itself in two ways” (Heidegger “Question” 332). The essence of modern technology, Heidegger writes, will inevitably result in both the tragic designating of humanity itself as techno-scientific standing-reserve and the

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illusion that humanity only exists to domineeringly subjugate the earth (Heidegger “Question” 332). For Heidegger, these two errors constitute the total obliteration of man’s unique role in the preservation and questioning of Being. “Thus,” he writes, “the challenging-enframing not only conceals a former way of revealing (bringing-forth) but also conceals revealing itself and with it that wherein unconcealment, i.e., truth, propriates” (Heidegger “Question” 333). Technology both obscures other ways of revealing and hides its own standing as a mode of revealing. Rather, it insists that it is simply the truth, not a way to understand the dynamic unconcealment of truth as alētheia. Finally, Heidegger again clarifies his criticism of technology. “What is dangerous is not technology,” he insists (Heidegger “Question” 333). The mysterious “essence of technology, as a destining and revealing, is the danger” (Heidegger “Question” 333). Thus, “Heidegger’s first intention [is] to show us that we are far more deeply rooted in technological disclosure than we usually realize” (Greaves 148). As long as we allow the essence of technology to destine and reveal without considering its effects, this danger will only grow. Societally, however, Heidegger is hopeful regarding a possible solution to this problem.

Heidegger concludes “The Question Concerning Technology” by noting: “But where danger is, grows / The saving power also” (Heidegger “Question” 333). Heidegger draws this verse from a poem by Friedrich Hölderlin, and he uses it to suggest that art may present a possible saving power. “If the essence of technology, enframing, is the extreme danger, if there is truth in Hölderlin’s words, then the rule of enframing cannot exhaust itself solely in blocking all lighting-up of every revealing, all appearing of truth,” writes Heidegger (“Question” 333-334).

Something that resembles or is in some way related to modern technology may be able to expose its essential enframing for our consideration. “[T]he essence of technology must harbor in itself the growth of the saving power,” he concludes (Heidegger “Question” 334). Here, Heidegger carefully distinguishes between two possible meanings of the word “essence.” On the one hand, “essence” can refer to a thing’s whatness — to its genus, “but enframing is never the essence of technology in the sense of a genus” (Heidegger “Question” 335). On the other, the essence of modern technology refers to how the “way in which technology unfolds lets itself be seen only on the basis of that permanent enduring in which enframing propriates as a destining of revealing” (Heidegger “Question” 336). In other words, modern technology only comes into appearance as itself when it destines man on the way of revealing that enframes. However, “[i] t is precisely in enframing,” writes Heidegger, “that the innermost indestructible belongingness of man within granting may come to light, provided that we, for our part, begin to pay heed to the essence of technology” (“Question” 337). This belongingness consists in “keeping watch over the unconcealment — and with it, from the first, the concealment — of all essential unfolding on this earth” (Heidegger “Question” 337). Heidegger argues that enframing can potentially betray itself and remind us of our responsibility to Being as questioners and preservers. Thus, for Heidegger, in encountering the saving power from the essence of modern technology, we can also rediscover our uniquely human belongingness to Being.

Heidegger suggests that “the essential unfolding of technology harbors in itself what we least expect, the possible rise of the saving power” (“Question” 337). In turn, the cultivation of this rise occurs “through our catching sight of the essential unfolding in technology, instead of merely gaping at the technological” (Heidegger “Question” 337). In other words, we must somehow critically encounter the destining that unfolds within of the essence of technology.

For Heidegger, once this happens, we must continue to cultivate the growth of the saving power “[h]ere and now in little things, that we may foster the saving power in its increase. This includes holding always before our eyes the extreme danger” (“Question” 338). We must not allow ourselves to once again grow complacent. But how do we first catch sight of the essence of technology? At the end of “The Question Concerning Technology,” Heidegger speculates that there may be “a more primally granted revealing that could bring the saving power into its first shining-forth in the midst of the danger that in the technological age rather conceals

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than shows itself ” (“Question” 339). Here, he revisits his previous discussion of the Greek word​ technē. “There was a time when the bringing-forth of the true into the beautiful was called​ technē. The Poiēsis of the fine arts was also called​technē,​” he writes (Heidegger “Question” 339).

Thus, technology and art share a common root in the Greek way of seeing the world, and, for Heidegger, “[b]ecause the essence of technology is nothing technological, essential reflection upon technology and decisive confrontation with it must happen in a realm that is, on the one hand, akin to the essence of technology and, on the other, fundamentally different from it. Such a realm is art” (“Question” 340). Technology, then, conceals within itself the destining that reveals the world as standing reserve. According to Heidegger’s prior discussion of the essence of art in “The Origin of the Work of Art,” the essence of modern technology can perhaps reveal itself artistically. However, he ultimately concludes that whether “art may be granted this highest possibility of its essence in the midst of the extreme danger, no one can tell” (“Question 340).

Thus, Heidegger leaves open the question of the saving power of art.

Daniel Rozin: The Technological Artist As we discovered in “The Origin of the Work of Art,” Heidegger posits that “​Art then is a becoming and happening of truth”​(“Origin” 196). In the context of the extreme danger of the essence of modern technology, this becoming and happening of truth must consist in the unconcealing of the essence of modern technology: enframing. Thus, I contend that a new variety of technological art is needed in order to accomplish this unconcealing. Heidegger argues that “[i]t is precisely in enframing that the innermost indestructible belongingness of man within granting may come to light, provided that we, for our part, begin to pay heed to the essence of technology” (“Question” 337). This kind of art must therefore involve both modern technology and art in a way that enframes conspicuously. Technology must enframe while art simultaneously reveals its enframing. This, I believe, is precisely where Daniel Rozin’s art excels. In substantiating this claim, I will describe one of his pieces, “Mirror No. 10,” and then analyze it according to my prior explication of Heidegger’s suggestion.

Daniel Rozin was born in Israel in 1961. In 1988, he graduated with distinction from the Bezalel Academy of Art and Design in Jerusalem, and he currently teaches a handful of classes in the Interactive Telecommunications Program at New York University’s Tisch School of the Arts (Rozin “Daniel Rozin Bio” 1). According to his website, as an artist, Rozin specializes in “the area of interactive digital art” (“Daniel Rozin Bio” 1). As “an interactive artist Rozin creates installations and sculptures that have the unique ability to change and respond to the presence and point of view of the viewer. In many cases the viewer becomes the contents of the piece and in others the viewer is invited to take an active role in the creation of the piece” (Rozin “Daniel Rozin Bio” 1). Rozin’s incredible and unique art has been featured in many international exhibitions and in several publications, and he has won a few awards for his efforts. My own experience with his work began in the Chrysler museum in Norfolk, Virginia, where I had the opportunity to personally view his “Mirror No. 10.” Most of the rest of his work is available for online viewing.

Fig. 1. Daniel Rozin, Mirror No. 10, 2009.

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As is shown in Figure 1, Rozin’s “Mirror No. 10” implements a digital screen and motion tracking technology to generate a live reflection of its surrounding environment, including any and all spectators. It does so using small, short lines that resemble the almost reluctant infancy of a new sketch. In this way, “Mirror No. 10” reflects the viewer as unfinished and fragmented — as a work in progress, or perhaps a neglected idea. Furthermore, “Mirror No. 10” constantly refreshes itself, thereby changing in real time to reflect any changes to that which stands before it, hence the name “Mirror No. 10.” In other words, Rozin’s piece tirelessly represents its subject back to him or herself as a distorted and uncanny sketch-image. Thus, though this piece is surely a mirror, it is a special, technological mirror that incorporates technology artistically.

In “The Origin of the Work of Art,” Heidegger explains that “the essence of art would then be this: the truth of beings setting itself to work” (“Origin” 162). For Heidegger, then, art provides a space in which the truth — something’s true essence — may freely unconceal and foreground itself. Much like how the essence of equipment reveals itself in Van Gogh’s A Pair of Shoes, I argue that the essence of modern technology is that thing that “expressly comes to the fore through the work and only in the work” in Rozin’s “Mirror No. 10” (Heidegger “Origin” 161). For Heidegger, though, equipment finds its essence in reliability, and it helps to ground us in the world and on the earth. The essence of modern technology, however, dominates the earth and hides itself from the world. Rozin’s piece is in this way revolutionary, for it exposes the essence of modern technology clearly.

First, one notices the self in Rozin’s mirror. After all, the mirror’s image moves when the viewer moves, it certainly resembles the viewer (if only distantly), and Rozin himself tells us in its title that his piece is a mirror. Shortly thereafter, however, one notices that it is not the self that is reflected, but a distorted parody of the self — an image of the self that has been set upon and molded into something else. Suddenly, one comes to recognize the gaping chasm that separates “Mirror No. 10” and a conventional mirror. A conventional mirror — a useful and reliable piece of equipment — always already reflects simply by virtue of its reliability. In other words, it is innocent in its steadfast reflecting. Rozin’s mirror first looks, then processes, then activates a screen in a complex arrangement of technological causes and effects designed to artificially recreate the true mirror’s steadfastness. “Mirror No. 10” is almost alive in this sense — it seems to conceal within itself a certain intention, and it has deliberately devoted itself to capturing everything within its field of view. In this way, just as Heidegger writes, “the challenging-enframing not only conceals a former way of revealing (bringing-forth) but also conceals revealing itself and with it that wherein unconcealment, i.e., truth, propriates” (“Question” 333). An equipmental mirror unobtrusively reflects things as they appear to it, offering its own perspective. “Mirror No. 10” sets upon everything it sees and organizes it according to the rigid mechanical impulses with which Rozin equipped it.

“Mirror No. 10” is far from mere technology, however. Rather, “Mirror No. 10” is designed to foreground its own absence of the equipmental mirror’s innocence. Modern technology, no matter how intricate, can never perfectly recreate the purely equipmental mirror.

Here, we arrive at the true brilliance of “Mirror No. 10.” Insofar as manmade equipment allows, a equipmental mirror is the opposite of modern technology. Such a mirror is only reliable to the extent that it lets be. It exists for the sole purpose of sheltering the truth of Being and reflecting it back to itself as unchanged as possible. In “The Origin of the Work of Art,” Heidegger writes that “[c]olor shines and wants only to shine” (172). Where color shines, an equipmental mirror lets it shine. As Heidegger tells us in “The Question Concerning Technology,” however, the “revealing that rules throughout modern technology has the character of a setting-upon” (321).

Technology cannot let color shine. It can only set upon color and start “man upon the way of that revealing through which the actual everywhere, more or less distinctly, becomes standing reserve” (Heidegger “Question” 329). With modern technology, color vanishes and is replaced by wavelengths, calculations, and ones and zeroes, for “[t]echnologically scientific objectivization

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attempts to penetrate into nature, to snatch from it the secret of its functioning” (Safranski 298). Rozin emphasizes this essential dissimilarity with his technological mirror. “Mirror No. 10” approaches the limits of technology in that it supposedly tries to innocently reflect and resist domination, but it cannot help but fail. Rozin’s mirror is indebted to lines of code, tiny pixels, wires, and bits of plastic for its broken ability to represent its subject. This brokenness characterizes all modern technology, and it “expressly comes to the fore” in Rozin’s “Mirror No. 10” (Heidegger “Origin” 161).

In this way, “Mirror No. 10” is both technological and artistic. It is paradoxical and self-destructive. “Mirror No. 10” resembles a difficult confession — difficult in that it speaks the hidden truth of itself, but only at gunpoint. In other words, Rozin artistically and forcefully turns technology upon itself with his mirror. This piece of technology artistically reveals itself to be technology in its most unconcealed form. “Mirror No. 10” is the self-condemnation of modern technology. As Heidegger argues, Rozin’s “​impulse toward the work l​ ies in the essence of truth” (“Origin” 187). Because the truth of the essence of modern technology requires the setting upon of enframing, technological art is always already self-destructive in this way, though this self-destructiveness is often well hidden. Such is not the case this time. “I am enframing you,” screams “Mirror No. 10” at its spectators. “Watch as I reveal you to be my standing-reserve.”

Thus, Daniel Rozin’s “Mirror No. 10” provides a compelling answer to Martin Heidegger’s suggestion concerning the saving power of art. Heidegger argues that only “through our catching sight of the essential unfolding in technology, instead of merely gaping at the technological,” can we truly realize the danger of the essence of modern technology (“Question” 337). “Mirror No. 10” is thoroughly technological, and it always expressly reveals the true essence of modern technology. It enframes, but it enframes conspicuously so as not to tranquilize the spectator any further. Rozin’s piece does so according to “a more primally granted revealing:” art (Heidegger “Question” 339). As Heidegger points out, “[b]ecause the essence of technology is nothing technological, essential reflection upon technology and decisive confrontation with it must happen in a realm that is, on the one hand, akin to the essence of technology and, on the other, fundamentally different from it. Such a realm is art” (“Question” 340). Thus, Rozin’s “Mirror No. 10” is both fully technology, for it enframes in the way that all modern technology must according to its essence, and fully art, for it opens a clearing within which the truth of the essence of modern technology freely reveals itself. This is the new kind of art that is needed for the unconcealing of the essence of modern technology.

Heidegger’s Counterargument

The most salient criticism of Heidegger’s claim comes from Heidegger himself.

“Philosophy will not be able to effect any immediate transformation of the present condition of the world,” he said in a 1966 interview with Der Spiegel (Heidegger “​Der Spiegel”​326). “This is not only true of philosophy, but of all human reflection and striving. Only a god can still save us” (Heidegger “​Der Spiegel”​326). This pessimism reveals the towering extent of Heidegger’s ambition: to help to transform the world for the better. For Heidegger, such a lofty goal required his hopes and dreams to fly too closely to the sun, and they came crashing to the ground in his disappointment. Heidegger ceased to believe that philosophy, art, or anything less than a god could accomplish this monumental task.

Heidegger’s pessimism was not unwarranted. Today, our reliance on modern technology only grows. The kind of critical confrontation with the essence of modern technology recommended by Heidegger is at best extremely scarce; Daniel Rozin has yet to spark a grand societal awakening. If Daniel Rozin’s “Mirror No. 10” can truly reveal the dangerous essence of modern technology in such a way that it causes its spectators to carefully consider and hold “always before [their] eyes the extreme danger,” why has the world only grown more reliant on modern technology (Heidegger “​Question”​338)? In fact, “Mirror No. 10” itself undeniably

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presents a strong opportunity for temptation to “merely gap[e] at the technological” (Heidegger “Question” 337). Vacant fascination is much easier and more accessible (and efficient, relaxing, undemanding, etc.) than paying heed to the movement of Being in a dynamic event of alētheia.

Only a god can save us? Who is us? We seem content. Life goes on.

Heidegger addresses this kind of thinking in his earlier philosophy. Indeed, “the existential ideal of Being and Time is tailored to the free self-relationship of the individual” (Safranski 208). When he first set out to ask the question of the intentional being, Heidegger made sure to emphasize the importance of an individually authentic commitment to the asking of the question of meaning. Mankind “always understands itself in terms of its existence, in terms of the possibility to be itself or not to be itself. … We come to terms with the question of existence always only through existence itself,” he wrote (Heidegger “Being and Time” 54). For Heidegger, such a questioning could not arise out of a cowardly retreat into the “they,” or das man — the crowd, in other words (Gelven 73). Indeed, “[a]uthentic existence, by definition, is being aware of the meaning of existence; inauthentic existence is being unaware of the meaning of existence” (Gelven 75). According to Heidegger, the meaning of our uniquely human existence is to first ask the question of meaning, and one way to avoid this realization is to accept a passive and uncomplicated position within the crowd. Thus, there is a strong precedent in Heidegger’s early work for a focus on the individual and the responsibility of that individual.

Thus, I argue that the trajectory of Heidegger’s philosophical project moved him away from a more fitting position from which to make the suggestion of the saving power of art. This saving power is for the individual, not the crowd. Heidegger’s later pessimism toward art’s saving power is clearly indebted his overambition, and thus it can be answered by adjusting our expectations. We must reformulate Heidegger’s initial suggestion in order to strengthen it.

To expect art and philosophy to dramatically change the world in such a direct way is to set up a precarious dilemma between success and failure. As Heidegger eventually found out, failure is the more likely outcome, and where there is failure, success withdraws. Conversely, success obliterates the possibility of failure. The two are mutually exclusive. However, such high stakes allow no room for the recognition of subtler change. The high risk but high reward, all-ornothing approach is a dangerous one for this reason. Thus, it serves our best interest to begin on a more manageable level: the individual level.

Art’s saving power will not and cannot reach everyone. Some are already too entrenched in this hyper-technological world to come into a meaningful encounter with this kind of art. As Heidegger writes, “we bear witness to the crisis that in our sheer preoccupation with technology we do not yet experience the essential unfolding of technology, that in our sheer aesthetic-mindedness we no longer guard and preserve the essential unfolding of art” (“Question” 340-341). I myself failed miserably to grasp Rozin’s work upon viewing it for the first time.

Moreover, many people never have the opportunity to encounter such art at all. Some, however, like Heidegger, myself (eventually), and many other individual viewers recognize this kind of art in a much more meaningful way — in a way that attempts to allow truth to become and happen within the work. Who is to say that individual salvation is not good enough?

Indeed, many individuals keep their eyes open “to the constellation of truth” (Heidegger “Question” 340). To their abundant credit, they represent two important truths: first, that Heidegger’s suggestion is on a narrower level correct, and secondly, that there is hope for further individual salvation. Art is viewed individually. To place the burden of our expectations on society is to stretch the hope for one kind of individual over countless unique individuals. After all, Heidegger tells us that “art is the creative preserving of truth in the work” (“Origin” 196).

Thanks to Rozin, this truth will remain within “Mirror No. 10” so long as there are those who care to preserve it. To Heidegger’s credit, then, even if art only reveals the danger of technology to one person, his suggestion succeeded.

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Conclusion Contra Hegel, art is far from dead. In fact, it rises to a new height in the age of modern technology. Before, art helped us to know the truth of the world. Now, it can help us to escape the domination of the essence of modern technology so that we may once again wonder at and question the truth of Being. Martin Heidegger first suggested this possibility in the mid-1900’s, but he witnessed his suggestion shatter against an impossible task. Meanwhile, technology’s hold on the modern world only grew stronger. Thus, we must refocus the potential saving power of art to a stronger and more individual level. In understanding Heidegger’s claim, we first must to understand art and modern technology according to his perspective. For Heidegger, art is “a becoming and happening of truth”​(“Origin” 196). The “essence of modern technology,” on the other hand, “shows itself in what we call enframing,” which is “the challenging claim that gathers man with a view to ordering the self-revealing as standing-reserve” (Heidegger “Question” 328, 324). Thus, art’s saving power consists in this: that it can reveal the truth of the essence of modern technology. As both art and technology, Daniel Rozin’s “Mirror No. 10” helps accomplish this saving power. “Mirror No. 10” presents the viewer back to him or herself in a distorted way, which exposes technology’s inability to simply let be. In discovering this technological incapability, the viewer simultaneously discovers the only essential capability of technology: to set upon and enframe. Moreover, in this case, the viewer is that which is enframed. “Mirror No. 10” therefore artistically unconceals the essence of modern technology in an event of alethēia. Thus, I maintain that Daniel Rozin’s contemporary technological art, specifically his “Mirror No. 10,” provides a sufficient answer to a strengthened variation of Martin Heidegger’s suggestion concerning the saving power of art.

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Works Cited Fynsk, Christopher. Heidegger: Thought and Historicity. Cornell University Press, 1986.

Gelven, Michael. A Commentary on Heidegger›s Being and Time. Northern Illinois University Press, 1989.

Greaves, Tom. Starting with Heidegger. Continuum International Publishing Group, 2010.

Harman, G. “Technology, Objects and Things in Heidegger.” Cambridge Journal of Economics, vol. 34, no. 1, 2010, pp. 17–25. JSTOR, www.jstor.org/stable/24232017. Accessed 17 Apr. 2021.

Hegel, Georg Wilhelm Friedrich, and Thomas Malcolm Knox. A ​ esthetics: Lectures on Fine Art.​ Clarendon Press, 1998.

Heidegger, Martin. “Being and Time: Introduction.” B ​ asic Writings: from Being and Time (1927) to The Task of Thinking (1964)​, edited by David Farrell Krell, Harper Perennial Modern Thought, 2008, pp. 37–89.

Heidegger, Martin. “Der Spiegel Interview with Martin Heidegger.” Th ​ e Heidegger Reader​, edited by Günter Figal and Jerome Veith, Indiana University Press, 2009, pp. 313–333.

Heidegger, Martin. “Origin of the Work of Art.” ​Basic Writings: from Being and Time (1927) to The Task of Thinking (1964),​edited by David Farrell Krell, Harper Perennial Modern Thought, 2008, pp. 143–203.

Heidegger, Martin. P ​ oetry, Language, Thought: Translations and Introduction by Albert Hofstadter​. Harper Perennial Modern Thought, 2013.

Heidegger, Martin. “The Question Concerning Technology.” B ​ asic Writings: from Being and Time (1927) to The Task of Thinking (1964)​, edited by David Farrell Krell, Harper Perennial Modern Thought, 2008, pp. 311–341.

Jaeger, Hans. “Heidegger and the Work of Art.” The Journal of Aesthetics and Art Criticism, vol.

17, no. 1, 1958, pp. 58–71. JSTOR, www.jstor.org/stable/428010. Accessed 17 Apr. 2021.

Nicholson, Graeme. “The Ontological Difference.” American Philosophical Quarterly, vol. 33, no. 4, 1996, pp. 357–374. JSTOR, www.jstor.org/stable/20009875. Accessed 17 Apr. 2021.

Rozin, Daniel. “Daniel Rozin Bio.” D ​ aniel Rozin Bio​, www.smoothware.com/danny/newbio. html.

Rozin, Daniel. “Mirror No. 10.” Bitforms Gallery. 2009. www.bitforms.art/artist/daniel-rozin/ dr_mirror10_1_w/. Accessed 15 April 2021.

Safranski, Rüdiger. Martin Heidegger: Between Good and Evil. Translated by Ewald Osers, Harvard University Press, 1999.

Steiner, George. Martin Heidegger. University of Chicago Press, 1987.

About the Author It was not until his junior year of high school that a genuine love for learning ignited in Nick DeHoust. In this sense, then, he was a bit late to the game, so to speak. At that time, many of his academically-minded peers had already planned out their careers, and their hopes and dreams were well-defined—DeHoust’s were not. He decided to attend college at the last minute and practically without direction, and he was decidedly “undecided.” His first two years of undergraduate study saw DeHoust bouncing around subjects as he searched for inspiration and passion. Eventually, DeHoust discovered philosophy—his interdisciplinary approach to which was informed by his time in exploration. In short, through the search for direction and the subsequent study of philosophy, DeHoust discovered a love and reverence for careful thinking—a love of wisdom. This discovery was largely facilitated by thinkers like Martin Heidegger, and DeHoust hopes to have done his philosophy justice with this paper.

“Lost in translation: Film adaptations of queer coming-of-age novels” Emma C. Dixon Faculty Sponsor: Dr. Danielle Stern, Department of Communication

Abstract Marginalized communities tend to be both underrepresented and misrepresented in mainstream media. Despite increases in the number of queer representations, there is still ground to cover when it comes to the quality and authenticity of queer content. This study attempts to understand how different media industries allow for authentic queer representations. Looking at queer coming-of-age stories, this study will look at what is adapted, altered, or erased from queer novels to their film adaptations. Building upon previous research looking at queer coming-of-age stories, this study will conduct an ideological textual analysis informed by media industry logics to examine the representation of The Miseducation of Cameron Post. Genre analysis will also be integrated to show how coming-of-age films function as a site for queer representation. A modern example of a queer movie based off a novel that has been praised for its progressive and genuine representation of the queer community, The Miseducation of Cameron Post offers a chance to discover how the novel and movie compare to each other to determine what aspects of the storyline were changed to appease a mainstream audience that is predominantly heterosexual and white. This study will look at how both the film and novel reinforce certain stereotypes of lesbians while also challenging our understanding of gender and sexuality norms. Despite being acknowledged for discussing controversial topics like gay conversion therapy, this study will seek to demonstrate that The Miseducation of Cameron Post is a dual-edged sword that not only challenges heterosexuality as the status quo, but also perpetuates certain tropes of the LGBTQ+ community. Further it seeks to show how both the lesbian press and indie film festivals that have been beneficial for decades are still prevalent today in the spread of queer content. From a theoretical framework of intersectionality and queer theory, this study will contribute to the discussion of queerness in critical cultural communication studies and center queer adolescent media narratives.

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Introduction The phase “representation matters’’ gets thrown around often when it comes to media studies. But the fact of the matter is that representation does matter. Representation is important for so many reasons. At its core, representation is a form of power. As Hesmondhalgh & Lotz (2020) theorize, media is powerful because the amount of circulation it has given it the “ability to direct audiences toward certain kinds of experience and content, and therefore away from others” (p. 386). Films have the power to “catalyze social change” and create a “subtle influence on society’s way of thinking” (Kaur, 2017, p. 22). Simply put, media can reinforce power dynamics in society with the different content they create and circulate. Brewer (2007) found that the LGBT community has been largely invisible when it comes to representation in mainstream media for the past half century (p. 462). However, he also admits there has been an increase in the amount of representation we have seen of the LGBT community within the past decade (Brewer, 2007, p. 463). Even in countries across the world like India, where homosexuality is even more of a taboo subject, there has been a steady increase in the portrayals of homosexuality in media (Sabharwal & Sen, 2012, p.1). In simpler terms, it has taken a long time for the LGBT community to get representation on the big screen. Now, society is starting to get some. Whether it be in books or movies or TV shows, there has been more and more queer content in the past few decades.

For decades, the LGBTQ+ community has been underrepresented in mainstream media.

Not only have they been underrepresented in the media, but they are also grossly misrepresented.

Himberg (2008) notes that there has been a substantial increase in the number of representations of sexual minorities in mainstream media over the past decade. However, these representations are typically dominated by certain depictions of the LGBTQ+ community such as the overly flamboyant, white gay men and white, upper-class lesbians (Himberg, 2008, 19). So, in short, the LGBTQ+ community gets little representation as it is, and when there is representation, it is predominantly based on certain members of the LGBTQ+ community. In recent years, there has been a surge in the number of young adult movies that are centered around the LGBTQ+ community. Whether it be Call Me By Your Name, Love, Simon or Alex Strangelove, there have been several movies about gay teens and their coming out experiences that have broken into the mainstream. Coming-of-age movies offer a space for queer representation. These spaces can also be used to tackle more controversial topics in society, such as gay conversion therapy, which is exactly what The Miseducation of Cameron Post does.

Centering around the life of a teenage girl, named Cameron, in 1993, The Miseducation of Cameron Post premiered at the Sundance Film Festival in 2018. The film follows Cameron as she is forced into a gay conversion therapy center by her conservative legal guardians after she is found having sex in the back of a car with her female friend, Coley, from bible study. At the gay conversion therapy center, called God’s Promise, Cameron struggles with both her sexuality and fighting the teachings of her superiors at camp. At God’s Promise, Cameron is required to attend “group therapy sessions’’ and “school classes’’ that reinforce homophobic ideas. All the teachings at God’s Promise reinforce gender norms and heteronormativity that are deeply ingrained in society. The whole movie is about the inner conflict Cameron experiences as she is struggling with her attraction to women in this toxic environment. But no matter what ideas are imposed upon her, Cameron never fails to remain skeptical of what the leaders are teaching at God’s Promise. However, this story was not originally created for the big screen.

The Miseducation of Cameron Post is based off a book by the same title originally written in 2012 by Emily Danforth. Like any book to movie translation, things were obviously changed and altered to fit the big screen. However, when it comes to The Miseducation of Cameron Post, there were egregious overarching themes and narrative that were cut out of the movie. The book covers Cameron’s entire backstory. It starts with her around the age of 12 when she starts kissing her childhood best friend, Irene, as she copes with the tragic death of both her parents in a car

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accident. The movie neglects to even mention any of the queer experiences Cameron has before her aunt finds her with Coley and sends her to God’s Promise. The movie only focuses on the last portion of the book when she is at God’s Promise and fails to recognize any of Cameron’s sexual awakening when she is younger that the book offers. This disconnect between the story in the book and the adaptive narrative projected on screen is the main question driving this study.

What changes were made from the book to the movie adaptation? Why? Do different mediums allow for different types of depictions of marginalized communities? How do both the book and the novel of The Miseducation of Cameron Post both challenge and reinforce certain dominant ideologies? Using intersectionality as a primary lens, this study will use a three-pronged approach to look at how The Miseducation of Cameron Post challenges our understanding of sexuality and gender while also reinforcing some certain stereotypes of the LGBTQ+ community.

Theoretical Framework Intersectionality

Intersectionality is a theory that has gained relative popularity in the mainstream media in recent years. More and more people are labeling themselves as intersectional feminists. But what exactly is intersectionality? As far as theories go, intersectionality is somewhat new. Intersectionality is a term coined by Kimberlé Crenshaw about 30 years ago to describe the overlapping social categories of race and gender that women of color experience on a daily basis. The lives of women of color are “the result of intersecting patterns of racism and sexism” (Crenshaw, 1991, p. 1242). To simplify it, intersectionality looks at how different social categories like race, gender, class, sexuality, etc., interact with each other to create different overlapping systems of power and inequality. Hill Collins (2016) was another instrumental scholar in the development of intersectionality who identified six core ideals that are instrumental to intersectionality, such as social inequality, power, and social justice (p. 25). Hill Collins (2016) finds that intersectionality is a good tool to analyze different social issues because it recognizes that “class, gender, sexuality, dis/ability, and age can operate not as discrete and mutually exclusive entities, but build on each other and work together” to create different marginalities (p. 4). In the terms of this study, intersectionality will be applied to The Miseducation of Cameron Post to see how it challenges or reinforces a certain system of oppression and power in relation to sexuality. This study will also look at how, although The Miseducation of Cameron Post fights heteronormativity, it does a poor job of bringing in the experiences of queer people of color and the *trans community. Through its depictions of lesbians, it further marginalizes certain members of the LGBTQ+ community.

Visibility and Cultivation Theory

One of the main questions critical media scholars ask when looking at any sort of media text are questions of representation. Scholars have used cultivation theory to answer questions of visibility in the media. Gross (2001) found, to no surprise, that the media has the power to shape the socially constructed society around us and determine what is “normal” and acceptable.

Conversely, it has the power to marginalize certain groups and paint them as “deviant.” In the decades after the second World War, “the mainstream [media] was resolutely heterosexual. Given that homosexuality represented a threat to this status quo, the media rendered gays and lesbians invisible in a ‘symbolic annihilation’” (Gross, 2001, p. 463). In simpler terms, cultivation theory is used in both sociology and communication research and states that what people consume in media are more likely to see the world how the media portrays it. Meaning, how social groups are presented in the media shapes the attitudes and behaviors people have toward that same group in real life. Out of concern for how the media shapes societal views on certain groups, researchers have looked at how certain groups like the LGBT community are represented.

Queer Theory

Queer theory, in its simplest form, is an attempt to reverse the fact that heterosexuality is the norm in society (Kaur, 2017, p. 25). Researchers have defined queer theory as the “ways

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in which texts — whether literature or mass culture or language — shape sexuality” (Doty, 1993, p. xiii). Queer theory, put differently, in some way shape or form should challenge our understanding of sexuality and gender. One thing many people do not understand about queer theory is that it is not just a catch-all, umbrella phrase that is used to study anything that is related to gays, lesbians, bisexuals, etc. Even things that appear “straight” can have queer interpretations.

Dhaenens (2012) finds that “queer articulations refer to representations of characters that connote or imply a critique of how the heteronormative governs sexual identities and/or desires” (p. 58).

This means movies that have heterosexual plotlines and straight characters created by cis creators can be a queer representation so long as it opposes or challenges heteronormative thinking in society. Point being, there is no one single definition of queer theory. However, the definition that will be used in this study is that queer theory “is about disrupting various regimes of normal, problematizing heteronormativity and critically examining sexual and gender binaries” (Manning et al., 2020). The Miseducation of Cameron Post is a queer coming-of-age film that challenges our understanding of sexuality in a predominantly heteronormative society, which is why this definition of queer theory is practical for this study. Using queer theory, one can study how the book and the movie offer different queer narratives in their respective industries, whether that be print media or film. Yet each industry offers certain conventions that can lead to harmful stereotypes when portraying certain marginalized communities.

Controlling Images Controlling images at their core are stereotypes that allow certain marginalized groups to be dehumanized. Originally, the term was coined by Patricia Hill Collins in the late 1980s to explain multiple stereotypes of women of color, such as the mammy and the Jezebel. Hill Collins (2016) explains that these controlling images are “designed to make racism, sexism, and poverty appear to be natural, normal, and an inevitable part of everyday life” (p. 272). Simply put, these stereotypical images seen in the media provide justification for racial and gender oppression against women of color in society. Like these controlling images of women of color, there are stereotypes of lesbians found in the media that are harmful as well. Despite all the progress made towards increasing the visibility of the LGBTQ+ community, the mainstream media is still lacking “the realities of most sexual minorities, particularly sexual minorities of color, of lower economic status…” (Himberg, 2008, p. 46). Further marginalizing certain members of the LGBTQ+ community, the lesbian programming we do end up seeing on the big screen is filled with lesbians who are hypersexualized, upper class and white. Research has also shown that, to make shows or films appeal to a predominantly male, heterosexual audience, mainstream media will “use lesbian sex and sexuality” as “eye candy” (Himberg, 2008, p. 35). The reason this study is bringing in a discussion of controlling images is because the two main lesbians in The Miseducation of Cameron Post, Cameron and Coley, are both white females from privileged, middle class backgrounds. Throughout the movie there are several overly hypersexualized sex scenes between the two of them that are primarily there to appeal as a fetish for straight men.

Furthermore, the few characters of color that are in the movie get little to no attention or character development.

Literature Review Queer media has always been analyzed. Researchers have always looked at what messages the media are communicating. Merely getting representation is not enough. There needs to be accountability, which is why researchers make sure to look at how the media influences society and vice versa. There are certain stereotypes and controlling images media can perpetuate in society that are harmful for certain marginalized groups. In the case of the LGBTQ+ community, as Jones & Harris (2016) discovered, this means even though more queer identities and sexualities are seen in the mainstream nowadays, “certain performances of gender and sexuality remain hidden, misunderstood and ‘monstrous’... destructive” (p. 518). When the LGBT community are represented in the mainstream media, they are often depicted as deviants or a “problem”

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and “are depicted in terms of their place in the lives of heterosexuals” (Dow, 2001, p. 128).

Representations of the LGBT community tend to be very limited, “uniform” or “fixed” in how they depict the lives and experiences of those who are queer (Fouz-Hernández, 2002, p. 151).

In simpler terms, certain marginalities within the LGBT community are still misrepresented and underrepresented in the media. It is important to get true, authentic representations of the LGBT community “given the harmful, misleading myths that have been told about them in the past’’ (Coon, 2018, p. 44). These harmful stereotypes are harmful and can have a negative effect of younger queer people because it puts false realities on screen in front of them. Authentic representations are hard to come by when looking at the LGBT community. There have been many different scholars who have looked at queer representation whether that be in the publishing industry, film industry or television industry.

Publishing Industry

Queer content can thrive when it comes to books and novels. In fact, it has in the past. Around the same time that the gay rights movement started gaining popularity, there was a niche “network of lesbian-feminist print culture” (Enszer, 2018, p. 62). Eventually, the work by these smaller, independent lesbian publishers were picked up by mainstream film and TV companies (Enszer, 2018, p. 63). But why does this matter? Some of these books and novels that were published were turned into films and television shows that were seen by larger audiences.

Without the lesbian-feminist print culture, there may not have been any content for the film and television industry to pick up on and adapt for the big screen. It is just as important to study queer books and novels as it is to study films and TV shows. Although movies and television series reach a wider audience, the publishing industry often serves as a precedent for the film industry. Print media is also a form of mass media, so it is crucial to study the different representations and stories we are getting from that type of media as well.

Scholars like Kavitha & Antony (2018), for instance, used queer theory to study the novel Stone Butch Blues and found it was an “inspiring novel that can be enjoyed by anyone, but for a person who can identify with the protagonist, this novel can be life changing” (p. 15).

They continue by stating that the novel can “inspire a transgender or a homosexual person to come out in front of the world and live a life that is true to who they are, without having to hide anything” (Kavitha & Antony, 2018, p. 15). All media, including printed books, have the power to shape the socially constructed society we all live in today. Print media can offer us certain representations of marginalized groups that may otherwise be invisible in mainstream media. For example, in Australia where there is a prominent lesbian press, the print industry “provided an arena to present positive viewpoints that countered dominant mainstream media” (Calder, 2016, p. 414). Books have the power to counter hegemonic representations of certain marginalized groups like the LGBT community that we tend not to see in society and mainstream media. Books also have power when it comes to shaping the ideologies in society which is why research on novels are equally as important as looking at larger mediums of media like movies and social media. The Miseducation of Cameron Post was a book first and foremost that challenged societal norms when it comes to sexuality, and then it was turned into a movie.

Film Industry

Turning The Miseducation of Cameron Post into a motion picture helped the characters and storyline of the novel reach a wider audience. However, despite being a relatively successful film, it was not a blockbuster by any means. In fact, like many queer films, it was released at an indie film festival. Rather than a big world premiere and red carpet, it was first shown at an indie film festival and later released on several streaming services like Apple TV. Oftentimes queer films premiere at smaller film festivals. Rather than becoming big blockbusters in Hollywood, queer films tend to be seen in more low-scale indie film festivals around the world. As Damiens (2018) discovered, “gay ‘films in the 1970s constituted a specialized market and were secluded in theaters, districts, and festivals marketed as deviant’” (p. 27). When it comes to

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film, the LGBT community has had to create its own niche, independent cinema “mainstream American film audience continue to struggle with open and positive depiction of gay and lesbian relationships” (Briley, 2006, p. 63). This still rings true today. Essentially, queer films for the past several decades have been pushed out of the mainstream and forced to the margins of the film industry much like the LGBT community in real life. Many queer products are shown at these smaller film festivals since it is hard for them to become popular in the mainstream. Like specific gay film festivals that show LGBTQ media, there have been several production companies in the past decade or so that focus entirely on creating queer content. There are entire film companies or TV stations, like Bravo and Mythgarden, that make their entire brand creating queer-centered content (Wuest, 2018, p. 29). As Wuest (2018) puts it, having certain companies and methods of distribution that “centralizes LGBT content and labels a text accordingly has powerful effects. Establishing ‘LGBT’ as a concrete, discrete category or genre of media can set up a reliable and repeatable circuit for the distribution of these texts’’ (p. 30). Without certain production companies that focus exclusively on producing queer content or film festivals that only show LGBTQ productions, it would be even harder than it is now for queer films and shows to reach the mainstream.

In Hong Kong, for example, each year there is an event called The Hong Kong Lesbian and Gay Film Festival. As one would expect, all the films being played at this film festival are in some way shape or form about the lives and experiences of the queer community. Qin (2019) asserts this one event helped the gay, lesbian and bisexual tongzhi of Hong Kong because it was “one of the earliest public LGBT events that non-negatively and non-stereotypically displayed tongzhi representations in Hong Kong” (p. 36). This shows how having even one physical space to gather and socialize with others like you is powerful. Without this space, many people in the LGBT community in Hong Kong would be without positive and non-stereotypical LGBT images that are only shown at the film festival. Similarly, one of the world’s oldest queer film festivals takes place in Australia. Like the one in Hong Kong, the Melbourne Queer Film Festival was a lot smaller and more of a “grass roots community” where they could screen queer films (Andrew, 2004, p. 146). The event has now grown into a huge affair that makes over $100,000 with 11,000 people attending (Andrew, 2004, p. 146). There are many films that are shown at these queer, independent film festivals that “continue to miss out on the deserved success of mainstream international cinema releases” even though they have huge production values and star-studded casts (Andrew, 2004, p. 146). In addition to film festivals, online streaming has also greatly impacted the circulation of LGBTQ content. Online streaming platforms have opened a whole new way for creators to create and distribute films and documentaries about the LGBTQ community to a wide audience. With platforms like Netflix and Hulu that are available all over the world, queer content can reach different corners of the globe which is “essential in making visible [queer] lives outside of normative narratives” (Munro, 2006, p. 45).

Film adaptations of queer novels

In the past few years, there have been several queer books that have been turned into films. Film adaptations are not a new concept. They have been around for decades and are not rare. But what are the implications of film adaptations? How are they different from the books?

What does this mean for society? Well, according to Weiser (2015), there are three different levels of reception that go into a film adaptation. Unlike a book or a film where there is just an audience that receives the text, when it comes to a film adaptation there are several more layers added to the reception process. With film adaptations there is first “the relationship between the literary text and the director who adapts it, [then] the audience’s reception of the literary text and subsequently the film” (Weiser, 2015, p. 116). Essentially, this shows that there are several more interpretations that can lead to changes from the book to the movie. Film adaptations are not always exactly like the book because they are a director’s understanding of a book put on screen. Then, the audience must interpret the director’s interpretation of the book.

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McFarlane (2006) asserts lots of film adaptations are “taken from literary sources that foreground the idea of coming of age” (p. 55). Many film adaptations also centered around the idea of young people coming to terms with their sexual orientation. When it comes to film adaptations, a director is taking a narrative in a book and changing it so a film that is in constant momentum. Therefore, there is never a “straight” adaptation of a book to film and there is always going to be some sort of “compromise” of the original story (Davidson, 2010, p. 41). All of this is to say that film adaptations are never exactly like the novel they are based off.

Due to the director’s interpretation of the book and different conventions in the film industry, it is important to look at the relationship between the book and the movie when studying a film adaptation. You cannot have one without the other. Looking at film adaptations of queer novels is important because, although written words in novels are important, a filmmaker’s interpretation of a book is still “a vital asset to our culture and are worth exploring” (Dunks, 2019, p. 31).

As an example, Meyer (2020) looked at the erasure of queer content in the Black Panther film. Essentially, the film deleted an entire scene that had lesbian content between two female warriors that was in the original comic book. Many Marvel fans were upset that the film adaptation of the comic book had completely neglected to include any of the queer subplot that was present in the original text. This, according to Meyer (2020), shows that “the film ultimately mimics exclusionary cultural practices that marginalize queer identities, echoing the violation of human rights and lived experiences of the Black LGBTQ population” (p. 237).

This is just one example of a mainstream film that has changed, altered, or erased queer content from the original texts they are based off. There are many instances when an original text is changed so that it completely erases the experiences of the queer community, so it does better in a more mainstream media environment. This is harmful because not being represented or being represented stereotypically transcends the boundaries of the big screen and hurts marginalized communities in real life.

Challenging our understanding of sexuality and “coming out”

Films and movies can both challenge and reinforce certain views and opinions of groups in real life. They are “disseminators” that share content and culture (Mooney et al., 2018, p. 263). Previous research has been done looking at how queer adolescent films create spaces for representations of melodramatic coming out. Padva (2004) looked at films like The Edge of Seventeen and discovered that coming of age films often romanticize the coming out process and show young adults coming to terms with their sexuality as a huge therapeutic moment which is not entirely accurate or adequate (p. 358). Similarly, Gibson (2017) also looked at The Edge of Seventeen and discovered the film had a female protagonist who “resists authority but in a manner that is less charismatic and smooth” (p. 18). Just like The Edge of Seventeen, The Miseducation of Cameron Post has a female lead who challenges authority and breaks sexual norms. Unlike The Edge of Seventeen, The Miseducation of Cameron Post does not portray coming out as this huge, therapeutic moment. In fact, The Miseducation of Cameron Post is more authentic in how it depicts the whole coming out process.

Dhaenens (2012) notes that queer articulations “refer to representations of characters that connote or imply a critique or subversion of how the heteronormal governs sexual identities… they embody identity positions that oppose or challenge heteronormative gender and sexualities” (p. 58). This means that queer characters fight the hegemonic norms that are set in place in society. Queer representations attempt to push back against and challenge our understanding of dominant ideologies in society. Yet despite being about fighting certain societal norms, this does not mean that films do not rely on certain stereotypes and tropes to represent the LGBTQ community. Rajendran (2012) warns that “cinematic images of homosexuality can lend themselves to unfortunate homonormativities” that can become homophobic and “fetishize even momentary appearances of the (un)familiar female desire” (p. 146). All of this goes to show that it is necessary to critique queer representations in our society. Although they can

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challenge how we think about gender and sexuality, that does not mean they cannot be used as a double-edged sword to oppress the LGBTQ community.

While applying these theories to The Miseducation of Cameron Post, it becomes evident that there are major differences between the book and the movie. Between the print story and the film, there are changes between the narrative audience members receive. This is mainly because they are two different forms of media in two different media industries. Compared to the book, the film version must appease to a predominantly white, heterosexual audience to make it into the mainstream, which affects the story and characters we see on screen. Since the movie is altered and changed to work for a heteronormative audience, aspects of the movie become stereotypical and rely on controlling images. Although the movie is good in the sense that it tackles controversial issues like gay conversion therapy, the disconnect between the book and the movie causes the film to reinforce certain harmful perceptions of the LGBTQ+ community. This study will begin by comparing the book to the movie, also using a media industry approach to see if the medium influences the content viewers receive. Then, this study will conduct a textual analysis of the film to weigh the pros and cons of the movie to determine how it challenges and/or reinforces certain societal norms.

Methodology This study will offer a close reading of both the movie and novel of The Miseducation of Cameron Post. Unlike other coming of age movies, The Miseducation of Cameron Post tackles more controversial and heavy topics like gay conversion therapy. Both the movie and book challenge heteronormativity as well as binary thinking when it comes to gender and sexuality.

Additionally, it was adapted from a book to a movie which allows one to look at how the story changed between the two different media industries. Thus, The Miseducation of Cameron Post provides an opportunity to see how the LGBT community is represented in different media industries and how those representations affect our socially constructed society. When it comes to looking at media texts, one of the most reasonable and practical methodologies to use is textual analysis. A textual analysis, at its core, looks at how the texts we consume shape our meaning of the world around us and our lives. As Brennen (2013) puts it, “when we do textual analysis, we evaluate the many meanings found in texts and we try to understand how written, visual and spoken language helps us to create our social realities’’ (p. 193). Essentially, a textual analysis looks at a text and attempts to figure out how that media affects our culture and society. There are several different types of textual analysis from semiotics to the encoding/decoding process.

This study will focus on completing an ideological analysis of The Miseducation of Cameron Post as well as incorporating a small hint of a genre analysis where I look at the aesthetics of the film compared to typical genre conventions.

An ideological analysis starts with the basis that texts reproduce or reinform certain power structures and ideologies in society. All media texts are inherently ideological because they depict societal values and there are always underlying messages in media. Ideological analysis is important because it attempts to understand “how dominant ideological power relations within race, class, age, gender, and ethnicity are encoded into texts” (Brennen, 2013, p. 202). This is the viewpoint that will be employed in this study. No matter how small or minor something seems, every word choice in a novel and every image we see on screen impacts how society thinks about certain groups of people. This study will first look at the book and the movie as two separate entities. Since they are different mediums of media, it would be amiss to not analyze the book and the movie separately at first. By looking at the movie and book separately, one will be able to see how each challenges gender and sexuality norms on their own before comparing two.

Particular attention will be paid to the character of Cameron Post and how she confronts the homophobic teachings forced upon her at God’s Promise. While at God’s Promise, Cameron is constantly fighting back against and hesitant of the dominant ideology. Looking at both the dialogue, plotline, and aesthetic choices in the movie, I will look at both the positive and

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negative aspects of the film. After analyzing the pros and cons of the movie and book, I will then compare the two to each other to see what was changed, erased, or altered from the book to the movie. Then, after seeing what the differences are, I will draw conclusions on why these changes may have been made between the different mediums.

Analysis To recapitulate, the whole intention of this study is to discover what differences occur between the original novel and the film adaptation of The Miseducation of Cameron Post.

Given that print media and film are two entirely different industries, there are bound to be differences between the story presented in the two different media texts. Each industry has its own boundaries and conventions which shape the end product audiences either read in their hands or see on the big screen. Things can get lost in the translation from book to film. The Miseducation of Cameron Post is no exception. There were major changes from the book to the movie that affects the queer representation audience members receive. But, overall, the book and the movie accomplish one thing in common: critiquing heterosexuality. Both the book and the movie challenge societal understanding of sexuality while simultaneously critiquing heteronormative institutions like gay conversion therapy and religion. This analysis begins by analyzing the book. In particular, it will look at several major themes like Cameron’s dead parents, Irene Klauson and the background on Coley Taylor that are left out of the book. The book analysis will also look at how Cameron fights heteronormativity while at God’s Promise.

Then, the analysis will look at the movie and what it leaves out or erases from the novel. It also looks at how it perpetuates certain stereotypes of lesbians like the overly erotic, white, middle class lesbian. It will also discuss how it leaves out the characters of Adam and Jane which neglects the experiences of queer people of color.

The book tells the full story, nothing lost in translation

As mentioned earlier in this study, The Miseducation of Cameron Post was originally a coming-of-age teen novel released in 2012. Much like the movie, the book centers around Cameron, who lives in Montana, as she grapples with coming to terms with her sexuality. The novel starts when Cameron is just 12 years. It is the summer of 1989. The first sentence reveals that Cameron’s parents have just died. She was with her best friend at the time, Irene Klauson, when her parents got into the car accident. This is how Cameron comes to live with her conservative aunt, Ruth, as her legal guardian. It is Aunt Ruth who ends up sending Cameron away to a gay conversion therapy camp almost four years later. But almost none of this is covered in the movie. Irene is hardly even mentioned once in the film, which cuts several years of Cameron’s struggle with her sexuality.

Dead parents, Irene Klauson and Cameron’s sexual awakening

Compared to the movie, the book has much more background on Cameron’s homosexuality. Given that it has more background, the book is inherently more authentic than the movie. The movie picks up when Cameron is in high school, which completely ignores several “girlfriends” Cameron has before then. One of these being Irene. As mentioned before, Irene was Cameron’s best friend when they were 12 years old. But the book reveals Irene was much more to Cameron. Irene was Cameron’s sexual awakening, meaning Irene was the first female Cameron was both physically and emotionally attracted to. They were inseparable, doing almost everything together. At least they were, until the night Cameron’s parents died which coincidentally is also the same day they first kissed.

Cameron’s parents were going on vacation to a nearby lake, leaving Cameron at home with her grandmother. Irene and Cameron had convinced her grandmother to let them go to Irene’s family ranch, where they sat in the hayloft of the barn drinking root beer. That is where Irene dared Cameron to kiss her. Even at just 12 years old, Cameron knew that it was wrong that she and Irene had kissed. In fact, when Irene asked if she thought they would get in trouble if anyone found out they had kissed, Cameron immediately responded with a yes

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because “even though no one had ever told [her], specifically, not to kiss a girl before, nobody had to. It was guys and girls who kissed… Anything else was something weird” (Danforth, 2012, p. 11). This is already showing how engraved societal norms are in Cameron. Although she is only 12, she already knows the two girls being together is wrong because she has only seen guys and girls together at her school, in the movies she watches and in the world around her. Society has already conditioned her at a young age that think that anything different from heterosexual is different and wrong. It shows that Cameron is already starting to think about what is doing and that she thinks it is wrong.

Later that night, after she and Irene kiss again, they head to bed for a sleepover. As they are trying to fall asleep, Irene’s parents get a phone call telling them Cameron’s parents had died in a car accident on their way to the lake. Naturally, they took Cameron back home to her grandmother straight away. Initially, Cameron has no idea what is going on. It is not until she gets home, and her grandmother tells her what has happened that she realizes her parents are gone. But what is somewhat of a surprise is that Cameron feels a sense of relief when she hears the news about her parents. Relief because her and Irene had not been found out. The whole time Cameron was worried that their parents had found out that she and Irene were kissing and that they were mad. Cameron’s inner monologue said “... the first thing I thought, the very first thing, was: … Nobody knows ...They don’t know, so we’re safe … How, if my parents were dead, could there still be some part of me that felt relief at not being found out?” (Danforth, 2012, p. 29). Already, less than 40 pages into the book, Cameron is already equating being found out as gay to the death of her parents. Society has beat it into her that homosexuality is such a sin she actually feels relief that her parents died because no one knew her secret. In her eyes, at this point in time, it is worse to be homosexual then to lose your parents in a tragic accident. Again, this shows just how negatively and deviantly homosexuals were painted to be in Cameron’s short childhood. At a young age, she is already conditioned to believe that homosexuality is wrong because of societal norms.

What had started out as a few innocent, exciting kisses with Irene turned into massive guilt for Cameron. It was the catalyst for Cameron coming to terms with her sexuality. Up until her parent’s death, kissing Irene had been euphoric. Cameron has described it as they were “drunk” on each other and there was a fun secret “buzzing” between them (Danforth, 2012, p. 23). But as soon as her parents died, this fun experimenting with Irene turned into “guilt: real, crushing guilt” (Danforth, 2012, p. 30). Cameron blamed herself for her parent’s death.

She felt like it was God punishing her for kissing Irene. Cameron thinks that God killed her parents because she was “living [her] life so wrong” she had to be punished. This is the start of Cameron’s struggle with her sexuality. She already has a rocky relationship with her attraction to women because she thinks it is the reason her parents died. She took it as a sign for her to change her homosexual ways, like somehow her homosexuality was the reason her parents got into a car accident. Homosexuality is already a hard topic for Cameron, and that’s before she meets Coley Taylor and gets sent to God’s Promise.

Coley Taylor, being discovered and struggling with sexuality

Right here is just about where the movie picks up. Anything up until this point is not even mentioned in the movie, including Lindsey Lloyd, who was a lesbian from Seattle on Cameron’s swim team who she had a summer fling with. All this development is neglected in the movie. The movie does not touch on Irene or Lindsey, who were two people instrumental to Cameron developing her sexuality. Not including any of this in the movie is neglecting true, authentic queer representations that the print industry allows for. Lindsey was almost somewhat of a mentor to Cameron because she helped teach her a lot about the LGBTQ+ community when she was there over the summer. She introduced Cameron to Pride, drag queens, and other lingo related to the LGBT community. Before meeting Lindsey, Cameron did not even know that “undecided” was a category in LGBT community (Danforth, 2012, p. 89). Although

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Lindsey and Cameron only made out a bunch, Cameron never actually fell in love with her. And it is with Lindsey that Cameron faces her first homophobic attack. At one of the swim meets, Cameron and Lindsey had gone into one of the showers stalls to make out. When they came out, a group of girls called them “dykes’’ and “sick” (Danforth, 2012, 102). Again, all of this are experiences of Cameron figuring out her sexuality that are ignored in the movie. Cameron learning about the LGBTQ+ community from Lindsey and facing homophobia head on are completely erased from the movie. The book basically erases everything that happens before Coley Taylor.

Coley Taylor is, simply put, Cameron’s first true love. Although they start out as friends who attend Bible study together, Coley is the first girl Cameron truly falls in love with. She is also the girl that gets Cameron sent away to God’s Promise. Coley, much like Irene Klauson, is a ranch girl who Cameron immediately develops a crush on. But that schoolgirl crush turns into much more than that. Coley is described in the book as an “it” girl who looks like a supermodel, always has a chic outfit and is “so put together” (Danforth, 2012, p. 124). Coley directly ties into the Cameron soon realizes that each time she hangs out with Coley, she is falling more and more in love with her. Cameron would catch herself daydreaming about Coley, although she never made a move because Coley is “definitely not gay” (Danforth, 2012, p. 139). Cameron even goes to prom with her best guy friend, Jamie, to make Coley happy, although she spends the whole prom wishing she was with Coley instead. Eventually, there is one night on Coley’s ranch where she asks Cameron why she has not kissed her yet because there had been a whole bunch of times she thought Cameron was going to kiss her. Cameron does, and it starts what she describes as a “treacherous” pattern where they would make out more and more often. Every interaction with Coley made Cameron more and more infatuated with her. That is until the one night Coley betrayed Cameron.

There was one night Cameron and Coley were having sex in Coley’s house and her brother came home. After the two pulled apart to cover their tracks, Coley and Cameron got into a bit of an argument. Coley stated that the more time they spent together the harder it is to turn off what they have between them. Cameron said, “Maybe that means we’re not supposed to turn it off…” to which Coley replies “Maybe it means we shouldn’t have started in the first place” (Danforth, 2012, p. 227). Cameron ends up leaving, and a few days later the pastor from Cameron’s church shows up. He tells Cameron and her Aunt Ruth that Coley has told him that Cameron took advantage of Coley. Coley willingly told and twisted the story that Cameron had pursued her to fulfil her “ugly, sinful behavior” (Danforth, 2012, p. 248). This is what leads to Cameron being sent away for “recovery” at God’s Promise, although Cameron refers to it as an “exile”. Unlike the movie where there is this huge, homoerotic scene where Cameron’s “boyfriend” finds her and Coley in the back of the car, the book reveals a deeper pain that Cameron feels when she is sent to God’s Promise. Not only is she being sent away to a gay conversion therapy camp, but the girl she fell in love with is the reason she is there.

There is much more emotional baggage that is not even covered in the film adaptation. All of this is barely acknowledged in the movie, which creates a different tone when Cameron reaches God’s Promise.

God’s Promise, Reverend Rick, and challenging heteronormativity

After her Aunt Ruth drops her off at God’s Promise, Cameron is forced head on into a toxic environment. God’s Promise is all about maintaining norms, whether they be related to gender or sexuality. In their pamphlet Cameron receives, God’s Promise reveals it is all about affirming and modeling “appropriate” gender roles. God’s Promise is also against any speech or behavior that “promotes or celebrates co-called gay or lesbian culture interests or mannerisms” (Danforth, 2012, p. 255). Basically, God’s Promise is all about reinforcing heterosexual norms and ideology in society. There is zero tolerance for anything that “deviant” or “sinful,” so anything that is not cisgender or heterosexual. The language is all about “curing” the disciples of

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their same-sex attraction, as if that is something that can even be controlled. Disciples of God’s Promise are required to attend “group support sessions’’ as well as one-on-one support meetings with Reverend Rick and Dr. Lydia Marsh, the Psychologist and Assistant Director. They refer to homosexuality as a “disorder” that can be cured by working through things in the past that have caused disciples to “struggle with unnatural same-sex attractions” (Danforth, 2012, p.

289). God’s Promise shows that institutions like ay conversion therapy camp and religion are prevalent in society and seek to marginalize the LGBTQ+ community. Places like God’s Promise use religion to try and brainwash people into believing their sexuality is a sin because it is not the norm. Because it is not a guy and a girl, it is wrong and needs to be “cured.” If disciples do not act straight and cisgender, they are punished.

As briefly mentioned earlier, God’s Promise preaches that things like having too much/ too little masculine bonding or lack of physical attention when you are younger is what makes you fall into the sin of same-sex attraction. The leaders at God’s Promise at one point also suggest that being sexually assaulted or molested was the reason for several disciples being homosexual (Danforth, 2012, p. 362). Each disciple is required to fill out an “iceberg” that lists the reason they are now engaging with the sin of same-sex attraction. The idea is that the disciples fill out this drawing of the iceberg to discover what is hidden underneath their “struggle” with same sex attraction. The psychiatrist at God’s Promise explained the exercise as “The sin of homosexual desire and behavior is so scary and imposing that they become fixed on it, consumed and horrified by it, when in actuality, the big problems, the problems we need to deal with, they’re hidden away below the surface” (Danforth, 2012, p. 289). The leaders of God’s Promise are arguing homosexuality can be “cured” if someone recognizes the true “reasons’’ they are gay.

The leaders even go as far as calling Cameron’s homosexuality a “disorder.” This represents the toxicity at God’s Promise that paints homosexuality as a horrible sin. At God’s Promise, anything that is not the norm is dangerous and not tolerated. But despite being fed these ideals, Cameron always remains skeptical of what they are teaching her. No matter what they are spitting at her, Cameron always goes against the norm and resists the straight and narrow.

Cameron resisting homophobia

Throughout the entire novel, Cameron pushes back against all the things God’s Promise stands for. Whenever the leaders at God’s Promise confront her about her homosexuality, she always has a witty response. For example, when Reverend Rick and Dr. Lydia are explaining the iceberg to Cameron, they also say that she needs to stop referring to herself as a homosexual because it is enabling her to engage in the sin of same-sex attraction. They believe homosexuality is a myth “perpetuated by the so-called gay rights movement” and that “there is no gay identity” because it “does not exist” (Danforth, 2012, p. 290). They think referring to it as homosexuality is making her “sin” of same-sex attraction special. Cameron quickly shoots back “I don’t think of myself as a homosexual. I don’t think of myself as anything other than me” (Danforth, 2012, p.

291). Cameron cheekily acknowledges that she is a troublemaker who constantly breaks some of the rules God’s Promise has set in place (Danforth, 2012, p. 321). This is just one example of Cameron being testy with the leaders at God’s Promise. To show her detest with what is happening at the gay conversion therapy camp, she has these little one-liners that shows her disdain for their teachings. She is not only the protagonist because she is the one that gets sent to God’s Promise. She is the protagonist because she is the main one who challenges or resists heteronormativity. She is often the one that goes head-to-head with the leaders. She is the one who is constantly questioning what they are teaching the disciples.

Cameron and her two friends, Jane and Adam, often joke about the teachings of God’s Promise. They also allude to the fact that they “fake” their progress. Cameron says that “the disciples got along pretty much the way that I did: faking progress in one-on-ones, amicable interactions with staff, and burning off steam through a series of sinful, thereby forbidden, interactions with each other” (Danforth, 2012, p. 297). When Cameron first gets to God’s

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Promise and Jane is giving Cameron the welcome tour, she said that if Cameron does what the leaders say and reads her Bible, that she would “be just fine” (Danforth, 2012, p. 962). They joke around about all of the homework packets about homosexuality being a “myth” that they have to fill out and how Dr. Lydia reminds them of the mom from the movie Carrie. All of these small, nuanced moments breathe life into these characters. They give them personality and show their humor when they are going through this traumatic experience. Even when they are being taught to hate themselves and how they are living is sinful, they remain lighthearted and witty. It brings personality to their characters which makes you root for them as they are forced to survive this toxic environment. It makes them human, which is a representation we do not always receive when it comes to the queer community.

At God’s Promise, Cameron and the other disciples face a lot of emotional abuse. The book shows how gay conversion is a system that causes psychological abuse to the people that are put through it. Jane, one of the other disciples Cameron befriends at God’s Promise, says the “Promise has a way of making you forget yourself… Even if you’re resisting the rhetoric of Lydia. You still sort of disappear here” (Danforth, 2021, p. 310). Although he was joking, another disciple Adam joked that he was a “ghost” of his former gay self. Cameron has a lot of internal monologue in the book that shows there are moments where she gets worn down by everything God’s Promise is trying to “correct” about the disciples. She explains that even though she does not believe any of it, it is constantly being repeated to her day after day. She calls the practices and methods of God’s Promise “violent.” And it takes its toll on her. There are moments where her inner narrative explains that she is “weighed down” by the messages they are pushing on the disciples and how some of the lessons they are teaching are “starting to stick” (Danforth, 2012, p. 361). Even Cameron, who is this strong and spunky individual, fell victim to the teaching of God’s Promise. The disciples are put through so much emotional violence that they lose themselves. It confirms that homophobic teachings can cause people to break. And eventually, one of the disciples does break.

Mark Turner is the golden disciple at God’s Promise. Cameron and her friends even describe him as the “poster boy” for God’s Promise. The book explains that, although he is a disciple, he actually believes in what they were teaching at God’s Promise. He was sent to God’s Promise by his father who is a “big-deal” preacher and was close to being sent back home for good. But one day he has a mental breakdown in one of the group sessions. It turns out his father had sent a letter saying he would not be coming back home because he is still overly feminine.

Although he starts off calmly explaining it to the group, Mark ends up breaking down on the floor and sobbing. As Cameron explains it, they had all seen Mark “lose his shit” (Danforth, 2012, p.

372). Later that night, Mark ends up trying to harm himself by cutting off his own genitals with a razor and gets rushed to the hospital. The following day, Rick checks in with all the disciples to see how they are handling the news. When talking with Cameron, Rick tries to pass it off that Mark harmed himself as an outlet for the emotional pain he felt from dealing with samesex attraction. At this point, Cameron confronts Rick and says that they “don’t even know what you’re doing here, do you? You’re just making it up as you go along” (Danforth, 2012, p. 382).

A member of the state comes to inspect God’s Promise after Mark’s incident. He interviews all the disciples to see if they trusted the leaders at God’s Promise. This leaders to one of Cameron’s most infamous moments. She tells the man that all of the disciples are being emotionally abused because “the whole fucking purpose of this place is to make us hate ourselves, so we change. We’re supposed to hate who we are, despise it” (Danforth, 2012, p. 400).

This was the moment Cameron realized just how toxic God’s Promise is for the disciples. It is the climax where Cameron realizes that trying to “correct” people’s homosexuality is emotional abuse. It is when it finally hits Cameron that society is filled with people and institutions that impose heteronormativity on everyone. It is the moment she plans how she, Jane, and Adam are going to escape.

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Escaping God’s Promise and the main point of the book

Cameron, Jane, and Adam escape God’s Promise by pretending to go on a hike.

When they leave on their “hike” they keep walking and head to Quake Lake which is where Cameron’s parents died in their car crash. By the time anyone at God’s Promise realizes they are gone, they are miles and miles away from where they said they would be. It is at Quake Lake where the main point of the book is revealed. Cameron ends up getting into the ice-cold lake and has a revelation. She apologizes to her parents and tells them sorry “not for kissing Irene, but for being relieved you weren’t gonna find out” (Danforth, 2012, p. 467). She forgives herself and realizes that she is not to blame for her parent’s death. And this is the main point of the book. The main point of the book is not Cameron being sent to God’s Promise. It is her accepting herself and coping with her parent’s death. It is not the homophobic teachings of God’s Promise, it is Cameron becoming comfortable with her sexuality and getting over the guilt of her parent’s death. In the moive, when they leave God’s Promise, there is no mention of the lake and no inner monologue where Cameron comes to terms with her parent’s death.

It is the whole ending of the book, but not even mentioned in the movie. Although this is the main crux of the book, it is lost in translation. It is not mentioned at all in the film adaptation.

The movie still fights homophobia, but lots is lost

In 2018, the book The Miseducation of Cameron Post was made into a movie. The movie was premiered at the Sundance Film Festival and it was praised for how it challenges heteronormativity and addressing a controversial topic like gay conversion. Although it does challenge normativity like the book, there are some glaring issues with the movie. There are things that were changed, altered, or deleted from the original book from the film adaptation we got at the film festival. These adaptations and erasures make the movie less authentic than the movie. Given that the movie industry is more mainstream than the print industry, it would make sense that things were changed between the two different mediums. In addition to the things that were changed, the movie also relies more heavily on certain stereotypes and controlling images of the LGBT community. It also ignores the experiences of queer people of color.

Challenging heteronormativity in the film

From the very first scene of the movie, The Miseducation of Cameron Post challenges our understanding of gender and sexuality. The opening scene takes place in a youth bible study where the pastor is ranting about the “dangers” and “sins” of homosexuality. While there is a voice over of the pastor taking about the “evil temptations” of homosexuality, there are flashback scenes of Cameron sneaking upstairs to her room with Coley to make out (Akhavan, 2018). Not even a minute into the movie, it is already painting homosexuality in a negative way because they are pairing images of Cameron and Coley making out with negative words like “sin” and “evil.” Although she is attending this bible study, it is obvious that Cameron is uncomfortable by what the pastor is trying to teach them. She is staring down at her hands and making other nonverbal movements that show she is uncomfortable. Not only is she uneasy and apprehensive with what they are preaching, but she is engaging in the acts that she is being taught to stay away from. While her pastor is explaining how homosexuality is a sin, she is sneaking away to make out with another girl. Withing minutes of the movie, Cameron is obviously the protagonist of the film who is going against the teachings of her religion. Despite being told that homosexuality is “evil,” Cameron is shown as a “deviant” who strays from the norm in terms of sexuality.

In another opening scene, Cameron challenges gender norms as well. In this particular scene, Cameron is getting ready for prom and her Aunt Ruth is putting makeup on her and getting her hair done up. This is one of the few times in the entire movie we see Cameron in anything other than sweatpants and a sweatshirt like the rest of the film. She looks reflexively in the makeup mirror, not recognizing herself because she is more comfortable dressing less feminine. After getting ready for prom, her and her “boyfriend” take photos on the steps of her house and dance together at prom. But she looks miserable and uncomfortable the whole

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time. The only time she shows any sort of happiness and lets loose is when she gets to dance with Coley for a minute, which again, goes against the status quo. Dancing with a girl not only goes against societal expectations at the time, but also made a statement because prom is a predominately straight construct. There is traditionally not a lot of room for queerness when it comes to prom, but Cameron challenges norms.

A scene that was added into the film that was not from the book was when Cameron was at her first day of school at God’s Promise. Dr. Lydia comes in to meet Cameron, where Cameron innocently says that she can call her “Cam” for short. Dr. Lydia shoots back by saying that “Cameron is already a masculine name. To abbreviate as something even less feminine only exacerbates your gender confusion” (Akhavan, 2018). One of the first clips of the movie we see of Dr. Lydia foreshadows the type of beliefs she will be pushing on the kids at God’s Promise.

They believe something like having a masculine sounding name can influence your sexuality or gender. Dr. Lydia is trying to claim that something as simple as shortening your name can impact whether or not you are a homosexual. Like the book, the movie also uses the “iceberg” analogy to imply that certain life experiences can cause someone to be attracted to members of the same sex. The leaders of God’s Promise think that disciples can unpack their past to “heal” them of their same-sex attraction. Although Cameron is the main protagonist, she is not the only lesbian in the movie that is worth mentioning.

The super model lesbians and homoerotic scenes for eye candy

The two main lesbians in the movie are Cameron and Coley. As a refresher, Coley is the girl Camron falls in love with. It is Coley that Cameron gets caught with and sent to God’s Promise over. But in the book, they do not actually get caught. Coley tells her family who then tells Cameron’s aunt. In the movie, they are caught in the backseat of a car at prom. This is just one of the several sex scenes between Cameron and Coley. So, why make this change? Why change it from Coley telling her family to them being caught in a car? The answer is simple: eye candy. Oftentimes mainstream media will “use lesbian sex and sexuality” in order to make a show or film appeal to heterosexual men (Himberg, 2008, p. 24). This is one of those instances.

There was no need to really change this from the book other than the fact that it was a chance for movie producers to fit in an extra sex scene between two girls. The film industry is much more mainstream than the book industry. To appease to a larger audience that is predominately white, male and cisgender, the producers of The Miseducation of Cameron Post added multiple overly erotic scenes between Cameron and Coley. Not only are the sex scenes used between Cameron and Coley used as eye candy for male viewers, but they also perpetuate a lesbian stereotype.

The mainstream media also fails to acknowledge the lives and experiences and realities of “most sexual minorities, particularly sexual minorities of color, of lower economic status…”

(Himberg, 2008, p. 46). In other words, when lesbians are portrayed in the media, they are typically white, upper class women. Cameron and Coley are no exception to this stereotype.

They are both white women from privileged lifestyles. Even looking at a few of the other disciples alongside Cameron at God’s Promise, the vast majority of them are white individuals who come from wealthy families. All this falls into the rich, white lesbian stereotype. The few characters of color that are mentioned in the book are severely underdeveloped in the movie.

Lack of queer people of color

Jane and Adam are the two characters of color in both the book and the movie. In the book, we at least get a little bit more background and depth into their characters. But in the movie, they barely get any attention. In the movie, they both serve as side characters for Cameron. They are there to help her. We barely hear anything about their lives, and they get very little character development. Take Adam, for example. Adam is a Native American double spirit, also known as a winkte (Danforth, 2012, p. 311). Essentially, this means he has two souls. As Adam explains it in the book, “I’m not even tranny. I’m like pre-gender, or almost a third gender that’s male and female combined… Winktes are supposed to somehow bridge the

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divide between genders and be healers and spirit people’’ (Danforth, 2012, p. 312). All of this is barely mentioned in the movie. There is one scene where Adam slightly brings it up when he is smoking with Cameron and Jane are smoking in the woods. But it is maybe a 20 second interaction and then it is never mentioned again. This gender fluidity is a huge part of the book and would have been a great addition to the movie because it challenges gender binaries. If they spent an ounce of effort into developing Adam’s character, the movie would have challenged heteronormativity even more than it already did. It could have been a unique opportunity to bring in the experiences of queer people of color, in particular the Native American community, if the directors and producers would have taken it.

Another queer person of color the movie neglects is Jane Fonda. Jane is a queer person of color who also has a disability. She lost her leg in a snowmobile accident when she was young and now has a prosthetic right leg. She was raised in a commune by a drug addicted mother.

She has never met her father because it could be one of several different men. Not only does living in a commune and not knowing your father play into harmful, age-old stereotypes of the African American community, but this is also rarely touched on in the movie. Again, just like with Adam, we get maybe 30 seconds of background information on Jane throughout the entire movie. Like Adam, there is no real character development when it comes to Jane, so she serves more as the diversity pull. Her character really does nothing besides check boxes of diversity. The movie could have brought in a unique experience of both an African American and disabled queer person of color. But instead, they left her character underdeveloped which made her there only to support the main character, Cameron, who is white. Compared to the book where these two characters actually develop personalities, the movie barely scrapes the surface which neglects the lives and experiences of queer people of color. Despite being good in terms of challenging heteronormativity in society, the film adaptation of The Miseducation of Cameron Post fails to recognize or highlight the experiences of queer people of color. This directly correlates to Himberg’s (2008) idea that the mainstream media also fails to acknowledge the lives and experiences and realities of sexual minorities of color and lower economic status. The Miseducation of Cameron Post move had opportunity to create room for narratives surrounding queer people of color, but instead it fell into the trap of “white homo-normativity” (Harris, 2012, p. 541). In other words, there is a stereotype in mainstream media that all lesbians and gays are white. The few representations of the queer community we do receive neglect and further marginalize the voices of queer people of color. Although The Miseducation of Cameron Post fights heteronormativity, it also fails to recognize queer people of color. Even movies that do good in one area, such as critiquing heteronormativity, can falter in others.

Conclusion and Limitations As previously mentioned, The Miseducation of Cameron Post shows that there are still issues with the queer representation we receive. Even movies that are praised and awarded as being progressive when it comes to representing the LGBT community have faults and flaws. As the medium of communication gets more mainstream, the authenticity of queer representation decreases. Those who work for the film industry need to make their movie appeal to a larger and predominately white, straight cisgender male audience than the book industry. The book has more background when it comes to Cameron discovering her sexuality. The film does not mention Irene Klauson, Lindsey Lloyd, and most of the relationship with Coley Taylor. This fails to mention any of the people that helped Cameron discover her sexuality before she goes to God’s Promise. The movie also fails to go into depth about the death of Cameron’s parents or the two queer people of color she becomes friends with at God’s Promise. The film adaptation of The Miseducation of Cameron Post neglects the experiences of queer people of color, over sexualizes lesbians for the male gaze and reaffirms the stereotype that all lesbians are white and upper class. Even though they are more positive than some other stereotypes of lesbians that are circulated in media, they are still harmful for the *trans community and queer people of color.

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The film adaptation demonstrates why it is important to study representations of marginalized groups. Even films that are supposedly authentic representations of certain marginalized communities can still be harmful and reinforce certain ideologies in society. And that is why it is important to conduct studies just like these. It is important to critically examine all media representations to see what underlying messages they may be sending to society. We need to understand how the industry or medium of media plays a factor in the representation of marginalized communities. People in society shape their perceptions of themselves and others based on the media they consume. Media has the power to perpetuate certain power imbalances and structures in society. Having realistic, authentic representations of the LGBT community can help shape how people in society view and think about those who are queer for the better.

Therefore, it is important to look at the media representations we receive and see how it impacts the real-life experiences of marginalized populations.

In the future, research should focus more on the actual production of queer content.

Particular attention could be paid to the process of writing books and making movies. Research should look at how the process of writing a book, having it go through a publisher and all other aspects of the publishing process also plays a role in the representations we get. Similarly, research should look at how different aspects of the film industry like casting, screenwriting and post-production affect the representation of marginalized communities we see on the big screen. More attention in the future should also focus on how having creators or authors from marginalized communities creating the content we receive affects the representation. Both the author of The Miseducation of Cameron Post, Emily Danforth, and the director of the film adaptation, Desiree Akhavan, are both queer women. More attention should be paid to them and how their experiences influence the content they create. Since they are both members of the LGBT community, it offers a unique avenue to see how content created by queer individuals affects the authenticity of the queer representation audiences receive. For example, how does having someone who identifies as queer affect the quality and authenticity of queer representation we get in the media? Does having someone who identifies as a member of a marginalized community lead to “better” representation for audiences? These are all questions that could and should be pursued that branch off this study. Until more studies like these are conducted, we will continue to receive representations that further marginalize those at the bottom of society.

Without studies looking at the media we consume, we will continue to receive misrepresentations of marginalized communities.

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About the Author Emma Dixon is a May 2021 graduate of Christopher Newport University. While attending Christopher Newport, Emma majored in communication studies with a concentration on critical mass media studies. She also obtained minors in digital humanities and photography & video art. Emma is interested in studying the effects mass mediated communication has on our socially constructed society. More specifically, she is interested in researching queer representation in mainstream media to see how they shape our understanding of both gender and sexuality.

By looking at queer representations and identifying certain pitfalls, Emma believes researching centering queer experiences has the power to change societal perceptions of the LGBT community.

“Authorizing Sustainability: How University Decisions Influence Student Environmentally-Responsible Behaviors and Sustainability Literacy” James F. Duffy Faculty Sponsors: Dr. Rebecca Bromley-Trujillo, Dr. Linda D. Manning, Dr. Andrew Rose, Center for Sustainability in Education

Abstract Undergraduate campuses in the United States can be understood to operate as micro-democracies, where student activism among specific conditions can spur policy changes at the institutional level. Recent scholarship identifies a gap between students and decision makers that reduce their efficacy and salience as policy stakeholders that can effectively influence decisions at their universities. Building on the first author’s prior research, the purpose of this study is to better understand how a feedback (or legitimization) effect impacts the relationship between exposure to university sustainability efforts with student environmentally-responsible behaviors (ERBs) and sustainability literacy. The researchers utilize data from the first AASHE STARS Sustainability Culture and Literacy Assessment (SCLA) of students at a mid-sized public university in the Mid-Atlantic United States, a quantitative survey that was administered to a representative sample of the student population. Bivariate analysis and linear regressions indicate a positive correlation between two dependent variables (1) the amount and frequency of environmentallyresponsible behaviors students engaged in and (2) a stronger understanding of sustainability issues with the independent variable of student exposure to university-initiated sustainability programs. This research supports prior research on the feedback effect and implicates the need for top-down, university-initiated sustainability efforts if each hopes to cultivate a student body that understands and cares about sustainability issues in how they behave.

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Authorizing Sustainability Undergraduate colleges and universities have the opportunity to shape the values and attitudes of entire generations of citizens and leaders. Students at colleges and universities in the United States are governed by their university administrations akin to the ways citizens are locally governed by city councils. As in any level of governance, policymakers (also known as decision makers) and stakeholders exist in a mutually-influential relationship, which I refer to as dialectic of influence. Voting, protesting, organizing, and other political activity allows stakeholders to influence decision makers, and decision makers create policies that affect the lives of stakeholders.

At the university level, students are a primary stakeholder of relatively all policies and decisions made by their university administration. For this reason, student activism among specific conditions within these university communities can spur policy changes at the institutional level. However, scholars in higher education recognize a gap in this dialectic that reduces student efficacy as policy stakeholders at their universities (Miller et al., 1998). Often seen as “passing through,” students are rarely meaningfully included in the policymaking process of their universities, despite being a foundational stakeholder of policy outcomes (Miller et al., 1997, p. 140). This perspective places students as dependent stakeholders, that is those who are not powerful or urgently incorporated despite their legitimate claims, of their university’s decision-makers (Mitchell, Agle, & Wood, 1997). The significant problems posed by these theories that students are neither salient nor effective stakeholders, as well as the existing gaps in research regarding student stakeholder characteristics, have prompted this study.

Recognizing a likely imbalance in this dialectic, I propose the idea of a feedback effect at the university-level. In previous research specifically regarding sustainability initiatives, this conceptual argument was posited to predict a positive correlation between (1) student support for sustainability initiatives and (2) policies adopted by university decision makers to advance sustainability. However, due to this identified gap in the dialectic of influence, this positive correlation would more than likely be due to university policies authorizing student behavior from the top-down, not from students influencing policies and decision makers from the bottom up.

Understanding the complex relationships that shape student policy attitudes in a likely imbalanced relationship of influence, in which students are correctly seen as dependent stakeholders with limited agency to impact university administrations, requires a consideration of many factors. Researchers Watson, Hegtvedt, Johnson, Parris, and Subramanyam (2017) examine how individual student environmentally-responsible behaviors (ERBs) are shaped by university support (authorization) and peer support (endorsement) of sustainability initiatives on campus. Their findings show that the factor of institutional support, or authorization, has a significant impact on student ERBs; this impact is greater than that they observe from endorsement, or peer-to-peer support (Watson et al., 2017). Their evidence shows that students in their case study were more likely to adopt ERBs if they believed their university supported those behaviors, further suggesting the possibility of a feedback effect (Watson et al., 2017).

The purpose of this paper is to better understand the possibility of such a feedback effect. How might university authorization, or formalized support for sustainability initiatives, impact student values, behaviors, and understanding of sustainability issues? How does exposure to university sustainability efforts affect student ERBs and sustainability literacy?

Based on the evidence supporting a feedback effect, I predict exposure to university-authorized sustainability initiatives will be positively correlated with student ERBs and sustainability literacy. In a case study on a mid-sized, public university in the Mid-Atlantic region of the United States, these hypotheses are tested using bivariate analysis and linear regressions. Data for analysis comes from the survey results of the university’s first Association for the Advancement of Sustainability in Higher Education’s Sustainability, Tracking, Assessment, and Rating System (AASHE STARS) Sustainability Culture and Literacy Assessment (SCLA).

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The SCLA responses include self-indicated student ERBs and objectively-scored responses on sustainability issues and concepts. The implications of this research are broad, but specifically significant to the advancement of sustainability in higher education. While many factors influence student behaviors and literacy related to sustainability, a better understanding of the relationship of influence between university decision makers and their students could improve university-led efforts to promote ERBs and improve sustainability literacy on their campuses.

Existing Scholarship

Sustainability is often used as a broad term for processes associated with environmental issues. For the purposes of this research, the term sustainability refers to issues and processes at the nexus of environmental, social, and economic issues. The Environmental Protection Agency’s (EPA) “Sustainability primer” is a working guide and summary for their implemented definition of the term according to the National Environmental Policy Act of (NEPA) of 1969.

Sustainability is defined by the National Environmental Policy Act (NEPA) of 1969 as “conditions under which humans and nature can exist in productive harmony that permit fulfilling the social, economic, and other requirements of present and future generations.” In this guide, the U.S. Environmental Protection Agency (EPA) expands upon this definition, with a “three-pillar” definition of sustainability that emphasizes the realms of environmental issues, social issues, and economic issues. This definition is expansive, and presents the concept of sustainability as a process-oriented approach to achieving prosperous communities on all levels. The implication of this definition on this research is that an objectively-scored sustainability literacy assessment requires an understanding of all three dimensions as they relate to each other.

Stakeholders and Decision-Makers at the University Level

Framing the relationship between students and decision-makers at the university requires an examination of stakeholder theories from management and administration research.

Researchers Agle and Wood (1997) of the University of Pittsburgh and Mitchell (1997) of the University of Victoria set out to situate a more foundational stakeholder theory based on the three major stakeholder characteristics of power, legitimacy, and urgency. Their foundational text outlines an umbrella-definition of any stakeholder, actual or potential, based on their power to influence a firm, legitimacy of their relationship to the firm based on influence, and the urgency of their claim on the firm (Mitchell, Agle, & Wood, 1997). Using these three characteristics, the researchers establish an eight-category typology of stakeholders (see Table 1) and outline their relationship to decision-makers based on the assumptions that stakeholder salience and efficacy is relative to the prioritization they receive from their decision-makers.

Summary of Stakeholder Typologies from Mitchell, Agle, & Wood (1997) #

Name

Powerful?

Legitimate?

Urgent?

1

Dormant stakeholder

Yes

No

No

2

Discretionary stakeholder

No

Yes

No

3

Demanding stakeholder

No

No

Yes

4

Dominant stakeholder

Yes

Yes

No

5

Dangerous stakeholder

Yes

No

Yes

6

Dependent stakeholder

No

Yes

Yes

7

Definitive stakeholder

Yes

Yes

Yes

8

Nonstakeholder

No

No

No

Table 1: Summary of stakeholder typologies from Mitchell, Agle, & Wood (1997)

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Researchers Miller et al. (1998) of the University of Nebraska’s Department of Sociology describe the specific relationship between university students and administrators in the development of policies and decisions. While the focus of these researchers is the role of stakeholder demographics such as “gender, race, school standing, and occupation” in their attitudes towards multicultural equity and diversity policies at the university-level, the significant takeaway of this research is their explicit perspective that, even though they have unique stakes in policy, students are often just seen as “passing through” and not actively involved in university policy processes.

While scholars have examined the relationship between universities and external stakeholders (see Benneworth & Jongbloed, 2010), there is a lack of examination of the role of students in this stakeholder relationship with university decision makers. Applying the theoretical typology of Mitchell, Agle, and Wood (1997) to the university-level from the perspective of Miller et al. (1998) places students as dependent stakeholders of their university’s decision-makers (see Table 1). Similar to the relationship shared by dependent stakeholders and a firm or business, students possess legitimate and urgent concerns relative to the decisions made by their universities, but characteristically lack power to affect relevant decision-makers. In this way, university relationships akin to a representative-constituent relationship are challenged in favor of a more transactional, corporatized relationship. Incorporating this framework with previous research begs the question of student relationships as either constituents or customers. If they are not meaningfully incorporated, students can seem reduced to a simply transactional relationship between themselves and their universities.

In a previous theoretical paper, I examined the correlation between student attitudes and understanding of a specific set of policy issues (environmental sustainability) with the policies enacted by their respective university. In this theoretical paper, the idea of a positive feedback effect as an explanation for what was predicted to be a positively-correlated relationship was posited (see Figure 1). Because students were likely disjointed from a position of efficacy as stakeholders, the simultaneously predicted positive relationship was attributed to university decision makers and their policies influencing students, rather than the inverse. Examining this potential feedback effect requires focus in a specific area of policy and an examination of existing research in that realm of policy at the university level. Focusing once again on environmental sustainability policies at the university level, a review of relevant research in environmental sustainability attitudes, behaviors, and policies at the university level is necessary.

Fig. 1: Diagram of potential feedback effect from previous research hypothesizing the influence decisions made at the university level likely have on student attitudes towards policy issues.

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Sustainability Initiatives and ERBs on College Campuses A significant area of student activism and interest on college campuses in America is environmental sustainability (Fung & Adams, 2017). A focus on this area of relevant policies, attitudes about them, and the influence they have on students is significant for this research.

Researchers Hughes and Estes (2005) evaluate the effectiveness of traditional, classroom-style learning experiences and experiential learning experiences on undergraduate students’ environmentally-responsible behaviors (ERBs) on students in upper-level environmental studies and sciences courses at a large state university in the southern US. Their research focuses on the role of exposure to university efforts in developing student behaviors, which is related to this concept of the feedback effect. Their findings indicate that classroom settings and experiential learning initiatives promoted by a university can shape the behaviors of students related to sustainability.

In general, their work provides evidence for the framework that this research presupposes, which is that university decisions can and will impact student ERBs.

Specifically unpacking the formation of ERBs as influenced by context, researchers Watson, Hegtvedt, Johnson, Parris, and Subramanyam (2017) consider the role of student perceptions of legitimacy, both university support (authorization) and peer support (endorsement) for university sustainability initiatives. Using survey results from fourth-year students at a college in the southeastern US, the researchers find that the perceptions students have of sustainability legitimacy, or support from their university administration, have a positive correlation with their ERBs. Essentially, they find that students are more likely to engage in ERBs like recycling if they perceive their university as supportive of such choices. This study serves as additional preliminary support for the idea of a feedback effect, but leaves out the formation of student sustainability literacy. In order to examine the possibility of a feedback effect on both student literacy and behaviors, I seek to examine the two in relation to student exposure to sustainability efforts at their university.

Assessing Sustainability Culture and Literacy

The Association for the Advancement of Sustainability in Higher Education (AASHE) includes the assessment of sustainability culture and literacy of a university or institution as a scored portion of their Sustainability Tracking, Assessment, and Rating System (STARS). For full credit for these two data categories, institutions must actively assess their community’s understanding of broad sustainability issues and topics as well as their campus’ sustainability literacy. Two of the highest-scoring institutions in the program, Arizona State University (ASU) and Colorado State University (CSU), have conducted these comprehensive assessments. ASU’s previous 2017 submission is a significant source of guidance for comprehensive survey design, and the results of CSU’s 2019 SCLA identify preliminary trends in student responses.

Researcher Allison Varley (2016) of Arizona State University’s (ASU) Department of Social Psychology prepared the materials for the university’s 2017 submission to the Association for the Advancement of Sustainability in Higher Education’s (AASHE) Sustainability Tracking, Assessment, and Rating System (STARS). This outline breaks down the development and administration process of a unique survey for their campus community; this survey was designed to provide data on sustainability values and literacy among ASU students, faculty, and staff, as well as on commuter modality splits and carbon emissions in transit.

Similarly, Colorado State University’s (CSU) 2019 assessment of student sustainability culture is a portion of their 2019 submission to AASHE STARS. Specifically for the system’s sixth “Engagement” data category “Assessing Sustainability Culture,” the university survey was designed and administered to a “representative” sample of 216 student respondents in order to better understand how CSU students at large value and care about sustainability in their values and behaviors. Their respondent pool was overwhelmingly white and female, with a large majority indicating a high value for sustainability in their own personal values. However, respondents demonstrated a value-action gap in their responses to the feasibility of actualizing

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sustainable goals on their own campus (most were unfamiliar with the means to do so) and individual environmentally-responsible behaviors (ERBs) (most only participated in a few single-use waste reducing habits).

Hypotheses & Methodological Design Based on the foundational literature from stakeholder governance and sustainability in higher education, I posit two hypotheses on the relationship between exposure to university authorized sustainability efforts and student ERBs and student literacy, respectively.

H1: Exposure to sustainability organizations, initiatives, and opportunities will be positively correlated with respondents’ environmentally-responsible behaviors.

H2: Exposure to sustainability organizations, initiatives, and opportunities will be positively correlated with respondents’ sustainability literacy.

Understanding the plausibility of a feedback effect and the noted chasm between student stakeholders and university decision makers, I predict that exposure to sustainability efforts that have been legitimized or authorized by the university will be a determinant factor for predicting student ERBs and student literacy on sustainability issues.

In order to measure the independent variable of exposure to university-authorized sustainability efforts and dependent variables of literacy and environmentally-responsible behaviors among students, a quantitative sustainability literacy and culture assessment (SCLA) was designed and implemented as a voluntary survey for the entire university community (students, faculty, staff, administrators) and cleaned for analysis of student responses alone. An explanation of the survey design, specific questions utilized, and aggregate scoring process utilized follows.

Survey Design

The SCLA survey was designed over the course of around nine months through collaboration between sustainability staff, research faculty, and undergraduate student researchers.

Similar to the aforementioned ASU and CSU assessments, the SCLA was designed to fulfill credit requirements “AC-6: Assessing Sustainability Literacy” and “EN-6: Assessing Sustainability Culture” in addition to transportation emissions data for the AASHE STARS 2.2 reporting guidelines. The SCLA included two questions that assessed the independent variable, exposure to sustainability initiatives, and entire sections to measure the dependent variables of individual environmentally-responsible behaviors and sustainability literacy.

Assessing Exposure Question 24 provided respondents with a four-point Likert scale (0 - Not at all confident, 1 - Not at all confident - but I would like to know how, 2 - Somewhat confident, 3 - Confident) to measure the dependent variable of student exposure to university sustainability efforts. This section was designed to measure specifically students’ confidence in accomplishing seven university-specific behaviors or tasks related to sustainability initiatives that have been marketed and promulgated at their university, ranging from connecting with faculty and staff for sustainability research and events to participating in university-specific sustainability programs like the community garden and reusable to-go box dining program (see Table 3).

Question 25 provided students with another four-point Likert scale (0 - Never heard of it, 1- Heard of it but do not know much about it, 2 - Familiar with them but have not worked directly with them, 3 - Familiar and have worked directly with them) to indicate their familiarity with four campus offices that work directly with sustainability initiatives on their university campus. This section similarly measures the dependent variable of student exposure and familiarity with the university-authorized sustainability initiatives and programs.

The purpose of this section lies in gauging the independent variable in this analysis, which is student exposure to university-authorized sustainability initiatives. In order to quantify student exposure in an aggregate score for analysis, responses to these ten questions were scored, assigning each student respondent an exposure score between 0 and 30. For example, a student indicating no confidence and no familiarity would receive a score of 0 and a student indicating complete confidence and the highest familiarity would receive a score of 30.

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Questions Assessing Exposure Q24

How confident do you feel that you know how to do the following at CNU? Connect with faculty who teach or conduct research in sustainability topics; Contact staff members who provide support for implementing sustainability on campus Participate in the reusable to-go container program at either dining hall (prior to COVID-19) Report a leaking faucet on campus Rent a plot from the Class of 2016 Community Garden Find information about the university’s programing around Diversity, Equity, and Inclusion

Q25

What is your relationship with the following on-campus entities?

Center for Community Engagement (CCE) Center for Sustainability in Education (CSE) Office for Sustainability (OfS) Student Sustainability Commission (SSC)

Table 2: Survey questions posed to respondents to gauge exposure to sustainability at their university.

Assessing ERBs Question 16 provided students with a four-point Likert scale (0 - Never, 1 - Sometimes, 2 - Frequently, 4 - Always) to indicate the frequency of their individual environmentally-responsible and sustainable behaviors. Questions included both habits of “Increasing” sustainable and environmentally-responsible behaviors (i.e. purchasing local produce) and “Decreasing” behaviors with negative environmental impacts (i.e. consuming red meat) (See Table 3).

The purpose of this section is to gauge the first dependent variable for analysis, which are student environmentally-responsible behaviors (ERBs). The eight behaviors in this question were also quantified based on responses, assigning each student respondent a behavior score between 0 and 24. For example, a student who indicated never participating in any of the listed behaviors would receive a score of 0, while a student who indicated always participating in all of the behaviors would receive a score of 24.

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Questions Assessing ERBs Q16

Thinking about your regular habits, how often do you engage in the following activities?

Print double-sided Recycle single-use plastic water bottles Limit single-use plastic bags Avoid products with ingredients on California’s Proposition 65 list Buy fruits or vegetables that are grown locally Contact your representatives (local, state, or national) Attend events that seek to address social inequities Reduce red meat consumption

Table 3: Survey questions posed to respondents to gauge environmentally-responsible behaviors.

Assessing Literacy

Finally, eleven questions with objective responses were employed to gauge student sustainability literacy. Student understanding of the following sustainability issues were assessed: a three-pillar definition of sustainability, relationship between environmental and socio-economic issues, economic externalities in environmental issues, the reality and causes of climate change, ecosystem services, renewable versus non-renewable energy, gender equity and sustainable development, and economic inequity in the United States. In Table 4, each specific question is outlined with the potential responses; responses that were the most accurate/correct are highlighted.

All questions were prefaced about their nature as an objective, “quiz-like” section.

Students were briefed on the nature of the literacy section, as well as encouraged to select “Do not know” when necessary, with the following disclaimer: The next questions are more like a quiz, rather than a survey. Each question is multiple choice and has one answer that is more correct than the other answers. They are designed to assess how much you already know about the topic of sustainability.

These questions are not designed to test your intelligence. By answering each question honestly and to the best of your ability, the CSE is able to better understand our community’s current knowledge base regarding sustainability, which will allow us to see how it changes over time.

The purpose of this disclaimer is to ensure that our responses were as honest and accurate about student literacy as possible. Encouraging respondents to answer questions honestly instead of with responses they believe may be socially-desired was included to increase confidence in the results.

The overall purpose of this robust assessment is to measure the second independent variable for analysis, which is sustainability literacy. Similarly to previous sections, student responses were objectively scored, with students accumulating points for each correct response out of the thirteen available responses. For example, a student who answered all questions correctly would receive a score of 13, while a student who answered no questions correctly or responded “Do not know” to all responses would receive a zero.

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Questions Assessing Literacy Q3

Which of the following dimensions are included in the most widely used definition of sustainability? Select all that apply.

Society; Democracy; Environment; Economy; Do not know

Q4

Which behavior has the smallest impact on the environment?

Recycling all recyclable packaging; Reducing consumption of all products; Buying products labeled “eco” or “green”; Buying the newest products available; Do not know

Q6

Which factors influence the impact human beings have on natural resource availability?

Select all that apply.

Total number of humans on the planet (population size); Amount of resources each person uses; Use of technology that makes resource use more efficient; Do not know

Q7

For each example below, indicate if it is an “ecosystem service”, a “renewable natural resource”, a “non-renewable natural resource”, or “none of the above”.

Natural gas used to heat the DSU; Bamboo fiber products; Clean water in the James River from an intact oyster bed ecosystem; Recycling; The Shenandoah forest intaking carbon dioxide and outputting oxygen

Q8

Which strategy is recognized by the United Nations as “a necessary foundation for a peaceful, prosperous and sustainable world”?

Supporting farming in local communities; Prioritizing gender equity (eg. programs that increase educational opportunities for women and girls); Building homes for those who are without them; Protecting private property rights; Do not know

Q10

Many economists argue that electricity prices in the U.S. are too low. Which of the following is most likely the reason?

Prices do not reflect the cost of pollution and other social effects.; Too many suppliers go out of business.; Electric companies have a monopoly in their service area.; Consumers spend only a small part of their income on energy.; Do not know

Q11

Most experts agree that over the past 3 decades the difference between the wealth of the richest and the wealth of the poorest Americans has: Increased; Stayed about the same; Decreased; Do not know

Q12

Which of the following statements is most true?

The effects of climate change are disproportionately felt by people who live closer to or under the poverty line.; The effects of climate change are disproportionately felt by wealthier people.; The effects of climate change are felt equally by people of all socioeconomic backgrounds.; Environmental issues and socioeconomic issues are unrelated.; Do not know

Q13

Which statement most accurately represents the current scientific consensus about global climate change?

Most scientists think climate change IS HAPPENING.; Most scientists think climate change IS NOT HAPPENING.; There is a lot of disagreement among scientists about whether or not climate change is happening.; Do not know

Table 3: Survey questions posed to respondents to gauge environmentally-responsible behaviors.

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Demographic Information

Finally, respondents were asked to indicate demographic characteristics for control variables. Demographic information respondents self-reported that were utilized as control variables included number of years at their university, political affiliation, gender identity, racial/ ethnic background, and annual household income. The inclusion of this section in this analysis serves to primarily control responses and consider multiple variables in explaining potential outcomes and relationships, as well as to provide comparative data on the sample population versus the entire student population.

Methods of Analysis

In order to quantitatively compare the relationship between exposure and the variables of student sustainability literacy and ERBs, two methods of analysis were conducted. First, bivariate analysis of each dependent variable compared to the independent variable of exposure was conducted and plotted, giving an R-squared value and a two-tailed test of statistical significance for each relationship. Second, in order to better understand the weight of exposure in predicting student literacy and behaviors, linear regressions were run with control variables from the demographic responses in place. Each dependent variable was tested for with controls for gender, racial/ethnic background, party identification, and years at the university.

Results

The SLAC was emailed to all students, faculty, staff, and administrators on March 17th, 2021. All participants were encouraged to complete the survey in order to be entered into a raffle for one of six different prizes, including sustainability-focused gift baskets and campus debit card funds.

For a total student population (commuter and residential students) of 5,126, our total 461 complete student responses gave us a student response rate of around 8%. Residential student population at the time of analysis was 3,831; our total 378 complete residential student responses meant that our residential student response rate was around 9.8%. Finally, the non-residential/commuter student population at the time of analysis was 1,295; our total 85 complete non-residential student responses meant that our non-residential student response rate was around 6%.

The respondent cohort characteristics gave increased confidence in the scope of the analysis conducted (see Chart 1). In terms of gender, just under 68% of students identified as female, almost 19% identified as male, slightly more than 2% of respondents identified as non-binary, and around 10% either chose not to respond or left the section blank. The overall campus population, according to recent university data that excludes nonbinary students, around 55% of the campus is female (Christopher Newport University, Internal Assessment, 2021). Selection bias and previous scholarship that suggests female respondents being more likely to participate in voluntary environmentally-focused initiatives made this type of gender breakdown expected (Mohai, 1992; Watson et al., 2018).

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Chart 1: Respondent breakdown by gender identity Racially, the cohort was less diverse than hoped for, but still largely reflective of the greater campus population (see Chart 3). According to the most recent, public-facing university data available, 75% of the student body identify as White, around 6% identify as African American or Black, less than 6% identify as Latinx, less than 6% identify as multi-racial, less than 4% identify as Asian/Pacific Islander, and the remaining less than 2% are either international students or unreported (Christopher Newport University, Internal Assessment, 2021).

Our cohort self-reported as just under 74% white, nearly 5% multi-racial, and around 3% respectively for Asian/Pacific Islander, African American or Black, and Latinx. Around 12% either chose not to respond or left this section blank. As a predominantly-white institution, these results were expected.

Chart 2: Respondent breakdown by racial/ethnic background

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Political party identification was greatly varied across respondents (see Chart 3). Of our cohort, 38% of respondents identified with the Democratic Party, almost 11% identified with the Republican Party, nearly 19% identified as Independent or with an independent party such as the Libertarian Party, and over 21% of respondents indicated no party affiliation. Less than one percent indicated identification with fringe parties, such as the Communist Party, and around 10% chose not to respond or left this section blank. Knowing that the American left and Democratic Party tend to take ownership of environmental and social issues, the observed results of Democratic Party identification as the largest single group were expected. Interestingly enough, the large portion of respondents who indicated no party identification is reflective of observed trends in the newest generations of voters who are increasingly disillusioned with party systems in general (Twenge et al., 2016). Altogether, the variation across party affiliations reassured that our respondents were not entirely or even majority left-leaning, increasing confidence in the variety of respondents.

Chart 3: Respondent breakdown by political party identification Finally, the respondent cohort varied across their time spent at their university (see Chart 4). Around 28% of respondents had spent more than two but less than three years at the university; typically, these would be traditional juniors completing their third year. Just under 25% of respondents had spent more than one but less than two years at the university - traditional sophomores and transfer seniors would fall in this category. 18% of respondents spent more than three but less than four years at the university - these are most likely traditional seniors completing their fourth year. Lastly, almost 15% of respondents had spent more than two but less than three years at the university, less than 10% had spent any more than four years, and around 10% left this section incomplete. Preliminary concerns of a respondent pool that was inherently more exposed or spent more time at the university were alleviated with this cohort’s variation across years.

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Chart 4: Respondent breakdown by years at the university

Finally, exposure scores aggregated from questions about familiarity with and confidence in participating in university sustainability initiatives and projects were scored out of 30.

The mean response was 14.09, with most students falling on the lower side of the bell curve of exposure (see Chart 5). The exposure variation across respondents increased confidence in the demographic variation of respondents.

Chart 5: Distribution of aggregate exposure scores Exposure and ERBs

Each respondent’s indicated environmentally-responsible behaviors (ERBs) received an aggregate score out of 24; however, the highest score reported was a 20. The mean response for students was a 9.69, showing a slight skew towards less participation in ERBs for the cohort (see Chart 6). An overall cohort that did not have generally-high participation in ERBs and varied across a typical bell curve increased confidence in the range across which analysis of a relationship with exposure could be conducted.

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Chart 6: Distribution of aggregate behavior scores

Bivariate analysis between exposure score and behavior scores displayed a positive correlation between the two variables: as exposure increased, so did the likelihood of a higher behavior score (see Chart 7). In order to examine the relationship while accounting for other control variables, a linear regression was modeled and run for the two. Exposure was determined to be a statistically significant predictor of ERBs (Standardized coefficient beta = 0.358, R-squared = 0.129, Significance = 0.000). Even when accounting for gender, race, party identification, and years at the university, exposure was significantly related to behaviors (see Table 4 and Chart 8).

Chart 7: Bivariate plot of exposure compared to behaviors

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Table 4: Linear regression model (reference variables = White, Male, Democrat, More than two years at the university

Chart 8: Additional variable plot for linear regression comparing exposure and behaviors Exposure and Literacy Each respondent’s objective literacy responses received an aggregate score out of 12; one point for each correct answer. The mean response for students was a 6.92, which out of 12 gave a mean score of around 57%. These responses show a slight skew towards a lower overall understanding of sustainability issues and concepts (see Chart 9). An overall cohort that did not have generally-high literacy scores and varied across a typical bell curve similarly increased confidence in the range across which analysis of a relationship with exposure could be conducted.

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Chart 9: Distribution of aggregate scores on literacy sections

Bivariate analysis between exposure score and literacy scores also displayed a positive correlation between the two variables: as exposure increased, so did the likelihood of a higher literacy score (see Chart 10). In order to examine the relationship while accounting for other control variables, a linear regression was modeled and run for the two similarly to the regression for exposure and behaviors. Exposure was determined to be a statistically significant predictor of literacy scores as well (Standardized coefficient beta = 0.156, R-squared = 0.025, Significance = 0.001). Even when accounting for gender, race, party identification, and years at the university, exposure was significantly related to literacy (see Table 5 and Chart 11).

Chart 10: Bivariate plot of exposure compared to literacy

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Table 5: Linear regression model (reference variables = White, Male, Democrat, More than two years at the university

Chart 11: Additional variable plot for linear regression comparing exposure and literacy Discussion

Statistical analysis controlling for demographic variables provides preliminary evidence to support both of my hypotheses. Exposure to university sustainability initiatives, including both familiarity with offices and initiatives and confidence in how to participate in them, was positively correlated with environmentally-responsible behaviors and sustainability literacy. While correlation does not imply causation and the line of causation cannot be proved, confidence in the correlation and the claims about this cohort is increased due to the variation in respondent

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demographics and the significance of the relationships even when controlled for demographic variables.

Understanding from previous research that students are not often meaningfully involved as stakeholders in their universities and from the prediction that students are more likely to be influenced by their university than the inverse, these results provide evidence in support of the feedback effect. As student attitudes towards sustainability initiatives (behaviors, literacy) increase, it is likely that university initiatives positively correlate. However, the role of exposure in determining student attitudes is significant, providing evidence to support the line of causation that university efforts are significant in shaping and determining these student attitudes in the positively correlated relationship. For this reason, a top-down approach to support for sustainability initiatives seems pertinent and important. Improving student sustainability behaviors and literacy can likely be achieved through increased opportunities for exposure from top-down support from university administrators. Better support for university sustainability offices, research centers, student advocacy groups, and experiential learning opportunities like community service can provide more opportunities for student exposure to sustainability efforts, and likely increase the community’s overall behaviors and literacy.

While significant for claims about this specific university and the relationships present here, these results are not necessarily transferable to all other universities without acknowledging a few significant unique characteristics of the cohort. Non-white ethnic and racial groups are severely underrepresented in this cohort and in the larger campus community. Selection bias is significant to consider, as filling out a long, voluntary survey about sustainability likely drew more sustainability-focused and exposed students than others. Finally, an increased response rate through increased survey marketing and distribution would have greatly increased the confidence in these claims.

Future research recommendations include examining this relationship over time as university efforts increase, better examining the role of racial and ethnic background in this relationship as it is not adequately examined in this cohort, and a deeper examination of the relationship of influence between student and university entities across issue areas beyond socio-environmental issues.

Looking Forward

This research is significant for future research in sustainability efforts in higher education, university stakeholder relationships, campus assessment through surveys, “campus as a living lab” research as promulgated by AASHE STARS, and the overall implementation and improvement of sustainability initiatives on college campuses. A more refined understanding of the relationships between students and administrations at the university-level will not only improve the implementation of sustainability efforts, but also all student advocacy across issue areas like diversity and inclusion, mental health, and others. Additionally, improving opportunities for interdisciplinary research that studies campuses as spaces for social research holds potential to improve student and faculty capabilities to address complex socio-environmental issues at the heart of sustainability initiatives.

Acknowledgements

The author would like to extend great thanks to the faculty and staff that helped make this project possible, including Dr. Linda D. Manning (Department of Communication), Jennifer Jones (Office for Sustainability), Dr. Rebecca Bromley-Trujillo (Department of Political Science), and Dr. Andrew Rose (Department of English). This project would not have been possible without their collaborative support.

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References Benneworth, P., & Jongbloed, B. W. (2010). Who matters to universities? A stakeholder perspective on humanities, arts and social sciences valorisation. Higher Education, 59(5), 567-588. http://dx.doi.org/10.1007/s10734-009-9265-2 Christopher Newport University, Internal Assessment. (2021). University Statistics. Diversity at CNU. https://cnu.edu/diversity/statistics/ Colorado State University. (2019). Assessing Sustainability Culture Survey - Students. https:// reports.aashe.org/media/secure/326/7/705/5819/Assessing-Sustainability-CultureSurvey-Students.pdf Environmental Protection Agency (n.d.). Sustainability primer - Version 9. www.epa.gov/sites/ production/files/2015-05/documents/sustainability_primer_v9.pdf Fung, C., & Adams, E. (2017). What motivates student environmental activists on college campuses? An in-depth qualitative study. Social Sciences, 6(134) https://www. researchgate.net/publication/320885028_What_Motivates_Student_Environmental_ Activists_on_College_Campuses_An_In-Depth_Qualitative_Study Hughes, C. S., & Estes, C. A. (2005). The influence of environmental education on environmentally responsible behaviors of undergraduate students in a traditional and nontraditional setting. The Journal of Experiential Education, 27(3), 308-310. https://0-searchproquest-com.read.cnu.edu/scholarly-journals/influence-environmental-education-on/ docview/274918611/se-2?accountid=10100 Mitchell, R. K., Agle, B. R., & Wood, D. J. (1997). Toward a theory of stakeholder identification and salience: Defining the principle of who and what really counts. The Academy of Management Review, 22(4), 853-886. https://www.proquest.com/scholarlyjournals/toward-theory-stakeholder-identification-salience/docview/210945979/ se-2?accountid=10100 Mohai, P. (1992) Men, women, and the environment: An examination of the gender gap in environmental concern and activism. Society & Natural Resources, 5(1), 1-19. https:// doi.org/10.1080/08941929209380772 Twenge, J. M., Honeycutt, N., Prislin, R., & Sherman, R. A. (2016). More polarized but more independent: Political party identification and ideological self-categorization among U.S. adults, college students, and late adolescents, 1970-2015. Personality and Social Psychology Bulletin, 42(10), 1364–1383. https://doi.org/10.1177/0146167216660058 Varley, A. (2016). Sustainability and PTS Survey. Arizona State University. https://reports. aashe.org/media/secure/21/7/705/5819/Sustainability%20and%20PTS%20Survey_ Materials%20and%20Questions_2017.pdf Watson, L., Hegtvedt, K. A., Johnson, C., Parris, C. L., & Subramanyam, S. (2017). When legitimacy shapes environmentally responsible behaviors: Considering exposure to university sustainability initiatives. Education Sciences, 7(13). https://doi.org/10.3390/ educsci7010013

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About the Author James F. Duffy is a May 2021 graduate of Christopher Newport University’s College of Social Sciences, from which he earned a Bachelor of Arts in Political Science & Interdisciplinary Environmental Studies with a minor in Leadership Studies. He completed this project and the previous theoretical paper over the course of his capstone projects for the Political Science and Environmental Studies degree programs. Additionally, he was able to complete this project with the support from the Office of Undergraduate Research and Creative Activity’s (OURCA) Research Apprentice Program (RAP) under Dr. Linda D. Manning in the Center for Sustainability in Education (CSE). Previously a two-year intern of the Office for Sustainability under coordinator Jennifer Jones, his research interests include advancing sustainable practices in higher education, student advocacy, and policy relationships at the university level. In the fall of 2021, he will begin his Juris Doctorate candidacy at the University of Baltimore School of Law to pursue his career goals of working in environmental justice and law.

“Equity Valuation Theory & Applications” Alexander W. Freeman Faculty Sponsor: Dr. Thomas Hall, Department of Accounting and Finance

Abstract There are numerous methods to calculate the estimated fair value of a company based on modern finance theories; however, which one is the most effective? The purpose of this paper is to explore the three most commonly used valuation methods in both the finance industry, and academia. Then, utilize each method to estimate the intrinsic value of one of the world’s most notable brands, Coca-Cola. This paper will compare each method’s assumptions and output, and explore the importance of a fundamental knowledge of the company you want to value before choosing which method to employ.

Keywords: Valuation, discounted cash flow, relative valuation, dividend discount

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Equity Valuation Theory & Applications Equity valuation is a term that is used to describe the techniques that investors execute to calculate the intrinsic value of a company’s equity. This is the most critical part of an investment decision; to know what a company is really worth compared to market value. Every participant in the equity market uses valuation in some manner to make investment decisions.

This can be on a small scale with individual investors, or on a large scale by institutional funds.

By finding the intrinsic value of an asset, you can predict how it will do in the future. Companies with a high intrinsic value are undervalued, because their real value is higher than what the market is portraying. There are many factors that can affect a company’s value. This includes macroeconomic trends, management, profits, industry trends, and much more1. Different valuation techniques paint a picture for investors to gauge the decisions taken by the company and identify areas of financial strength and weakness. After a company is valued, the investor has a better idea if the current share price is fairly valued, as well as gain information that can be used when management makes capital allocation decisions in the future2.

Equity Valuation Theory When valuing a business, there are many different methods that an investor can use.

Of these methods, three are widely used in the finance industry, including relative valuation, dividend discount model (DDM), and discounted cash flow model (DCF). Each method is selected based off criteria presented from current company, industry, and market conditions. For example, a stable company that has a long history of dividend payout would be valued using a DDM model. On the other hand, if a company doesn’t have a history of dividend payout but we know the value of operating cash flow or free cash flow to equity, a DCF using WACC or cost of equity is appropriate.

Dividend Discount Model (DDM) A dividend discount model is one method to predict a company’s future share price.

This model assumes the present-day price is worth the sum of all of its future dividend payments when discounted to the present value. The DDM model relies on several other assumptions that cannot be easily forecasted. One must forecast future dividend payments, the growth of dividend payments, and the cost of equity capital. Due to all of these assumptions having to be made in an accurate manner, the output theoretical price is usually not 100% accurate.

There are several ways to formulate the DDM model based on assumptions, but the most widely used in the industry is the Gordon Growth Model. This model was created

by Economist Myron Gordon. Gordon’s model predicts a stock’s intrinsic value based on the dividend’s constant rate of growth. The Gordon Growth Model assumes that future dividend payments will grow at a constant rate forever3. This is helpful to assess a company with stable dividend growth. A more detailed version of the mathematical formula for the Gordon Growth model can be found in Appendix A. Discounted Cash Flow Model (DCF) A Discounted Cash Flow model using WACC or cost of equity is another method used to value a business. A DCF is used to forecast a company’s unlevered free cash flow which is then discounted back to present value, called Net Present Value (NPV). A DCF uses all three financial statements and links them together.

Equity Valuation - Overview, Types of Users, and Process. (n.d.). Retrieved November 24,

2020, from https://corporatefinanceinstitute.com/resources/knowledge/valuation/ equity-valuation/ 2 Equity Market and Importance of Valuation. (n.d.). Retrieved November 24, 2020, from https://kalkinemedia.com/au/blog/equity-market-and-importance-of-valuation 3 Dividend Discount Model - Definition, Formulas and Variations. (2020, September

26). Retrieved November 24, 2020, from https://corporatefinanceinstitute.com/ resources/knowledge/valuation/dividend-discount-model/ 1

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In order to build a Discounted Cash Flow model, build a five-year forecast of unlevered free cash flow and calculate the terminal value, and discount all the cash flows to their PV using the WACC. The first step in the process of building this model is to build a forecast of all three financial statements based on how they are projected to perform in the future. This forecast builds up to the unlevered free cash flow. This is essentially taking EBIT, less taxes, less CAPEX, plus depreciation and amortization, less increases to non-cash working capital4.

The next step is to calculate the terminal value. One method is to use the perpetual growth rate, where the business is assumed to grow its free cash flow at a steady rate forever. It is also common to use an exit multiple approach where the business is assumed to be sold at a multiple such as EV/EBITDA. Next, it is time to discount the forecast period and the terminal value back to the PV using a discount rate (WACC). This represents the required rate of return to expect from a company.

Relative Valuation

Relative valuation methods are usually secondary to “absolute methods”5, or methods that try to find an exact intrinsic value. Relative valuation can also be a very quick and easy way for an analyst to figure out the value of a company compared to its direct competitors and the industry as a whole. In general, relative valuation methods compare a firm’s value to a firm’s competitors to determine its value. One of the most common multiples in a relative valuation is the price to earnings (P/E) ratio. For example, the P/E method takes the average P/E ratio for an industry multiplied by the estimated EPS to get a forecasted share price for a company.

This is a relative valuation method, because it compares a multiple to the industry, which does not take place for absolute valuation techniques.

Data

In order to get a better sense of the three valuation methods mentioned previously, an application of these models should be tested to a company. Coca Cola Inc. (KO) was chosen because it is one of the most notable and valued brands across the world. In order to get a good sense of how Coca-Cola is valued across each of these methods, the valuation web from Appendix B was used to figure out which method was best, and if we could actually use all three methods to find the intrinsic value of KO. The first step was to find if KO historically paid out stable, growing dividends. After consulting Yahoo Finance, KO’s dividend per share payout has grown 5.6% per year over the last five years. This shows that KO is a strong, mature entity that is consistently paying investors and growing this payout. From this information, we can confirm that a DCF using DDM is applicable. Next, the value of operating cash flow is needed to show whether a DCF using WACC can be used. Coca-Cola’s 10-k annual report shows cash flows after direct costs, which tells analysts that a DCF can also be used. Finally, with KO being in a large industry, the beverage industry, analysts have a large competitor sample to value KO in comparison to the industry and direct competition. Overall, since Coca-Cola is one of the world’s largest companies that consistently pays a growing dividend, and provides investors lots of information regarding historical finances, all three methods can be used to find its intrinsic value.

Application to Coca Cola Inc. With Coca-Cola paying a consistent dividend throughout its history, investors can create a dividend discount model (DDM) to find the intrinsic value of the company. In Appendix C, a dividend discount model was created in excel to find an intrinsic value of $27.69 in comparison Walk me Through a DCF Analysis - Investment Banking Interviews. (2020, November 12).

Retrieved November 24, 2020, from https://corporatefinanceinstitute.com/ resources/careers/interviews/walk-me-through-a-dcf/ 5 Tuovila, A. (2020, September 16). Relative Valuation Model. Retrieved November 24,

2020, from https://www.investopedia.com/terms/r/relative-valuation-model.asp 4

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to the market value of $52.68. This means that Coca-Cola’s intrinsic value is lower than the market value, meaning that based on discounting their dividend payout, it is overvalued.

The reason for the low intrinsic value is due to a negative growth rate input for the DDM model.

This growth rate was calculated by multiplying the retention rate, profit margin, asset turnover, and leverage to get -21.87%. Further information regarding the DDM model used to calculate these assumptions can be found in Appendix C. Next, with the DDM model outputting an intrinsic value significantly lower than the current market price, a DCF was constructed to find the present value of free cash flow to the firm (FCFF). This model is generally used to find cash flows after direct costs and before any payments to capital suppliers. This model was used for Coca-Cola to output an intrinsic value of $43.26 in comparison to the current market price of $52.68, meaning Coca-Cola stock is being estimated to have a low intrinsic value in comparison to market price. Further information regarding the assumptions and calculations for this model can be found in Appendix D.

To finalize the valuation of Coca-Cola, a relative valuation was calculated in two different ways to show how it compared to the industry and competitors. First, a P/E multiple approach was used to find an estimated stock price. This was calculated using the average P/E ratio of the beverage industry multiplied by the forecasted EPS for 2020, to output a price of $57.93. Next, a general relative valuation table was created to compare KO to its biggest competitor, PepsiCo, along with the beverage industry and consumer goods industry. This table calculated P/E, Forward P/E, P/OP, P/S, and P/BV compared to these entities. Generally, if the company price multiple is lower than the price multiple of the benchmark, then the stock is relatively undervalued.

Conclusion/Findings

In conclusion, based on the three valuation methods used to find an intrinsic value for Coca-Cola, the estimated intrinsic value was generally low in comparison to its current market price. The dividend discount model output an intrinsic value of $27.69, the DCF output an intrinsic value of $43.26, and the P/E relative valuation approach output an estimated price of $57.93. If you average these three price estimates, it gives an overall $42.69 intrinsic value, which is slightly lower than Coca-Cola’s current share price. Overall, given the outcome of each model, it is relatively safe to say that since the intrinsic value is lower than its market price, this company is overvalued. Each model takes different factors and assumptions into account, which is why each gave a relatively different output. This proves that certain companies should be valued using certain techniques over others, based on if they pay dividends, if the value of operating cash flow is known, etc. Before valuing a company, use the decision web found in Appendix B to determine which method is best.

Appendix A DDM Gordon Growth Model Formula Where: • V0 = The current fair value of a stock • D1 = The dividend payment in one period from now • r = The estimated cost of equity capital using CAPM • g = The constant growth rate of a company’s dividends

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Appendix B Valuation Web

Yes

No Do we know value of operating cash flow? (cash flows after direct costs, which are COGS and SGA)

Do we know much about comparable firms?

Yes

DCF using DDM

Yes

Do we know value of dividends? (stable, mature entity)

No

OR Do we know value of free cash flow to equity? (cash flows after direct costs, which are COGS and SGA, but subtract payments to debt holders)

???

Are conditions “extreme” in markets?

DCF using WACC

Yes

No

DCF using cost of equity

OK to use “relative valuation techniques”

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Appendix C Dividend Discount Model for Coca-Cola Inc.

Coca-Cola Co.

Dividends per share (DPS) forecast Year

Value

DPS(t) or TV(t)

Present value at 6.01%

0

DPS(0)

1.60

1

DPS(1)

1.25

1.18

2

DPS(2)

1.05

0.94

3

DPS(3)

0.95

0.80

4

DPS(4)

0.92

0.73

5

DPS(5)

0.95

0.71

5

TV(5)

31.25

23.34

Intrinsic value of Coca-Cola Co.’s common stock (per share)

$27.69

Current share price

$52.68

Based on: 10-K (filing date: 2020-02-24).

Assumptions Rate of return on LT Treasury Composite

R(F)

Expected rate of return on market portfolio

E[R(M)]

Systematic risk of Coca Cola Co.’s common stock

β(KO)

0.42

r(KO)

6.01%

Required rate of return on Coca-Cola Co.’s common stock Average

1.37% 12.48%

Dec 31, 2019

Dec 31, 2018

Dec 31, 2017

Dec 31, 2016

Dec 31, 2015

Dividends

6,845

6,644

6,320

6,043

5,741

Net income attributable to shareowners of The Coca-Cola Company

8,920

6,434

1,248

6,527

7,351

Net Operating revenues

37,266

31,856

35,410

41,863

44,294

Total assets

86,381

83,216

87,896

87,270

90,093

Equity attributable to shareowners of The Coca Cola Company

18,981

16,981

17,072

12,062

25,554

Selected Financial Data (US$ in millions)

Financial Ratios Retention rate

0.23

-0.03

-4.06

0.07

0.22

23.94%

20.20%

3.52%

15.59%

16.60%

Asset turnover

0.43

0.38

0.40

0.48

0.49

Financial leverage

4.55

4.90

5.15

3.78

3.53

Profit margin

Averages Retention rate Profit margin

-0.71 15.97%

Asset turnover

0.44

Fiancial leverage

4.38

Divident growth rate (g)

-21.87%

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Appendix D DCF Model (FCFF Forecast) for Coca-Cola

Coca-Cola Co.

Free cash flow to the firm (FCFF) forecast US$ in millions, except share data

Year

Value

FCFF(t) or TV(t)

0

FCFF(0)

10,162

1

FCFF(1)

9,633

Present value at 5.28% 9,150

2

FCFF(2)

9,293

8,383

3

FCFF(3)

9,119

7,814

4

FCFF(4)

9,101

7,407

5

FCFF(5)

5

TV(5)

9,234

7,138

245,442

189,726

Intrinsic value of Coca-Cola Co.’s capital

229,618

Less: Debt (fair value)

43,719

Intrinsic value of Coca-Cola Co.’s common stock

185,899

Intrinsic value of Coca-Cola Co.’s common stock (per share)

$43.26

Current share price

$52.68

WACC Equity (fair value) Debt (fair value)

Value

Weight

Required rate of return

226,389

0.84

6.01%

43,719

0.16

1.51%

Average

Dec 31, 2019

Dec 31, 2018

Dec 31, 2017

Dec 31, 2016

Dec 31, 2015

946

919

841

733

856

—

(251)

101

—

—

8,920

6,434

1,248

6,527

7,531

16.70%

19.30%

29.00%

19.50%

23.30%

Selected Financial Data (US$ in millions) Interest expense Less: Income (loss) from discontinued operations, net of income taxes Net income attributable to shareowners of The Coca-Cola Company Effective income tax rate (EITR) Interest expense, after tax

788

742

597

590

657

Add: Dividends

6,845

6,644

6,320

6,043

5,741

Interest expense (after tax) and dividends

7,633

7,386

6,917

6,633

6,398

EBIT(1-EITR)

9,708

7,427

1,744

7,117

8.008

10,994

13,194

13,205

12,498

13,129

4,253

4,997

3,298

3,527

2,677

27,516

25,364

31,182

29,684

28,407

Loans and notes payable Current maturities of long-term debt Long-tern debt, excluding current maturities Equity attributable to shareowners of The Coca-Cola Company

18,981

16,981

17,072

23,062

25,554

Total capital

61,744

60,536

64,757

68,771

69,767

Financial Ratios Retention rate (RR) Return on invested capital (ROIC)

0.21

0.01

-2.97

0.07

0.20

15.72%

12.27%

2.69%

10.35%

11.48%

Averages RR ROIC FCFF growth rate (g)

-0.05 10.50% -5.205

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Appendix E P/E Multiple Method for Coca-Cola

P/E Method Average P/E for Beverage Indistry

30.65

KO Forecasted EPS

$

1.89

KO Price Estimate

$

57.93

Appendix F Coca-Cola Relative Valuation

Coca-Cola Co. Current price multiples Coca-Cola Co.

PepsiCo. Inc.

Beverages

Consumer Goods

36.65

Selected Financial Data Current share price (P) No. shares of common stock outstanding Growth rate (g)

$52.68 4,297,434,612 -21.87

Earnings per share (EPS)

$2.08

Next year expected EPS

$1.62

Operating profit per share

$2.35

Sales per share

$8.67

Book value per share (BVPS)

$4.42

Valuation Ratios (Price Multiples) Price to earnings (P/E)

25.38

27.02

26.12

Price ro next year expected earnings

32.49

22.97

25.53

33.37

Price to operating profit (P/OP)

22.45

19.21

20.81

23.10

Price to sales (P/S) Price to book value (P/BV)

6.07

2.94

4.06

3.84

11.93

13.37

12.56

11.76

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Endnotes 1.

Equity Valuation - Overview, Types of Users, and Process. (n.d.). Retrieved November

24, 2020, from https://corporatefinanceinstitute.com/resources/knowledge/ valuation/equity-valuation/ 2.

Equity Market and Importance of Valuation. (n.d.). Retrieved November 24, 2020, from https://kalkinemedia.com/au/blog/equity-market-and-importance-ofvaluation 3.

Dividend Discount Model - Definition, Formulas and Variations. (2020, September 26). Retrieved November 24, 2020, from https://corporatefinanceinstitute.com/ resources/knowledge/valuation/dividend-discount-model/ 4.

Walk me Through a DCF Analysis - Investment Banking Interviews. (2020, November 12). Retrieved November 24, 2020, from https://corporatefinanceinstitute.com/ resources/careers/interviews/walk-me-through-a-dcf/ 5.

Tuovila, A. (2020, September 16). Relative Valuation Model. Retrieved November 24, 2020, from https://www.investopedia.com/terms/r/relative-valuation-model.asp

About the Author Alex Freeman is a member of the Christopher Newport University Class of 2021, with an undergraduate degree in Finance. Alex was an investment team leader and portfolio manager for the Captains’ Educational Enrichment Fund (CEE Fund), and vice president of finance for Sigma Phi Epsilon. After graduation, he will be pursuing a Master of Science in Finance degree at Georgetown University, and one day hopes to work in New York City as an investment banker.

Over the course of his CNU career, Alex has also served as the president of the club golf team and volunteered at the First Tee of Newport News as a mentor.

“Comparing the Effects of TGF-β Inhibitors on Glioma Growth Through Mathematical Modeling” Madison Hoecker Faculty Sponsor: Dr. Iordanka Panayotova, Department of Mathematics

Abstract Mathematical modeling is a powerful tool that can be used for better understanding of the dynamics of tumor growth and for studying the effects of different treatment regimens. Mathematical models can ultimately improve the overall clinical outcome for the patients by predicting the results of specific forms of treatments. In this study, we use an existing mathematical model for cancer-immune system interactions to investigate the effect of TGF- inhibitors on the growth of gliomas, tumors that occur in the brain and nervous system. Transforming growth factor-β (TGF-β) is a pro-invasive and immunosuppressive cytokine that plays a major role in the malignant phenotype of gliomas. TGF-β inhibitors drugs work by changing the macrophage phenotype, enabling the immune system to kill cancer cells more effectively. Using the mathematical model, we simulate the short- and long-term effectiveness of different TGF-β inhibitor drugs on slowing the tumor growth. Our simulations show that the TGF-β inhibitor alone is not sufficient to eradicate the tumor. However, as the killing of cancer cells by T cells is limited by a protein PD-1, if PD-1 inhibitor is added to the treatment when our simulations show that the tumor may get eradicated as long as the immune system is strong enough.

Radiation therapy involves damaging the DNA of cancer cells so that they cannot divide and therefore die out. This process is non-specific, which means that in addition to cancer cells, radiation also kills regular cells. The rate at which cancer cells are killed is higher than that of the regular cells. [4] We model this by decreasing the death rates of the Ccells, T-cells, and the macrophages.

production/activation; blocked arrows mean inhibition/killing.[2]

TGF-β inhibitors work by affecting TGF-β responsive fibroblastic, endothelial, and T-cells in the tumor microenvironment. TGF-β inhibitors are expected to yield cytostatic effects and lead to tumor stasis translating in few tumor responses but delayed tumor progression in clinical trials [3]. The normal dosage is 75 mg/m² per day for 42 days.

A protein called PD-1 limits T-cell action against cancer cells by inhibiting T-cell toxic activity. In recent years, PD-1 inhibitors have been used in addition to the TGF-β inhibitor to increase efficacy of the treatment. To simulate the effect of the PD-1 inhibitor in the model, we Figure 1: Tumor-immune interaction. Arrows mean varied the death rate of cancer cells.

Cancer is a generic term for a large class of diseases that can affect any part of the body. It is characterized by abnormal or indefinite growth, and accounts for nearly 8 millions deaths per year. This research focuses on cancer of the brain[1]. A tumor is a mass of cells that can potentially be cancerous. Formation of a tumor requires a lack of control over both cellular division and cellmediated death, apoptosis. Tumors specifically related to brain cancer are called gliomas or glioblastomas.

The primary objective of this project was to investigate how existing mathematical models can help clinicians decide between alternative cancer treatment options, particularly TGF-𝜷𝜷 inhibitor drugs. We used a mathematical model of cancer-immune interactions proposed by Chou and Friedman [2] to study the effect of Temozolomide, a TGF-𝜷𝜷 inhibitor, by itself, with the addition of a PD-1 inhibitor, and with radiation therapy separately.

We investigated numerically the effects of different drug regimens on the cancer-immune-system dynamics. This study contributes to better understanding of TGF-𝜷𝜷 inhibitor mechanisms to treat cancer growth, which in turn may help improve the effectiveness of the treatment plans to maximally extend patient survival.

PARAMETERS (TEMOZOLOMIDE) ● C₀ = 10⁶ cells/cm^3 ● Λc = 0.014*C day^-1 ● 𝜇𝜇 𝜇𝜇c = 10⁻⁵ cells/day ● 𝜇𝜇 𝜇𝜇T = 0.197 ● 𝜇𝜇 = 0.3 /day ● k₁ = 3000 cell/day ● kT = 3000 cell/day ● K₁ = 6*10^-4 g/cm Figure 2: Different treatment regimens on gliomas ● K₂ = 1.85*10^-3 g/cm ● 𝛾𝛾 = 200 /day

▪ To simulate the application of the TGF-β inhibitor drugs we used the residual value of the drug concentration in the blood after applying it every p hours for a long period of time ▪ Since TGF-β inhibitors work by decreasing gamma, to simulate the drug application 𝛾𝛾 was substituted 𝜸𝜸/residual

Mathematical Model of cancer-immune system interactions proposed

by Chou and Friedman [2] (logistic growth is assumed for cancer cell growth) ▪ C denotes cancer cells (in cm3) ▪ C₀ is the carrying capacity for cancer cells ▪ M1/M2 are the pro/antiinflammatory macrophages respectively ▪ T indicates T cells that are activated by M2 cytokines ▪ K₁ and K₂ are the halfsaturation rate for macrophages and T cells respectively ▪ 𝛾𝛾 is the rate of change from M1 ● Residual term for Temozolomide: to M2 ▪ 𝜇𝜇c, 𝜇𝜇T, and 𝜇𝜇 are the death where rates for cancer cells, T cells, and macrophages respectively D₀ = initial dose ▪ 𝜆𝜆c is the proliferation rate for p = spacing between dosage in cancer cells hours ▪ k₁ and kT are the production rates for M1 and T, respectively

Department of Mathematics, Christopher Newport University

Madison Hoecker and Dr. Iordanka Panayotova

Temozolomide alone is given in blue.

Simulations of the Temozolomide + radiation are given in orange.

Temozolomide + strong radiation is given in yellow.

Treatment with TGF-β inhibitor drug alone is not sufficient to eradicate the glioma tumor, though combined application of the TGF-β inhibitor and PDL1-inhibitor has better effect on killing the cancer cells and as a result on tumor decay. Radiation therapy also increases death rate of cancer cells.

Simulations show that only a strong immune system when the T-cells are more than 2000 per cm3 may eradicate the cancer. In addition, increasing dosage does not change tumor growth. A smaller dose should be administered as the TGF-β inhibitors have adverse side effects.

Unfortunately, this model can not be used to compare the effect of different drugs because they work by the same mechanism modeled by the system of differential equations.

●

●

●

100 mg, 200 mg, and 300 mg applied every 6 hours Higher doses decrease macrophage two to about 20 cells per cm3 However it does not change the long-term effect on T-cells and Ccells

e/001918.htm

4.Radiation therapy. (n.d.). Retrieved from https://medlineplus.gov/ency/articl

3. de Gramont, A., Faivre, S., & Raymond, E. (2016). Novel TGF-β inhibitors ready for prime time in onco-immunology. Oncoimmunology, 6(1), e1257453. https://doi.org/10.1080/2162402X.2016.1257453

2. Chou, C.S. and A. Friedman, Introduction to Mathematical Biology: Modeling, Analysis, and Simulations. 2010. Springer. 172 p.

1. American Cancer Society | Cancer Facts & Statistics, Retrieved September 20, 2020 from www.cancerstatisticscenter.org

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Figure 4: Temozolomide and radiation therapy

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Comparing the Effects of TGF- 𝛃𝛃 Inhibitors on Glioma Growth Through Mathematical Modeling

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About the Author Madison Hoecker is a Mathematics major with a concentration in Computational Chemistry and a minor in Chemistry. She has been involved in various undergraduate research groups at CNU since her freshman year. Madison is a member of the graduating class of Fall 2021 and is also a brother of both Alpha Chi Sigma and Phi Sigma Pi. She is currently applying to dental school for the Fall of 2022. Afterwards, she plans to pursue a specialty in oral surgery.

“Female Friendship in Context: A Psychoanalytic-Deconstructive Reading of Female Friendship in Toni Morrison’s Sula” Camille Kaiser Faculty Sponsor: Dr. Margarita Marinova, Department of English

Abstract Toni Morrison’s Sula, published in 1973, follows the friendship of Nel and Sula from girlhood to womanhood in a predominantly Black neighborhood known as the “Bottom.” Each chapter of Sula details a significant year in the friendship, sharing the good and the ugly, the ebb and the flow, of the friendship between these two women as they navigate growing up in the world around them. In response to the growth exhibited throughout the novel, critics such as Elizabeth Abel and Alisha R. Coleman center their research on how Sula and Nel develop their sense(s) of self within the confines of their friendship; however, in doing so, they actively remove the friendship between these two women from the context, and the community, in which it takes place. While this may work in other circumstances, by removing Nel and Sula’s friendship from the context of the novel, this analysis fails to acknowledge the intersectionality of their identities as simultaneously female and Black, while also neglecting the impact their community has on both characters. Ultimately, this renders the women-centered psychoanalytic reading insufficient. These gaps in the psychoanalytic reading of female friendships in Morrison’s Sula cannot be remedied by more psychoanalysis because these gaps exist at a foundational level. The deconstructive reading of Toni Morrison’s Sula is able to remedy these gaps in ways psychoanalysis cannot. Deconstruction is able to challenge the binary logic of the psychoanalytic reading in order to encourage the inclusion of context. While psychoanalysis is limited to the internal, deconstruction is able to address the external by dissecting the larger systems at play.

This, ultimately, creates space for the intersectional discussion of the self within the confines of female friendship while simultaneously addressing the larger context in which Nel and Sula’s friendship takes place.

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Toni Morrison’s second novel Sula, published in 1973, follows the friendship of Nel and Sula from girlhood to womanhood in a predominantly Black neighborhood known as the “Bottom.” Each chapter of Sula details a significant year in the friendship, sharing the good and the ugly, the ebb and the flow, of the friendship between these two women as they navigate growing up in the world around them. In response to the growth that Nel and Sula exhibit throughout the novel, many scholars have studied the psychological concept of the self in the work. More specifically, critics such as Elizabeth Abel and Alisha R. Coleman center their research on how Sula and Nel develop their sense(s) of self within the confines of their friendship; however, in doing so, they actively remove the friendship between these two women from the context, and the community, in which it takes place.

While this may work in other circumstances, by removing Nel and Sula’s friendship from the context of the novel, this analysis fails to acknowledge the intersectionality of their identities as simultaneously female and Black, while also neglecting the impact their community has had on both characters. Ultimately, this leaves the women-centered psychoanalytic reading not only incomplete, but also insufficient. That is not to say that the argument presented by psychoanalytic critics such as Abel and Coleman are inherently wrong, but rather that their analysis is missing context which is crucial for a complete reading of female friendship as it relates to the concept of the self in Morrison’s Sula.

Psychoanalytic critics are not entirely to blame for this shortcoming either. As a theoretical framework, psychoanalysis focuses solely on introspection and unconscious desires and needs; thus, it is primarily concerned with the internal and destined to exclude the external contextual details. Additionally, due to the fact that psychoanalysis stands on a Western-centric foundation, founded by Sigmund Freud and primarily built upon the experiences and research of white men, it has historically excluded women, especially women of color. Although there have been women-centric movements within psychoanalysis, which are reflected in Abel’s research, these often lump all women into the same category, implying that all women—regardless of race, socioeconomic class, sexuality, etc.—experience oppression and life in the same way. These gaps in the psychoanalytic reading of female friendships in Morrison’s Sula cannot be remedied by more psychoanalysis because these gaps exist at a foundational level. Therefore, an additional reading is necessary.

The deconstructive reading of Toni Morrison’s Sula is able to remedy these gaps in ways psychoanalysis cannot. Deconstruction is able to challenge the binary logic of the psychoanalytic reading in order to encourage the inclusion of context. While psychoanalysis is limited to the internal, deconstruction is able to address the external by dissecting the larger systems at play.

This, ultimately, creates space for the intersectional discussion of the self within the confines of female friendship while simultaneously addressing the larger context in which Nel and Sula’s friendship takes place.

What is Friendship?

In order to better understand female friendship, one must start with a basic understanding of what friendship is. Cicero’s On Friendship delves into the discussion of what the ideal markers of friendship look like. Before discussing his philosophy further, it is crucial to acknowledge one major fact: Cicero only spoke of friendships between men. The critical study of female friendships is relatively new because women have not been taken seriously as subjects, but rather they have been seen as objects within the male-centric narrative throughout history. Due to the complete disregard for women, scholarship on female friendship does not have a philosophical basis of its own. Despite this, Cicero’s definition of friendship serves as a foundational piece from which the study of female friendship can begin.

Cicero’s friendship centers on two men who share “complete sympathy in all matters of importance, plus good will and affection” (Cicero 71). This is to say that friendship is

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founded on complete commonality, or sameness, shared between two individuals, as opposed to complementarity, or difference. However, commonality is not all that defines a friendship.

Cicero asserts that “without virtue friendship cannot exist at all” (72); thus, friendship is created when both commonality and virtue are present. In order to maintain the friendship, both men must hold the other accountable, “for the man who keeps his eye on a true friend, keeps it, so to speak, on a model of himself ” (Cicero 72). The diction in this statement implies that each man in the friendship acts as a reflection of the other, supporting the idea that commonality is at the core of friendship, and implying that the two seem to share one outward identity. Cicero elaborates on this shared identity by stating that “for this reason, friends are together when they are separated, they are rich when they are poor, strong when they are weak, and…they live on after they have died” (72). In this idealized virtuous friendship both men carry the other with them, acting as a reflection of the other as they navigate the world through their actions and attitudes.

Finally, Cicero claims that true friendship is not based on the profitable exchange of one thing for another, but rather it is simply “desirable for its own sake” (77). He expands on this idea, stating that “a man loves himself not in order to exact from himself some pay for his affection, but simply because every man is by his very nature dear to himself. Unless this same principle is transferred to friendship, a man will never find a true friend, for the true friend is, so to speak, a second self ” (Cicero 78). Once again, Cicero asserts that the true, virtuous friend acts as a reflection, or an extension, of one’s identity; therefore, one’s concept of the self is inherently tied to that of their friend.

Psychoanalysis and The Self in Female Friendship Elizabeth Abel, author of “(E)Merging Identities: The Dynamics of Female Friendships in Contemporary Fiction by Women,” writes “though it was Cicero who described friendship as a mingling of two souls ‘as almost to create one person out of two,’ this description characterizes the dynamics of female friendship more accurately than male” (Abel 415). As aforementioned, Cicero’s description of true, virtuous friendship shared between men acts as a basis on which female friendship scholarship can begin; however, Abel argues that Cicero’s friendship is a description of female friendship. This is supported by the gender differences seen in the preoedipal stage.

Abel states that it is “because [the girl] does not give up her preoedipal bond with her mother, [that] the girl maintains her earliest relational mode of primary identification and continues to experience permeable ego boundaries and to define herself relationally” (417). This contrasts with “masculine development [which] depends on the denial of the relation with the mother and thus of relatedness in general, for the boy’s bond with his typically distant father does not replace his early intimacy with his mother” (Abel 417). The boy must actively distinguish his sense of self from that of others after breaking from identifying with his mother, while the girl continues to develop her sense of self within the relationship with her mother, creating permeable boundaries between the feminine self and the other.

In addition, Abel argues that once girls grow out of the preoedipal stage, they may cease to identify with their mother, but the continuous development of their sense of self relies on their relationships with “other women, who offer the best solution to the need for identification that originated in relation to another woman [the mother]” (Abel 418). It is in this way that Abel makes the connection between female friendships and Cicero’s definition of friendship.

While masculine development requires men to construct strict boundaries between the self and the other, feminine development allows for more movement between the self and the other.

According to this argument, women are able to form the intimate friendships in which the other becomes an extension of the self, blurring the boundaries and creating one collective identity, whereas men are limited in their ability to identify with the other; hence, Cicero’s description of a true friend as a “second self ” better describes the phenomenon of female friendships.

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When applied to Morrison’s Sula, Abel’s research is best supported by the conception of the friendship between Nel and Sula. Soon after her introduction, Nel breaks from her preoedipal connection with her mother Helene after witnessing her mother’s polite smile which was met by a look of cool hatred from soldiers on the train. In the moment, the narration reflects Nel’s split from her mother, stating: “[Nel] wanted to make certain that no man ever looked at her that way. That no midnight eyes or marbled flesh would ever accost her and turn her into jelly” (Morrison 22). After Nel completes the trip home with her mother, she is “different. She got out of bed and lit the lamp to look in the mirror…‘I’m me. I’m not their daughter. I’m not Nel. I’m me. Me’” (Morrison 28). This conveys to the reader that Nel has constructed strict boundaries between her sense of self and that of her mother.

Soon after this break, Nel and Sula’s friendship begins to flourish, “for it let them use each other to grow on. Daughters of distant mothers and incomprehensible fathers…they found in each other’s eyes the intimacy they were looking for” (Morrison 52). As a result, their friendship is born out of commonality, based both in their split from their mothers and in their common need of “alternative female identification” (Abel 427). This, Abel argues, sharply contrasts with their relationships with their mothers and heterosexual partners which “induce complementarity and a consequent reduction of both personalities,” thus limiting their own individual growth within those relationships (428). Through the clear commonality shared between Sula and Nel, especially at the conception of their friendship, Abel believes it represents the type of relationship that Cicero describes in On Friendship in which two individuals reflect the same identity, acting as an extension of one another’s self.

When placed back into the context of the overall novel, however, Abel’s argument falters. While her argument acknowledges the self-in-relationship that is characteristic of the female experience, Abel fails to acknowledge the significance of Sula and Nel’s community. In “Who Cares? Women-Centered Psychology in Sula,” Diane Gillespie and Missy Dehn Kubitschek state that the major weakness in Abel’s “groundbreaking 1981 essay on female friendship” is the fact that “overlooking the context of female friendship particularly distorts Sula, the only Afro-American novel in Abel’s analysis” (Gillespie and Kubitschek 23-24). Neglecting the context of Morrison’s Sula implies that the experiences of all women are the same regardless of intersecting identities beyond gender.

While Abel is responsible in removing Sula and Nel’s friendship from the context of their community for the purpose of her analysis, “[women-centered] psychology’s usual focus on the experiences of middle-class white women” further limits the scope of a psychoanalytic reading at a foundational level (Gillespie and Kubitschek 22). While women-centered psychology in Abel’s argument asserts that women experience the self-in-relationship, “the Afro-American tradition has, however, always been steeped in context, assumed self-in-community” (Gillespie and Kubitschek 24). Not only is the women-centered psychoanalytic reading of Sula limited at its core, but Abel’s claim regarding how women experience the sense of self centers on white women. The lack of intersectionality in Abel’s argument erases the racial and cultural context of Nel and Sula’s friendship; therefore, her analysis of female friendship in Morrison’s Sula is insufficient.

In “One and One Make One: A Metacritical and Psychoanalytic Reading of Friendship in Toni Morrison’s Sula,” Alisha R. Coleman attempts to expand on Abel’s psychoanalytic reading of female friendship in Morrison’s Sula. She concurs with Abel that “female friendships are based on a commonality, a common psychological need that brings the two women together,” and for Nel and Sula it is “the need to develop an identity which results from female bonding” (Coleman 149). However, Coleman also states that she does not “fully agree with Abel’s general argument against the complementarity of Sula and Nel’s friendship” (151). Where Abel simply states that Nel and Sula are able to identify with each other through commonality alone, Coleman takes this a step further, asserting that Nel and Sula are simultaneously complementary. This is due to

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the fact that both Nel and Sula are incomplete without the other because they are “two halves of a personality that combine to form a whole psyche…Nel is the superego or the conscience, and Sula is the id or the pleasure and the unconscious desire of the psyche; together they form the ego, the balance between the superego and the id, and what is usually considered to be a single identity” (Coleman 151). This, then, breaks from Cicero’s friendship which is rooted in commonality and virtue alone.

When applied to the text, however, Coleman’s reading falls flat due to the lack of support from strong textual evidence. For example, Coleman’s entire argument for the shared ego created by the female friendship relies on two things: first, the interconnectedness of Sula and Nel’s thoughts and second, “partial feelings which combine to form complex human emotions” (Coleman 153). The interconnectedness of thought can be explained through commonality between the two characters, as they share similar backgrounds and sympathies, which Morrison establishes at the conception of their friendship. The only example of partial feelings that Coleman provides is the anxiety that Nel feels leading up to her wedding which contrasts with Sula’s excitement, which “combine to form the happiness and anxiety that a brideto-be experiences” (Coleman 153). This, however, is completely subjective because it assumes that all women go through the same series of emotions on their wedding days. Not only does this actively invalidate Nel’s experience as a bride-to-be, but it also oversimplifies the reality of diverse wedding day experiences and ultimately undermines Coleman’s own claim of complexity.

Additionally, it fails to explain how one is the id, the other is the superego, and their friendship acts as the ego. Ultimately, Coleman’s argument falters when it is placed back into the context of the novel, once again leaving the psychoanalytic reading of female friendship in Morrison’s Sula incomplete and therefore insufficient.

The Bridge to Deconstruction Although their conclusions slightly differ, both Abel and Coleman isolate the friendship between Nel and Sula from the greater context of the novel. While this does allow for a close reading of the development of the self and the psychological needs of both women, it fails to acknowledge the limitations of psychoanalysis. Once again, psychoanalysis is historically founded on the research and the lives of white men, and the women-centered movements in psychoanalysis still center on white middle-class women, assuming that all women experience the self in the same way. This not only neglects Nel and Sula’s racial identity, but it also willingly ignores the significance of the setting in which their friendship takes place. Consequently, the psychoanalytic readings of both critics are incredibly narrow and limited. In order to expand these readings and stretch the boundaries of psychoanalytic criticism to better analyze female friendship in Morrison’s Sula, the deconstructive reading of the novel must be included.

Judith K. Gardiner, author of “The (US)Es of (I)Dentity: A Response to Abel on “(E)Merging Identities,” alludes to the need for a deconstructive reading of female friendship in Morrison’s Sula in addition to the preexisting psychoanalytic reading. First, Gardiner acknowledges the two key binary oppositions that appear in the psychoanalysis of Nel and Sula’s friendship: “commonality/complementarity” (436) and “like/unlike” (439). She then posits that these “binary critical polarities break down when applied” to Morrison’s Sula, so they should be studied “as fluid processes” rather than oppositions (Gardiner 436). Not only does this challenge the restrictive boundaries of binary logic presented in the women-centered psychoanalytic reading, but it also suggests that a deconstructive reading is, in fact, necessary to strengthen the psychoanalytic reading of female friendship featured in Sula.

Similarly, Jennifer E. Henton’s “‘Sula’’s Joke on Psychoanalysis” identifies Freudian jokes throughout the novel as “moments of permeability between binary opposites” (102). During these moments of permeability, the narrative “works more like a joke, sustaining opposites and displaying those opposites as inherent in one another” (Henton 102). This, at its core, describes the deconstruction of

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binary oppositions throughout the text, as both sides simultaneously exist in the same space, collapsing the dichotomy between the two. Although the psychoanalytic concept of a joke is at the core of her analysis, Henton also acknowledges the limitations of psychoanalysis, stating that it “remains disciplinebased, steeped in Western epistemology [which is historically white-male-centric], claiming its own expertise at the expense of other epistemologies (especially those of minority populations [including Black women], who seem visible only as problems” (107). Further, Henton states that “Black experience[s] potentially [assist] textually where dominant psychoanalytic ideals cannot bear to go… Sula is much better understood as a text that can instruct and inform psychoanalysis out of its standardized Western experience” (107). The psychoanalytic readings of Sula alone are insufficient due to the disregard for the Other, especially Black women. However, as Henton suggests, the deconstruction of binary oppositions throughout the novel challenge psychoanalysis in attempts to make space for the experiences of the Other, breaking away from the predominantly white and male Western tradition.

The Deconstructive Reading of Sula

Toni Morrison’s novel Sula is riddled with binary oppositions and their deconstructions, but in order to place the psychoanalytic reading of Nel and Sula’s friendship and the sense(s) of self into context, the deconstructive reading must start at the beginning of the novel with the introduction to the setting: the neighborhood known as the “Bottom.” Though its name would suggest otherwise, the Bottom refers to a small Black neighborhood that sits in the hills above the valley, which is where the predominantly white town rests. In describing the origin of the Bottom, the narration states that “a good white farmer promised freedom and a piece of bottom land to his slave if he would perform some very difficult chores,” but when it came time to keep his promise, the farmer did not want to give up any of his land in the valley to a slave (Morrison 5). Instead, he says “See those hills? That’s bottom land, rich and fertile,” deceiving the slave and tricking him into desiring the infertile land atop the hills instead of the fertile, bottom land in the valley (Morrison 5). On the same page, the narration tells the reader that the “white people lived on the rich valley floor in that little river town in Ohio, and the blacks populated the hills above it, taking small consolation in the fact that every day they could literally look down on the white folks” (Morrison 5). This brief origin story of the setting simultaneously constructs and deconstructs the binary oppositions of both top/bottom and success/ failure. Henton also notes this in stating that “the novel begins with an ironic joke that explains how the black town members can reside in the ‘Bottom’ and be on top at once” (Henton 99). While the Black neighborhood sits on the top of the hills, it is called the bottom, thus it is simultaneously signifying the top and the bottom, challenging the spatial foundations of the opposition altogether.

The deconstruction of top/bottom is reinforced by the dissolution of success/failure. In terms of rankings, “top” typically signifies success, while “bottom” typically signifies failure; this binary opposition is reflected in the mere fact that the Bottom is constructed on the infertile land of the hills. This implies that the farms and gardens in the Bottom are likely unsuccessful, which is exactly the reason why the farmer gives this land to the slave. Although it appears the binary oppositions at play are maintained, this reading is from the perspective of the white farmer. In reality, “for many in black communities, failure represents the opposite of what many white communities regard as a sign of decay. Historically, it was the failure of plantations, the failure of weather, the failure of black and white health, that provided space for survival” (Henton 100). Where the top and success were once privileged, the bottom and failure now stand, as the slave in the origin story successfully completes the tasks at hand. Although he is deceived by the farmer, he successfully creates physical space for the Black community to claim as their own. While the Bottom is not the ideal place, it is space in which the Black community can survive that did not exist prior to this point. As Henton suggests, though this may seem like a failure to the outsider, it is ultimately a success, no matter how small of a success it may be.

The reversals of the binary oppositions of top/bottom and success/failure are not sustainable, and the oppositions collapse in on themselves. This is conveyed through the ironic tone throughout the narration after the oppositions are reversed. For example, shortly after these binary oppositions are

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flipped through the origin story, the narration states that “it was lovely up in the Bottom…the hunters who went there sometimes wondered in private if maybe the white farmer was right after all. Maybe it was the bottom of heaven. The black people would have disagreed, but they had no time to think about it” (Morrison 5-6). This renders both top/bottom and success/failure meaningless as both ends of each opposition simultaneously exist in the same space, and in response, this creates a sense of irony due to the sudden meaninglessness of something that is seemingly clearly defined moments earlier. In other words, the boundaries between either side of the binary oppositions melt away, leaving no clear meaning in their wake, and as a reaction to this sudden lack of boundaries, a strong sense of irony seeps into the narrative. This is significant because not only is this how the novel itself begins, but it also creates the foundation for Sula and Nel’s neighborhood and the setting for their entire friendship throughout the novel. Therefore, it is a large part of the external context for their story.

The dissolution of boundaries between good/evil further characterizes the Black community living in the Bottom. Preceding Sula’s return to the neighborhood, Morrison details the community’s experience with forces of evil, stating that “in spite of their fear, they reacted to an oppressive oddity, or what they called evil days, with an acceptance that bordered on welcome. Such evil must be avoided…

But they let it run its course, fulfill itself, and never invented ways to…prevent its happening again” (Morrison 89-90). The members of the Black community do not reject evil, but rather welcome it as a natural part of life. This alone challenges the binary of good/evil; “good” is privileged over “evil,” and yet evil is not only allowed to peacefully exist within the neighborhood, but it is welcomed.

Much like in the deconstruction of success/failure, this can easily be misinterpreted “by [white] outsiders to be slackness, slovenliness, or even generosity,” when in reality it is “in fact a full recognition of the legitimacy of forces other than good ones” (Morrison 90). This understanding of “evil” forces stems from years of surviving in a white world that is built to exclude the Black population. For example, “they did not believe doctors could heal—for them, none ever had done so” (Morrison 90).

White American society often celebrates doctors as heroes, an undeniably “good” force as they selflessly work to heal the community; Black Americans have unfortunately not had the same experience with doctors due to a long history of racism and the negligence of the Black body in Western medicine.

In “Toni Morrison: The Struggle to Depict the Black Figure on the White Page,” Timothy B. Powell states that “in Sula, Morrison attempts to move her focus outside the sphere of influence of the white logos by centering her novel around a black community” (753). In doing so, Morrison also centers the experiences of Black people in the novel; therefore, the white norms of good/evil are flipped to capture common Black American experiences. In this example, the doctor who symbolizes “good” in white society now simultaneously represents “evil” among the members of the Black community.

While something can benefit white society, it can simultaneously harm the Black community, which challenged the idea that something can be either “good” or “evil.” Instead, both good and evil occupy the same space, dissolving the boundaries between the two.

The people of the Bottom’s welcoming attitude towards evil does not end with natural and structural evils, but rather it extends to their relationships with members of their own community.

Upon Sula’s return, her grandmother Eva says, “when you gone to get married? You need to have some babies. It’ll settle you,” and in response, Sula says, “I don’t want to make somebody else. I want to make myself” (Morrison 92). In this scene, it is clear that Sula is rejecting the neighborhood’s gender roles by refusing to become a caretaker, a submissive and loving wife, and a nurturing mother. Instead, Sula is more interested in being whoever she wants to be. This rejection of the traditional roles of women in the Black community, however, is not well received by the people of the Bottom. For example, “when the word got out about Eva being put in Sunnydale, the people in the Bottom shook their heads and said Sula was a roach…when they saw how she took Jude, then ditched him…[they] said she was a bitch” (Morrison 112). By placing her grandmother in a retirement home, Sula deviates from the caretaker role that she is expected to fill as a woman in her community. Through her affair with Nel’s husband Jude followed by her indifference towards him, she rejects the expectations placed on women to be a submissive and loving wife because she has sex with him for her own pleasure and not because

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she wishes to continue to care for him.

The community, then, begins to view Sula as a deviant. Consequently, an evil mythos begins to cloud their understanding of her as “everybody [suddenly] remember[s] the plague of robins that announced [Sula’s] return. And the tale about her watching [her mother] Hannah burn stir[s] up again” (Morrison 112). Her reputation as deviant or “evil” is cemented when the men of the Bottom “said she was guilty of the unforgivable thing…They said that Sula slept with white men” (Morrison 112).

In the eyes of the Black community, this is the ultimate betrayal because of the long and gruesome history of white men’s acts of sexual violence towards Black women. This alludes to the fact that the men feel emasculated by Sula’s affairs with white men because they are not able to fill their male role as the “protector” of the women of their neighborhood without putting their own life on the line by attempting to fight back against white men. As a result, they label her as evil and deviant in order to maintain their own Black masculinity and the gender roles within the community.

While Sula is thoroughly established as an evil force within the neighborhood, the people of the Bottom “did nothing to harm her. As always the black people looked at evil stony-eyed and let it run” (Morrison 113). This mirrors their welcoming attitude towards evil at a natural and structural level. Further, “their conviction of Sula’s evil changed [the members of the community] in accountable yet mysterious ways. Once the source of their personal misfortune was identified, they had leave to protect and love one another” (Morrison 117). Thus, Sula’s “evil” presence changes the Bottom for the better. For example, when a local child “fell down the steps [outside of Sula’s house]…and Sula went to help him,” the child’s inattentive mother immediately “told everybody that Sula had pushed him…and immersed herself in a role she had shown no inclination for: motherhood” (Morrison 114).

Due to the community’s evil depiction of Sula, an innocent act such as trying to help a child is quickly misconstrued. Through this misunderstanding, however, Sula’s “evil” presence enables a neglectful mother to fill the role of the nurturing caretaker for her son.

Similarly, in reaction to Sula’s sexual deviance, “the women, to justify their own judgement, cherished their men more, soothed the pride and vanity Sula had bruised” (Morrison 115). In opposition to Sula’s sexual deviance within the community, the women of the Bottom resume their roles as the loving wives. Therefore, the perception of Sula’s “evil” fosters positive change within the community of the Bottom. This challenges the idea that Sula’s presence in the neighborhood is inherently evil because “the community’s survival literally depends upon the presence of evil that forces the community to reexamine its own ideals constantly. So long as the community does so, it avoids self-destruction… community members unconsciously use [Sula] to order and improve their relationship to one another” (Bryant 733-734). Although Sula is characterized as evil and subversive, she simultaneously acts as a force of good that is necessary to prevent the destruction of the Bottom. Once again, the boundaries between good/evil have dissolved. Ultimately, this allows for the survival and the revitalization of the Black community by enabling the people of the neighborhood to reflect upon and correct their own self-destructive behaviors.

Additionally, the deconstruction of good/evil within the Bottom is reflected in the friendship between Nel and Sula. Sula rejects the gender roles the community places on women, but Nel does not; in fact, Nel appears to do exactly what is expected of her. She marries Jude and has children, and when Sula has an affair with Jude, she rejects Sula along with the rest of their neighborhood. While Sula represents the “evil,” Nel believes that she herself represents the “good” within the community; however, due to the dissolution of good/evil in the Bottom, this understanding of their relationship cannot be maintained. On her death bed, Sula asks Nel “how you know…who was good. How you know it was you? I mean maybe it wasn’t you. Maybe it was me” (Morrison 146). Nel refuses to answer Sula’s question, leaving without a response, because it challenges her own world view, but she is later confronted with the same question when she speaks to Eva, Sula’s grandmother.

When Nel visits Eva after Sula’s death, Eva accuses Nel of killing a local boy referred to as Chicken Little, but Nel claims that Sula was responsible for his death. In response, Eva says, “you.

Sula. What’s the difference? You was there. You watched, didn’t you?” (Morrison 169). This challenges

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Nel’s belief that she was not guilty in Chicken Little’s drowning and disrupts her belief that she is an exceptionally “good” person. Nel recalls “the good feeling she had had when Chicken’s hands slipped… what she had thought was maturity, serenity, and compassion was only the tranquility that follows a joyful stimulation” (Morrison 170). Nel’s oddly calm reaction sharply contrasts with Sula’s fear and later her silent sobs at Chicken Little’s funeral, and “the girl thought to be good turns out to be frighteningly sadistic. The girl thought to be bad turns out to be quite humane” (Henton 106). Thus, the binary of good/evil is flipped. However, this cannot be sustained because “aligning with one who is good or one who is bad denies the interconnectivity of both positions” (Henton 108). Through Nel’s reflection after Sula’s death, the clear boundaries between good/evil fade within their friendship as she discovers that both her and her friend are simultaneously good and evil, and therefore they are neither inherently good nor evil.

Furthermore, the dissolution of good/evil supports Gardiner’s call for the deconstruction of commonality/complementarity because it challenges the notion that Nel and Sula are either the exact same or polar opposites. Many critics, such as Abel and Coleman, argue that the relationship between Nel and Sula can only be bound by either commonality or complementarity at any given time; however, this ultimately denies the complexity of their relationship. Commonality, or sameness, is first established in the friendship between Nel and Sula from the very beginning of their relationship. This is reflected in the moment when, as “daughters of distant mothers and incomprehensible fathers… they found in each other’s eyes the intimacy they were looking for” (Morrison 52). Due to their similar familial backgrounds and experiences, the girls are quickly able to identify with each other. Moreover, “in the safe harbor of each other’s company they could afford to abandon the ways of other people and concentrate on their own perceptions of things” (Morrison 55). Through their shared experiences, Sula and Nel find a sense of freedom to be themselves within their friendship, momentarily free from the pressures and expectations of the Bottom. In their friendship, commonality reflects their ability to identify with one another through their interactions and similar familial experiences.

Complementarity, however, is introduced moments after their friendship begins, as the people around them begin to recognize that “although both were unshaped, formless things, Nel seemed stronger and more consistent than Sula, who could hardly be counted on to sustain any emotion for more than three minutes” (Morrison 53). This establishes their difference within the community by highlighting their contrasting personality traits that impact the ways they interact with the people of their neighborhood. Even as a child, Nel is composed, so she grows to appreciate the order and expectations of society; in contrast, Sula freely shares her emotions, and she understands the world in terms of chaos and unadulterated free will. Due to these traits, it comes as no surprise to readers or the members of the community that Nel goes on to get married and become a mother, as is expected of her, and Sula does not. This difference is also reflected in the good/evil perceptions of both women within the community, as one is “good” for calmly following the expectations of the Bottom and the other is “evil” for chaotically acting of her own free will and rejecting the community’s traditional roles. Through this difference, Nel and Sula “are inextricably united by their dependence and natural attraction to qualities that the reader recognizes as deficiencies in the other” (Bryant 739). Due to the contrasting ways the two carry themselves within the neighborhood, they promote each other’s growth and development as individuals by challenging one another’s perspectives. Complementarity within their friendship stems from the vastly different ways in which they interact with the people of the Bottom, and it is equally as important to maintaining their relationship as commonality.

Many critics argue that upon Sula’s return and her affair with Nel’s husband, their friendship is irreparable, and often scholars argue that complementarity is to blame. This, however, is not the case.

Instead, “their estrangement and silence, which lasts for a decade, is less a product of Sula’s seduction of Nel’s husband Jude than of Nel’s failure to understand that the dualities in Sula’s nature are not moral flaws but complexities in Nature itself” (Bryant 739-740). This is also reflected in the deconstruction of good/evil, as Nel allows herself to depict Sula as a villain after her affair with Jude, unable to empathize with her friend. Nel loses sight of their commonality in her own hurt, which throws off the balance of

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their relationship because she is only able to see their difference. Sula voices this sentiment when she says to herself, “[Nel] will walk on down that road…thinking how much I have cost her and never remember the days when we were two throats and one eye and we had no price” (Morrison 147).

Once Nel sees the dissolution of good/evil through her reflections, she comes to the realization that “all that time, [she] thought [she] was missing Jude,” she was actually suffering as a result of her friend’s absence (Morrison 174). Thus, complementarity is not responsible for their temporary split, but rather the failure to acknowledge the simultaneous existence of commonality is to blame.

Nel and Sula’s friendship is not a result of either commonality or complementarity, but rather their relationship exists in the space in between the two. For example, at the time of Nel’s wedding, she has made the decision to assume the community’s traditional role as a wife and mother because “she believes in [the Bottom’s] values” (Bryant 739). Sula, on the other hand, does not choose to marry anyone or mother any children. Yet, “their friendship was so close, they themselves had difficulty distinguishing one’s thought from the other’s…In those days a compliment to one was a compliment to the other” (Morrison 83-84). It is clear that their relationship continues to grow in both complementarity and commonality as they are moving in two different directions, but they also continue to identify with one another, unable to differentiate between one another’s thoughts and praise. This also highlights the fact that Sula and Nel are simultaneously different and the same consistently throughout their friendship, which challenges the idea that commonality and complementarity exist as a dichotomy. Instead, the boundaries between commonality/complementarity collapse, making space for their friendship in all of its complexity; therefore, the psychoanalytic argument that Nel and Sula’s friendship is grounded in either one or the other is insufficient and ultimately inaccurate.

By centering the novel on the friendship between Nel and Sula within the confines of their neighborhood, the boundaries between self/community melt away alongside the deconstruction of commonality/complementarity. In Sula, “Morrison refuses to privilege the individual female in relation to any particular other. For female residents of the Bottom, the self exists in relation to the entire community; there is no alternative” (Gillespie and Kubitschek 24). In the individualistic Western society, self is privileged over community. Morrison, however, flips the self/community binary by refusing to privilege individual women in Sula, turning the readers’ attention to the community and the female friendships within the Bottom.

A community, by definition, relies on commonality such as shared values and attitudes. The people of the Bottom are united through their common hatred towards Sula and her “evil” presence, further establishing and strengthening their community by creating a shared identity. However, this common attitude is inherently founded upon complementarity, as it entirely rests on Sula’s difference; therefore, the community simultaneously relies on both sameness and difference. For example, upon Sula’s death, the members of the community “felt that either because Sula was dead or just after she was dead a brighter day was dawning” (Morrison 150-151). Now that the people of the Bottom no longer feel threatened by the complementarity that Sula presented, they believe things will be better for them. On the contrary, the members of the community “now had nothing to rub up against.

The tension was gone and so was the reason for the effort they had made. Without her mockery, affection for others sank into flaccid disrepair” (Morrison 153). Sula’s “evil” individuality prompted the community to define and maintain their collective self, so when she dies, the people of the Bottom are unable to save their neighborhood from its destruction. When the balance between commonality/ complementarity is disrupted, Nel and Sula’s friendship falters; similarly, the loss of equilibrium between self/community after Sula’s death leads the neighborhood to a death of its own. Thus, self and community are not diametrically opposed, but rather they must occupy the same space in order for the survival of the Bottom.

Why Deconstruction Matters Each chapter of Morrison’s Sula details significant years in Nel and Sula’s friendship, and it is no coincidence that they all take place within their neighborhood. Morrison purposefully sets the

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entire novel in the Bottom; it is for this reason that the context provided by the Black community cannot, and should not, be ignored or disregarded, especially when studying the friendship between Nel and Sula. As demonstrated by the deconstructive reading of the work, Nel and Sula’s friendship is ultimately shaped by their community, and their community relies on them as individuals for stability. Both their relationship and the Bottom require the dissolution of good/evil and commonality/ complementarity in order to maintain the balance necessary for survival. Morrison herself says in an interview with Nellie McKay, “I long for a critic who will know what I mean when I say ‘church,’ or ‘community,’ or when I say ‘ancestor,’ or ‘chorus.’ Because my books come out of those things and how they function in the black cosmology” (425). This demonstrates the necessity of acknowledging and appreciating the significance of the Black community as it functions within the study of Nel and Sula’s friendship over the course of the novel because Morrison directly states that the culture of Black American communities heavily influences her works such as Sula. Hence, Nel and Sula’s friendship cannot be accurately or sufficiently analyzed without first understanding how it fits into the greater context of the Bottom that Morrison includes in her work.

On its own, the women-centric psychoanalytic reading of Sula is insufficient due to its predominantly white middle-class foundations and sole focus on internal context. This ultimately leads to the oversimplification of the understanding of Nel and Sula’s friendship However, the deconstructive reading is able to challenge the limits of women-centric psychoanalysis by revealing the dynamics of their relationship through the external context provided by their various experiences within their community. Placing their friendship back into the Bottom combats the harmful and invalidating assumption that all women experience the self in the same way, further challenging the psychoanalytic study of female friendships in order to include those of Black American women. As previously mentioned, Henton states that “Sula is much better understood as a text that can instruct and inform psychoanalysis out of its standardized Western experience” (107). Until psychoanalysis is able to evolve beyond its cultural limitations and assumptions, Nel and Sula’s friendships cannot be fully understood. Therefore, the deconstructive reading must be added in order to acknowledge and appreciate their relationship in all of its complexity.

Conclusion Although Toni Morrison’s 1973 novel Sula is based around the female friendship between Nel and Sula, it is also steeped in the Black American context represented by the neighborhood known as the Bottom. Due to the intersectional nature of their friendship as both female and Black, the women-centered psychoanalytic reading of Sula provided by Abel and Coleman is insufficient because it continues to center the experiences of white middle-class women as the norm. This perpetuates the harmful and invalidating idea that all women experience oppression and the self in the same way.

Similarly, psychoanalysis itself is rooted in Western masculine experiences, as it was both founded and based on the research and lives of white men; therefore, as a theoretical framework, psychoanalysis inherently excludes Black women.

Studying Nel and Sula’s friendship through the lens of psychanalysis alone is not only limiting, but it is ultimately harmful as it continues to ignore Nel and Sula’s intersectional identities and dismiss the complexity of their friendship and their relationships with their community. Adding the deconstructive reading allows readers to see beyond the internal restrictions and binary logic of psychoanalysis and better understand Sula as an exploration of Black female friendships by placing their relationship back into the greater context of their neighborhood which represents the Black community. In an interview, Morrison states that her “plea is for some pioneering work to be done in literary criticism, not just for [her] work, but for all sorts of people’s work, and now that the literature exists, there can be that kind of criticism” (Morrison and McKay 426). Morrison carves out a space for the voices of Black women in literature and literary criticism by centering her novel on the friendship between Nel and Sula, challenging the Western-normative psychoanalytic framework. This does not completely invalidate psychoanalytic criticism, but rather it demands the much-needed diversification of the theoretical framework itself. Black female friendships, as well as the Black community, must be

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recognized and appreciated in their own right within literary scholarship, but in order to properly include them in the narrative, critics must first learn to challenge white-centric criticisms, such as psychoanalysis, that are steeped in binary logic, and there’s no better place to start than the deconstructive reading.

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Works Cited Abel, Elizabeth. “(E)Merging Identities: The Dynamics of Female Friendships in Contemporary Fiction

by Women.” Signs, vol. 6, no. 3, 1981, pp. 413–435. JSTOR, www.jstor.org/stable/3173754.

Accessed 11 Apr 2021.

Bryant, Cedric Gael. “The Orderliness of Disorder: Madness and Evil in Toni Morrison’s Sula.” Black American Literature Forum, vol. 24, no. 4, 1990, pp. 731–745. JSTOR, www.jstor.org/ stable/3041799.

Cicero. On Friendship. The Norton Book of Friendship, translated by Frank O. Copley, W. W. Norton & Company, 1991, pp. 71-79. Accessed 11 Apr 2021.

Coleman, Alisha R. “One and One Make One: A Metacritical and Psychoanalytic Reading of Friendship in Toni Morrison’s Sula.” CLA Journal, vol. 37, no.2, 1993, pp. 145-155. JSTOR, www. jstor.org/stable/44322556. Accessed 11 Apr 2021.

Gardiner, Judith Kegan. “The (US)Es of (I)Dentity: A Response to Abel on “(E)Merging Identities.’” Signs, vol. 6, no. 3, 1981, pp. 436–442. JSTOR, www.jstor.org/stable/3173755. Accessed 11 Apr 2021.

Gillespie, Diane, and Missy Dehn Kubitschek. “Who Cares? Women-Centered Psychology in Sula.” Black American Literature Forum, vol. 24, no. 1, 1990, pp. 21–48. JSTOR, www. jstor.org/stable/2904064. Accessed 11 Apr 2021.

Henton, Jennifer E. “‘Sula’’s Joke on Psychoanalysis.” African American Review, vol. 45, no. 1/2, 2012, pp. 99–113. JSTOR, www.jstor.org/stable/23783439. Accessed 11 Apr 2021.

Morrison, Toni. Sula. Random House, Inc., 2004.

Morrison, Toni, and Nellie McKay. “An Interview with Toni Morrison.” Contemporary Literature, vol.

24, no. 4, 1983, pp. 413–429. JSTOR, www.jstor.org/stable/1208128.

Powell, Timothy B. “Toni Morrison: The Struggle to Depict the Black Figure on the White Page.” Black American Literature Forum, vol. 24, no. 4, 1990, pp. 747–760. JSTOR, www.jstor.org/ stable/3041800.

About the Author Camille Kaiser is a member of the 2021 graduating class of Christopher Newport University, where she earned her undergraduate degree in English with a minor in psychology. While on campus, Camille served as the Recruitment Analyst for the Theta Nu chapter of Alpha Delta Pi sorority, and she was a founding member of the Eta Pi chapter of Phi Sigma Pi National Honor Fraternity. As a first-generation college student, Camille is grateful for the professors and mentors that guided her through her four years at Christopher Newport University, and she looks forward to all of the things the future has in store.

“A Tale of Four Governors: An Analysis of Adaptive Work and Communication Towards an Effective COVID-19 Response” Nafeesa Lodi Faculty Sponsor: Dr. Sarah Chace, Department of Leadership and American Studies,

Abstract A social climate saturated with uncertainty drives people to seek a leader for guidance. In most cases, this leader is an elected official who possesses the authority granted to them by their constituents. The key to effective crisis leadership depends on the application of authority to mobilize adaptive work. This is especially relevant in utilizing communication strategies as a tool for enacting change during the pandemic. Essentially, mobilizing adaptive work to implement effective change is essential; the COVID-19 pandemic has revealed the presence and interaction between crisis leadership and communication. In times of crisis, communication, especially as a function of mobilizing adaptive work, is invaluable for the leader to unite followers towards a common goal. The leadership of Governors Cuomo, Newsom, DeSantis, and Hogan were analyzed in the context of the pandemic to determine the effectiveness of each governor’s communication and crisis leadership strategies. To do so, COVID-19 case numbers in each state, from March 2020 to June 2020, were analyzed in parallel with the mobilization of adaptive work and their subsequent communication strategies. The mobilization of adaptive work was analyzed in the context of the establishment and application of authority, something each of the governors possessed as they are elected leaders. Within the realm of communication, media pieces (articles, press releases, and press conferences) were used to analyze five crisis communication skills: • Promoting purpose and stability.

• Clear communication.

• Demonstrating vulnerability.

• Ability to restore confidence.

• The establishment of a clear vision with a plan.

The governors shared in some approaches to their leadership and differed in others. The governors successfully mobilized adaptive work; each used the power of communication and storytelling to influence their followers. Furthermore, each governor implemented at least one type of holding that may have contributed to their respective constituent’s willingness to comply with guidelines. They created a form of stability by maintaining consistency through their communication tactics. Though the governors shared some of their tactics in their responses to the pandemic, each state’s results differed. Therefore, there is sufficient cause to believe that there were other factors involved in the effectiveness of crisis leadership beyond the mobilization of adaptive work and communication. However, analysis of the governors’ leadership supports the conclusion that there is a strong connection between communication and rhetoric to influence adaptive change. Nevertheless, further investigation is required to discern the scope of impact on crisis leadership related to adaptive work and communication.

Keywords: Cuomo, Newsom, Hogan, DeSantis, COVID-19, crisis leadership, adaptive work, communication

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A climate saturated with uncertainty drives people to seek a leader for guidance. An elected leader possesses authority granted to them by their constituents, and in times of crisis, communication is a valuable tool to restore balance. Communication is a skill that requires refinement and is a double-edged sword with the power to inspire and discourage. The COVID-19 pandemic has further revealed the presence and importance of the relationship between crisis leadership and communication and its consequences on Americans’ lives.

Additionally, mobilizing adaptive work and implementing change is essential to deal with a crisis. To study the relationship between mobilizing adaptive work, communication skills, and crisis leadership, four governors, Andrew Cuomo (New York), Gavin Newsom (California), Ron DeSantis (Florida), and Larry Hogan (Maryland) will be analyzed through the lens of the pandemic to determine the effectiveness of their language and strategies. To determine the effectiveness of each governor’s communication and crisis leadership strategies, the COVID-19 case numbers in each state, from March to June 2020, will be analyzed. It is expected that there is a relationship between mobilizing adaptive work and communication that will positively influence the effectiveness of the crisis response, leading to a reduction in COVID-19 case numbers.

Three Important Intertwining Factors Leadership is the relationship between the leader and followers within the situation’s context (Hughes, Ginnett, & Curphy, 2009). When faced with a crisis, a leader must utilize clear communication to promote adaptive strategies to overcome challenges. Therefore, exploring the mobilization of adaptive work and communication is vital in understanding an effective crisis leadership strategy.

Mobilizing Adaptive Work Not all problems faced by a leader can be solved with a standardized approach. A leader is a captain who faces an ocean of possibilities, and an adaptive approach is the compass to guide the ship out of a crisis and into stability. Proposed by Ronald Heifetz, adaptive work encompasses the learning necessary to manage the conflicts and differences in values between individuals and reality (1994). As there are differences between what individuals value, a comprehensive approach when addressing conflict is vital. Heifetz identifies three types of situations that require a different approach to achieving the solution (1994). Technical work has clear problem definitions and may have either clear solutions or require learning to solve and implement; in Type I, the authority figure is responsible for the work, while in Type II, both parties are involved (Heifetz, 1994).

The adaptive Type III problem addresses a problem that requires learning to define and solve and implement; the work is focused on the non-authoritative figure. The authority must branch out beyond authoritative solutions (Heiftez, 1994). Therefore, an adaptive problem requires an adaptive solution. Failing to solve an adaptive problem, for example, with a technical solution will exacerbate the issues attempting to be solved. Such conflicts are driven by a difference in values and are further aggravated by the difference between reality and the desired outcome.

Mobilizing adaptive work will be analyzed in the context of authority to enact change with the goal of reconciliating reality with the vision.

The Adaptive Problem and Authority Authority plays a role in the process of mobilizing adaptive work. All four governors analyzed were elected by their constituents and were granted a degree of authority by those constituents. According to Heifetz, “authority relationships are critical to doing work in many routine situations, and when applied properly, can be used invaluably in more challenging times” (1994, p. 72.-73). When facing the adaptive challenge of the COVID-19, leadership derived from authority requires providing questions and stimulating adaptation by letting people feel the weight of the threat (Heifetz, 1994). Furthermore, authority figures are responsible for providing direction protection, role orientation, control of a conflict, and maintaining the norm

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when facing an adaptive problem (Heifetz, 1994). A leader with authority must (1) identify the adaptive challenge, (2) keep the level of distress within a tolerable range, (3) focus attention on issues that arise, (4) give work back to the people at a reasonable rate, and (5) protect the voices of those who do not have authority (Heifetz, 1994).

An adaptive problem requires “an individual or organization to alter their ways” and the only way to make substantial, long-term progress is to implement an adaptive solution that requires more in-depth analyses and solutions (Heifetz & Linksy, 2002). Since the process of mobilizing adaptive work requires addressing more profound issues, people may be hesitant to change. Therefore, a leader seeking to mount an adaptive response must ensure that individuals are empowered and motivated to do the work needed to implement the solution. According to Heifetz, a leader “must get on the balcony” to accurately assess the situation from an overall perspective to guide further action (1994). Furthermore, due to tensions derived from adaptive changes, a distressed group will not be willing to proceed with the adaptive work, so keeping the level of distress low is vital. To achieve an undistressed group, a leader must engage in consistent monitoring of issues that arise and moderate the amount of work returned to the people. Therefore, an analysis of the use of authority to mobilize adaptive work is essential in understanding its overall relationship with communication and crisis leadership.

A COVID-19 Response Requires the Mobilization of Adaptive Work The COVID-19 pandemic required a large, coordinated response to decrease its impact on public health. At the time of writing this paper, the COVID-19 pandemic is still a present threat and continues to dominate daily life in the United States. As Heifetz defined, an adaptive challenge requires learning to define and solve the problem (1994). First, scientists intensively studied the virus; they prescribed recommendations to the public based on their research (Centers for Disease Control, 2020). At the start of the pandemic, the Centers for Disease Control recommended guidelines for protection against SARS-CoV-2, the virus that causes the COVID-19 disease. These guidelines included wearing a mask, social distancing, and consistent handwashing (Centers for Disease Control, 2020). When dealing with the novel coronavirus, the adaptive challenge involved operational changes and the implementation of adaptive leadership strategies, including “situational awareness, decision making, and communication,” to promote stability and safety in the United States (Baker, Irwin, & Matthews, 2020).

For a leader to mobilize adaptive work, all conditions described by Heifetz must be met. Broadly, each governor should have: 1. Identified and acknowledged that COVID-19 was a threat.

2. Managed public distress as conditions fluctuated.

3. Addressed issues as they arose.

4. Encouraged public involvement in overcoming the crisis without overwhelming the public.

5. Served as an advocate for those lacking authority.

Advocacy for Populations Disproportionally Affected by COVID-19. The COVID-19 pandemic has impacted the lives of millions of people around the world, including the United States. The last tenet of Heifetz’s paradigm, protecting the voices of those who do not have authority, is vital for successfully mobilizing adaptive work. Marginalized populations in the United States have been disproportionately affected, including such racial and ethnic minority groups as African American, Native American, and LatinX communities (Tai et al., 2020). Several socioeconomic factors contribute to this unfortunate effect on these communities, including poverty, communication gaps, and, for many, general distrust of the health care system where each are rooted in systemic racism (Tai et al., 2020). When mobilizing adaptive work, a leader must inspire all individuals to act towards the reconciliation of reality with the shared vision.

In times of crisis, the most vulnerable populations require support. For this paper, if a governor provides support for these populations, they will have satisfied the final tenet of Heifetz’s paradigm.

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Clear Communication Skills Communication is a vital tool for leaders to effectively inspire followers. An effective leader can inspire those around them with a clear vision. Inspiring others is a vital component of leadership that is not as prominent in management. Communication styles can vary between the two. Where leadership involves inspiration to motivate action, management focuses on the logistics of the journey towards the goal (Toor & Ofori, 2008). Both must appeal to the values of the constituents. Therefore, language carries meaning. The authorship of communication driven by an understanding language is an interesting perspective to consider simply since “language more than mirrors or represents reality” (Fairhurst & Connaughton, 2014, p. 10). This phrase is especially relevant where individuals in positions of power. Clearly, language holds the power to shape reality; effective utilization of this ability is vital as a leader, especially during a time of crisis. Perhaps one of the most important elements of crisis communication is the principle of clarity of thought and expression. It is important that a leader knows and can convey a message clearly or risk an unclear message akin to “groping in the darkness like the seven blind men arguing the size of an elephant” (Akilandeswari et al., 2015, p. 45).

Communication has the power to influence the followers’ response to their leader and the proposed or shared vision. Two styles of communication have been identified and studied in relation to interpersonal relationships and offer insight into the analysis of communication during crisis leadership: friendliness versus dominance (de Vries, Bakker-Pieper & Oostenveld, 2010). Where the friendly-type communication style leans towards more supportive behaviors, the dominance communication style is more controlling. This study showed that “satisfaction is more often associated with a friendly communication style, while a dominant communication style may be associated with performance” (de Vries & Bakker-Pieper, 2010, p. 369). There are clear benefits from both communication styles. A friendly communication style may help forge bonds between people and institutions. A dominance communication style is helpful in taking control of a situation where the stakes may be high. A combination of the two communication styles may lend the ideal mixture of behaviors that may maximize the effectiveness of a crisis response.

The friendly versus dominance paradigm may be applied to study crisis leadership.

Mendy, Stewart, and Van Akin (2020) proposed a crisis communication strategy in which the communication paradigm may be further examined; 1. Provide information to promote purpose and stability.

2. Communicate clearly.

3. Demonstrate vulnerability.

4. Restore confidence.

5. Establish a clear vision with a plan.

In the context of the COVID-19 pandemic, a governor will have satisfied the requirements of effective communication by, 1. Consolidating goals and maintaining consistency.

2. Clearly defining and expressing goals and expectations.

3. Demonstrating vulnerability by acknowledging the struggles of the general public and sharing personal thoughts.

4. Restoring confidence by leading consistently and by addressing the needs of the public.

5. Outlining a clear plan.

This approach combines both elements of friendly and dominance communication styles by offering support to the masses while exerting dominance and control to promote a sense of solidarity, safety, and security in the face of uncertainty. This paradigm will be used to investigate which communication style each governor utilized and reveal the relationship between the friendly-versus-dominance communication styles and crisis leadership.

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Crisis Leadership The COVID-19 pandemic’s disruption of normalcy set the foundation for a persistent uncertainty. According to Rosenthal & Pijnenburg, a crisis refers to “situations featuring severe threat, uncertainty, and a sense of urgency” (2012). Furthermore, a crisis management effort involves planning to prevent future crises, crafting an effective response for each future crisis, and providing a recovery plan and resources post-crisis (Rosenthal & Pijnenburg, 2012). Though this is an excellent strategy for management, leadership and management involve different approaches. Where management typically values and involves quick solutions, leadership utilizes organization to reign in the chaos and take time to fully understand a situation before solving a problem (Zeleznik, 2004).

In terms of leadership, Heifetz (1994) proposed restoring equilibrium and providing stability as a leader. Communication, more specifically language, must be investigated to determine how language both creates disequilibrium and restores equilibrium during a crisis.

Furthermore, it is important to understand cultural practices and engagement during a health crisis that may influence transmission (Bjorneseth, Boas, Erstad, Iochhi, & Osland, 2020).

Verhoeven and colleagues identified the key aspects of crisis leadership: information, sympathy, and defense (2013). In most crises, press conferences and interviews with leaders are the most common way to conduct a population’s stability (Verhoeven et al., 2013). Within this paradigm, it is essential to acknowledge that there will be no direct parallels between previous crises and the current COVID-19 pandemic, as it is a novel situation. All these leadership concepts are best applied towards the reconsolidation between reality and the overall vision: achieving a pre-COVID-19 way of life.

Gianpiero Petriglieri described active crisis leadership as a function of the motivation individuals require to reach the vision in which a crisis is resolved; this occurs when the leader creates a safe holding environment (2020). A good holding environment is one that makes an individual more “comfortable and courageous” and is incredibly important simply because “in groups whose leaders can hold, mutual support abounds, work continues, and a new vision eventually emerges”; in situations where holding is not achieved, “anxiety, anger, and fragmentation” occur (Petriglieri, 2020). There are two types of holding as described by Petriglieri: institutional holding, involving large institutions, and interpersonal holding, involving people’s immediate experiences and concerns (2020). In a crisis that involves both people and institutions, holding achieved between both parties would unify and promote stability.

Perhaps effective crisis leadership is derived from the combination of institutional and interpersonal holding. The establishment of a positive holding environment may serve as an indicator of effective crisis leadership. The effectiveness of the crisis leadership response depends on many factors. However, for the purposes of this paper, a governor’s response will be considered “effective” if they were able to bring COVID-19 case numbers down within the 111-days throughout March to June.

The Four Governors Four Governors were chosen, two Democrats and two Republicans, to analyze the COVID-19 response in each respective state in the context of adaptive work and communication.

The relationship between adaptive work and communication on effective crisis leadership was also analyzed. Governor Cuomo (New York) and Governor Newsom (California) were chosen as the two Democrat governors for analysis. Governor DeSantis (Florida) and Governor Hogan (Maryland) were chosen as the two Republican governors for analysis.

Governor Cuomo Mobilizing Adaptive Work through Authority Cuomo, like many governors in the United States, identified SARS-CoV-2 as a threat in early March. Cuomo declared a state of emergency on March 7th and he began enacting

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mandates on March 18th, one of which was an executive order that required all unessential businesses to reduce their workforces by 50% and pushed for other employees to work from home (Governor’s Press Office, 2020b; Francescani, 2020). Cuomo’s response to the pandemic included a series of press conferences that lasted 111 days. This series of press conferences shared the status of the pandemic in New York. They connected Cuomo with his constituents in a time where physical social interaction was completely severed, and virtual interactions were still new and awkward. These interactions were vital in building a positive repertoire with Cuomo’s constituents. For example, during one conference when asked about the outlook of the pandemic after extending a shutdown order, he replied, “What happens after then? I don’t know” (Bromwich et al., 2020). This was a question that many throughout the country were restless to have answered. Cuomo and his listeners shared in the uncertainty of the mystery of life after the pandemic. As the situation developed, he was clear to his constituents about New York’s reopening plan and emphasized the value of flexibility during each phase. Cuomo’s emphasis on following the Centers for Disease Control guidelines prioritized public health and treated the virus as a serious threat when even the federal government’s response was relatively relaxed. Cuomo’s conferences promoted transparency that forged a bond of unifying uncertainty between himself and his constituents, keeping their distress relatively tolerable.

Cuomo was also able to keep distress tolerable in New York by adopting careful optimism and realism. In another conference reported by the New York Times, he stated, “The biggest problem we have in this situation is fear, not the virus itself…”, reminding New Yorkers to keep their attention on the facts on the situation and to avoid getting swept up in the uncertainty of the future (2020). Cuomo gave the work back to the people by pushing local governments to enforce social distancing guidelines. He also encouraged New Yorkers to take responsibility for the safety of their own communities.

Gov. Cuomo provided a voice for those in need by ensuring that vital resources would be made available to vulnerable communities. According to a report from the Governor’s Press Office of New York State (2020), “the state’s diagnostic testing revealed that low-income and minority communities were suffering the most from COVID-19”. In response, Cuomo launched an initiative to expand testing capacity in low-income communities and communities of color and established additional temporary testing sites (Governor’s Press Office, 2020a). Cuomo also ensured that alcohol-based hand-sanitizer was provided to communities free of charge and promoted a sick leave bill to cover individuals isolated or quarantined by COVID-19 (Governor’s Press Office, 2020a). The important part of Cuomo’s response was his recognition of the disproportionate impact on these communities and he committed to providing resources to break the cycle (Governor’s Press Office, 2020a). By meeting the needs of New Yorkers, Gov. Cuomo was successful in mobilizing the adaptive work required by residents of New York to combat the pandemic.

Cuomo utilized his authority to influence individuals to act, a successful step in mobilizing adaptive work. By maintaining an image of transparency, decisive action, and a no-nonsense approach, Gov. Cuomo served as an effective leader by communicating with his constituents and establishing a shared vision for unified safety in New York State. His press conferences established him as a beacon during the early days of COVID-19 in New York and set a precedent for him to exercise his authority to ensure all New Yorkers’ safety.

Communication Promoting Purpose and Stability. Governor Cuomo promoted a sense of purpose and stability by emphasizing the importance of the preventative measures against COVID-19 and though shared uncertainty with his constituents. Cuomo’s 111 press conferences in the early days of the pandemic is an example of promoting purpose and stability. In his last press conferences within the 111 days, Cuomo stated that “New York has ‘done the impossible’ in taming the coronavirus (Villeneuve & Hill, 2020). His conferences played a significant role in

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keeping New Yorkers focused on the goal of a recovery from the pandemic and that offered a sense of stability in a time of overwhelming uncertainty.

Communicating Clearly. Cuomo was a clear communicator. His communication style leaned towards friendly but dominating aspects of his personality also played a role in his communication style. Cuomo’s signature traits have been described as a “forceful personality” and he has been known to “put results and competence before ideology” (Krieg & Merica, 2020). Mark Murphy, a senior contributor for Forbes, wrote that Cuomo utilized a functional communication style that values straightforwardness, details, and careful, precise goals (2020).

This communication style typically follows a step-by-step pattern that is best suited for guiding a group through a crisis (Murphy, 2020). This communication style was responsible for pulling his approval ratings higher, as before the pandemic, Cuomo was regarded as a “calculating, very capable, somewhat grim tactician, a man of relentless and ill-concealed ambition” (Paumgarten, 2020). Cuomo was clear in sharing the guidelines he encouraged his constituents to follow and routinely engaged in criticism of the federal government’s response to the pandemic (Villeneuve & Hill, 2020).

Demonstrating Vulnerability. According to Villeneuve and Hill (2020), Cuomo was commonly perceived as a “politician famous for being calculating” and the 100 press conferences he hosted “provided glimpses of his humanity”. For example, he would show concern about his 88-year-old mother, scold the younger generation for not wearing a mask, and mourn the death tolls (Villeneuve & Hill, 2020). By demonstrating vulnerability, he reflected the seriousness of the virus and served as an example of an individual in power who was dealing with the same threat as everyone else, the pandemic.

Restoring Confidence. Cuomo was able to restore confidence in New Yorkers that the state could overcome the pandemic. His press conferences with daily updates played a significant role in keeping New Yorkers informed. The consistent nature of his press conferences provided a sense of predictably for New Yorkers that may have served to comfort the anxious population.

In time, Cuomo was perceived as “smart, disciplined, unified, and loving” (Paumgarten, 2020).

In addition to his press conferences. As evident by the public’s opinion of him, New Yorkers seemed confident that Cuomo would be able to lead them out of the pandemic.

Establishing a Clear Vision with a Plan. Cuomo’s systematic communication style benefited him throughout his efforts to outline future steps for the state of New York. This is evident throughout each of his press conferences. In an update delivered on March 29th, Cuomo outlined a series of steps to better coordinate the coronavirus response in the state. He began by explaining the issue, taking the time to explain the relationship between public and private hospital systems, before sharing the conclusion that more interaction was needed between the two systems (Murphy, 2020). Cuomo called on the Army Corps of Engineers to build emergency facilities to expand the capacity of New York’s health facilities in the wake of the pandemic (Smith, 2020). He also promoted testing for the virus in the state and shared the location of various testing sites throughout the state; he also encouraged work-from-home for all those who had that option (Smith, 2020). He clearly outlined his expectations and goals for New Yorkers.

Crisis Leadership

Cuomo was able to create an effective holding environment built by his rhetoric, which ultimately promoted the adaptive work needed to act against the pandemic. He successfully hosted interpersonal holding with a communication style that took advantage of both friendly and dominant characteristics. For example, Cuomo was able to improve his public ratings and be perceived in a friendlier light while utilizing his straightforward and tactical personality to share future steps with the public. This combination allowed him to establish interpersonal holding. Cuomo clearly established interpersonal holding through his press conferences and established a relatable persona for his constituents.

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Effectiveness According to the New York Times, COVID-19 cases in New York rose starting in March and peaked on April 10th, 2020. At the time around Cuomo’s last press conference in June, cases were under 1000 cases per 7-day-average and remained steady. Throughout the three-month period in which Cuomo engaged in his daily press conferences, cases continued to decrease. Therefore, Cuomo was successful in mobilizing adaptive work to promote COVID-19 safety guidelines and his communication was effective in exercising crisis leadership to reduce the number of cases in New York.

Re-evaluating Cuomo. At the time this research was conducted, Cuomo had not yet been suspected nor investigated for the cover-up of data of nursing home deaths. In March 2021, investigations revealed that Cuomo’s senior aides rewrote the number of nursing home deaths which was reported to be 9000 in June 2020 (Goodman & Hakim, 2021). When confronted about the manipulated numbers, Cuomo stated that he had withheld the true numbers due to concerns about Trump leading a politically motivated questioning of the state’s handling of the pandemic in nursing homes (Goodman & Hakim, 2021). Essentially, by masking the true number of nursing home deaths, Cuomo placed himself in a position of power, and as an example of effective crisis leadership. Further research is required to determine if the manipulated data provided an optimistic outlook that may have influenced the effectiveness of Cuomo’s crisis leadership.

Governor Newsom Mobilizing Adaptive Work through Authority Governor Newsom’s response to the pandemic was unique in that he was one of the first Governors to issue a state of emergency by March 4th and was the first Governor to issue a stay-at-home order on March 19th (Eby, 2020; Feuer, 2020). In the face of the adaptive challenge that was the COVID-19 disease, Newsom was quick to act. During an early press conference, he outlined six key indicators that would guide the reopening of California.

Newsom kept the level of distress in a tolerable range by consistently sharing information and updating the path to reopening as conditions changed (Feuer, 2020). He also maintained a degree of realism, stating that even when the stay-at-home restriction was lifted, life would not go back to normal immediately; “There’s no light switch here. It’s more like a dimmer,” he said (Feuer, 2020). Public opinion of Newsom was favorable in his initial response to the pandemic (Cowan, 2020). As California’s situation changed, he focused his attention on issues that arose, such as rises in cases, by promoting safety guidelines and sharing and enforcing guidelines in different localities (PBS NewsHour, 2020). In this way, he also gave work back to the people at a reasonable rate by encouraging people to take personal responsibility to ensure their safety.

Lastly, he protected the voices of those who did not have authority by halting evictions, extending the waiver to permit the DMV to allow mail-in renewals of driver licenses, and removing restrictions to childcare (Office of Governor Gavin Newsom, 2020). He secured approval from FEMA to set up safe isolation units for tens of thousands of people experiencing homelessness in California as an initiative of Project Roomkey (Office of Governor Gavin Newsom, 2020b).

Newsom stated, “By helping the most vulnerable homeless individuals off the street and into isolation, California can slow the spread of COVID-19 through homeless populations, lower the number of people infected and protect critical health care resources” (Office of Governor Gavin Newsom, 2020b).

Newsom was able to leverage his authority to guide California into its COVID-19 response. Rob Stutzman, a Republican consultant, pointed out that Newsom was “very slow to act authoritarian” and that “he’s expressing optimism that people will comply because that is how serious the situation is” (Luna & Willon, 2020). By gently transitioning California into a state of “lockdown,” Newsom appealed to those who were anxious about their freedoms being

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restricted (Luna & Willon, 2020). Newsom, an elected official with legitimate power, promoted the adaptive work needed to combat the COVID-19 pandemic.

Communication Promoting Purpose and Stability. Newsom promoted purpose and stability in California by transitioning California into its COVID-19 protocols. While sudden changes can cause distress, a transition may promote more stability. Newsom repeatedly stated that California was too large for a single approach to be effective all over the state; rather a bottom-up approach would be beneficial for addressing the diversity throughout the state; local governments had the power to take the measures needed (Luna & Willon, 2020). Susan Kennedy, a former top aide to previous Governors, stated that by having the locals share the problems, the federal government would be able to respond effectively (Luna & Willon, 2020). By ensuring that the response to the pandemic was in the hands of local governments, with federal support if needed, Newsom was able to promote a sense of purpose and stability that California could overcome the pandemic.

Communicating Clearly. Newsom’s communication style is one that values information and direction. Newsom’s communication style, much like Cuomo’s, focuses on details.

According to Nathan Click, Newsom’s communication’s director, Newsom approached each press conference without a pre-written speech, preferred to hear hard numbers and facts before addressing the public, and made it a point to present solutions to fix issues as they arose (Kahn & Marinucci, 2020). His systematic approach offered a sense of exact consistency that Californians needed as the situation in California fluctuated.

Demonstrating Vulnerability. Newsom demonstrated vulnerability in his response to the pandemic. He had to make decisions about the closure of schools, and hesitated because of the implications, primarily, how students were going to be fed. In one conference, Newsom said, “At this time, I don’t deal with perceptions, I deal with reality, and I deal with reality on the ground that 85% of our kids are no longer going to go to school on Monday. I know for a fact that not all these districts have planned for the needs of these kids next week. And I’m deeply concerned about their health. And I’m deeply concerned about their safety and we are deeply concerned about their parents’ inability to go to work.”

For example, in one conference when asked about schools reopening, he said, “This is a very sober thing to say. And I can’t say this with certainty, but I can this quite learnedly: Don’t anticipate schools are going to open in a week. Please don’t anticipate in a few weeks, and I say that because one needs to be honest, and I need to be accountable to you” (Luna & Willon, 2020). He maintained realistic expectations and share his own concerns with the public, demonstrating his vulnerability.

Restoring Confidence. Newsom was able to restore confidence in California’s response to the pandemic by being straightforward and realistic. For example, in once press conference, he emphasized “the ability to monitor and protect our communities through testing, contact tracing, isolating, and supporting those who are positive or exposed” (Office of Governor Gavin Newsom, 2020a). Newsom’s consistent and straightforward responses and plans helped restore and maintain confidence in his leadership.

Establishing a Clear Vision with a Plan. Newsom’s vision was one of keeping as many Californians as safe as possible. His vision was easily understood, thanks to his detail-oriented communication style. An example of his clear plan is evidenced by the cooperation between teachers and school management to support education during the pandemic. In a press release, Newsom announced the initiative between teachers, classified employees, school boards, superintendents, and principals, to work together and provide distance learning for students in California (Office of Governor Gavin Newsom, 2020c).

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Crisis Leadership Newsom maintained safe institutional holding and created a safe interpersonal holding environment. He maintained safe institutional holding by trusting California’s local governments to take effective action. This promoted a positive relationship between local governments and the federal state government. Additionally, he encouraged the cooperation of all parties within the educational system to preserve the education of students. Newsom created a safe interpersonal holding environment by being vulnerable with his constituents and sharing his concerns tied with decisions, such as closing schools. By trusting local governments and voluntary behaviors, Newsom was able to encourage the adaptive work needed to combat the virus, and his communication with his constituents allowed him to exercise crisis leadership.

Effectiveness

According to the New York Times, COVID-19 cases in California rose steadily beginning in March and peaked in the months following this paper’s timeline for analysis. Since the cases steadily increased over time, Newsom’s crisis leadership strategy was not effective in decreasing case numbers. However, this calls into question whether Newsom’s reliance on voluntary action as opposed to mandates, was really the most effective option in fighting the pandemic.

Governor DeSantis Mobilizing Adaptive Work through Authority

Governor DeSantis acted quickly to declare a state of emergency in Florida on March 1st (Razek, 2020). In dealing with the adaptive challenge of the pandemic, DeSantis quickly recognized that Floridians needed support and he was praised by President Trump and Vice President Pence for his “decisive action” (Allyn, 2020). However, public opinion of DeSantis differed. Many public health experts stated that DeSantis’s leadership was inadequate; he waited to close beaches to the public, especially to spring breakers, even though the first cases of COVID-19 were detected on March 1st ; this delay overwhelmed health care systems (Allyn, 2020). DeSantis needed to keep the level of distress within a tolerable range. In terms of the burden on essential workers, DeSantis did not keep the level of distress low. For the general public, however, he kept the level of distress in a tolerable range by consistently reassuring Floridians that the situation was under control. Essentially, he created a false sense of security by making erroneous claims. According to the Tampa Bay Times, DeSantis claimed that “no one under the age of 25 has died from the coronavirus in the United States” and “pushed unproven medical cures while dismissing advice from health experts” (Contorno & Mower, 2020). This, and further misinformation, led many Florida residents to “proudly disdain masks and engage in dangerous group activities that could spread the disease” (Ariza, Fleshler, & Goodman, 2020).

Essentially, DeSantis kept the level of distress low for the general public at the cost of burdening health care systems.

DeSantis did focus attention on issues that arose by declaring a state of emergency that allowed nurses and doctors from other states to provide aid in Florida; he activated the Florida National Guard, promoted the purchase of medical supplies more swiftly, and implemented the establishment of field hospitals (Klas & Mower, 2020). He gave work back to the people, but not at a reasonable rate, as many local governments were overwhelmed by the lack of the state government’s response to the pandemic In addition, DeSantis did not seem to recognize the disproportionate impact of COVID-19 on minority populations. In one press conference, DeSantis stated that “overwhelmingly Hispanic day laborers and agriculture workers were the leading source of Florida’s surge in coronavirus cases (Santiago, 2020). DeSantis’s’ “blame game” was not the response that vulnerable communities deserved. Though DeSantis advocated for continued mask wear and for the adherence of other COVID-19 prevention guidelines, he was rarely seen wearing one himself (PBS NewsHour, 2020; Santiago, 2020). However, he failed to implement

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mandates when cases spiked, stating that the mandate would be broken anyways, so there was no point in implementing one (PBS NewsHour, 2020). Based on DeSantis’s failure to support the vulnerable populations disproportionally affected by the novel coronavirus, he did not protect the voices of those who lacked authority.

Governor DeSantis did not satisfy the tenets of mobilizing adaptive work, as defined by this paper. He failed to give the work back at a reasonable rate and did not comprehensively protect the voices of those lacking in authority. Therefore, he was not successful in mobilizing adaptive work.

Communication Promoting Purpose and Stability. Governor DeSantis promoted a sense of purpose and stability by acknowledging the uncertainty everyone was facing. In one of his press conferences, he stated, “People don’t know what’s around the corner, they don’t really understand what this virus can mean. And the thing I want to say is, this is not going to be easy. But, we will get through it. We’re going to work hard together as a community and we’re going to come out of this on the other side stronger than we are now” (DeSantis, 2020). He promoted solidarity in a time of crisis, revitalizing the sense of purpose to be patient and careful throughout the pandemic.

Communicating Clearly. Governor DeSantis’s communication style is one that may come across as personable. Speaking casually and in fragmented or oddly structured sentences may have created a bond between himself and his listeners. Though not as quirky as Donald Trump’s speaking style, the flow of DeSantis’s sentences may have a perceived “fill-in-the-gaps style” that mimics a face-to-face conversation, resulting in a connection on an emotional level (Golshan, 2017). Though this style may not appeal to many, it can be effective in creating bonds of trust that can only be achieved through clear communication, and this was evident as many Floridians trusted the governor’s reports about COVID-19.

Demonstrating Vulnerability. Governor DeSantis did not demonstrate vulnerability.

Often approaching the pandemic through the lens of competition, he created a sense of indestructability for himself that was projected to the rest of Florida. In one interview he stated, “’Cause you’ve got a lot of people in your profession who wax poetically for weeks and weeks about how Florida was going to be just like New York. Wait two weeks, Florida’s going to be next. Just like Italy, wait two weeks. Well, hell, we’re eight weeks away from that and it hasn’t happened. Not only do we have a lower death rate, well we have lower death rates generally.”

He then proceeded to list various locations with higher death rates than Florida (Newsroom, 2020). In a literal sense, the lack of vulnerability demonstrated by DeSantis was a key factor of complacency in Florida that led to high spikes in cases. By constantly framing Florida’s situation as “better than the others”, he created a false sense of security.

Restoring Confidence. DeSantis stepped back from his responsibilities. He blamed the media for Florida’s COVID-19 response, arguing that the media stopped asking about coronavirus in May. He claimed that the media was to blame for the public becoming complacent and the subsequent rise in cases (DeSantis, 2020). DeSantis demonstrated a clear act of pushing responsibility away from himself. Along with blaming the media, DeSantis also refused to implement a mask mandate or stay-at-home order when cases spiked, stating that it was up to local governments to enforce such protocols (DeSantis, 2020). DeSantis restored confidence in his response to the pandemic by comparing Florida to other states and countries, creating a false sense of security.

Establishing a Clear Vision with a Plan. DeSantis’s vision was the return of life to normal as soon as possible. DeSantis’s press conferences frequently featured him discussing initiatives to curb the spread of the virus, including increased testing. However, after swiftly reopening in June, cases in Florida spiked. Florida’s Agricultural Commissioner Nikki Fried stated, “Governor DeSantis has lost control of Florida’s COVID-19 response. His policies are simply not working and he’s recklessly reopening Florida despite the data screaming for caution.

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Positivity is not only arrogant but will cost lives, public health and our economy” (Luscombe, 2020). His vision for reopening was rushed. This rushed opening was a cause for fear for many in Florida, as the numbers DeSantis used to inform his decision were not as accurate as possible (Terris & Dawsey, 2020).

Crisis Leadership

In terms of interpersonal holding, DeSantis held the trust of many of his constituents.

However, it was achieved by downplaying the virus. Though he was effective in developing this relationship, his relationship with other state institutions, such as local governments were one that was perceived as lackluster, as he failed to implement mandates and relied on local governments to enforce safety guidelines.

Effectiveness

According to the New York Times, the major spike that Florida had during the MarchJune period occurred in April, with cases at a 1,297 7-day average. It had jumped up from a little over 250 cases in late March. Within the 111-day period, the cases in Florida remained steady, with none over 1000 cases except for the spike in April. Without successfully mobilizing adaptive work, DeSantis was successful in reducing case numbers in Florida during the 111-day period between March and June, 2020.

Governor Hogan Mobilizing Adaptive Work through Authority Governor Hogan declared a state of emergency in Maryland on March 5th that authorized the Maryland Department of Health and the Maryland Emergency Management Agency to coordinate the pandemic response (Razek, 2020; The Office of Governor Larry Hogan, 2020a). Hogan kept the level of distress in a tolerable range by emphasizing the importance of taking precautions seriously. This action reflected the gravity of the situation, yet it was a realistic approach that was bolstered by subsequent efforts by his government to support those in need (Wenger & Wood, 2020). He gave the work back to the people by encouraging local governments. He stated, “we are providing for a flexible, community-based approach which empower individual county leaders to make decisions regarding stage one reopening in their jurisdictions” (Broadwater, Wood, & Oyefusi, 2020). Hogan also supported those without authority. Hogan recognized that disparities were present in minority communities in the state and implemented orders to ease restrictions and burdens (Panetta, 2020). Therefore, Hogan was able to mobilize adaptive work by informing constituents and providing a realistic outlook.

Communication Promoting Purpose and Stability. Hogan promoted purpose and stability by sharing updates with Marylanders and reminding people to take action to reduce the spread of the coronavirus (The Office of Governor Larry Hogan, 2020). He was quick to act in response to the pandemic and garnered substantial public support for his actions. Eric Luedtke, a Montgomery Country Democrat, stated that “the state is reacting better than almost any state in the country to the coronavirus pandemic. I personally think the governor has been doing a fantastic job responding to it” (Broadwater & Barker, 2020).

Communicating Clearly. Hogan’s communication style leaned dominant as he took clear control of the COVID-19 response and did not hesitate to shut down businesses and places of gatherings early on (Broadwater & Barker, 2020). Furthermore, he clearly communicated the expectations that he had of Marylanders through a detail-oriented communication style.

For example, in one press conference he stated, “we are no longer asking or suggesting that Marylanders stay home. We are directing them to do so” (Barnes, 2020). This succinct example of one of many in which Hogan clearly communicated his expectations to the public.

Demonstrating Vulnerability. Hogan demonstrated vulnerability by consistently emphasizing the measures needed to reduce the spread of the virus. In one conference he

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stated, “it does not mean that we are safe or that this crisis is over; low risk does not mean no risk” (Broadwater, Wood, & Oyefusi, 2020). He was aware of the struggles that many were facing. In one conference, Hogan stated, “Marylanders need to know that, unfortunately, we are only at the beginning of this crisis and it is going to get considerably worse before it gets better,” Hogan said. “I realize this is incredibly difficult on everyone in our state, but I want people to know that we have been through difficult challenges before and that we are going to get through this together” (Wegner & Wood, 2020).

Hogan appealed to the complex feelings many were feeling as cases fluctuated. He acknowledged that times were difficult and encouraged solidarity in the face of the looming challenge of the pandemic.

Restoring Confidence. Hogan restored confidence in Maryland’s overall response. One instance was when he was quick to implement funding received from the federal government. He stated, “this declaration will help provide much-needed funding for state and local governments and nonprofits, and it will be another important step in Maryland’s aggressive and coordinated response to COVID-19” (Wegner & Wood, 2020). His response the pandemic was notably controlling and aggressive. However, most Marylanders were willing to comply (Wegner & Wood, 2020). Hogan’s consistent response to the pandemic served to restore and maintain confidence in his leadership.

Establishing a Clear Vision with a Plan. Hogan’s detail-oriented communication style was beneficial for him in terms of sharing his vision with his constituents. He often provided succinct and clear statements that served to keep the public informed about future steps (Broadwater & Wood, 2020). He continued to emphasize the necessity of following precautions and maintained a realistic outlook regarding the future.

Crisis Leadership Hogan create institutional holding and interpersonal holding, as evidenced by his cooperation with local governments and candid addresses of the public. He also relied on his strong interpersonal skills to rally Marylanders towards the vision of a safe Maryland.

Effectiveness According to the New York Times, Maryland hit a peak within the three-month period, at 1,116 cases 7-day average in mid-May. However, the state’s cases began to decrease into July. It can be argued that the cases were kept at a consistent rate, and that Hogan’s strategies may have been effective in preventing significantly larger spreads. However, during the 111-day period, Hogan was not successful in decreasing the number of cases.

The Shared Power of a Story Each of the Governors share one factor of their communication: storytelling. Howard Gardner has written that, “through sheer physical power, one can gain-and maintain- a position of authority over other people” and “if one wishes to persuade others, however, it is necessary to convince them of one’s point of view” (1995, p. 45). Gardner further emphasized the power of language and authority when he argued that by speaking the words of someone well-known or powerful, the speaker gains legitimacy (1995). Takala and Auvinen (2016) have also pointed out that stories have the power to empower others. Each governor talked about the work of critical workers, the sacrifices that everyday people make to keep others safe, and their own personal experiences and concerns about the pandemic. There is no doubt that these stories played a role in the overall effectiveness of the plans relayed by their respective governments. Regardless of whether a governor adopted a friendly or dominant communication style, they shared stories with their constituents.

The fact that the governors each utilized storytelling as a part of their communication strategies, especially in positions of power and high authority, emphasizes the value of storytelling and its effects. By threading the experiences of those they knew and of themselves, Governors Cuomo, Newsom, and Hogan were able to mobilize the adaptive work needed to fuel the crisis response.

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Discussion These four governors were chosen between the two major political parties; two Democrats and two Republicans. This is important factor to consider since states have different leaders who act upon their constituents’ beliefs and values. Republican-led states did not necessarily have higher case numbers than Democrat-led states. In fact, the number of cases seemed to be even between both parties, at least in the states investigated. However, the approaches used by Republican leader, Gov. DeSantis, was starkly different compared to Gov. Hogan, which emphasizes the spectrum of leadership even within a political party.

Investigation of Effectiveness Data shared by the New York Times presented a line graph of cases for every state since March. This data was used to determine the effectiveness of each governor. Though some states were able to bring cases down, it is also important to consider the population density of each state as well as the overall population.

New York’s population density is 421 people per square mile and an estimated population of at least 19 million (New York State Department of Health, 2016; United States Census, 2020a). California has a population density of 253 residents per square mile and a population of at least 31 million in 2019 (United State Census, 2020c). Florida has a population density of 397 people per square mile and a population of 21.48 million in 2019 (United States Census, 2020b). Maryland has a population density of 622.5 residents per square mile and a population of 6 million in 2019 (United States Census, 2020d).

Cuomo (NY) and DeSantis (FL) were able to decrease the number of cases in their states.

This is interesting because New York and Florida had relatively similar population densities and overall populations. Newsom was not able to decrease the number of cases in California despite the lower occupation per square mile. However, it is important to consider that over 57 counties in California have a population density of over 10,000 people per square mile (USA.com, 2020).

New York has 4 counties with a population density over 10,000 people per square mile, Florida and Maryland have no counties with a population density of over 10,000 people per square mile (USA. com, 2020). Perhaps the presence of more densely populated counties contributed to increased difficulty in decreasing the case numbers in California. Maryland had a higher population density than the other three states, but a significantly smaller population. However, Hogan was able to bring cases down after large spikes in May. The relationship between these factors is impossible to ignore as population dynamics play a large role in the transmission of the virus.

Difference in Communication Styles Cuomo and DeSantis utilized different communication styles. While Cuomo was more detail oriented and systematic, with a mix of friendly and dominant characteristics, DeSantis spoke in a fragmented style and leaned more towards the dominance communication style. Both governors were successful in bringing case numbers down during the 111-day period, between mid-March to late June. Newsom and Hogan leaned more dominantly and were more detail oriented. This demonstrates that both communication styles may be effective in mobilizing adaptive work and navigating a crisis. However, the application of those communication styles, and therefore its effectiveness, depends on the expertise and strategy of the communicator.

After June: Some Considerations This paper focuses on the responses and results of each governor’s actions from March to June. The impacts of their leadership styles are dynamic, much like the fluctuating nature of the pandemic. It is worth noting that cases in New York stabilized for several months after June while cases in Florida spiked after June going into July and August (New York Times, 2020).

Additionally, cases in California continued to increase for a few more months and cases in Maryland fluctuated in the months following June (New York Times, 2020). Further research into the long-term impacts of each governor’s communication styles may provide insight into the variation of case numbers in each state.

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Conclusion The COVID-19 pandemic was a novel challenge that governors all over the United States faced. In times of crisis, such individuals elected to positions of power possess authority to guide their constituents out of anxiety. The crisis leadership of Governors Cuomo, Newsom, DeSantis, and Hogan were analyzed. Each governor had a different approach in dealing with the pandemic. While Cuomo, Newsom, and Hogan were often straightforward and detail-oriented, DeSantis was overtly casual. Each used the power of communication and storytelling to mobilize adaptive work, though DeSantis was deemed to have been unsuccessful in mobilizing adaptive work as he did not satisfy the tenets of this construct as defined in this paper. Furthermore, each governor implemented at least one type of holding that may have contributed to their respective constituents’ willingness to comply with guidelines. Each governor took advantage of consistency through various communication tactics so as to create some form of stability.

The most interesting conclusion is that even though the governors shared the tactic of storytelling and interpersonal holding, the response in each state differed. There is sufficient cause to believe that there were other factors involved in the effectiveness of crisis leadership beyond the mobilization of adaptive work and communication. There is a strong connection between communication and the application of rhetoric to influence adaptive change. Nevertheless, further investigation is required to discern the scope of impact on crisis leadership as it relates to adaptive work and communication.

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Francescani, C. (2020, June 17). Timeline: the first 100 days of New York Gov. Andrew Cuomo’s COVID-19 response. https://abcnews.go.com/US/News/timeline-100-days-york-govandrew-cuomos-covid/story?id=71292880 Gardner, H. (1995). The leader’s stories. Leading Minds: An anatomy of leadership. (pp. 39-62) Basic Books.

Goodman, J.D. & Hakim, D. (2021, April 28). Cuomo aides rewrote nursing home report to hide higher death toll. The New York Times. https://www.nytimes.com/2021/03/04/ nyregion/cuomo-nursing-home-deaths.html Golshan, T. (2017). Donald Trump’s unique speaking style, explained by linguists. Vox. https:// www.vox.com/policy-and-politics/2017/1/11/14238274/trumps-speaking-stylepressconference-linguists-explain Governor’s Press Office. (2020a, May 9). Amid ongoing COVID-19 pandemic, Governor Cuomo launches new initiative to expand access to testing in low-income communities and communities of color. https://www.governor.ny.gov/news/amid-ongoing-covid-19pandemic-governor-cuomo-launches-new-initiative-expand-access-testing-low Governor’s Press Office. (2020b, March 7). No. 202: Declaring a disaster emergency in the state of New York. https://www.governor.ny.gov/news/no-202-declaring-disaster-emergencystate-new-york Heifetz, R. & Linksy, M. (2002). A survival guide for leaders. Harvard Business Review. https:// hbr.org/2002/06/a-survival-guide-for-leaders Hughes, R.L., Ginnett, R.C., & Curphy, G.J. (2009). Leadership: Enhancing the lessons of experience. McGraw-Hill Irwin.

Kahn, D. & Marinucci, C. (2020, August 5). Newsom searches for messaging rhythm as coronavirus fatigue sets in. Politico. https://www.politico.com/news/2020/08/05/ newsom-messaging-coronavirus-fatigue-392055 Klas, M.E. & Mower, L. (2020, March 10). DeSantis escalates Florida coronavirus emergency order. Tampa Bay Times. https://www.tampabay.com/news/health/2020/03/10/ desantis-ramps-up-florida-coronavirus-emergency-order/ Krieg, G. & Merica, D. (2020, March 22). ‘I’m gonna go to work’: How Andrew Cuomo and his press conferences contrast with President Trump. CNN. https://www.cnn. com/2020/03/22/politics/andrew-cuomo-press-conferences/index.html Luna, T. & Willon, P. (2020, March 18). In confronting coronavirus, Gov. Gavin Newsom takes California on its own path. Los Angeles Times. https://www.latimes.com/california/ story/2020-03-18/california-governor-gavin-newsom-coronavirus-crisis-response Luscombe, R. (2020). Florida’s COVID-19 surge shows the state’s reopening plan is not working.

The Guardian. https://www.theguardian.com/world/2020/jun/20/florida-covid19surge-reopening-governor-desantis-coronavirus Mendy, A., Stewart, M.L., & VanAkin, K. (2020). A leader’s guide: Communicating with teams, stakeholders, and communities during COVID-19. McKinsey & Company. https://www.mckinsey.com/business-functions/organization/our-insights/a-leadersguide-communicating-with-teams-stakeholders-and-communities-during-covid-19 Murphy, M. (2020, March 31). Governor Cuomo uses this communication style, and it helps drive his soaring approval. Forbes. https://www.forbes.com/sites/markmurphy/2020/03/31/ governor-cuomo-uses-this-communication-style-and-it-helps-drive-his-soaringapproval/?sh=562db2252150 Newsroom. (2020). Gov. DeSantis blames media for Florida’s Covid-19 response. CNN. https:// www.cnn.com/videos/politics/2020/07/16/florida-gov-ron-desantis-coronavirusmediafact-check-nr-vpx.cnn

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Office of Governor Gavin Newsom. (2020a, April 14). Governor Newsom outlines six critical indicators that state will consider before modifying the stay-at-home order and other COVID-19 interventions. https://www.gov.ca.gov/2020/04/14/governor-newsomoutlines-six-critical-indicators-the-state-will-consider-before-modifying-the-stayat-home-order-and-other-covid-19-interventions/ Office of Governor Gavin Newsom. (2020b, April 3). At newly converted motel, Governor Newsom launches project Roomkey: A first-in-the-nation initiative to secure hotel & motel rooms to protect homeless individuals from COVID-19. https://www.gov.ca.gov/2020/04/03/ at-newly-converted-motel-governor-newsom-launches-project-roomkey-a-first-inthe-nation-initiative-to-secure-hotel-motel-rooms-to-protect-homeless-individualsfrom-covid-19/ Office of Governor Gavin Newsom. (2020c, April 1). Governor Newsom announces agreement between teachers, classified employees and school system management to support student instruction during COVID-19 outbreak. https://www.gov.ca.gov/2020/04/01/governornewsom-announces-agreement-between-teachers-classified-employees-and-schoolsystem-management-to-support-student-instruction-during-covid-19-outbreak/ Panetta, K. (2020, April 9). Gov. Hogan says racial breakdown of coronavirus cases and deaths show “troubling disparities”. ABC. https://www.wmdt.com/2020/04/gov-hogansays-racial-breakdown-of-coronavirus-cases-and-deaths-show-troubling-disparities/ Paumgarten, N. (2020, October 12). Andrew Cuomo, the King of New York. The New Yorker.

https://www.newyorker.com/magazine/2020/10/19/andrew-cuomo-the-king-of new-york PBS NewsHour. (2020a, April 28). WATCH: California Governor Gavin Newsom gives

coronavirus update—April 28, 2020 [Video file]. YouTube. https://www.youtube. com/watch?v=YL6-3RuxGRU PBS NewsHour. (2020b, June 25). WATCH LIVE: Florida Governor Ron DeSantis gives coronavirus update. June 25, 2020 [Video]. YouTube. https://www.youtube.com/ watch?v=N8s5eCzXecA PBS NewsHour. (2020c, March 20). WATCH: Florida governor Ron DeSantis gives coronavirus update-March 20, 2020 [Video]. YouTube. https://www.youtube.com/ watch?v=ezwxa0CStVI Petrigleri, G. (2020, April 22). The psychology behind effective crisis leadership. Harvard Business Review. https://hbr.org/2020/04/the-psychology-behind-effective-crisis-leadership Razek, R. (2020, March 11). 24 states have declared a state of emergency due to coronavirus.

CNN. https://www.cnn.com/world/live-news/coronavirus-outbreak-03-11-20-intl hnk/h_5c886c400fa63ae66fd197ec23927eca Santiago, F. (2020, June 24). Florida governor owes an apology for blaming COVID-19 spike on ‘Hispanic’ workers. Miami Herald. https://www.miamiherald.com/news/local/ news-columns-blogs/fabiola-santiago/article243725817.html Tai, D.B.G., Shah, A., Doubeni, C.A., Sia, I.G., & Wieland, M.L. (2020). The disproportionate impact of COVID-19 on racial and ethnic minorities in the United States. Clinical Infectious Diseases, ciaa815. https://doi.org/10.1093/cid/ciaa815 Takala, T.A., & Auvinen, T. (2016). The power of leadership storytelling: Case of Adolf Hitler.

Journal for Critical Organization Inquiry. 14(1), 21-34. ISSN 1532-5555 Terris, B. & Dawsey, J. (2020, May 11). Does Florida Gov. Ron DeSantis know what he’s doing? We’re about to find out. The Washington Post. https://www.washingtonpost. com/lifestyle/does-florida-gov-ron-desantis-know-what-hes-doing-were-about-to-findout/2020/05/08/8bf6537c-9135-11ea-a9c0-73b93422d691_story.html The New York Times. (2020). COVID map and case count. The New York Times. https://www. nytimes.com/interactive/2020/us/coronavirus-us-cases.html

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Toor, S.R. & Ofori, G. (2008) Leadership versus management: How they are different, and why. Leadership and Management in Engineering. 8(2). https://doi.org/10.1061 Villeneuve, M., & Hill, M. (2020, June 19). 100 days of Cuomo: Governor ends daily COVID-19 briefings. Associated Press. https://apnews.com/ article/5a63c14d5684e995f6827057f895efd6 Verhoeven, P., Tench, R., Zerfass, A., Moreno, A., & Vercic, D. (2013). Crisis? What crisis?

How European professionals handle crises and crisis communication. Public Relations Review. 40(1), 107-109. https://doi.org/10.1016/j.pubrev.2013.10.010 Wenger, Y. & Wood, P. (2020, March 30). Gov. Hogan issues stay-at-home order for Maryland to stop the spread of the coronavirus. The Baltimore Sun. https://www. baltimoresun.com/coronavirus/bs-md-stay-at-home-hogan-covid-19-20200330pmid22rvirdwbppx4xpgjadoim-story.html Zaleznik, A. (2004). Managers and leaders: Are they different? Harvard Business Review. https:// hbr.org/2004/01/managers-and-leaders-are-they-different

About the Author Nafeesa Lodi, a member of the Class of 2021 at Christopher Newport University, recently graduated with a Bachelor of Science in Neuroscience and a minor in Leadership Studies. Nafeesa was involved in the President’s Leadership Program, the Honors Program, and the Pre-Med Scholars Program. As a member of Alpha Chi, Nu Rho Psi, and magna cum laude graduate, she was recognized for her academic success. During her time on campus, Nafeesa served as a member of the Founding Class and the President of Phi Sigma Pi National Honor Fraternity and as a member of the Culture and Lecture committee of the Campus Activities Board. Through her undergraduate years, Nafeesa was involved in research with Dr. Leslie Rollins and co-authored a paper titled, “Encoding variability accounts for false recognition of non-corresponding lures on the forced-choice Mnemonic Similarity Task”, which was published in Learning and Memory.

Additionally, she completed an independent studies course in leadership under the guidance of Dr. Sarah Chace, in which the work completed culminated in this project. Following graduation, Nafeesa will begin her medical education at the Edward Via College of Osteopathic Medicine in Blacksburg, VA. When not engaging in academic endeavors, Nafeesa can be found spending time with her family and friends or engaging in her hobbies of reading, writing, or drawing.

“Named Entity Recognition for Toxic Spans Detection” Jack Lynam and Rafael Diaz-Cruz Dr. Samuel Henry, Department of Physics, Computer Science and Engineering

Abstract

Online chat forums are targeted by people seeking to disrupt and undermine community discourse. Moderating these forums is necessary to provide a safe place for community discussions, but the massive number of posts make it difficult for moderators to keep pace. Automated tools are one solution to this problem. While previous attempts at assisting moderators have focused on creating automated tools that classify entire posts as toxic (Pavlopoulos et al., 2017, Pavlopoulos et al., 2019), this research aims to identify specific spans of text that are toxic.

We developed two approaches for this task: dictionary matching and machine learning.

The dictionary matching approach relies on exact string matching from a dictionary of toxic terms. We create the dictionary from all the toxic spans that appear in the training dataset.

When making predictions, this system will tag all toxic spans that it has previously seen.

The dictionary matching technique has two major limitations: it cannot generalize beyond previously observed toxic spans, and it does not consider context when identifying toxic spans.

To address these limitations, we developed a machine learning approach. For this approach, we incorporate BERT, a state-of-the-art language representation model, into an artificial neural network architecture (Devlin et al., 2018). This method has the ability to generalize the idea of toxicity and recognize toxicity in context.

To evaluate the performance of these approaches, we predict whether each word in a testing dataset is toxic or not. These predictions are compared to the ground truth annotations and we calculate average precision and recall. Precision indicates that a system correctly selects toxic spans when it chooses to tag a span. Recall measures the quantity of toxic spans a system correctly identifies.

Our results indicate that, overall, the machine learning approach performs better than the dictionary method. However, deeper analysis shows that the dictionary approach has strong recall but low precision, while the machine learning approach has high precision but low recall.

These findings indicate that our two solutions are complementary, and they provide motivation for future work in developing ways to combine the dictionary and machine learning techniques.

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Named Entity Recognition for Toxic Spans Detection

Jack Lynam, Rafael Diaz-Cruz, Sam Henry, Ph.D., Department of Computer Science

Toxic Span Detection

Methods

Dictionary Approach

What is Toxic Span Detection?

● Create a dictionary that stores all toxic spans from the training dataset ○ Training set is used to acquire information for our model ● Brute force match spans from training dataset to test dataset ○ Test set is new information used to evaluate our approaches

● A semantic evaluation task to identify toxic spans inside of text ● Toxic refers to harmful or inflammatory words that discourage discourse ● A toxic span is a consecutive set of words that are all considered toxic

Machine Learning Approach ● Fine tuning a pre-trained model, BERT, to understand toxicity ○ BERT is a state of the art language model created by Google (Devlin et al., 2018) ● Train a classifier to identify words associated with toxic spans

Add an example

Why does Toxic Span Detection matter?

Results

● Online forums have more posts than can be moderated by humans ● Human moderators are exposed to harmful content ● Automated systems can alleviate pressure from human moderators

Approach Dataset Dictionary

Problem Toxic Span Detection requires a semantic evaluation system that can both understand toxicity and context. Most existing work on identifying toxic text seeks to classify entire documents. We focus on a more fine-grained task: identifying the specific text that makes a document toxic.

Machine Learning

F1

Precision Recall

Test

0.4760

0.3547

0.7238

Train

0.7715

0.9851

0.6829

Test

0.7831

0.9946

0.6935

SemEval Task #5 SemEval-2021 is an international workshop designed to advance the field of semantic analysis. ● We use a dataset from the SemEval Workshop ● Crowd-annotated data with Cohen’s Kappa of 0.61

Evaluation A collection of statistics were used to evaluate solutions to this task.

These measures give an idea of how well an approach does a particular component of the task.

Precision

● Measures how well an approach identifies toxic spans in relation to all predictions

Recall

● Measures quantity of actual toxic spans are predicted

Dictionary Approach

Machine Learning Approach

● The dictionary approach had high recall, ● The machine learning approach had high meaning it remembered a lot of previously precision, meaning it successfully understood seen toxic spans. Its low precision means it toxic words and their context to accurately over marked the amount of toxic words in the label something toxic. It also had comparable test set. recall to the dictionary approach.

Transfer Learning

Future Work

● Train model on a related task to improve understanding of toxicity

Attention Masking

● Combine ideas from both approaches ● Use dictionary to improve the recall of machine learning approach

References F1 Score

● Harmonic mean of the precision and recall measures ● Measures precision and recall simultaneously

Devlin, J., Chang, M. W., Lee, K., & Toutanova, K. (2018). Bert: Pre-training of deep bidirectional transformers for language understanding. arXiv. https://arxiv.org/abs/1810.04805 Pavlopoulos, J., Malakasiotis, P., & Androutsopoulos, I. (2017). Deep learning for user comment moderation. arXiv. https://arxiv.org/abs/1705.09993 Pavlopoulos, J., Thain, N., Dixon, L., and Androutsopoulos, I. (2019). ConvAI at SemEval-2019 Task 6: Offensive Language Identification and Categorization with Perspective and BERT. In Proceedings of The 13th International Workshop on Semantic Evaluation (SemEval). https://doi.org/10.18653/v1/S19-2102 Picture 1 (Speech bubble): Gramzon. (2019). Angry. Openclipart. https://openclipart.org/detail/317318/angry Picture 2 (Silhouette): Liftarn. (2020). Argument Silhouette. Openclipart. https://openclipart.org/detail/319792/argument-silhouette Picture 3 (Dictionary): Libbery. (2013). Dictionary Pictogram. Openclipart. https://openclipart.org/detail/185246/dictionary-pictogram Picture 4 (Brain): GDJ. (2018). Cybernetic Brain Line Art Inverted. Openclipart. https://openclipart.org/detail/307465/cybernetic-brain-line-art-inverted

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About the Authors Jack Lynam is a third year student at Christopher Newport University and is majoring in Computer Science with a minor in Mathematics. At CNU, Jack is a member of the Honors College, and he plays soccer for the university. He is actively involved in natural language processing research with Dr. Samuel Henry. Jack is also a member of LIGO, performing detector characterization research under the guidance of Dr. Marissa Walker.

Rafael Diaz-Cruz is a rising junior at Christopher Newport University majoring in Computer Science with a minor in Philosophy and Religious Studies. He is currently involved with the Mens’ Ultimate Frisbee team as well as the Sigma Phi Epsilon fraternity. He has been involved in natural language processing research with Dr. Henry since Fall 2020. Rafael plans to complete the 5 year masters program here in CNU and find a job concerning machine learning on the west coast.

“The Role of Modern Technology in Spirituality Mediated by Wilderness” Mikaela Martinez Dettinger Faculty Sponsor: Dr. Dawn Hutchinson, Department of Philosophy and Religion

Abstract The technological advancements made by humankind have yielded positive results, but they have also created growing ecological problems. Now, it is necessary to reevaluate how we consider the natural world in our decision making. By understanding the natural world as our primal home, fostering a connection with it through direct experiences, and understanding the difference between techne and Modern Technology as defined by Martin Heidegger, we can come to have spiritual experiences within the natural world. These spiritual experiences are crucial to building and maintaining the necessary connections with the environment that lead us to understand and respect the interconnectedness of all living beings more fully. However, Modern Technology, as it is used now, inhibits our ability to have spiritual experiences in the natural world, specifically in wilderness. This stunts our ability to understand how we can live sustainably with the living things with which we share our primal home.

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Introduction Humankind has risen through the application of technology to be the ultimate apex predator. For those not versed in biological jargon, to be an apex predator means to have no natural predators and be at the highest level of domination within an ecosystem. For humankind there is no predator, whether it be a carnivore or a disease, that poses the threat of turning us into its prey. For every possible predator there is a gun, an electric fence, an antibiotic; There is technology to effectively counter it. We as a species have succeeded in maintaining our dominance over the natural world; But, at what cost? An increasing reliance on complex technologies has disconnected us from our primal home, the natural world. Humankind has created a narrative of human as a dominant force over the natural world and this dominance is unsustainable and harmful to the delicate biotic system of which we are a part, thus hurting ourselves. This is not to say that our technological progress is inherently bad. Our advancements have performed miracles and saved lives. For example, advancements in vaccines, antibiotics, and medicines have reduced youth mortality on a global scale from 27% in 1950 to less than 4.6% today1. But what future are we creating for the children yet to come? It is not technology as a whole that poses this problem. It is the type of technology we choose and the underlying consequences which can lure humanity into the unsustainable role of master of the natural world. Rather than a relationship of dominance and subjugation, we should reorient our relationship with the natural world to being primarily spiritual in that the interconnectedness of humankind with all living things should be recognized. Nurturing humankind’s ability to reflect on the interconnectedness of all beings through spiritual experiences is essential to addressing the environmental concerns that affect the health of humankind and the health of our primal home. Experiences in nature serve as a gateway to such reflections because nature is the natural world tamed for human comfort. Thus, experiences in nature allow a person to become comfortable interacting with the natural world. This leads them to feel more at ease to seek out wilderness, which is untamed by humankind, as to allow for a fuller immersion in the natural world. This disrupts the singular perspective of human as master of the natural world that modern technology provides. This disruption allows the individual to realize the dynamic quality of the world that is necessary to understanding the intricacies of the larger web of life, of which we are a part. Understanding the intricacies of the natural world is necessary to understand the role of humankind in the destruction of the ecological environment. However, with the ever-intruding advancements of technology, our ability to experience interconnectivity with the natural world diminishes. This poses a serious risk to the human society because such experiences aid in the physical health and spiritual well-being of humankind. As technology progresses, it becomes more cemented in our daily lives, essentially severing our basic connection to the natural world and allowing for environmental degradation to go unaddressed. Thus, I argue that modern technology inhibits our ability to have necessary spiritual experiences in wilderness.

Necessary Terms and Concepts

It is important to understand the definitions of certain terms in order to hold a discussion on this topic. First, it is necessary to note the distinction between nature and wilderness.

Nature refers to the ecological environment that has been changed and manipulated to suit the comfort of humankind. Examples of this are gardens, parks, and campgrounds. Whereas wilderness refers to ecological environments that have not been changed by humankind. The tundra of Antarctica is an example of this. Of course, there are cases when this distinction is not as clear cut. For example, a national park or wildlife reserve are areas designated by humankind to remain untouched. The areas within these reserves and national parks are wilderness if they are not changed to cater to humankind. For example, if such “wilderness areas” are marked 1

Max Roser, Hannah Ritchie, and Bernadeta Dadonaite, “Child and Infant Mortality,” Our World in Data, May 10, 2013, https://ourworldindata.org/child-mortality.

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by pathways formed, or fences raised by humans then such areas would be better called “natural areas”.

These definitions of nature and wilderness are not all encompassing. The way we refer to our natural world and how we distinguish between the parts humankind has transformed and the parts it has not is a hotly contested subject within the realms of environmental philosophy and ecology. The definitions I have provided above are simplified to ease the discussion of this conversation. However, there are important caveats inherent to those definitions that must be addressed. First, the definition of nature as being manmade does not also apply to the word natural. When referring to the natural world, this is meant more in the sense of the ecological environment in its current state. This phrase is outside of the specificity of whether or not the intrusion of humankind has changed it. This is because our ecological environment is consistently seeing the effects of humankind, even in places humans rarely travel. For example, increases in greenhouse gasses produced by industry in heavily human-populated areas has caused the rapid melting of sea ice in the arctic, a place rarely visited by humankind.2 The term “natural world” then refers to an environment that can be either nature or wilderness, but it must have elements of non-human life that as the main characteristic. Gardens, parks, even golf courses could fall under this term as easily as the Appalachian mountains or the Great Barrier Reef.

Similarly, the definition of wilderness provided is subject to the same point of contention. As in the example of the arctic sea ice, there is no place fully separate from changes brought on by the advancements of humankind. For clarification, the definition of wilderness in the Wilderness Act of 1964 is sufficient to understanding wilderness as it is currently, given the extent of humankind’s effect on the environment today. The Act states: DEFINITION OF WILDERNESS I A wilderness, in contrast with those areas where man and his works dominate the landscape, is hereby recognized as an area where the earth and its community of life are untrammeled by man, where man himself is a visitor who does not remain.

An area of wilderness is further defined to mean in this Act an area of undeveloped Federal land retaining its primeval character and influence, without permanent improvements or human habitation, which is protected and managed so as to preserve its natural conditions and which (1) generally appears to have been affected primarily by the forces of nature, with the imprint of man’s work substantially unnoticeable; (2) has outstanding opportunities for solitude or a primitive and unconfined type of recreation; (3) has at least five thousand acres of land or is of sufficient size as to make practicable its preservation and use in an unimpaired condition; and (4) may also contain ecological, geological, or other features of scientific, educational, scenic, or historical value.3 Under this definition, national parks and nature preserves are considered wilderness though it can be argued that the effects of humankind can still be felt in these places. For the purposes of this argument, this definition in combination with the general definition given first serves to elucidate the difference between nature and wilderness What is meant by technology also requires definition. Martin Heidegger, in The Question Concerning Technology, distinguished between two types of technology, techne and modern technology. Techne is the way in which humans knowingly reveal the world. This revealing that occurs through techne is similar to the term unconcealment or translated by the Wadhams, Peter, Adam Welz, Beth Gardiner, Michael Standaert. “The Global Impacts of

Rapidly Disappearing Arctic Sea Ice.” Yale E360. Accessed April 10, 2021. https://e360.yale.edu/features/as_arctic_ocean_ice_disappears_global_climate_ impacts_intensify_wadhams.

3 Wilderness Act of 1964, Public Law 88-577, (1964).

2

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Greeks as “altheia”4. Unconcealment, in the meaning of aletheia, is to bring something which is present into appearance. This means that what is being brought into appearance was there, but it was not fully present or revealed. To understand this concept, think of a flower bud getting ready to blossom. The blossoming brings-forth a flower into appearance. The flower was present before. It was just inside of the bud. It is revealed when the flower blooms. This is an example of aletheia in physis, the Greek term for natural things. In this example the thing, the flower, brings itself forth. Techne, however, is a mode of this same revealing which is used by humankind. Examples of techne in this sense are the tools of craftsman or art. The tools a craftsman uses to build a wooden chair, for example, brings the chair forth from the wood. The potential for the chair was always inside of the wood, the craftsman used his tools to reveal it.

Similarly, in great art there is this same revealing. A landscape painting is the mode by which the artist reveals his or her perspective of the land. That perspective was always there within the land, the art just uncovered it for us.5 Modern technology, according to Heidegger, is a mode of challenging rather than a bringing-forth. Modern technology “puts to nature the unreasonable demand that it supplies energy that can be extracted and stored as such.”6 This is different than the bringing-forth of techne and physis because it forces a product from nature which is stored for a pre-determined purpose. For example, a coal mine challenges the land to produce coal which will be stored for the creation of energy later on. This, in comparison to the craftsman’s chair, is a mode of challenging because the resultant energy for which the coal is being stored is not already contained within the earth in the same way the chair was within the wood. Rather, by mining the coal, storing, it, and burning it, the coal is being transformed for the purpose of energy. The chair, on the other hand, is another form for the wood to take. It is being crafted to reveal the chair, yes, but it is not being transformed in the sense that it is being changed for a predetermined purpose. The wood in the form of the chair must only be. It is us who may choose to sit on it, but we could sit on a fallen log in the same manner. The coal cannot just be. Rather, it must be harvested and transformed to create energy for another purpose. In this way the coal of the earth is being challenged to reveal energy which was not already present.7 Modern technology is technology different than the tool of the craftsman, in that it challenges the natural world to provide that which it would not readily reveal, as in the case of the energy from the coal.

Lastly, the concept of spirituality lacks a constant definition because it is inherently subjective to the person or people who experience it; but it must still come to be understood for the purpose of its use within this paper. Evelyn Underhill, a scholar on Christian mysticism and spirituality, emphasizes the indescribable nature of spirituality by stating: Thanks to the spatial imagery inseparable from human thinking and human expression, no direct description of spiritual experience is or can be possible to man. It must always be symbolic, allusive, oblique: always suggest, but never tell, the truth: and in this respect there is not much to choose between the fluid and artistic language of vision and the arid technicalities of philosophy.8 However, there are key characteristics of spirituality that are considered constant for this argument. First, a spiritual experience includes a sense of awe and wonder. This sense can Martin Heidegger, The Question Concerning Technology, (New York: Harper Colophon Books), p. 7 5 Martin Heidegger, The Question Concerning Technology, p. 8.

6 Ibid, 14.

7 Ibid, p. 16.

8 Evelyn Underhill, Mysticism: A Study in Nature and Development of Spiritual Consciousness,

12th, Revised Edition & Practical Mysticism: A Little Book for Normal People

(Two Books With Active Table of Contents Kindle Edition), p. 99.

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be tied to either nature or wilderness, but wilderness is more likely to grant a sense of awe and wonder to the pilgrim travelling through it because it is so different from the habitat humankind has built. This sense of awe and wonder comes from recognizing some value of the natural world.

It could be the aesthetic value of the beauty of the untouched mountains of the Sierras or the value of life one sees in witnessing a robin feed her young. Awe and wonder must be derived from some recognition of value because without a sense of value one would not look twice at the hunk of rock called the Sierra mountain range. It is in witnessing the value of a location which grants a sense of awe and wonder, even if it is not done consciously. This effect of this value can be seen in the profits of National Park gift shops. Tourists to these wilderness sites find value in their experiences in nature so they seek to memorialize it in the form of postcards, books, sweatshirts, and other gifts. Second, a spiritual experience evolves from this sense of awe and wonder into a contemplation of humankind’s place or purpose in a grander context.

This context could be time, the universe, the world, etc, but it hinges upon the understanding that there is an inherent interconnectedness within this context. This idea is similar to the goal of Self-Realization” within the Deep Ecology school of thought. Self-Realization is the acknowledgement that an individual cannot exist separate of the larger contexts which surround them. To use the example of Simon James, a scholar on Zen Buddhism and Environmental Ethics, I cannot exist within my identity as Mikaela Martinez Dettinger if I were not a part of my particular family unit, attending my particular university, a part of my specific nation, and so on.9 Where this definition of spirituality differs from that of Deep Ecology is that the key to this spirituality is that the context is larger than what can be controlled by humankind.

For example, while to exist within my identity as myself I must have the aforementioned social contexts, I must also exist within the context of the natural world. Without food from the earth or the biological processes which allowed my mother to carry me in her womb, I could not exist within my identity as I do now.

It is important to understand that it is not necessary that a spiritual experience takes a turn towards a belief in a specific divinity or religion. Spirituality leads to a contemplation of self from a perspective of humility. It becomes a realization that there is much that is grander and unknowable than what humankind can create or experience. This spirituality is separate from ideas of the supernatural and divine, but it is also separate from the dictates of the person experiencing it. For example, a person may be able to argue that in their own inner experience of joy there is a peace greater than a religious experience or spiritual experience. Spirituality, however, is a focus on what is beyond the material world of humanity. This requires a sense of humility that a person of the material world cannot fulfill within themselves that which is above it. Thus, if humankind could define and fulfill themselves a spiritual experience then it would be contradictory because spirituality is inherently indescribable by mankind if it is to remain itself.10 Spirituality, as experienced in this way, is accessible to everyone, no matter religious or cultural background. Because it is accessible it is also encouraged within this argument for the purpose of individual and societal growth. Seeking out these experiences to look beyond oneself is self-serving in that it leads to individual growth and the well-being of society which benefits the individual. By experiencing spirituality in understanding the interconnectedness of all things within a larger context, a person is able to grow in their understanding of themselves and others.

They are able to grow in understanding themselves because these spiritual experiences offer a different perspective of the self which can allow for an analysis of what is valued and how those values are acted upon during life. This analysis can lead to a reexamination of priorities which can lead a person to discovering how they can improve their lives to be more joyful or peaceful.

Simon P. James, “Environmental Ethics,” in Zen Buddhism and Environmental Ethics (London: Ashgate, 2016), pp. 59-82, p. 77.

10 Evelyn Underhill, Mysticism: A Study in Nature and Development of Spiritual Consciousness,

p. 186.

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Similarly, if society as whole is taught to seek out these experiences, learning to acknowledge the value of one’s role in a larger system would lead to a healthier system as a whole. Think of a traffic jam, if everyone acknowledged that their role in traffic was to follow the line and go at the determined speed, traffic would flow along. However, it is those drivers who do not recognize the value of their role within a larger system who choose to take the shoulder to bypass most of the traffic. When others follow suit the traffic jam lasts longer for everyone, including the driver who took the shoulder, and the driver then becomes the recipient of much unneeded road rage and curses for bad karma.

The Relationship Between Humankind and Nature It is essential to understand the relationship between humankind and wilderness.

Humankind’s relationship to wilderness is a primal relationship. This means that wilderness is the fundamental home for humankind. This is seen in the changing relationship between humanity in the land as human culture has developed. The long history of humankind in agrarian societies is evidence of this primal relationship. Speaking about the importance of agrarian cultures, Norman Wirzba remarked “… people come to understand the importance of the practices of seeing that without a commitment to care for the soil and all its creatures, the prospect of a flourishing human life comes to an end. This is why in agrarian cultures people’s desires and expectations are calibrated to meet the needs of the land. There can be no healthy people without a healthy land to feed them and provide for their needs.”11 Interaction with the land and the definition of agrarian is not dependent on farming or agriculture. Rather, an agrarian can be defined as someone “who cares about the health of land and people together. Not the health of people at the expense of land. So, mutual flourishing is the goal.”12 Humankind fundamentally thrives by interacting with the land through Sensuous Communication, the immersion of all of a person’s senses in the environment to create this mutual flourishing.13 For the majority of human history people lived from the land in this way. Humankind was characterized by a culture of the land because social organization and physical health and wellbeing of humankind was dependent on the land. Through this interaction with the land, humankind understood themselves as earthbound creatures. This is not necessarily a theological; but, it is an acceptance of the fundamental role of humankind in the land which is both “coming out of the land and being loved by the land.”14 This perspective is a personal perspective which allows the land to provide sensory experiences through sensuous communication which led to the fulfillment of this fundamental relationship. Humankind was able to satisfy their need for sustenance, joy, and more in their relationship with the land.15 Furthermore, the human body is intimately intertwined with the health of the environment around us. This is further evidence that our relationship to the natural world is one fundamental to humankind. For example, Norman Wirzba uses the rhyme “you are not you. You are a zoo.” 16 to illustrate this point. The human body itself is a part of the natural environment in that is acts as a host for other organisms. An example of this is found in common scientific language the describes the ecosystem of bacteria present in the human gut and the “gut Wirzba, From Nature to Creation: A Christian Vision for Understanding and Loving Our World, (Grand Rapids, MI: Baker Academic, 2015), p. 99.

12 DukeEthics, “Facing the Anthropocene Series: A Conversation with Joyce Chaplin”,

YouTube Video, 59:46, March 9, 2021, https://youtu.be/PWqKgnriOO4 13 Kip Redick, “Sensuous Communication Encounter where Journey and Festival Meet: A Phenomenology of Pilgrimage.”

14 Kip Redick, “Sensuous Communication Encounter where Journey and Festival Meet:

A Phenomenology of Pilgrimage.”

15 DukeEthics, ““Facing the Anthropocene Series: A Conversation with Joyce Chaplin.”

16 Ibid.

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biome.”17 This biome humankind hosts within their very bodies is very dependent on the source of food, the soil. Disturbances in soil such as pesticide can disrupt the environment we create for bacteria. This harms not only human health, but the health of the bacteria as well. This shows that humans are not only fundamentally reliant on the natural world, but a part of it as well. 18 This primal relationship between humankind and the natural world is evidenced in many creation myths as well. Norman Wirzba, in an approach to understand this primal relationship through the Christian context remarked “It is of profound theological and anthropological significance that the earliest biblical creation story places human beings in a garden”.19 The symbolism of the garden setting is that it illustrates a natural and dependent relationship between man and earth that is fundamental. This correlation between natural places and the birth of humanity can be seen in other religions as well. For example, the Shinto creation myth recounts the birth of the first beings from two anthropomorphized gods who discovered sexual intercourse through their interaction with the ocean. Their children became the land of Japan itself. 20

In these myths there is a clear message: humankind is of the earth. It is an animal, a creature, with a primal connection to the natural world. Is our taming of wilderness to a controlled nature, then, so different from how gorillas create nests to make wilderness comfortable for themselves? The answer to this lies in the difference between challenging and revealing Martin Heidegger describes. As previously described, revealing is the bringing-forth what is present into presencing. Just as in the case of the flower bud blooming or the example of the craftsman’s chair, the gorillas in creating their nest bring for the potential for a nest from within the branches. They are bringing-forth their home in nature which is already present. Humans, on the other hand, reveal a home from nature which was not already present. Our artificial materials work in the same fashion as extracting energy from the earth via coal mines. The artificial materials used to create our habitat, such as concrete, uses materials derived from the earth and chemically changes them to produce the desired material. This is another example of challenging. If we built our cities and homes from fully natural materials such as stone and wood, then this would be more like the mode of revealing a home the gorillas use. However, the way in which the materials are gathered would still need to be analyzed to understand whether we are revealing what is already there or revealing through challenging to produce the quantity or type of wood and stone needed. This distinction in how we challenge the natural world to reveal rather than bringing-forth what is already present is also what separates us from being a part of wilderness, like gorillas. Under the definition of wilderness, we use in this paper, the lack human intervention is a key part in distinguishing it from nature. If we also look at the definition of wilderness in the Wilderness Act of 1964, due to the extreme extent to which the effects of humankind have changed nature, human intervention is allotted if it is largely unnoticeable. If we simplified our building materials as extinguish industrial land clearing from our nest-making, then perhaps we would be closer to being a part of wilderness as the gorillas are.

The relationship between humankind and the natural world, however it may evolve, is rooted in first-person experiences in nature. In order to build a relationship with anything, especially something as complex as the natural world, it must first be experienced. This is seen in many cultural myths regarding the relationship between humankind and the environment.

These myths are a cultural way of orienting a community to their natural environment. The Shinto creation myth mentioned involves the mixing of anthropomorphized deities with the Ibid.

Ibid.

19 Norman Wirzba, From Nature to Creation, p. 98.

20 Basil Hall Chamberlain, 1982. The Kojiki: records of ancient matters. Rutland, Vt: C.E.

Tuttle Co. 17 18

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ocean and the land. By relating this myth, the Japanese people become familiar with their land through a mythical understanding of its creation. This myth creates a familiarity through stories of first-hand interactions between humans or deities, and the environment. They also became familiar with their role in the land and the interconnectedness which Shinto the myth Without first-hand experiences, no direct relationship can be built with the natural world.

The second aspect of this claim is that the relationship is rooted in first-person experiences in nature. Because nature is defined for the purpose of this paper as a tamed wilderness for humankind’s comfort, this word choice is essential. The relationship is rooted in nature because nature is tamed for human comfort. In working with the land that has been tamed and claimed, This seeks to argue that the act of toiling in the land for the benefit and comfort of themselves allows humankind to connect with nature for the sake of themselves. It is important to remember that wilderness cannot be owned or claimed. If it were, it would stop being wild and would instead become nature. Because wilderness does lack human intervention it is uncomfortable for humans to exist in, it becomes necessary that humankind must first learn to care for nature and then progress from there to care for wilderness. The inhospitality of wilderness discourages interaction with wilderness. This separation from experiences in wilderness allows it to become an abstract concept. It is easier for people to care for and protect land such as lawns or landmarks local to their homes than it is to care for areas of wilderness because these lands and lawns exist in the concrete of their conception of the environment. The abstraction of wilderness creates the opposite effect. It fosters a disconnection and ambivalence to it.

In Eastern religions, specifically Buddhism, the natural world is only a stop along the way to the goal of spiritual experiences or enlightenment. Often, the goal is to transcend the physical entirely. This begs the question of the importance of the first-person experience in spiritual experiences. The answer to this lies in the fact that personal interaction is still essential.

In Buddhism, for example a harmony and awareness of humankind’s relationship to nature is a key implementation of the value of harmony. In striving for a connection and harmonious coexistence with nature, Buddhists are able to strive for balance as taught by The Buddha.

Abrahamic religions also encourage first-person interactions with nature. For example, Islam holds the concept of Khalifah, or guardianship, over the natural world.21 Within this value, personal interaction with nature for the sake of guardianship is encouraged. The Hadith, the sayings of the Prophet Muhammad, encourages this: “If a Muslim plant a tree or sows seeds, and then a bird, or a person or an animal eats from it, it is regarded as a charitable gift (sadaqah) for him.”22. Christianity also encourages stewardship of the earth as well. Similarly, the Jewish people have a long historical track-record of living through first-person experiences in nature.

This is seen in both their nomadic history as well as the significance in their cultivation of the land and agriculture in Judea and Sumeria. The significance in the rise of agriculture in these areas is that it was difficult land to cultivate due to the harsh climate and rocky terrain. This gives insight into the commitment to working with the land to sustain the nature around them as a way to connect with God’s prophecy of their inheritance of that region of land23.

The next step in understanding humankind’s relationship to nature and wilderness is to realize that first-person experiences in nature lead to spiritual experiences in wilderness.

This happens because nature acts similar to a set of training wheels for a bicycle. Nature, as a tamed wilderness, is a way to connect with the natural landscape in a way that is comfortable, familiar, and friendly to the inexperienced. A person feels comfortable familiarizing themselves with the natural world because they are in a safe and protected space, which helps to promote a positive experience with it. This is a necessary step because, as mentioned before, wilderness is Qur’an 6:165 Zaufishan Iqbal, “Ecological Advice from Prophet Muhammad,” EcoMENA, October 2,

2020, https://www.ecomena.org/green-ahadith/.

23 Evan Eisenberg, The Ecology of Eden, (New York: Vintage Books), p. 89.

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not a benevolent environment for humans, thus humans tend to stay away from the discomfort of wilderness because it is not a preferable condition for comfort. The positive and comfortable experience in nature allows a person to be open to have experiences in wilderness. This is because wilderness is not entirely unfamiliar once someone is familiar with nature. It is a progression through which a person becomes open to immerse themselves in wilderness by first becoming comfortable in nature.

Once someone is open to immersing themselves into wilderness is when it becomes possible to have a spiritual experience in wilderness. This possibility arises because wilderness is often much grander and more imposing than nature is. The grandness of an experience in wilderness can cause a disruption in the person that leads them to have a spiritual experience as they are struck by the awe and majesty of the natural world. This idea of a disruption comes from phenomenologist Hans-Georg Gadamer’s Philosophical Hermeneutics. In this work, Gadamer dives into a contemplation on how humans come to understand and interpret the world around them. First, there is the mode of understanding via the aesthetic consciousness. The aesthetic consciousness is when “we relate ourselves either negatively or affirmatively to the quality of an artistic form.”24 For Gadamer, how we understand is an effect of our historical situation and how we learned to understand. The historical situation, “the great horizon of the past, out of which our culture and present live influences everything we want, hope for, or fear in the future.”25 Our historical situation is the context of our past which influences how we enter and interpret the present and future. The hermeneutic situation is the direct contrast to these previous modes which Gadamer sees as flawed alienation of a level of truth. The hermeneutic consciousness, as described by the philosophers that Gadamer responds to, is also flawed as it presupposes a level of misunderstanding which comes from these other modes of understanding. Ultimately, Gadamer argues for a recognition of our predisposition to prejudices that conceal truth such as in the aesthetic, historical, and assumed hermeneutic consciousnesses. He asserts that we must “transcend the prejudices that underlies the aesthetic consciousness, historical consciousness, and hermeneutic consciousness that has been restricted to a technique for avoiding misunderstandings and to overcome the prejudices in them all.”26 However, while Gadamer encourages us to overcome the alienation created by these prejudices, he asserts that prejudices can have a positive connotation. For Gadamer, prejudices are “biases of our openness to the world. They are simply conditions whereby we experience something – whereby what we encounter says something to us”27. He asserts that accepting prejudices and fully explicating them through the use of language allows us to come to a fuller conceptualization of our understanding. Rather than addressing prejudices as a mode of misunderstanding, by communicating them using language a common understanding of the consciousnesses effected by history, aesthetics, and hermeneutics, can be shared. Thus, Gadamer argues that “Understanding is language-bound”,28 as language allows us to address our preconceptions for the purpose of exploring our understanding. This applies to the disruption caused by wilderness that works towards spirituality because Gadamer argues that in confronting our prejudices in this hermeneutical way we are “confronted with a disrupted intersubjective understanding, [that] seeks to place communication on a new basis and in particular to replace the false objectivism of alienated knowing with new hermeneutical foundations.”29 This means that adjusting our perspectives through acknowledging our prejudices is a disruption which causes us to be confronted with a new perspective more intersubjective Hans-Georg Gadamer and David Edward Linge, Philosophical Hermeneutics (Berkeley, CA: University of California Press, 2008),p. 7.

25 Hans-Georg Gadamer and David Edward Linge, Philosophical Hermeneutics, p. 8.

26 Ibid.

27 Ibid.

28 Ibid, 15.

29 Ibid, 28.

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than what was held before. As applied to an experience in wilderness, the same effect is being had. Our aesthetic, historical, and hermeneutic consciousnesses are oriented towards the values of beauty, contexts, and concept understanding we are surrounded with in our human-made situations. By communicating the prejudices granted by our existence as humans in a modern world we acknowledge our biases towards the comfort and values of aesthetics we meet in our civilized cities. Acknowledging these biases in connection with venturing out into wilderness, we are confronted with an experience of disruption that opens to us the intersubjective understanding of the interconnectedness of the natural world. This opens us to a larger perspective than what was possible within our own historical, aesthetic, and hermeneutic contexts which previously alienated pieces of truths before they were accepted.

For the purposes of this paper, it is specifically this disruption that allows for an understanding of the interconnectedness of the natural world which can lead to spiritual experiences. As mentioned earlier in this paper, spiritual experiences in the natural world are moments perpetuated by a sense of awe and wonder, usually in wilderness, that allow us to experience a moment of self-realization when we can understand the interconnectedness of the natural world. An example of how a disruption can bring this along is John Muir’s writings on his experiences in the Sierras. Muir was so moved by the wilderness he was experiencing he wrote, “In our best times everything turns into religion, all the world seems a church and the mountains altars.”30 Muir was awed into a form of worship by witnessing the majesty of Sierra Mountain’s landscape. Moreover, his worship in the Sierras included “all the world”.31 For him “everything turns into religion”.32 In his language, the realization of the interconnectedness of all things is apparent. Moreover, as Gadamer stated “Understanding is language-bound”33.

This shows that through Muir’s use of collective and spiritual language in his description of his experience within the Sierra’s we see how his perspective was disrupted and he was able to understand the interconnectedness before him.

The Role of Technology in Humankind’s Relationship with Nature and Wilderness Next, it is necessary to look at the role that technology plays in this progression. The first aspect of technology’s role in the human-nature relationship is that it limits humankind’s need and ability to have first person experiences in nature. Evan Eisenberg in his book The Ecology of Eden wrote about this limitation in the context of The Sphinx’s riddle in Oedipus Rex. He wrote: What the Sphinx meant to say was that man, in the grunting morning of his race, had walked on all fours; that he had risen to proud erectness; but that now he was beginning to lose his animal vigor and to walk with a crutch. The crutch was what the Greeks called technae, what we call technology.34

While Eisenberg argues that techne is the metaphorical crutch that humankind leans on, I argue that it is our modern technology which has become the crutch. Eisenberg references techne to argue that the rapid expansion of agriculture and agriculture technology is harmful to the environment. He argues that the use of agricultural methods, specifically plow agriculture, has been another method of human destruction because it has disrupted the natural bounty of the earth and makes the land less fertile. Plow agriculture, for those who may not be well versed in farming practices, is the act of using a plow or plows to create shallow trenches in John Muir, My First Summer in the Sierra (Boston, Massachusetts: Houghton Mifflin, 1916), 16.

31 John Muir, My First Summer in the Sierra, p.16.

32 Ibid.

33 Hans-Georg Gadamer and David Edward Linge, Philosophical Hermeneutics, p. 28.

34 Eisenberg, The Ecology of Eden, p. 65.

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the earth. The purpose of this is to move weeds and dead crops below the soil to decompose and fertilize the soil with its nutrients while exposing fertile soil that seeds will be laid in. It is the same practice of tilling the soil manually, just done using a larger piece of equipment.

In practice, this sounds like a harmonious use of nature’s resources, however the catch with plow agriculture is that it allows larger areas of land to be cultivated more easily. This becomes a problem because more trees are cut to produce farming land, and a monoculture crop takes over a field that was once filled with variety. This leads to soil depletion as the lack of diversity strips its nutrients, and the landscape is changed to accommodate the large quantity of crops.

For example, to irrigate a large field usually waterways are redirected or funneled into pipes to provide irrigation, and pesticides are used to protect the field from pests and weeds because the labor of doing so manually is practically impossible without a very large workforce. The use of the plow to create large-scale agriculture is an example of modern technology, rather than techne. This is because the plow allows for such a large scale of agriculture that the earth is being demanded to produce an unreasonable energy in the form of nutrients for the soil and water in a specific location for irrigation that is then being stored in the forms of crops to be distributed. This differs from small-scale sustenance farming or gardening because there is far less energy being required from the earth support the crops. Furthermore, in sustenance farming or gardening there is variety which would not deplete the soil of its nutrients, and rainwater or the use of well water already present in that place is sufficient to irrigate.

The difference between the two forms of farming lies in the large energy requirement to maintain the large-scale agriculture that plow agriculture creates versus the low energy demand of sustenance farming or gardening. Thus, the crutch in this situation is modern technology, not techne. This is important to Eisenberg’s point because he continues to assert that plow farmers have found a crutch in technology because it allows them to separate themselves from the natural world with no consequences while ignoring the harm it does to the modern world. Eisenberg states “If peoples that take up plow agriculture give up the worship of the Great Mother, it may be from their shame over their rape of her”35 He frames it as a shameful abuse of the natural world that humans lean on to establish a dominance over it.

The difference between plow agriculture and gardening or farming points to the seed of the problem of disconnection through modern technology. It is not technology that disconnects us. As previously discussed, some technology is useful and acts to reveal without challenging. The problem of modern technology lies in that we allow it to frame out perspective of the natural world. This happened in the example of plow agriculture because once a plow is used on a field the perspective of the field turns into a question of how much of the land can be used rather than a question of the health of the land or our relationship to it, as seen in gardening or sustenance farming. It is in reframing our perspective that modern technology serves as an enabler and a barrier to the ability of humankind to have first-hand experiences in nature. It enables us in allowing us to ignore the consequences of our advancement on the natural by framing our perspective of the natural world as a resource for human exploitation rather than as a larger system of which we are a part.

Transcendentalist Henry David Thoreau articulated this in Walking. He describes the futility of immersing oneself in nature physically, but not mentally. He states: “Of course, it is of no use to direct our steps to the woods, if they do not carry us thither. I am alarmed when it happens that I have walked a mile into the woods bodily, without getting there in spirit.”36 In this particular part of Walking Thoreau describes that it is the “village” which holds him back.

The village for him represents the preoccupations of society and civilization. This same concept, however, applies to the preoccupations placed upon us by modern technology. In some cases, the preoccupations of the village are the preoccupations of modern technology. This illustrates 35 36

Eisenberg, The Ecology of Eden, p. 65.

Henry David Thoreau, The Portable Thoreau (New York: Penguin Books, 1990), p. 184.

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that there is this capability to be in nature or wilderness physically, but to not truly be there in mind or spirit. Continuing with the example of plow agriculture, when a farmer is driving a plow through his fields, he most likely is not taking in the life within the soil beneath him or the beauty of the interconnectedness of the weeds, the nutrients, and the crop he will plant. Rather, his focus is on covering the distance necessary. There is a separation caused by the preoccupation of utilizing the space of the field for profit. This preoccupation is set upon us by the modern technology that is the plow. For Thoreau, the preoccupation was the bustle of life within the village determined by the growth of industrialism in America. In 1851, when Thoreau wrote this reflection, he would have seen the beginning of employer mandated workdays as American life transitioned from small farms to the steady growth of urbanization.

This change that Thoreau saw happening before his eyes is a prime example of how modern technology is seductive in enframing our perspectives in a way that encompasses how we approach the world. Thoreau and the transcendentalists of the time saw how this effected the environment as they advocated for the creation of National Parks. Modern technology dominated the mindset of Americans to the extent that urban sprawl began to threaten the land that was once lived and worked on. The effect of this separation created by the enframing of our perspective is an inability to process and interact with the environment. This distracted state of being in nature is not a first-hand experience because a distracted person is not actively participating and communicating sensuously with the environment.

There are a few examples that could be used to argue that technology does not serve as a distraction from nature or wilderness, but rather serves as a motivation to have first-hand experiences in it. One such example is the smartphone application “Pokémon Go” that spurred a movement of young people going on walks outdoors more than usual. The premise of the app “is a game that uses your phone’s GPS and clock to detect where and when you are in the game and make Pokémon “appear” around you (on your phone screen) so you can go and catch them. As you move around, different and more types of Pokémon will appear depending on where you are and what time it is. The idea is to encourage you to travel around the real world to catch Pokémon in the game”37. This motivated young Pokémon fans and smartphone users to go outside so that they could search for Pokémon. While it is fantastic that the app encouraged this exercise, this experience in nature or wilderness was not a first-person experience because a user could not be present spiritually or mentally. They were distracted just as the farmer driving the plow or the worker in industrialized America is. This example illustrates the necessity of being mentally and spiritually present in nature to have a first-person experience in it.

Some may argue that types of modern technology, such as hiking gear, can enhance first-person experiences in nature. It can be argued that gear, such as backpacks and tents, is a type of modern technology which brings civilization into wilderness and similarly mediates a person’s experience in the natural world. For example, a hiking backpack changes our perspective of our experience within nature and severs the connection with nature because it distracts from the primal aspect of being in nature or wilderness, survival. However, hiking gear would be better considered as techne. This is because these instruments do allow us to experience nature without the survival aspect, but it does so without challenging the environment around us to produce energy to be stored. Also, it would allow us to be in wilderness while still allowing it to be wilderness as our imprint on the land in using a tent or backpack would hardly be noticeable, and, if done correctly, would leave no lasting imprint on the land we travelled once we left.

Furthermore, it is a tool that truly encourages participation in nature or wilderness rather than limiting the mental and spiritual presence. For example, the hiking backpack allows one to be mentally and physically present in the environment around them rather than worrying about where or how they might find the resources to survive.

German Lopez, “Pokémon Go, Explained,” July 11, 2016, https://www.vox.com/2016/7/ 11/12129162/pokemon-go-android-ios-game.

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The role of the hiking backpack is different from the challenging induced by modern technology because modern technology allows humankind to ignore the truth that the earth would more easily reveal through techne. The technology of the plow allows us to continue to dig deeper and cultivate larger fields than a farmer tilling the soil could. This changes the relationship between the farmer and the land by disconnecting him from it, as mentioned before. This disconnection allows him to ignore the signs of soil depletion and the technology of fertilizer allows him to bypass any problems this causes for his crops. The farmer becomes ever more dependent on the challenging of modern technology to sustain his agriculture and lifestyle. This ability to ignore what techne otherwise would have allowed to be revealed becomes the root of the growth of modern technology’s intrusion into the lives of humankind. It intrudes by seducing us into a dependence on it that is formed by the capability to use it to ignore warning signs revealed by nature. Modern technology thus frames humankind’s perspective of the of nature and wilderness through the lens of itself. If technology can be created to solve a problem, then there is no problem. This is not the truth to be found, nor is it the revelation of the environment. The resources of the earth are not limitless, and it is humankind’s perspective framed by the infinite powers of modern technology that allows this false perspective. Furthermore, the harmful products of modern technology become the new goal. Progress and excess become the new standard of comfort. Farm fields become larger as monoculture agriculture drains the soil.

Artificial fertilizers and pesticide keep the monoculture alive, but at the expense of the millions of organisms that did the job of these man-made ‘solutions’. The next year, the farmer is required to expand his fields to grow more of his cash crop to pay for the expense of those fertilizers and pesticides. The is cycle of harm and false solutions is the result of modern technology. Thus, it is the ability to ignore the signs of environmental health granted by modern technology, which ingrains it so heavily in the lives of humankind and creates a dependence on it.

This dependence on modern technology escalates further than ignoring environmental warning signs and the exploitation of natural resources. The ability to ignore what nature or wilderness would reveal to us usurps our ability to dwell in a relationship with nature. This happens because modern technology transforms the relationship between humankind and nature or wilderness into one of mastering and domination. Rather than living in a union with the natural world, modern technology creates a narrative of utility and domination of the land.

This narrative of domination, also referred to as the conqueror role by environmentalist Aldo Leopold, is inherently problematic. Leopold explains that the dynamic of the conqueror role as applied to the environment is self-defeating. The position of a conqueror implies an ignorance of the environment that is being conquered. In the attempt to overtake, there is a disregard for the balances originally present38.

The balances present within nature are disregarded as humankind plunges into urban sprawl without forethought to the consequences this holds for its connection to the natural world. Namely, the connection to the non-human creatures who inhabit the world is pushed aside for the progress of human comfort and safety. This progress comes in the forms of advancing technology that seeks to demand the energy and resources required for this comfort.

The example of plow agriculture used to satiate the ever-growing demand for food without the tangles of interaction with the land that produces it shows how the landscape is eaten by the views of this progress. Yet so few people see the true impact of this progress and technology because the lawns of suburbia remain green and pristine while it is the habitats of animals that become uninhabitable.

The disregard for these balances of nature is seen in the effects of modern agricultural technology. In Rachel Carson’s Silent Spring she used the example of the American Bald Eagle to emphasize this disruption of the natural balances. She cited experiments that had concluded 38

Aldo Leopold, In American Earth: Environmental Writing since Thoreau, ed. Bill Mckibben and Albert Gore (New York, NY: Library of America, 2008), p. 286.

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that the wide-spread use of the pesticide DDT (dichloro-diphenyl-trichloroethane) was causing infertility in adult eagles and high mortality rates for the eagles that were able to be hatched.

For so long, the American bald eagle was being driven to extinction because the blossoming of urban sprawl and the growth of suburbia had created a demand for this pesticide while simultaneously removing the human population from their connection with nature to the extent that a species was nearly driven to extinction as a consequence. Unfortunately, not every species has a Rachel Carson to jar humanity into realizing the consequences of modern technology and many have gone extinct.

The near extinction of the bald eagle occurred in the suburbs of America, where front lawns and the remaining tree still allowed a place for eagles and humans to live together. The disconnection between humankind and other living creatures shows how deep the inability to connect with the natural world runs. Nature is an easier for humankind to experience the natural world because we have made it comfortable for ourselves. Wilderness, because it is wild and not meant for us, is far more daunting to connect with. It speaks volumes that the extinction of the American national symbol was happening in the nature of suburban backyards where it is easiest for us to connect with the natural world, and still we are so far separated by our self-designated role as conqueror to see the havoc we wreak in our own backyards.

Those in favor of modern technology may argue that it presents solutions for this disconnection. For example, grow lights for plants and specialized soils are examples of modern technology, which aid in encouraging the connection between nature and humankind. It can be argued that types of modern technology could even be a solution to the environmental problems created by this disconnection. However, while the attempt to metaphorically fight fire with fire, by using this modern technology to help cultivate plant life, there is still a challenge set upon nature to provide for life in a way it was not meant to. The energy for these resources and materials to build technology such as grow lights must still come from the earth. Furthermore, by adding modified soil to a garden, the gardener challenges the earth to reorder its balance to accommodate the nutrients for a plant that would not grow without intervention. In this circumstance, the natural world is still being challenged to provide what it would not readily reveal because of the progress of modern technology and science.39 Another issue with the artificial technologies for cultivation is that they mediate the experience humankind has with nature. In a Daoist proverb, an old rice farmer floods his fields by physically carrying the water from the river to the fields. A younger farmer comes along and introduces a well sweep, a mechanism to lift large amounts of water and pour it over the fields using a pulley system. The farmer refuses to use this technology. He warns against using such technology because it would obscure his awareness of the Dao, the life-force believed in Daoism to pervade all living things. Similarly, by relying on complex technologies to cultivate plants, especially ones which would not otherwise be able to grow, there is a disconnection between what the earth readily provides and communicates and what the person perceives. It is another way in which modern technology mediates humankind’s perception of the natural world40.

Modern Technology and Spiritual Experiences in Nature.

While modern technology limits the ability maintain a connection with nature, it also limits the ability to have spiritual experiences in nature. In the proverb, the man’s spiritual experience is rooted in his ability to be aware and connected to the water and the land he works on. When experiences with the natural world are mediated by modern technology it limits the awareness and connection with the landscape consequently closing off humankind to the possibility of a spiritual experience. This is because the transcendent aspect of realizing Eisenberg, The Ecology of Eden, p. 67 Chuang Tzu, The Complete Works of Chuang Tzu, Trans. Burton Watson (New York:

Columbia University Press, 1968), p. 134 39 40

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the interconnectedness of life is found in direct experiences.41 When these direct experiences are changed, humankind begins to serve a technological order rather than a natural order in which humankind works with the land rather than seeking to dominate it. Such as in the example of plow agriculture, the value of diversity is cast aside in favor of utility and progress, while simultaneously severing the connection to the very land that is exploited to serve that same progress. This is because the modern sciences “have to do with ‘scientific’ and ‘methodical’ planning, direction, organization, development – in short, with an infinity of functions that, so to speak, determine from outside, the whole of the life of each individual and each group...”42 This means to say that the man-made order of society tries to dictate the path of the natural world.

This stark change from the primal connection humans once had to serving a technological order poses a risk to humankind. When the connection with nature is forsaken, the cyclical demand for the exploitation of the environment endangers the health and wellbeing of humans too. The same pesticide that nearly caused the extinction of the bald eagles in also a known carcinogen for humans. This risk is not just a physical one. In the process of forsaking the connection with nature, humankind loses the ability to experience the interconnectedness. In doing so, we harm the environment of which we are a part. We bring harm to ourselves.

The ability to connect to the interconnectedness of all beings through the natural world is integral to the spiritual growth and wellbeing of an individual as well as it is to their physical health. This is because experiential learning in nature or wilderness reveals the beauty of the diversity of life other than humankind. Through experiencing the flora and fauna of an environment untouched my humankind, an individual can learn to decentralize themselves and humankind to obtain both awareness and concern for the web of life. To decentralize oneself and humankind means to let go of the idea that human progression is the end goal of existence. Rather, it is to accept that this view is in the self-interest of the individual and of the human race alone. It does not serve the plethora of life with which the natural world is blessed.

Rather it subjugates the land and its non-human inhabitants to serving the ambition of human progression. The decentralization allows for the recognition of the ‘moral community’ of Zen Buddhism. 43 These are different terms for the inclusion of non-human life as members of the same community of which humankind is a part of, not the apex of. This translates into a moral and ethical responsibility to incorporate the wellbeing of non-human life into human decision making on how the environment is to be interacted with. This encourages an individual to grow their perspective beyond their concern for their own selves and the material world to find value in the natural world. Humankind, through nature, is given the ability to grow in their spiritual connection with the natural world of which all humans are a part.

Conclusion To have this realization of the value of non-human life, it is essential to have experiences in wilderness. This is because wilderness strikes awe and wonder into an individual, which disrupts their human-centric view of how the natural world is used and viewed. An experience in wilderness that might cause this disruption is not possible without first experiencing nature.

Experiences in nature act as training wheels to acquaint a person with the natural world in a way that is controlled and comfortable. This is necessary because wilderness, in its inherent wild-ness, is daunting to approach without the introduction that nature can provide. But, neither an experience in nature nor in wilderness can be assumed to be a frequent occurrence for a person, because of the advent of modern technology. This technology demands more for the environment than it would readily give to the aim of sustaining humankind. The use and creation of this technology places humankind in a dominant role over nature. It allows for the view that the natural world is meant to be used for human progression. This view can have Ralph Waldo Emerson, Nature (Penguin Books, 2008).

Hans-Georg Gadamer and David Edward Linge, Philosophical Hermeneutics, p. 40.

43 Simon P. James, “Environmental Ethics”, p. 61.

41 42

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serious consequences for the health and wellbeing of the environment, but it also stunts the spiritual growth and wellbeing of humankind. This is because the attitude of dominance acts as a barrier to the having un-distracted, first-person interactions with the natural world, which would encourage the spiritual experiences necessary to grow in a connection with the environment.

It is important to note that the purpose of my argument here is not to advocate for humankind to forsake all of technology and return to a primal hunter-gatherer society. Technology, including modern technology, has created beautiful and valuable resources that have much improved life on this planet, and this point should not be forgotten. Rather, I advocate that we be as critical of the bad as we are celebratory of the good. We must include the whole biotic community in our evaluations of the consequences of the technology we choose to produce and how we choose to use it. It is for our own good that we should think outside of our foolishly anthropocentric perspective. Humankind, as whole, is not living sustainably on this planet.

Specifically, we are not living in a way that will sustain our own species. Yes, we are driving other species to extinction, as was almost the case with the bald eagle, and we are creating seemingly irreversible damage to our land, as with plow agriculture, but the natural world will persist even if it is negatively and irreversibly changed by us. By allowing ourselves to be seduced by the perspective of domination and challenging that modern technology creates rather than opening ourselves to the awe and wonder that can be experienced in our wilderness, we deprive ourselves of the ability to be an active participant in nurturing the interconnectedness of all beings. In doing so we drive species to extinction, deplete our land, and abuse the environment we need to survive. Is progress, utility, or comfort so valuable that we are willing to kill ourselves for it?

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Works Cited Carson, Rachel. Silent Spring. London: Penguin Books, in association with Hamish Hamilton, 2015.

Chamberlain, Basil Hall. 1982. The Kojiki: records of ancient matters. Rutland, VT: C.E. Tuttle Co. Chuang Tzu. The Complete Works of Chuang Tzu. Translated by Burton Watson. New York: Columbia University Press, 1968. p. 134.

DukeEthic. “Facing the Anthropocene Series: A Conversation with Joyce Chaplin.” YouTube Video, 59:46, March 9, 2021, https://youtu.be/PWqKgnriOO4 Eisenberg, Evan. The Ecology of Eden. New York: Vintage Books, 1998.

Emerson, Ralph Waldo. Nature. Penguin Books, 2008.

Gadamer, Hans-Georg, and David Edward Linge. Philosophical Hermeneutics. Berkeley, CA: University of California Press, 2008.

Heidegger, Martin. The Question Concerning Technology. New York: Harper Colophon Books, n.d.

Iqbal, Zaufishan. “Ecological Advice from Prophet Muhammad.” EcoMENA, October 2, 2020. https://www.ecomena.org/green-ahadith/.

James, Simon P. Zen Buddhism and Environmental Ethics. Burlington, VT: Ashgate Publishing Company, 2004.

Leopold, Aldo. In American Earth: Environmental Writing since Thoreau. Edited by Bill Mckibben and Albert Gore. New York, NY: Library of America, 2008.

Lopez, German. “Pokémon Go, Explained,” July 11, 2016.https://www.vox.com/2016/7/11/ 12129162/pokemon-go-android-ios-game.

Muir, John. My First Summer in the Sierra. Boston, Massachusetts: Houghton Mifflin, 1916.

Redick, Kip. ““Sensuous Communication Encounter where Journey and Festival Meet: A Phenomenology of Pilgrimage” Roser, Max, Hannah Ritchie, and Bernadeta Dadonaite. “Child and Infant Mortality.” Our World in Data, May 10, 2013. https://ourworldindata.org/child-mortality.

Thoreau, Henry David. The Portable Thoreau. New York: Penguin Books, 1990.

Underhill, Evelyn. Mysticism: A Study in Nature and Development of Spiritual Consciousness, 12th, Revised Edition & Practical Mysticism: A Little Book for Normal People (Two Books With Active Table of Contents) p. 99, 186. Kindle Edition.

Wadhams, Peter, Adam Welz, Beth Gardiner, Michael Standaert. “The Global Impacts of Rapidly Disappearing Arctic Sea Ice.” Yale E360. Accessed April 10, 2021. https://e360.yale.edu/ features/as_arctic_ocean_ice_disappears_global_climate_impacts_intensify_wadhams.

Wilderness Act of 1964. Public Law 88-577, (1964).

Wirzba, Norman. From Nature to Creation: A Christian Vision for Understanding and Loving Our World. Grand Rapids, MI: Baker Academic, 2015.

Wong, Fiona Y. “Influence of Pokémon Go on Physical Activity Levels of University Players: A Cross-Sectional Study,” February 22, 2017. https://www.ncbi.nlm.nih.gov/pmc/ articles/PMC5322678/.

About the Author Mikaela Martinez Dettinger is a rising senior at Christopher Newport University. She is a double major in Political Science and Philosophy with a concentration in Comparative Religious Studies with minors in U.S. National Securities and Leadership Studies. She currently serves as President of CNU Model United Nations and is a Front Desk Assistant Coordinator on the Night Shift. She is currently involved in research on the Jewish Spiritual Resistance Movement and will be graduating in May of 2022.

“The Politics of Pot: The Role of the Local Media in Framing Attitudes about the Legalization of Marijuana in Virginia” Joy Messina Faculty Sponsor: Dr. Linda Waldron, Department of Sociology, Social Work and Anthropology

Abstract The purpose of this study is to examine the ways in which the local news media in the state of Virginia report both the decriminalization and legalization of marijuana, taking into consideration differences across areas with different dominant political parties and ideologies, in order to compare the political bias and trustworthiness of local news media outlets with national news media outlets. To do this, an ethnographic content analysis is conducted on 18 local news sources in the state of Virginia that address the topic of marijuana decriminalization or legalization from 2020 to 2021. Theories such as critical race, second-level agenda-setting, and cultivation are utilized in the analysis of how the media frames these topics differently across different political parties and ideologies. Findings suggest that while there is an acceptance of marijuana use across political parties and ideologies in the state of Virginia, acceptance levels seem to differ depending on political party and ideological dominance in a given area. Therefore, the ways in which the news media chooses to frame and report information about either the decriminalization or legalization of marijuana in Virginia differs, even if the end goal of support for legalization is the same across the different areas. The findings of this study imply that while local news media outlets may not operate in as overtly biased ways as national media outlets, they are swayed by the political affiliation of their target audience, which in the case of local news media, is their surrounding geographic location.

Keywords: local media bias, marijuana legalization, marijuana decriminalization, Critical Race Theory, Second-level Agenda-setting Theory, Cultivation Theory

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Introduction Over the last few years, the American public has become increasingly aware of political bias in the national news media, and many have shifted to their own local news outlets to receive, what they believe to be, unbiased, fact-based news. In 2019, the Knight Foundation, in partnership with Gallup conducted a survey study asking about the extent to which individuals trust local and national news outlets. The results show that “45% of Americans trust reporting by local news organizations ‘a great deal’ or ‘quite a lot,’” while, “the public’s views of national news organizations are more negative than positive- 31% express ‘a great deal’ or ‘quite a lot’ of trust, and 38% ‘very little’ or not trust in them” (Knight Foundation & Gallup, 2019, p. 12).

This supports the idea that a majority of U.S. adults believe their local news, and trust what it reports. In addition, the same study found that, “compared with national news media, more Americans say that local news media strike a balanced ideological perspective” (p. 25). For these reasons, it is important to closely examine the partisanship of these local news outlets, to learn if these perceptions of bipartisanship are true. Due to the overarching belief that individuals’ local news outlets are more trustworthy and factual than national news, it is important to examine the manner in which these local outlets report to determine if these beliefs are true. Assuming that the local news has less political bias than national news, without thoroughly studying it, could lead to viewers’ opinions being subconsciously influenced by their local media outlets, which was ultimately the reason for shifting to these outlets in the first place.

Ample research has shown that the information that individuals consume from the news can have a strong influence on public opinion (Archbold, Dahle, Fangman, Wentz, & Wood, 2013; Chermak, 1997; Hoffman & Wallach, 2007), as well the fact that media outlets have a target audience that they shape their reporting style (Elejalde, Ferres, & Schifanella, 2019; Gruenewald, Chermak, & Pizarro, 2013; Hollander, 2008; Klein & Naccarato, 2003).

Therefore, the ways in which the news media chooses to report their information, with any political bias, could drastically affect the collective public opinion of the audience.

The purpose of this study is to examine the role that local news media plays in constructing attitudes surrounding the decriminalization and legalization of marijuana in the state of Virginia, as well as how different political parties/ideologies influence the attitudes and narratives that are presented in the local news.

Literature Review Until recently, the topics of decriminalization and legalization of marijuana have remained largely partisan issues, causing friction across party and ideological lines (Pew Research Center, 2015). This topic was likely so divisive because of the history of racial targeting that it carries in the media and policy making. In fact, there is ample research that supports the idea that crimes, especially drug related crimes, are reported differently depending on the race of the user (Chiricos & Eschholz, 2002; Dixon & Linz, 2000; Entman,1990; Entman, 1992; Entman & Gross, 2008; Netherland & Hansen, 2016). There is a deep history of racism as it relates to drug use in the United States that plays a significant role in how the media frames drug crime and policy (Boyd, 2010; Hughes, 2015). Despite all the evidence supporting the presence of political media biases and the political divisiveness of marijuana decriminalization and legalization, there is a lack of research addressing the ways in which local news outlets report about these issues, and if they impose any political biases onto their audience through this reporting.

Therefore, this study aims to identify if local news media outlets fall victim to political biases through their reporting of marijuana decriminalization and legalization, and if so, how might local media outlets frame these issues, and does this framing align with the dominant political affiliation of the area the news outlet covers?

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Power and Partisanship of the Media Economic & political power of the media. The news media has the power and is in the position to influence the ways in which individuals think and feel about any given topic (Archbold et al., 2013; Hoffman & Wallach, 2007). The question then becomes, who is influencing the media? According to Steven Chermak (1997), “political and economic elites have preferential access to the media because of their hierarchical position in society; they use this access to define the social order, maintain cultural boundaries, and reaffirm the status quo” (p.689). This idea of a group of elite members of society controlling the news, and ultimately other’s perceptions of reality, is not new, and has become increasingly more complicated with the addition of race. The concept of ethnic blame suggests that, “whites own most of the mass media organizations, they influence new content, they want to portray their group favorably, and they blame people of color for their problem” (Klein & Naccarato, 2003, p. 1613). This has been an issue for years, yet is still applicable to the news media today How the media reports for a target audience. If it is true that the news media holds biases that dictates the ways in which it reports, where does it get this bias from? Studies have found that political media bias usually follows the audience to which it is attempting to reach (Elejalde, Ferres, & Schifanella, 2019; Gruenewald, Chermak, & Pizarro, 2013; Klein & Naccarato, 2003). This is because ultimately, the news media is a business, and their goal is to sell their product, which is the news (Elejalde et al., 2019). According to a study conducted

by Gruenewald, Chermak, and Pizarro (2013), “the dominant group is most likely to consume news that they identify with” (p.763). They go on to explain that because of this, “violence perpetrated against members of the racial ethnic majority group would be considered more newsworthy than violence against minority groups, especially if perpetrated by majority group offenders” (p.763). This exemplifies how crimes are framed and reported differently across race, depending on the area in which the news is being received.

How the influence of the media skews public opinion. Scholars repeatedly emphasize the differences between what is fact and what individuals perceive based on the information they consume from the news media (Hollis, Downey, del Carmen, & Dobbs, 2017; Morris, 2007). This is because the news has a tendency to revert to racial stereotypes that promote the vilification of people of color (Entman, 1990; Entman, 1992). In fact, according to Robert Entman (1990), local television news “simultaneously depresses the legitimacy of old-fashioned racism (beliefs that blacks are inferior and should be segregated) and stimulates the production of modern racism (anti-black affect combined with resentment at the continuing claims of black on white resources and sympathies)” (p.332). The promotion of modern racism in the news has a strong influence on what the audience thinks about an issue, as well as how they feel and act toward it.

Differences in Media & Crime Reporting Across Race The racial hierarchy in news media. There seems to be a racial hierarchy in the news media that dictates how different crimes are reported (Gruenewald et al., 2013; Fields & Newman, 2020). A study conducted by Gruenwald, Chermak, and Pizarro (2013), found that the newsworthiness of a crime, when the victim was a person of color, was increased if the victim had a deviant record. Additionally, the same study found that, “Black homicide victims, who are most always killed by black suspects, may be scripted as part of the larger social problem of urban black-on-black violence among youth in high-crime and high-poverty neighborhoods” (p.

778). Interestingly, a study conducted by Fields and Newman (2020) found that predominantly white newspapers, in which the journalists and audience is predominantly white, avoid addressing structural issues when publishing news about crime with minority victims. They believe that the “differences in coverage of the case also contribute to our understanding of why blacks and whites have fundamentally different understandings of race in the United States” (Fields &

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Newman, 2020, p. 1040). This goes to show that even though some scholars disagree on whether or not the news deflects or over-emphasizes structural issues within minority neighborhoods, they all acknowledge a difference in reporting between races, as well as acknowledge the use of people of color in the news to push forward an agenda. This is also evident in a study on the Willie Horton Story that was used during the Bush Campaign. While the campaign claimed the story was used to depict their efforts to be “tough on crime,” the study found that “it mobilized whites’ racial prejudice, not their worries about crime” (Mendelberg, 1997, p. 151). Once again emphasizing the use of racial and ethnic minorities as pawns in the agendas of those at the top of the racial hierarchy.

Framing people of color as threatening & violent in the media. Whether explicit or implicit, the news media continue to promote that racial hierarchy by continuously vilifying racial and ethnic minorities through crime reporting. Multiple studies have discovered a distinct contrast between the news’ framing of white criminal suspects and criminal suspects of color (Chiricos & Eschholz, 2002; Dixon & Linz, 2000; Entman, 1992; Entman, 1990; Entman & Gross, 2008). Research has found that, not only are racial and ethnic minority crime suspects presented as more threatening than white suspects, but they are also overrepresented as perpetrators of crime, while white individuals are overrepresented as victims (Chiricos & Eschholz, 2002; Dixon & Linz, 2000). The news portrays these minorities as more threatening by illustrating accused black criminals with “glowering mug shots or by footage of them being led around in handcuffs, their arms held by uniformed white policemen” (Entman, 1990, p. 337). Not only does this associate criminal stereotypes with these minority groups, but it also reinforces the racial hierarchy of the news, by showing a “bad” person of color being held and controlled by an upstanding, professional white man.

A few research studies have also acknowledged the dangerous implications that these racial stereotypes have in the news media. Chiricos and Eschholz (2002) noted that the news might be contributing “to the social construction of threat in relation to Black and Hispanics,” and added that this construction of threat is often linked to prejudice, social exclusion, and modern racism (p.400). In a similar manner to Chiricos and Eschholz (2002), Entman and Gross (2008) recognized that these racialized criminal stereotypes are part of a cycle of “racial and ethnic misunderstanding and antagonism,” that can and does ultimately influence the criminal-justice process (p. 97-98).

Racial stereotyping based on drug-use. Similarly, to violent crime reporting, there is a stark contrast between how people of color and white people are framed by the media as it relates to drug use, both legal and illicit (Boyd, 2010; Chermak, 1997; Covington, 2017; Hughes, 2015; Netherland & Hansen, 2016; Provine, 2011). Since the 1920’s, the use of marijuana has been linked to people of color and “’degenerate’ bohemian sub-cultures” (Hughes, 2015, p.

73). There was a promoted narrative that wholesome, white suburban and rural neighborhoods were being threatened by dangerous, urban drug dealers from different countries that wanted to “threaten the supposed purity” of these communities populated by “naïve white people” (Boyd, 2010, p. 19). It was also due to the association between people of color and marijuana use, that drug policy surrounding the legality of marijuana was created, and supported so quickly, despite the lack of research about any actual harmful effects of the drug (Hughes, 2015).

Additionally, in their study conducted in 2016, Netherland and Hansen examined 100 popular news articles to determine the different frames the media uses to discuss recreational opioid use and prescription opioid use. Their study revealed that there was a “consistent contrast between criminalized urban black and Latino heroin injectors with sympathetic portrayals of suburban white prescription opioid users” (Netherland & Hansen, 2016, p. 664). While the specific drug differs, the stereotypes pushed by the media remain the same, white victims and black villains.

The narrative promoting the association of racial and ethnic minorities and problematic drug use had a resurgence in the 1980s during the Reagan administration due to their “tough

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on crime” initiative, which was continued through the Bush Sr. and Clinton administrations of the 1990s. Scholars agree that leaders at the time were aware of the ways in which their drug policy would differently affect different socioeconomic, and therefore racial groups (Chermak, 1997; Covington, 2017; Provine, 2011). In fact, some scholars even believe that it was part of the goal of these harsh drug policies to target minority groups in order to appeal to a certain demographic of voters (Chermak, 1997; Provine, 2011). Nevertheless, these policies have led to the disproportionate prosecution and incarceration of people of color in the United States, and the racial stereotypes that exist to promote this dangerous association are still evident in the news media today.

Theory Critical Race Theory

Critical Race Theory (CRT), according to Richard Delgado and Jean Stefancic, has four basic tenets. The first tenet is racism is normal and ordinary. This simply means that racism is a difficult topic to discuss or remedy because it is so normal to our day to day lives that we seldom acknowledge it (Delgado & Stefancic, 2017, p. 8). The second tenet is called “interest convergence”. Interest convergence is, “the thesis that majority group members will only support the interests of minorities when those actions also support the interests of the majority group” (Babbie, 2011, p. 41). In terms of CRT, the majority group would be white individuals and the minorities would be groups of color. The third tenet of CRT is the social construction thesis, which explains that race is not an inherent, biological trait, but rather a socially constructed category (Delgado & Stefancic, 2017, p. 9). The fourth, and final tenet, which was added more recently, is the concept of differential racialization. Differential racialization is the idea that an individual’s race can mean different things to society depending on the time and social climate.

For example, prior to 9/11, Muslims were just fellow Americans who practiced a non-Christian religion, however, after 9/11, although those individuals likely did not change at all, the social perception of them did, and they were viewed as a threat (Delgado & Stefancic, 2017, p. 10).

Critical Race Theory provides an appropriate lens to understand how the news media frames the decriminalization and legalization of marijuana in terms of both politics and race in Virginia, a state that currently has passed laws to do both. The first tenet is an interesting lens to use when looking at the racial biases of the media. As Entman explains in his 1990 study, “local television simultaneously depresses the legitimacy of old-fashioned racism and stimulates the production of modern racism” (p.332). This supports the first tenet of CRT, that racism is ordinary, because despite how progressive we think the world is getting, in regard to racial equality, rather than fixing an issue like the presence of “old-fashioned” racism, we simply create a less overt form of racism to replace it. It is so ordinary, that we do not know how to exist without it. Similarly, the idea of interest convergence is easily applied to the notion of the racial hierarchy in the media, and the concept of ethnic blame. Since a majority of media organizations are owned and operated by predominantly white individuals, they present people like them in a more favorable light and rely on people of color to take the fall for their problems (Klein & Naccarato, 2003, p. 1613). In other words, since white people are the dominant group in the media industry, they will only support the equality of people of color if they also benefit from this equality, and until they do, they will likely not support it on a large scale.

The third and fourth tenets, the social construction thesis and differential racialization, can be combined and applied to the negative association that people of color have with violence and drug use. The social construction thesis supports the idea that there are no genetic or biologically inherent traits that make a person of color more violent, dangerous, or prone to drug- use than a white person. The association that has been created between violence and drug-use and black people is socially constructed as well, to instill fear and division between white and black individuals. Likewise, the concept of differential racialization can be seen over

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time. According to Jeanette Covington (2017), Black individuals, overall, stopped using crack in the early 1990s. In fact, they were less likely than white people to use any hard drugs during the opioid epidemic that took place in the 1990s and early 2000s. This information, however, was disregarded, likely because it was inconsistent with the narrative that society relied on, that the urban poor Black communities used and abused drugs to “escape poverty and racism or the deindustrialization of cities” (p.266). Despite the facts, society had chosen Black people to be the primary actors in the opioid crisis of the early 2000s, and they chose to stick to their narrative, maintaining the narrative regardless of the change in drug use.

For these reasons, examining how local media outlets frame drug use and the legalization of marijuana in the state of Virginia through the lens of CRT is important in understanding the underlying narratives that the media implicitly promotes. Since the news has a history of villainizing people of color, specifically Black individuals, it is vital to examine the ways in which they currently frame these individuals in the discussion of marijuana legalization. Due to the disproportionate impact that marijuana prohibition has had on these communities in the past, without understanding the attitudes the media is promoting, social equity surrounding the legalization of marijuana in the state of Virginia will never be possible.

Second- Level Agenda-Setting & Cultivation Theories

Agenda- Setting Theory suggests that the media selects specific topics that they portray more frequently and with more emphasis, in order to “lead people to perceive those issues as more important than others” (Wu & Coleman, 2009, p. 776). Second- level agenda setting expands beyond this concept to examine the “influence of attribute salience, or the properties, qualities, and characteristics that describe objects or people in the news and the tone of those attributes” (Wu & Coleman, 2009, p. 776). Second-level agenda-setting then splits these characteristics into two categories: substantive and affective. The substantive category includes things like personality or ideology, while the affective category is concerned with emotional qualities, including positive or negative tone (Wu & Coleman, 2009). The theory posits that both the substantive and affective categories influence viewers. Enforcing the idea that it is not only what is said that is influential, but also who is saying it, and the tone in which it is said.

Second-level agenda- setting can be applied to this study’s research question; what is the role that local news media plays in constructing attitudes surrounding the decriminalization and legalization of marijuana in the state of Virginia?

In similar manner to agenda-setting theory, cultivation theory proposes the concept of mainstreaming, which is also useful to consider in this study. According to Gerbner, Gross, Morgan, and Signorielli (1982), mainstreaming is the, “expression of commonality of outlooks and values that exposure to features and dynamics of the television world tends to cultivate” (p. 104). This suggests that even if members of a group share the same opinion and stance on a certain issue, if exposure to the media suggests an alternative opinion or stance, the members that have been exposed are likely to disagree with the group and agree more with the media’s stance. This is an interesting lens to utilize in this study, especially in the analysis of how different political parties are influencing and being influenced by the media.

Methods Data

The data for this analysis was gathered from 18 news stories in the form of either newspaper articles or newscast videos that addressed the topics of either the decriminalization or legalization of marijuana in the state of Virginia between January 2020- March 2021.

Each news video was approximately 3 minutes in length with a corresponding article that was included with it as a single source. The newspaper articles that were included averaged about two single-spaced pages each. These 18 sources were then divided and grouped into one of 5

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geographic locations: Northern Virginia, Richmond/Central Virginia, Lynchburg/Roanoke Virginia, Southwestern Virginia, and Southeastern Virginia. Each of the geographic locations had a dominant political party that was also noted for this study. The dominant political party of each area was determined by the political party of the corresponding congressional member in that district. For example, Southeastern Virginia is made up of congressional districts 2,3, and 4, which all have democratic representatives, making Southeastern Virginia predominantly democratic.

Geographic Location

Predominant Political Party

Sources Used

Lynchburg/ Roanoke Virginia

Republican Party

1.WSET- ABC affiliation 2.WSLS- NBC affiliation 3.WDBJ- CBS affiliation 4. The Roanoke Times

Northern Virginia

Democratic Party

1. WUSA- CBS affiliation 2. WTTG- FOX affiliation 3.WRC-TV- NBC affiliation

Richmond/ Central Virginia

Democratic Party

1.WRIC- ABC affiliation 2.WTVR- CBS affiliation 3.WWBT- NBC affiliation 4. The Progress- Index

Southeastern Virginia

Democratic Party

1.WVEC- ABC affiliation 2.WAVY- NBC affiliation 3. The Virginian- Pilot

Southwestern Virginia

Republican Party

1.WCYB- NBC affiliation 2. The Danville Register & Bee 3. The Galax Gazette 4. The Danville Register & Bee

The articles and videos used in this study were found using purposive sampling through the google news search engine. Keywords like; marijuana, legalization, decriminalization, cannabis, and Virginia, were used in the search bar to find the data sources. The sources used in this study were limited to local news broadcasts and newspapers in Virginia. Larger news outlets that happened to have reports on Virginia’s legalization process were excluded, in order to address solely the local news outlets, which is posed in the research question.

The final sample used in this study included 18 local news broadcasts or newspaper articles from January 17, 2020 to March 1, 2021. Each source was from a different news outlet, with the exception of one repeating newspaper. While all of the TV news stations were different, the major networks that were affiliated with them did overlap to include ABC, NBC, CBS, and FOX. In addition to the video broadcasts, local newspapers such as, The Danville Register & Bee, The Galax Gazette, The Progress- Index, The Roanoke Times, and The Virginian- Pilot were included in the data. The newspaper that was repeated was The Danville Register & Bee, which was used twice to ensure that both political parties were represented as equally as possible in this study, since there was a lack of available sources from the area.

Analysis

In order to analyze this data, an ethnographic approach was taken. This was done by meticulously watching news broadcasts and taking detailed notes about what was being shown visually, who was being featured, what attitudes were given more emphasis, and the variety of racial representation that was included. For the purposes of this study, the units of were the local

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news media outlets in the state of Virginia, and the units of observation differed across themes.

Each theme observed different specific codes, including, instances of marijuana images used in news casts, instances of different experts’ opinions being included in news broadcasts, instances of opinions, either in support of opposition of marijuana legalization, and any instances in which the race of a featured individual was categorizable. The instances of each individual category of code were then totaled and divided by the total number of instances. For example, for the theme ‘Attitudes Towards Legislation,’ there were eighty total instances of opinions about legislation expressed in the news casts of Democratic areas. Thirty-two of those instances were in support for legalization due to the desire for social equity, therefore, thirty-two was divided by eighty, and then converted to a percentage, to yield 40% of the opinions expressed in Democratic areas. Since the goal of this study is to understand and analyze the ways in which the local news media in Virginia construct’s public opinion, and the method used to observe this was a content analysis of local Virginia news media outlets.

An Ethnographic Content Analysis (ECA) approach, which is used to “document and understand the communication of meaning, as well as to verify theoretical relationships” (Altheide, 1987, p. 68), was utilized in the data analysis of this study. According to Altheide (1987), “ECA is embedded in constant discovery and constant comparison of relevant situations, settings, styles, images, meanings and nuances” (p. 68). This was demonstrated through the use of open coding based on initial observations that worked to determine patterns within the data sets. During the open coding process, 30 codes were used on the first 2 geographic location data sets, which were the Lynchburg/Roanoke and Northern Virginia areas. Once patterns were determined, and themes began to emerge, the 30 initial codes were reduced to 16 total codes that were grouped into 4 major themes; presentation of marijuana, attitudes and reasoning toward legislation, types of experts featured, and race representation. These themes were analyzed using axial coding, which examined the ways in which individual codes functioned in relation to other patterns found within the data, which in this case was the dominant political party in that area.

These themes were then examined through a sociological lens, connecting the patterns in the data with existing theories like critical race, second-level agenda- setting, and cultivation theories.

Sample of Codes with Operational Definitions

Code

Operational Definitions

Presentation: Marijuana Plant

Any image of a marijuana plant.

Support: Social Equity

Any mention of: racial justice, disproportionate impacts on communities of color, over-policing, over-prosecution, over-sentencing, unequal punishments for people of color, record expunged, disproportionate enforcement, higher arrest rates for people of color, discrimination, race convictions, and social equity.

Oppose: Public Health

Any mention of: risk factors, gateway drug, overdose, medical consequences, mental health consequences, comparing marijuana health concerns with tobacco health concerns, public health, drug-free community, marijuana abuse.

Experts: Other

Includes any individual being featured that is introduced as a doctor, law enforcement officer, lawyer, social worker, or mental health professional.

Race: Other

Any image of a non-white individual, where discerning a specific race was difficult/ not possible.

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Another aspect of the ECA approach in this study is the use of both narrative and numerical data. While the content and coding, along with the theorizing and implications are narrative and aiming to give description, frequency data was utilized as a more concise method of comparison in the results. This was especially important in this study, due to the imbalance in data sources in each political party. In order to compare the findings across the two parties equitably, it was necessary to utilize numerical percentages when reporting the findings.

Reliability & Validity

While the subjectivity of qualitative data often limits the establishment of reliability, and therefore, the possibility for replication, this study did establish reliability in some ways. The direct use of sources, either transcriptions of newscast videos or exact copies of news articles, as well as the operationalization of the codes used, created the ability for this study to be replicated, thus enforcing reliability. In addition, the validity of this study was strengthened through the data collection methods used. Categorizing the data into geographic locations worked to ensure that local news media outlets from different parts of the state, as well as areas with different predominant political parties were represented as equally as possible. In addition, the use of mostly different media outlets across the geographic locations improved the validity of this study as well, since it reinforced that the patterns found held true not only across different locations and political parties, but also across multiple local news outlets in Virginia.

Findings & Discussion Presentation: Media Images of Marijuana as a Framing Tool

The data suggests that the news outlets in Republican areas utilize images of marijuana plants at a more frequent rate than the news outlets of Democratic areas. This could be in order to normalize the new legalization and make it appear less threatening. Of the images of marijuana utilized in the news broadcasts in Republican areas, 47% of those images were of the marijuana plant, and only 16% of them showed the marijuana being smoked. This is in contrast to the news outlets in Democratic areas, in which the most frequent image of marijuana was the marijuana bud at 36%, and images of the marijuana being smoked included 26% of the images. This emphasizes the notion that media outlets frame topics differently depending on the target audience and could imply that the legalization of marijuana in the state of Virginia is more or less threatening to different individuals, depending on the dominant political party in the area of their residence, which suggests a connection to the concepts of both agenda-setting and cultivation theories.

Agenda-setting theory at the second level, according to Wu and Coleman (2009), is divided into the substantive dimension and the affective dimension, where the substantive encompasses

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the facts and topics being discussed, and the affective encompasses “the emotional qualities of those attributes- whether the tone of those substantive attributes is positive, negative or neutral” (p. 776). In relation to the findings of this study, the use of images of marijuana in local news broadcasts about legalization has intentional substantive and affective impacts on the viewers, which is supported by the differences in images across areas with different dominant political parties and ideologies. While the broad substantive dimension is the same in all areas; the use of images of marijuana in the coverage of possible state legalization, the actual type of image differs across political parties and ideologies, which is an attempt to target the affective dimension.

The emotional qualities that images of marijuana plants invoke are different from the qualities that viewing an individual actively smoking marijuana does, which suggests that the media is assuming that individuals in different areas hold dissimilar opinions regarding the use and legalization of marijuana. The use of images of people actively smoking, that were more common in Democratic areas, may imply that those areas have overall accepted the eventual legality of marijuana, but must work to normalize and destigmatize the actual smoking of marijuana. In contrast, the significant presence of marijuana plant images in Republican areas might suggest the media’s desire to emphasize the fact that marijuana is a natural plant and should not be feared as more than that.

Regardless of the emotional impact that different types of images of marijuana invoke on the news audience, the mainstreaming of marijuana across all areas of the state is a relatively new, and interesting pattern. A 2015 Pew Research study on opinions about marijuana legalization found that the shift to a majority support for marijuana legalization happened sometime between 2010 and 2015, with the 2015 survey finding that “53% favor the legal use of marijuana, while 44% are opposed,” in contrast to the 60% opposed, to 32% support for marijuana legalization that was documented just prior to 2010 (Pew Research Center, 2015, p. 1). While they found that overall support for legalization had increased overall, they also discovered that, as of 2015, it still remained a very partisan/ideological issue, with 75% of liberal Democrats supporting the legalization of marijuana, and 65% of conservative Republicans opposing marijuana legalization (p. 5).

The concept of mainstreaming, a component of Gerbner’s cultivation theory, suggests that the media, specifically television media, has the ability to influence viewers opinions so significantly, as to normalize, or ‘mainstream’ attitudes about topics overall (Gerbner et al., 1982).

This phenomenon can be seen in this study, through the overall relatively positive depiction of marijuana in the state of Virginia, regardless of the dominant political party or ideology of the area. In fact, frequent use of marijuana plant images in Republican areas supports this idea.

By targeting the assumed level of acceptance in the area and displaying images that correspond with both that level of acceptance and the viewers emotions, the media is able to gradually influence the viewer’s attitudes, and ultimately increase the overall level of acceptance. The same can be said for the images of marijuana being smoked in Democratic areas, with the difference in images being used signaling a different overall level of acceptance of marijuana in that area.

Attitudes Toward Legalization The data showed that there were three main reasons given in opposition of legalization legislation, and three main reasons given in support of legalization legislation in the state of Virginia. The three reasons for opposition were, overall general opposition, opposition in concern for public health, and opposition in concern of public safety. The three reasons for support were, overall general support, support for economic benefit, and support for social equity. The presence of these reasons in news broadcasts and newspapers differed in frequency across outlets in Republican and Democratic areas.

In Republican areas, reasons for opposition were more frequently shared than reasons for support, with the exception of general support and general opposition having the same

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frequency. News outlets in Republican dominant areas expressed opposition to legislation in concern for public health 20% of the time that attitudes surrounding legislation were conveyed, and opposition in concern for public safety 26% of the time. Both general opposition and general support were expressed 12% of the time, with the remaining 30% being split 14% in support for economic benefit, and 16% in support for social equity. This shows that overall, Republican area news outlets express more opposition than support for the legalization of marijuana, with 58% of the attitudes discussed conveying opposition, and 42% of the attitudes discussed conveying support for legislation.

Democratic areas, in contrast, conveyed more frequent reasons for support of legalization legislation, with a more significant gap between frequency of support and opposition. Democratic news outlets expressed general support for legislation 24% of the time, support due to economic benefit 19% of the time, and support for legislation due to social equity 40% of the time. The remaining 18% were split among reasons for opposition, with 4% expressing opposition in a general manner, 9% expressing opposition in concern for public health, and 5% expressing opposition in concern for public safety. This shows that overall, Democratic area news outlets express more support than opposition for the legalization of marijuana, with 82% of the attitudes discussed conveying support, and 18% of the attitudes discussed conveying opposition for legislation.

It is important to note that overall, regardless of political party, 67% of the attitudes expressed in the data were in support for legalization, and 33% of the attitudes expressed were in opposition. This shows that the dominant attitude toward the legalization of marijuana in Virginia is in support. It suggests that while the topic still has some patterns of attitudes that fall along partisan lines, the support of marijuana legalization has become much more bipartisan, which is conclusive with Cultivation theory’s concept of mainstreaming. Since mainstreaming suggests that exposure to media that expresses different opinions than the viewer already holds has the tendency to shift the viewers opinions toward that which was expressed, it is likely that the media’s overarching sense of support for marijuana legalization, regardless of area, has worked to mainstream a sense of support across members of different political parties.

In addition to mainstreaming, this section of findings also supports CRT’s second tenet of interest convergence and its fourth tenet of differential racialization. Interest convergence is the idea that the majority group will only support something that benefits a minority group, if the majority group also benefits from it (Babbie, 2011, p. 41). This can be applied to the results of the predominantly Republican areas, which showed that out of the 42% of attitudes of support that were expressed, 14% were attributed to economic benefit, which is just slightly less than half of the instances of support that were documented in these areas. By expressing support for marijuana legalization by reason of economic benefit, the idea that the majority must benefit in order to support something that benefits the minority is promoted.

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Differential racialization, CRT’s fourth tenet, is the idea that the general societal attitudes surrounding a certain race can change depending on current events (Delgado & Stefancic, 2017, p. 10). This can be applied to the results of the predominantly Democratic areas, which showed that 40% of all attitudes in these areas were in support for the legalization of marijuana by reason of social equity. Due to the evidence of racial inequalities that have been promoted for years by the prohibition of marijuana, it can be understood that the concern for social equity in regard to marijuana laws has not always been a driving factor for the majority of the population. Within the last 15 years, however, there have been movements and organizations that promote racial and social equity, that have gained popularity. While policy and legislation that addresses and works to correct the issues that have disproportionately affected minority groups in America hasn’t been widespread, it is considered ‘progressive’ and ‘open-minded’ to be in support of racial and social equity (Pew Research Center, 2020). Due to this shift in support being viewed in positive ways, many people are more likely to express support for the legalization of marijuana because of social equity in order to appear progressive and open-minded. While in the past, the majority of those in support for marijuana legalization would likely have. given other reasons, since it is now trendy to support these racial equity organizations and groups, the view of Black people and how they have been affected by marijuana prohibition is a more popular reason.

Types of Experts Featured in the News

Another trend in the data was differing types of experts being quoted or interviewed more frequently than others in news outlets of different areas. There were three types of experts included in coding; organization or non-profit executives, political representatives of the state of Virginia (either Senators, Delegates, or the Governor), and ‘other,’ which included law enforcement officers, social workers, doctors, lawyers, and mental health professionals. Both Democratic and Republican area media outlets had similar frequencies of experts from organizations or nonprofits and representatives, with Democratic areas having 38% of their experts from both, and Republicans with both types at 31%. In contrast, Democratic outlets ‘other’ types of experts were less frequently included, at 23%, while Republican ‘other’ experts were more frequently included, at 37%. Of the ‘other’ groups represented in the Republican area news, most were law enforcement officials and attorneys that adamantly opposed any form of drug use prior to any discussion of marijuana legalization. This emphasizes the bias that the Republican area media outlets are promoting by including opinions on legislation from individuals who were already adamantly opposed to any marijuana use, either illegal or legal, and supports the ideas presented in Second-level agenda-setting theory.

The theory posits that the news strategically emphasizes certain topics or attitudes about topics in order to make the viewers perceive them as more important (Wu & Coleman, 2009). This can be shown as a tactic being used in some Republican area news outlets through

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the inclusion of law enforcement officer’s attitudes toward the legalization of marijuana. Due to the fact that a law enforcement officer’s job is to enforce the law, which for years has been that the possession and use of marijuana is illegal, it is understandable that attitudes of most of the law enforcement officers that were included in the data were in opposition to marijuana legalization. The inclusion of opinions of law enforcement officers was a way for the news outlet to guide its viewers to perceive the legalization of marijuana in the same way that the officers did, as a dangerous public safety concern. The news outlets played on the affective, or emotional dimension, by presenting officer’s concerns about teen marijuana use and driving impairment in order to emphasize an oppositional stance on the topic of marijuana legalization.

Race Representation

The final trend in the data examined differences in race representation across media outlets with different dominant political parties. In this study, race representation consists of any representation of a human, regardless of the context. Both Republican and Democratic areas had predominantly white representation, with Republican areas having 87% white and Democratic areas have 74% white. Both areas had 3% of the individuals represented as undiscernible, which was used if there wasn’t enough information or view to detect race. This means that the percentage of Black representation for Republican areas was 10%, and for Democratic areas, it was 23%.

This suggests that rather than Republican areas depicting Black individuals and people of color in a more negative way, as previous research suggested, they are simply not representing them at all. This lack, almost absence, of representation of Black individuals and other people of color in predominantly Republican areas aligns with CRT’s first and second tenets; the notion that racism is normal and common, and the idea of interest convergence.

CRT posits that racism is common and therefore normal in our daily lives, and because of this, it is rarely acknowledged (Delgado & Stefancic, 2017, p. 8). The absence of people of color in the news media of Republican areas supports Entman’s (1990) idea that the media is eliminating “old fashioned,” overt racism, and replacing it with new, “modern racism” (p.332).

While prior research has examined that Black individuals and people of color are represented as more violent and dangerous by the media, this study found that there is a lack of media representation at all. This could follow Entman’s shift from old to new racism. Rather than overtly depict these groups as bad or dangerous, the media chooses to ignore them, shifting racism from misrepresentation to under-representation in the media.

In addition to Critical Race Theory’s first tenet, the data of this study also supports CRT’s second tenet, interest convergence. The fact that overall, both Republican and Democratic areas had overwhelming white representation supports this concept. Since the legalization of marijuana is coming to fruition, it now benefits the majority group to be depicted as ‘legal yet progressive.’ While in the past, white individuals were less likely to be depicted smoking marijuana because it would criminalize and shine a negative light on the white majority, now that the discussion is about legal marijuana use, the narrative has shifted. The legalization of marijuana has highlighted the shift in the news media from the negative association of illegal marijuana use with Black criminals to the positive and progressive association of legal marijuana use with white citizens.

Limitations

Like all research, this study is not without limitations. The first being the small sample size (n=18) of the content analysis, as well as the focus on just the state of Virginia. By limiting the study to only Virginia, the findings are not generalizable, and cannot be assumed to hold true in other states. Future research should look to include more local news broadcasts and newspapers in future studies, as well as expand the geographic location to include other states, in order to confirm if the patterns discovered in this study hold true over a majority of local news outlets, regardless of state.

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Additionally, due to the fact that this study was conducted by one researcher, with no one to moderate the coding process, biases based on subconscious personal feelings and attitudes are a possible limitation. This could be due to the subjectivity of some of the codes, as well as the general understanding of partisan tendencies in the state and country. Future researchers should employ moderators to ensure that neither conscious nor subconscious biases influence the coding or results of the study.

Future research could also benefit from collecting data on the racial composition of locations in which news media data is being collected from, in order to more fully understand the associations between race, political party affiliation, and attitudes surrounding the legalization of marijuana. This would be interesting information to have in order to address Gruenewald, Chermak, and Pizarro’s (2013) point that the media caters to what the dominant group in society most identifies with, since it would allow the researchers to understand the racial makeup of that area, and actually determine the dominant group.

Conclusion

Due to the recent passage of legislation to legalize marijuana in the state of Virginia, examining the ways in which the media portrays the legislation, and the use of marijuana is important. It has been well documented that the media has the power to influence its viewer’s ideas and beliefs by emphasizing certain topics and attitudes about those topics, and that the news media has a tendency to promote the general ideologies of their viewers. Therefore, the news in predominantly Republican areas is more likely to report issues in a way that promotes the Republican party’s agenda, and the news in predominantly Democratic areas is more likely to report issues in a way that promotes the Democratic party’s agenda. This is also very important, since the attitudes surrounding marijuana laws have historically been strictly partisan, and although there is a shift toward more bipartisan support, there are still patterns of attitudes that remain along partisan lines.

Prior to this research, little was known about the ways in which the local news media influences its viewers to fit a certain agenda. This study found that in the case of the legalization of marijuana in Virginia, the news media frames the desired attitude of the areas dominant political party through the strategic use of: presenting marijuana in different forms, expressing attitudes of support or opposition for differing reasons, including different types of authoritative expert’s opinions, and specific racial representation. While overall the general consensus of Virginia citizens has been found to support the legalization of marijuana, the media in different areas portrayed that this wasn’t the case. There is, therefore, a danger in trusting any news outlet completely, since both local and national news media, to different degrees, engage in biased reporting in order to manipulate and influence the viewer’s attitudes, opinions, and beliefs about any given topic.

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About the Author Joy Messina is a senior at Christopher Newport University, majoring in both Psychology and Sociology with a Criminology concentration, and minoring in Leadership Studies. During her time at CNU she has been a member of the panhellenic sorority, Phi Mu, as well as Psi Chi (the International Psychology Honors Society) and Alpha Phi Sigma (the Criminal Justice Honors Society). She also worked as an undergraduate research assistant in the Sociology department during her Sophomore year. She plans to work towards a master’s degree in Clinical Mental Health Counseling following her graduation from CNU.

“Female Friendship in My Brilliant Friend by Elena Ferrante: Creation of the Individual” Zenith Nguon Faculty Sponsor: Dr. Margarita Marinova, Department of English

Abstract Female friendships in literature have received little scholarly attention in the past in comparison with male friendships. If noticed at all, they have usually been interpreted as secondary to male-to-male, romantic, or familial relationships in the studied works. However, My Brilliant Friend by Elena Ferrante posits female friendship as the most important relationship in the Neapolitan Novels. Ferrante develops a complex female friendship that expands and ultimately dismantles the patriarchal origins of friendship, and suggests that it is much more productive to ground our understanding of friendships between women not in Aristotle’s classical model, but in Epicurious’s philosophy of philoxenia and Julia Kristeva’s theory of abjection. This essay elaborates on the ongoing academic discussion of friendship by using these inclusive theories to highlight the importance of retaining the agency and individuality of the novel’s two main characters: Elena and Lila. Their female friendship is viewed as a system of support that aids in the individual girls’ creation of identity.

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The rise of feminism forced scholars to include realistic portrayals of women and understand the different ways they are oppressed and silenced throughout history. Scholars, such as Sandra Guilbert, Susan Gubar, Julia Kristeva, Jana Sawicki, etc. call for a reevaluation and integration of female authors and characters into the literary canon. This essay will add to this movement by proposing a re-examination of the importance of female friendship. In the past, only male friendships received critical attention, and the only famous literary friends are between men: “Achilles and Patroclus in Homer; Nysas and Eurylas in Virgil; Alexander the Great and Hephaestion, both students of Aristotle; the Pythagoreans Damon and Phintias (aka Pythias); Jonathan and David of the Old Testament” (Schweitzer 344-5). Female friendships are rarely critically examined and usually play a secondary role within literary works. Literary works focus predominantly on the male-to-male or male-to-female interactions. Therefore, leaving the female-to-female interactions unnoticed. Elena Ferrante’s Neapolitan Novels, however, place female friendship as the most important relationship for the main characters and challenges the Aristotelian understanding of friendship.

The Neapolitan Novels are centered around the friendship of Elena Greco and Lila Cerullo. The quartet, as the novels are known to their readers, displays this female friendship as the most important and intimate relationship in the series because the characters are intellectually, emotionally, and physically intertwined with each other. The story follows the growth and changes experienced within their friendship as they seek self-identification. This revolutionary series subverts the patriarchal nature of friendship and proposes a malleable relationship subject to change, as the identities of the characters do as well. Elena Ferrante’s My Brilliant Friend showcases how difference and tension between female friends in the stages of childhood and adolescence contribute to the creation and empowerment of Elena and Lila’s individual identities within their friendship.

Firstly, it is important to establish a different perspective surrounding the quartet. The quartet follows the relationship of Elena and Lila throughout their entire life. Many scholars, such as Alison Lee, Natalie Bakopoulos, Adriana Romero, etc. focus on the development of the female friendship over the entire series. They document the continuous merger of selves and obsession within the female friendship, however, viewing the different stages independently offers an expanded view of friendship. Ferrante does not restrict friendship to an ideal image that lasts from childhood to adulthood but allows it to evolve. This paper focuses specifically on the first novel, My Brilliant Friend because I want to examine the foundations and origins of their friendship and identity created within childhood and adolescence. It showcases why they are irreplaceable and depend on each other within their patriarchal neighborhood.

In My Brilliant Friend, female friendship is placed at the center of Elena’s narrative.

The romantic and familial relationships play a secondary role and act as oppressors for the two girls. This portrayal shifts women to the center of discussion and defines the female through a feminine perception, that allows females to break away from the male gaze. As a result, their familial, romantic, or other temporary relationships play a secondary role in their life. Gilbert and Gubar expose how female characters are constantly subjected to masculine interpretations; they are placed into binary roles of an angel or a madwoman. The female is seen as an angel if they support the narrative of the male character or a madwoman if they go against the masculine narrative (Gilbert and Gubar 603-4). This either-or image of women rules the literary canon and constrains females to their masculine counterparts.

This patriarchal mindset causes equally personal and intimate female friendships to go unnoticed and undermined compared to male friendships. To grant women true independence, we must stop using patriarchal theories to understand females and friendship. Jana Sawicki describes how we must avoid “analyses which invoke universal explanatory categories or a binary model of oppression and thereby overlook the many differences in women’s experience of sexuality” (35). That is why we must examine the important contributions of female authors,

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works centered around women, and create theories inclusive to everyone on the spectrum of gender. Furthermore, we must appreciate the fact that women are not one homogenous group, and have very different independent experiences that should not be generalized.

In order to include females, the patriarchal foundation of friendship must be dismantled.

Friendship is usually discussed through the prism of Aristotle’s foundational ideas on this topic, but Epicurious’s notion of philoxenia is much more useful when female friendships are concern.

Flora Ghezzo and Sara Teardo describe the “independent, abstract, and sovereign subject” as a patriarchal idea and see dependency as a foundation of femininity; however, it is not (187).

Aristotle created the foundations of Westerns views on the nature of the ideal friendship and described the merging of selves as an exclusively masculine experience. According to Aristotle’s Nicomachean Ethics, the perfect friendship, the most intimate and personal, can only be found between two males. His theory separates friendship into three categories: utility, pleasure, and the perfect friendship. The impermanency within friendships of utility and pleasure devalues their importance in a person’s life. The perfect friendship was the ideal that everyone should strive to have in their lives. Aristotle’s treatise describes it as “friendship of men who are good, and alike in virtue” (3). This friendship requires men mirror the other both physically and mentally. It creates the patriarchal idea of unity within friendship, that a positive portrayal of friendship is to understand and sympathize with the other friend.

Aristotle’s philosophy of friendship is problematic for two reasons: it does not include females and is unrealistic. Aristotle’s image of friendship is rooted in ideologies of a patriarchal society and further excludes women from the literary canon. The reason women cannot be in a perfect friendship is that “women rule, because they are heiresses; so their rule is not in virtue of excellence but due to wealth and power, as in oligarchies” (Aristotle 10). Females were viewed as unvirtuous and unable to create equality, meaning they would never be able to maintain friendships. Furthermore, Aristotle idealizes friendship and proposes unrealistic expectations.

Friends cannot be mirror copies of each other because there are too many differentiating factors, such as, class, race, gender, etc. These factors are not easily overcome and take away from their respective individuality. Aristotle proposes friendship as a merger of selves, to promote the ideal virtues of society. His philosophy of friendship disregards the innate difference in human nature and perpetuates the understanding of females from a masculine perspective.

That is why it is more beneficial to view female friendship not in likeness but in difference. Epicurious’s philosophy of philoxenia embraces “difference, strangeness, and otherness” and sets a foundation of friendship that crosses barriers of class, race, gender, etc. (Schweitzer 343). This alternate philosophy does not disregard the intimacy in female friendships and does not limit the idea of the perfect friendship to mirror images. It provides a more realistic view of friendship in general. It acknowledges the way friendship changes along with the people in the relationship, as well. Furthermore, the inclusivity allows females to be examined in comparison to other females and not to their male counterparts. It dismantles the patriarchal foundation that has ruled over the perception of women in society. It allows for a more modern interpretation of friendship where friends are viewed as separate beings, while also existing within the relationship.

Another unrealistic result of Aristotle’s philosophy of friendship is the negative portrayal of difference. Traditionally, once differences emerge friends drift apart, misunderstand, or fight each other. The friendship can only be salvaged if the friends reestablish their mirror selves and discard their individuality. However, that proposes a harmful erasure of the self and crippling dependency. It is not difference that ruins a friendship; it is the inability to overcome the difference. Ferrante showcases a female friendship that drifts apart because of the inability to achieve the mirrored image but is still maintained after accepting the difference. The girls admire each other’s different traits and help empower the other by sharing their unique gifts.

Ferrante celebrates the intimacy within the acceptance of difference.

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Intimacy within Difference The Neapolitan Novels showcases a female friendship built upon difference. In order to understand why difference should be embraced, the purely negative perception of difference must be subverted. Julia Kristeva’s theory of abjection sees “the other” or difference, not as good or bad, but a simultaneous combination of both. She defines abjection as “a kind of narcissistic crisis: it is witness to the ephemeral aspect of the state called ‘narcissism’ with reproachful jealousy” (Kristeva 14). Kristeva’s theories usually allude to the death drive or maternal drive as the cause of abjection; however, for the girls, friendship is their drive. Friendship reveals the difference and tension, which evokes their “desire craving an other” that never becomes fulfilled, they then attempt to revert back to the original, but that can also never be regained; this abjection causes the girls to realize a “secondary repression” and build their own identity that blends their unfulfilled desire and own characteristics (Kristeva 14-5). As a result, through the lens of abjection the girls’ friendship subverts the purely negative portrayal of difference. This lens further emphasizes Ferrante’s realistic portrayal of friendship that builds spaces of intimacy and creates complex feelings of motivation and self-doubt. Combined with Epicurious’s notion of philoxenia, these theories break away from the patriarchal understanding of friendship and promote a collaborative understanding between different individuals.

My Brilliant Friend begins with the anger and jealousy of a sixty-six-year-old author, Elena Greco. She writes her life story to see “who wins this time,” after the disappearance of her childhood friend Lila Cerullo (Ferrante 23). Many scholars attempted to understand Elena’s “productive anger…taught to control its tone, to pace itself across more than 1,000 pages, to look back and assess its growth and development over nearly half a century” (Chihaya, et. al. 27). The anger Elena feels when Lila disappears is as elusive as understanding Lila herself.

Many scholars merge their identities because Elena and Lila’s life story cannot be told without the other. This harmful understanding of their friendship proposes an erasure of individualism between the females.

Scholars have varying interpretations of Elena’s purpose for writing the quartet.

Bakopoulos’s reasoning for the series is that Elena needs to “uncover the knowledge that will preserve her alliance to Lila, to, in short, keep both of them from falling, keep both of them alive” (419). She proposes that Elena is obsessed with Lila because she is trying to preserve herself since the boundaries between their lives are blurred. Other scholars, such as Alison Lee, take Lila’s disappearance as a “‘dissolving’ of a less powerful partner into the more powerful one through ‘the kind of love to which one loves the person who is what one would like to be oneself ’” (493).

She sees Lila’s disappearance as a total sacrifice of herself for the furtherance of Elena’s art, only to be used by her friend. Even though these theories propose different interpretations on the friendship between Elena and Lila, they both ultimately insinuate a merger of personalities.

Many other scholars continue this trend and constantly view their friendship as an inability to live without the other.

I want to propose an alternate reading that preserves the agency and individuality within each of the females. This section and the following sections explore how Elena and Lila develop their own identities, while using each other as support. Stiliana Milkova describes the “psychic and corporeal co-habitation” that supports the creation of their identities -- “Elena conjures up Lila and accommodates her inside her mind and words” (127). This system of support presents their individual identities as a collaboration. The girls are able to contribute to each other’s identities without taking away from themselves. In the early stages of their friendship, each girl takes turns guiding the other and using their different gifts to help each other. Their shared life story exposes the unnerving influence of the friend as a figure that guides and controls, creates motivation and self-doubt. The main differences, that will be examined, are their intellectual and physical differences that create shared spaces.

In elementary school, Elena considers herself one of the smartest students in the class

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because she “paid attention to the lessons, [she] carried out with the greatest diligence everything that [she] was told to carry out, [she] learned” (Ferrante 44). Elena makes sure to maintain her status as the best student; however, Lila disrupts that order. When Maestra Oliviero reveals Lila’s ability to read and write, Elena feels “some jealousy, like everyone else” (Ferrante 46). Elena desires Lila’s intellectual capabilities and attempts to mirror her.

As a result, Lila inspires Elena to continue her education but is also a constant reminder of the intellectual capabilities she lacks and vice versa. The intellectual difference between them produces jealousy and obsession. Elena possesses a traditional education, whereas Lila is a selftaught learner. Elena longs for the ability to have original ideas like Lila, that causes her to write The Blue Fairy. In return, Lila envies Elena’s family that encourages her to pursue higher education.

However, reality shatters the mirror and displays the impossibility of a merger. A fight between Lila and her father over her education, ends with him throwing “her like a thing” (Ferrante 82).

That is Lila’s last attempt at persuading her family to let her enter middle school. She is unable to follow Elena into higher education and must find alternative ways to express her creativity.

Lila is jealous of Elena because she could not attend traditional school and is confined to her family business.

On the other hand, Elena is jealous of Lila’s independent thought. She realizes her limitations when she reads Lila’s writing; she is constantly amazed at how “Lila [is] able to speak through writing” (Ferrante 226). Elena continuously tries to find her own voice but is constantly reminded of the influence of Lila on her life that teeters on controlling. She is left with the haunting fear “that Lila will somehow infiltrate her text and simultaneously hopeful that she might” (Bakopoulos 417). As a result, Elena lives with Lila’s simultaneous presence and absence.

This fear continues into middle school, Elena is uncomfortable receiving praise for her essay on the Aeneid because she notices how her ideas “[came] from Lila, even if [she] had developed it, with [her] own ability” (189). She cannot help but reproduce their conversations into her writing.

Elena’s reconstruction of Lila’s ideas causes her to doubt her own intelligence and grows jealous because she perceives Lila’s intelligence as superior to her own.

The females realize the difference in their intelligence and the difference that will continue to exist in their friendship. These differences cause the girls to fall back to their previous selves; however, it is impossible for them to go back to who they were before their desire. Instead, they experience a secondary repression. Their neighborhood does not support the creation of the females’ individual identities. The neighborhood is a space ruled by “patriarchal logic, physical violence, and pervasive fear. Ferrante describes Naples as a male-governed space where men ‘crush and torture’ women, where women feel the weight of the male city on their existence, ‘silent victims’ to it” (Milkova 149). Both girls want to escape the everyday violence they have experienced their entire lives. Elena describes her initial fascination for Lila as “if [she] kept up with her, at her pace, my mother’s limp…would stop threatening me. I decided that I had to model myself on that girl, never let her out of my sight, even if she got annoyed and chased me away” (Ferrante 46). This quote establishes Lila as a guide for Elena to overcome the neighborhood. Elena sees Lila as a disruptive force that can help her breakaway from the trauma of her family and the neighborhood and vice versa. This realization establishes friendship as a system of support against the patriarchal neighborhood. The friends then learn to create their own identities that blur their previous desires and the characteristics left-over from their previous selves. However, they do not enter this process alone, they lean on each other to help elevate themselves.

As a result, the friends enter a “creative rivalry-alliance [structured] through a complex repulsion-attraction verging on mutual torture. Neither of them, however, removes herself from this torture. In fact, it becomes a necessary mechanism for the success of their psychic co-habitation” (Milkova 128). Even though their friendship evokes jealousy and anger, those objectively negative emotions motivate them to improve their own identity. Ferrante subverts the feelings of intellectual insecurity and recognizes how female friends can move past those initial

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feelings of jealousy and anger.

Furthermore, the girls do not only elevate themselves, but simultaneously empower each other. Elena models “her entire professional identity, her oral and written language, on the language and logic of men even while elevating Lila to a role model and seeking to emulate her expressive style” (Milkova 129). Even though Elena is haunted by Lila’s presence, the feelings of jealousy blends with admiration. As a result, Elena and Lila enter into an intimate intellectual relationship, where only they can understand the simultaneous feeling of repulsion-attraction.

Subsequently, they learn to accept the different ways they have educated themselves and share their education with the other. They are the only ones in the neighborhood who see each other’s brilliance. Elena’s traditional education helps motivate both of the female characters and allows them to gain an education, which was unthinkable for women in their oppressive neighborhood. Elena falls into a depressive episode when she enters middle school. She no longer has Lila with her and does not feel as if she belongs. Elena starts to fail within her classes and sees how her classmates continued to surpass her. Lila notices and reaches out to Elena.

She said “[y]ou study for me, and if I have trouble you’ll help me” (Ferrante 112). At this stage in their life the girls share their education. Lila remotivates Elena to continue her schooling and teaches her how to teach herself. In return, Elena shows Lila what she is learning and the different source materials to read. They find intellectual fulfillment within each other and use what the other friend has taught them to further their own intelligence.

Furthermore, the reason the females share their intellectual capabilities with each other is because they recognize the brilliance that exists within each other. This intellectual exchange showcases how each female moves beyond their own jealousy and self-doubt because they are willing to respect and support the other in areas they lack. They recognize each other’s self-worth in a neighborhood that tries to suppress their intelligence.

Along with their intellectual divergence, the physical bodies of the girls begin to change. In adolescence, puberty morphs their physical appearances. Elena describes how she “was no longer pleased with [herself ], everything seemed tarnished. [She] looked in the mirror and didn’t see what [she] would have liked to see” (Ferrante 120). Contrastingly, Elena admires the bodily changes in Lila’s appearance. She notices that Lila is “changing, and not only physically but in the way she expresses herself ” (Ferrante 130). The bodily change within the respective females adds another element of disruption between them. Elena is uncomfortable with her body because it does not represent who she wants to be; instead she looks towards Lila and realizes what she lacks.

However, Ferrante does not simply let the bodily differences continue to disrupt their friendship. She subverts the negative bodily insecurities. Elena has an admiration for Lila’s confidence and manifests a psychic and corporal co-habitation within herself. When Elena exposes her breast to Gino and his classmate, she realizes she “created a place for [Lila] in [herself ]” (Ferrante 97). It is Lila that gives her the confidence to do such a bold act. Originally, Elena is frightened when Gino proposes an exchange of money for her body. She does not know how to act and uses Lila’s confidence to defend her bodily insecurities. This scene reveals how the difference between the two girls becomes shared. It is not an erasure or total exchange of Lila’s confidence for Elena’s confidence, but a shared moment of empowerment. Elena liberates herself from the sexual harassment and objectification constantly present within the neighborhood.

As a result, their bodily and intellectual differences are not inhibitors within their relationship. The differences Elena and Lila possess are reminders of the different ways they are oppressed and restricted within their patriarchal neighborhood. However, through the manifestation of a psychic and corporal co-habitation they motive the other to strive for more and not simply fall back into the traditional female role. This symbiotic female friendship causes intimacy to emerge from difference and creates a support system. They do not seek the acknowledgement from masculine figures or their family, but from each other. That is why they

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motivate each other to find their own independent identity outside and inside the neighborhood.

Elena’s Creation of Identity As a child and adolescent girl, Elena follows the pathway of traditional education because she wants to escape the neighborhood. When Elena and Lila travel outside the neighborhood towards the sea, they end up returning without ever reaching their destination. That is Elena’s first taste of the outside world and where she realizes that “despite the rain, [she] would have continued on the road, [she] felt far from everything and everyone, and distance—[she] discovered for the first time—extinguished in [her] every tie and every worry” (Ferrante 78-9).

Elena wants freedom from the violent, oppressive neighborhood. As a child, she notices Lila’s intellectual brilliance that separates her from the rest of the neighborhood. Elena’s jealousy and admiration motivates her towards a traditional education; it becomes her ticket outside of the neighborhood. However, to move beyond the neighborhood, Elena must separate herself from Lila. On her journey outside, even though there might be a physical separation, Lila will always be her partner that supports her ambitions. They may live separate lives and head down different paths, but through female friendship she is able to fulfill her intellectual desires and create her own identity separate from the neighborhood. Their friendship helps the girls create their own sense of self-worth and ensure they do not give in to the oppressive powers of the neighborhood.

When Elena enters middle school, she feels inferior to her other classmates. She is no longer one of the smartest in her class and watches her peers surpass her. Furthermore, she deals with the financial burden of her education. Elena laments the fact that “[t]here was no money to send [her] to private lessons during the summer. But above all it was now clear that [she] wasn’t clever: the young son of Don Achille had passed and [she] hadn’t: one had to be resigned” (Ferrante 104). Elena falls into a depressive state, but Lila motivates her out of it.

Lila teaches Elena how to teach herself. She is a self-taught learner and shares her ability with Elena. As a result, Lila gives Elena the ability to further herself. This co-habitation confirms the interpretation of Lila as the initial motivator, but it is Elena who is able to utilize Lila’s inspiration and reproduce it to further herself.

When Elena pulls from Lila as inspiration it is not an attempt to become Lila, but to create an identity with Lila as her muse. To see these instances as a merger takes away Elena’s power and agency. It furthers the patriarchal idea of never seeing the female as an individual.

That is why it is important to view the psychic and corporal co-habitations as a collaboration or a system of support. It emphasizes the different ways the girls constantly support, motivate, and challenge each other. Elena finds a sense of internal empowerment within education and develops a need to be intellectually stimulated because of Lila’s influence. After that first difficult year in middle school, she never again dreads school and even begins to develop her independent thoughts. Elena recounts her theology class to Lila and her need to “express [herself ], [her] head was bursting” (Ferrante 260). Elena develops a love for language, classics, and theology. She was able to utilize Lila’s support, create something of her own, and find her own genuine passion.

Furthermore, Elena notices that she “read only novels. Lila herself, in the time when she read, had never read anything but the dog-earned novels of the circulating library” (Ferrante 324). Elena’s education throughout the whole novel is influenced by the teachings of Lila, but once she meets Nino, she starts to realize that there are other ways to educate herself. She realizes she could learn from newspapers and magazines and further her education. Lila has equipped Elena with her foundation in education, but Elena has found her own drive by the end of the novel for continuing it. She looks forward to finding different ways to educate herself and wants to pursue a career in writing. She embarks on the journey of becoming an author and gains the ability to leave the neighborhood.

Furthermore, Elena is able to find pleasure within her own voice and not be haunted by the presence of Lila in her writing. In middle school and high school, Elena fears that she would never be able to express herself as freely as Lila does in her writing. However, Nino gives

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Elena an opportunity to publish an article and Elena goes to Lila for help. Elena asks Lila to edit her article and realizes “[o]n the page was exactly what I had written, but it was clearer, more immediate…her handwriting itself gave me the impression that I had escaped from myself and now was running a hundred paces ahead with an energy and also a harmony that the person left behind didn’t know she had” (Ferrante 301). This scene perfectly captures the collaborative nature of female friendship and the creation of self-empowerment. Elena breaks away from her previous insecurities. Instead, she initiates the creative exchange between her and Lila. She asks her for help in writing and furthering herself. In turn, Lila supports her, even though reading Elena’s writing hurts her (Ferrante 301). Lila is willing to be hurt because she knows the importance of the opportunity for Elena. That is why she selflessly crafts and guides Elena’s ideas to make them clearer. This friendship is filled with support, even though Lila does feel jealousy that she will never be able to write because she had to give up on that childhood dream. Lila is still willing to support Elena.

This ultimately shows the complexity of female friendship. There is still jealousy and insecurities, but those are put aside in order to help the other friend grow. Without a doubt, Lila helps Elena even if it reminds her of her failed dreams. Elena is one of the only people within the neighborhood who recognizes Lila’s brilliance, treats her with respect, and understands the extent of her knowledge. It is important to understand the difference of guidance and support compared to total exchange. Lila shares her knowledge with Elena, but that does not undermine her intelligence, even if she is not rewarded for it in the traditional sense. There is a balancing act of binaries throughout the novel, but that does not take away from the ways both females benefit throughout the novel. Both girls make sure to not progress too ahead of the other, when they can lend their strength, they make sure to return and uplift each other. They will be there to help when their friend reaches a low point and needs inspiration.

Lila’s Creation of Identity

Lila redefines her path within the neighborhood multiple times. She goes through periods of wanting to be an author, expanding the Cerullo family shoe business, and becoming a matriarch within the neighborhood. As a child, she becomes enamored with the book Little Women. Lila wants to become an author because “she discovere[s] that the author of Little Women had made so much money that she had given some of it to her family” (Ferrante 70-1). To the impoverished neighborhood, money is what matters most. Lila is aware of the power money has over people in the neighborhood and wants to find a way to be in possession of it. Don Achilles and the camorra act as a symbol of the corrupt patriarchal control within the neighborhood.

The power they wield regulates “children’s and parent’s behavior [where the neighborhood was a site] for scandals and aggressions, the stage where the fragility of the human body and the insignificance of human life are made visible” (Milkova 146). Lila’s desire to wield power is not because of a corrupt need for control, but a desire to transform the neighborhood that oppresses her, into one that uplifts her and the important people in her life. However, she soon realizes her dream of becoming an author and publishing a novel would be impossible. She is unable to continue her education because she lacks familial support. Her family wants her to go down a traditional feminine path; she should get married and help with the family business.

As a result, her family forces her to help around the house and further the family business. However, she does not simply help out in the family business, she tries to transform it and make it more successful. Lila “would start talking about the plans she was making with Rino, shoes, shoe factory, money” (Ferrante 120-1). Lila is a character with multiple restrictions around her, but she still tries to find a way to make her own life and other people’s lives better. She wants to support the people around her and the way she sees that would be the most plausible is through money. The creation of the shoe factory would give her family a way to rise beyond the confines of the neighborhood and give both her brother and father a way to be more successful.

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However, the shoe factory dream is never accepted by Lila’s father. He is against it because it breaks away from the tradition and power over his family he sets in place. When Rino presents the shoes to his father, he is met with sarcasm. Then as Rino starts “to turn his back his father kicked him violently in the rear, called him animal, idiot, and threw at him whatever came to hand, finally even the shoes” (Ferrante 181). Lila’s father does not accept the shoes because it symbolizes an attempt to drift away from the older generation and challenges the ever-present patriarchal control. Lila realizes in that moment she cannot transform the neighborhood or the traditional family dynamic. She is forced to give up on this dream and is coerced down the path of marriage.

She catches the eye of Marcello Solara and he starts courting her and coming over to her family home all the time. However, she never accepts him. She does not trust the Solara family and is not willing to accept his proposal of marriage, no matter how much her family urges her. That is when Stefano Carracci starts to court her. She then accepts his proposal of marriage because she sees Stefano as a better husband than Marcello. The reason is because Stefano can provide her with the same resources and power to become a matriarch within the neighborhood. Furthermore, the reason Lila chooses Stefano over Marcello is because he has similar goals of wanting to change the neighborhood. Like Lila, he wants to be different than the older generation. Lila asks him if he will end up like his father, and he expresses that he does not want to, but is unsure if he can drift away from the looming presence of Don Achilles (Ferrante 239). This like-mindedness wins Lila’s affection and begins her new path of changing the neighborhood as a matriarch. She is able to craft an identity for herself within the confines of the neighborhood.

After Lila’s engagement with Stefano, he invests within the Cerullo shoe factory, supplies Lila with monetary power, and gives her the ability to change the situation for different people within the neighborhood. Lila embraces the path pressed upon her and makes it her own. She decides to embark on a path, she thinks will benefit her the most. For example, when Elena’s glasses break Lila pays for the repairs and tells Elena that “there’s no need [to pay her back], I do what I like now with money” (Ferrante 259). This quote is significant because it showcases how Lila does not care for money because of greed, but because of its power. She wants to use money to support the people around her. Elena needs her glasses in order to study and Lila willingly pays for the needed repairs because she supports her education. Lila attempts to establish herself as a power within the neighborhood to transform it for the better.

With Elena, Lila attempts to make “a city of female friendship and solidarity but free in its thoughts and in its conflicts” (Milkova 151). Lila envisions herself at the center of the neighborhood, that replaces the patriarchal rule of Don Achilles. However, she cannot rise against the older generation alone. Elena supports Lila by utilizing her education to help generate respect from the older generation towards Lila’s sudden rise in power. When Lila must plan her wedding with Pinuccia and Maria, who are threatened by her presence, they constantly try to oppress Lila’s opinion. However, Elena utilizes the rhetoric she learns in school, to make sure Lila is able to have a pleasant time not being dragged around by her future in-laws. Lila then asks Elena to become a member of the wedding planning party. Lila needs Elena’s support because Elena is “good at making [herself ] liked. The difference between [Lila] and [Elena], always, has been that people are afraid of [Lila] and not of [Elena]” (Ferrante 294). Lila is seen as a force of disruption, whereas Elena has always felt the need to please the people around her. Even though, both females embark on paths divergent from the traditional female. Elena is able to hold the allusion of respecting the previous generation. She pursues an education beyond elementary school, which is unthinkable for a female, and creates a place for herself outside of the neighborhood. Elena holds a space outside the neighborhood, which decreases her constraints. Contrastingly, Lila is stuck inside the neighborhood and must maneuver her identity around the different constraints in the neighborhood. Lila attempts to change the

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patriarchal neighborhood “to reconfigure it from within; to change its dynamics…of power to a feminine city-labyrinth of women’s creative power” (Milkova 153). It may seem as if Lila is using Elena, but Lila is asking for Elena’s support her new vision and identity.

Ending

The two girls create their own individual paths outside and inside the neighborhood.

However, the first novel leaves its readers with a cliff hanger. The ending disillusions reality, Elena’s article is not published, and Lila realizes Stefano is not the man she thought she was marrying. My Brilliant Friend implodes on itself. Both the female friends are left in a state of defeat, which shows how the individual identities each girl creates are once again suppressed by the power of the older generation within the neighborhood. However, that does not destroy the system of support created. The progress should not be disregarded even though the novel ends in their ultimate failure. The traces of female friendship are still embedded within the narrative and the neighborhood.

Like the girls’ friendship, it is important to subvert the understanding of the neighborhood. The ending is not simply the loss of the girls against the neighborhood, but it also emphasizes the synonymous relation between the neighborhood and the girls’ friendship for the readers. At the age of sixty-six Elena writes the story from her perspective and consequently reconstructs the neighborhood and her past. The neighborhood is the home of Elena’s invisible baggage; however, it is where she gained the strength to become who she is now and meet the most important person in her life, Lila. Likewise, Elena’s story maps the way Lila tries to find her own freedom within the neighborhood and her biggest supporter, Elena. It is true, the life story of the girls would not be possible without each other and likewise the story of the neighborhood would not exist without their female friendship. This subversion marks the way the neighborhood is no longer defined solely by the patriarchal control, but also by their female friendship.

Furthermore, that is not to say that either friend is not a complete person without the other. Lila and Elena find their own sense of identity and are not held back by the other.

Rather, this narrative celebrates the major impact they have made on each other’s lives. Their friendship creates a system of support to help them overcome their oppressive society. It is also their friendship that gives the girls agency and a way to find their individuality. The girls were able to lean on each other, to help further themselves, by creating spaces of co-habitation and subvert the masculine expectations placed on them.

In conclusion, the female friendship between Elena and Lila travels beyond what many scholars consider a merger of selves or an obsession. To better understand the complexity of females, we must not look at difference and tension from a purely negative view. The patriarchal foundations of the philosophy of friendship perpetuate the view of this friendship as a harmful erasure of the self. Instead, female friendship should be viewed as a blend of good and bad. This allows for a realistic portrayal of friendship simultaneously rooted in jealousy and self-doubt, but also admiration and empowerment. It reveals the important complexity of female friendship, that should be examined alongside other masculine friendships and the reason we should work to reincorporate females into the literary canon.

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Works Cited Aristotle. Nicomachean Ethics Book VIII, translated by W. D. Ross, 2009, pp. 1-14, http:// classics.mit.edu/Aristotle/nicomachaen.8.viii.html.

Bakopoulos, Natalie. “WE ARE ALWAYS US: THE BOUNDARIES OF ELENA FERRANTE.” Michigan Quarterly Review, vol. 55, no. 3, 2016, pp. 396-419,298. ProQuest, https:// www.proquest.com/scholarly-journals/we-are-always-us-boundaries-elena-ferrante/ docview/1822363931/se-2?accountid=10100.

Chihaya, Sarah, et al. “My Brilliant Friend.” The Ferrante Letters: An Experiment in Collective Criticism, Columbia University Press, 2020, pp. 17-47.

Ghezzo, Flora, and Sara Teardo. “On Lila’s Traces: Bildung, Narration, and Ethics in Elena Ferrante’s L’amica Geniale.” MLN, vol. 134, no. 1, Jan. 2019, pp. 172–192. EBSCOhost, doi:10.1353/mln.2019.0009.

Gilbert, Sandra and Susan Gubar. “The Madwoman in the Attic.” Literary Theory: An Anthology, edited by Julie Rivkin and Michael Ryan, Blackwell Publishing, 2004, pp. 596-611.

Ferrante, Elena. My Brilliant Friend, translated by Ann Goldstein, Europa Editions, 2012.

Kristeva, Julia. “Approaching Abjection.” Powers of Horror: An Essay on Abjection, Olumbia University Press, 1941, pp. 1-31.

Lee, Alison. “Feminine Identity and Female Friendships in the ‘Neapolitan’ Novels of Elena Ferrante.” British Journal of Psychotherapy, vol. 32, no. 4, Nov. 2016, pp. 491–501.

EBSCOhost, doi:10.1111/bjp.12232.

Milkova, Stiliana. Elena Ferrante as World Literature, Bloomsbury Publishing, 2021.

Sawicki, Jana. “Foucault and Feminism: Toward a Politics of Difference.” Hypatia, vol. 1, no.

2, 1986, pp. 23–36. JSTOR, www.jstor.org/stable/3809894.

Schweitzer, Ivy. “Making Equals: Classical Philia and Women’s Friendship.” Feminist Studies, vol. 42, no. 2, 2016, pp. 337–364. JSTOR, www.jstor.org/stable/10.15767/ feministstudies.42.2.0337.

About the Author Zenith Nguon is a member of the class of 2022. She is a double major in English and Business Marketing. Zenith is an active member on campus and is a part of several organizations: a member of the Marching Captains, an officer for Kappa Kappa Psi, and an officer for the American Marketing Association on campus. She was a Summer Scholar and received the Independent Research Grant. Since then, she has presented her research at Paideia and participated as a panelist for the Network for Undergraduate Research in Virginia (NURVa). When she graduates, Zenith hopes to pursue a master’s degree in English Literature.

“Print and Practice: 19th Century Ukiyo-e Prints and Their Influence on Japanese Tattoo” Jonah Peters Faculty Sponsor: Dr. Margaret Richardson, Department of Fine Art and Art History

Abstract Throughout Japanese art, one of the most recognizable motifs is the Japanese warrior. Japanese warrior prints shared the narratives of the historic feats accomplished by individuals often identified as vigilante outlaws. Many of these prints took inspiration from existing texts but made the tales within the literature more accessible to a general audience.

The tattoos depicted in the 1827 Suikoden collection, a series of warrior prints released with a collection of classic literature, indicate that tattoo styles used in real life inspired the tattoos seen in Ukiyo-e prints first, rather than the other way around. A cycle of influence existing between fine art and body art had existed before and continued after this period, but this segment of rapid evolution was sparked by changes seen in prints, which would then go on to change body modification practices.

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Set among picturesque landscapes and dynamic scenes, the Japanese warrior is perhaps one of the most recognizable motifs to come out of Edo era art. 19th century Japanese warrior prints, or Musha-e, shared the narratives of the historic noble deeds and mythological feats accomplished by individuals often identified as righteous “vigilante outlaws”. Many of these prints took inspiration from existing texts that recorded the stories of these warriors, making the tales within the literature more accessible to a general audience. One of the themes that saw rapid growth throughout the beginning of the 19th century was the inclusion of large, colorful tattoos on the figures in hero and warrior prints, mostly due to its public appeal.

The tattoos in these prints helped to popularize a distinct art style, which was readily adopted into real life tattooing, and has remained popular since. In 1827, a series of warrior prints featuring heavily tattooed hero figures were released alongside stories from a book called the Suikoden, which told the tales of 108 virtuous heroes who operated outside of an oppressive government system.1 The release and rise in popularity of these prints aligns chronologically with the acceleration of tattoo and style development in Japan, indicating that it was a major influence in these changes. The inclusion of tattoos in prints began to change the practice and techniques as a whole, an impact that would cross over into the actual tattoo community and cause changes within the practice of body art.2 These changes created an evolutionary cycle between prints and tattoos; as new techniques were established in printmaking, similar changes were eventually reflected in real-life tattoos. As body art became more openly tied to Japanese culture, the development of the well-known Japanese tattoo style took a great deal of artistic inspiration from Musha-e prints featuring heavily tattooed warriors.

The Edo period in Japan was an era defined by feudal military leadership and strict social order, as well as the growth of the arts and general stability of the state.3 The stability of the age meant that people had the means to support and enjoy the arts more so than ever before, but the push for adherence to social standards saw the suppression of certain art forms, despite the era’s overall artistic growth.4 Though there were many arts that were supported by the public and the government, certain forms with less desirable associations were pushed into mostly underground communities. Arts that were associated with lower class jobs or individuals, such as courtesans working in Edo pleasure districts, were often under heavy scrutiny during the period and were not commonly displayed by those wishing to keep a more respectable reputation.5 Ukiyo-e prints were an accessible and inexpensive way for people to partake in the Edo era philosophy of enjoying art and culture, but some topics covered in prints were less accepted than others.6 Tattoos and certain styles of Ukiyo-e prints were controversial art forms due to their association and reputation within the Edo era. Tattoo in Japan, commonly referred to as Irezumi, was often associated with criminal activity and was seen as an indication that an individual had a controversial past.7 Some prints would feature topics that were not commonly covered in traditional forms of art, most notably taboo topics such as sexuality and criminality.

One type of Ukiyo-e print that saw its development during the Edo period was the Musha-e print, or images depicting specifically the stories of warriors and heroes. The warrior print saw significant development near the end of the Edo era, alongside changing attitudes about the Donald McCallum, “Historical and Cultural Dimensions of the Tattoo in Japan,” Marks of Civilization, (1988): 157.

2 Juniper Ellis, Tattooing the World: Pacific Designs in Print & Skin (New York: Columbia

University Press, 2008), 7.

3 Christine Guth, Japanese Art of the Edo Period (London: Weidenfeld & Nicolson, 1995), 3.

4 Inge Klompmakers, Of Brigands and Bravery: Kuniyoshi’s Heroes of the Suikoden (Leiden:

Hotei Publishing, 1998), 33.

5 Stephen Mansfield, “The Indelible Art of the Tattoo,” Japan Quarterly, (1999): 32.

6 Ibid., 34.

7 Klompmakers, Of Brigands and Bravery, 35.

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government and criminality in general and has since become one of the most well-known styles of Ukiyo-e print.8 In modern Japanese tattoo, ideas and forms that are recognizable today have been shaped by centuries of aesthetic development and controversy around the topic of body modification.

From efforts to eradicate the practice completely to edicts suppressing the practice and art it was inspired by, the survival of tattoo has faced a series of hurdles that changed the way that the trade is practiced and viewed. Used as a form of social punishment by the governing bodies in Japan, tattoo morphed into a method of rebellion against those elite groups and eventually returned to an art centered around self-expression. In the 5th century, tattoos were used as a method to mark criminals permanently and was a regular practice for around 200 years.9 This method of punitive marking was brought back into use around 1700, about 100 years before the escalation in popularity of Irezumi tattoo.10 As the practice came back into use, so did methods of body modification designed to hide them, and the trade was reappropriated by a mostly underground scene of artists and individuals who used large, colorful tattoos to disguise their punitive tattoos. People who walked around with these marks would often be outcast from areas of society and refused services they would otherwise have access to, so among communities of those marked with punitive tattoos, there was often an attitude of embracing the situation.11 They were already permanently marked and larger tattoos were already developing an association to criminality, so more often than not people would get the larger tattoos to at least make the marks more aesthetically pleasing. Larger, decorative tattoos would cover the small punitive marks, inextricably linking the style of large, detailed tattoo to the idea that the individual was trying to hide a mark of criminal significance.12 In earlier periods of Japanese history, the title of “Hero” would usually refer to “upright” elites of the military shogunate rule or the later samurai who were defenders during periods of war.13 As the Edo period progressed and an era of relative peace settled in, these military power figures had less to do, so they took to policing and harassing members of the common classes.14 There were members of the general population who resisted these unnecessary measures and fought against them for the sake of the lower-class communities. Known as the Otokodate, these people were members of the lower classes who fought back against the gratuitous policing from the higher-class authority figures in their communities.15 These actions associated them with nobility and chivalry in the minds of the people they served; they were easy to relate to and their causes were understandable, so they eventually came to be seen as the more morally responsible authority figures than the “heroes” of the previous eras. This motif of the noble streetknight from the lower classes who was a defender of the people became popular in storytelling and literature from this point onwards and eventually became a source of inspiration for art of characters from legendary and mythological tales.16 The stories of vigilante heroes from popular literature in the era would have included blatant references to criminality and vigilantism, as the characters from these stories were often Carrie E. Reed, “Tattoo in Early China,” Journal of the American Oriental Society, (2000): 365.

9 Steve Gilbert, Tattoo History: A Source Book: An Anthology of Historical Records of Tattooing

Throughout the World (New York: Juno Books, 2000), 27.

10 Ibid., 28.

11 McCallum, “Historical and Cultural Dimension,” 161.

12 Willem R. van Gulik, Irezumi: the pattern of dermatography in Japan (Leiden: E.J. Brill,

1982), 41.

13 Klompmakers, Of Brigands and Bravery, 39.

14 Guth, Japanese Art of the Edo Period, 15.

15 Klompmakers, Of Brigands and Bravery, 36.

16 Lawrence Bickford, “Ukiyo-e Print History,” Impressions, (1993): unpaginated.

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referenced to have come from morally questionable backgrounds. Incorporated as part of the lore from these stories, some of these men were described as having the punitive markings associated with a criminal past, though it was not always clear to what extent these markings were present.17 They may have been the small original marks ordered by government officials as a form of punishment, or perhaps the heroes had subsequently received larger decorative tattoos to cover the original markings.

Some of the first illustrations of these heroes of the Suikoden sometimes included small punitive tattoos, but if a reference to criminal markings was to be made, heroes were more often shown either wearing bandages and other accessories that would cover the marks, or they were shown as having large tattoos.18 Because of the rising popularity of the Otokodate, the depictions of the characters in the stories circulated among the lower classes increasingly included and acknowledged tattoos, and they appeared in the Musha-e prints that would be published alongside stories in print books. Tattoos even began to appear in illustrations of characters with no clear references to having any sort of punitive or decorative body modification.19 The most likely reason for this inclusion, despite tattoos still having a negative association, was that it was an effort to make stories about heroes from the shogunate and samurai eras more relatable and relevant. The inclusion of body modification in depictions of these characters would have connected them to the Otokodate and made them more likeable, keeping their stories relevant.

Another reason these details may have been included is simply artistic interpretation. If artists making the prints chose to interpret the literature as stories of Edo Period street-knights, then it would make sense to include references to tattoo to imply that association in their artwork as well.

The tattoos in many of these early prints were clearly present and fairly large, expanding across large areas of many figure’s bodies, but they were not particularly colorful or detailed.20 Many of these markings were executed in prints using blue or black ink, referencing the dark ink that was used in real life tattoo, and were composed of nature and mythological themes.21 Unfortunately, in the discussion of tattoo from the 19th century, a lack of primary sources showing what trends in tattoo were actually practiced limits the discussion that can be had surrounding the topic. However, tattoo in Ukiyo-e prints encompassed more than just warrior prints. There are a number of prints that document the process of tattooing or everyday people who had some amount of body modification, which serves as the most trustworthy source of the real-life application of tattoo during the period.22 The history and development of practiced tattoo in Japanese culture is unquestionably linked to Ukiyo-e prints. The styles of tattoo seen in both print and real-life figures echo each other with similar styles and motifs that are shown to have developed throughout the early part of the 19th century.23 These forms of art are also tied to an association with the lower classes.

Ukiyo-e prints were produced readily for wider distribution than many other works of art from the period, making them more accessible to those from lower classes with less disposable income, while tattoos are linked to a history of criminality and punishment in Japan.24 They existed within the same groups and spaces during the same time period, which provides some explanation into the closeness seen in their development. However, when comparing warrior prints to works displaying evidence of real tattoos released around the same time, there seems Guth, Japanese Art of the Edo Period, 31.

Bickford, “Ukiyo-e Print History,” unpaginated.

19 Ellis, Tattooing the World, 18.

20 Margo DeMello, Encyclopedia of Body Adornment (Westport: Greenwood Press, 2007), 64.

21 Ibid., 66.

22 Klompmakers, Of Brigands and Bravery, 34.

23 Gulik, Irezumi, 35.

24 Brian Brake, James McNeish, and D. R. Simmons, Art of the Pacific (New York: H.N.

Abrams, 1980), 72.

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to be a trend that accompanies the generation of new themes in both art forms. Overall, as changes occurred in warrior prints and eventually real-life tattoos, Ukiyo-e prints that reflected tattoo trends from everyday life seemed to follow these trends after a short amount of time.

With tattoo in Japan beginning as small marks of punitive significance and evolving into what it is today, the question that must then be asked is “What might have sparked this seemingly sudden jump in popularity, and why did it occur when it did?” With the connections between them, it is also important to address which of the two art forms, prints or body modification, inspired change in the other form first, in the context of the development of tattoos from small, restrained marks to the flamboyant pieces being discussed. The tattoos depicted in the 1827 Suikoden collection, compared to evidence of real-life tattoos and themes seen in other Ukiyo-e print work created surrounding the collection’s publication, indicate that intricate styles of warrior prints inspired the styles that would eventually be adapted into body art, rather than the other way around. A cycle of inspiration between fine art and body art would drive the development of both practices over time, but the highly detailed style of Ukiyo-e print associated with the Edo period was the major inspiration for the styles of tattoo that became and remained popular in Japan.

Large, detailed tattoo pieces, or irezumi, that covered substantial areas of the body have been arguably the most iconic and recognizable method of body modification to come out of Japan. Throughout the centuries since their initial escalation in popularity, the style has been featured in depictions of warriors from historic and mythological tales and have been used in real life to reference the events and themes from these stories.25 Warrior prints have featured Irezumi tattoo and vice versa for decades, both art forms reflecting and inspiring each other since the last few decades of the Edo period.26 However, despite the wide regard for Ukiyo-e and Musha-e tattoo motifs, the path that led to the creation of their iconic style is unusually ambiguous.

Looking at Edo era Musha-e prints, the most noticeable period of style development can be seen surrounding the release of the Kuniyoshi Suikoden. As noted earlier, the book tells stories from classic Chinese literature about outlaw heroes who served as protectors against foreign invaders and corrupt systems.27 This publication included one of the most famous collections of warrior prints, the Ukiyo-e Suikoden warrior prints created by Utagawa Kuniyoshi.28 The prints are full color action scenes inspired by the stories within the book, and they incorporated the high level of detail and color that had become popular within the Ukiyo-e print style leading up to the 19th century. However, the Kuniyoshi print publication of the Suikoden incorporated a detail that had not been included in previous editions of the literature: his depictions of the heroes of the Suikoden were heavily tattooed. The men in the illustrations Kuniyoshi produced to accompany the book had the usual detail and dynamic action from previous artistic interpretations of the stories, but his heroes were covered in large colorful tattoos, spanning their entire backs, arms, and legs in most cases. While not unheard of before, the inclusion of this detail in such a popular piece of media put the idea in front of people on a wider platform.29 The types of tattoos seen in Kuniyoshi’s prints are not unfamiliar to a modern viewer, as many of the stylistic elements and motifs seen within the works increased in popularity following the book’s publication and have stayed relevant in the Japanese tattoo scene since. The men featured in the literary work were idealized examples of virtue and heroism, who protected their communities from threats Gilbert, Tattoo History, 55.

Guth, Japanese Art of the Edo Period, 18.

27 Reed, “Tattoo in Early China,” 368.

28 Klompmakers, Of Brigands and Bravery, 15.

29 Ronin Gallery, Taboo: Ukiyo-e and the Japanese Tattoo (New York: The Ronin Gallery,

2015), 8, https://www.roningallery.com/blog/taboo-Ukiyo-e-and-the-Japanese tattoo-ebook-2 25 26

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that stemmed from both outside forces and their own corrupt government.30 These stories of morality and chivalry resonated with the people who lived under the dictatorial military government in power during the Edo period.

In the discussion of the role that tattoos serve in Japanese culture, especially those referencing prints in their design, Stephen Mansfield refers to them as “symbols of the working class” and talks about their function as memorial pieces.31 He discusses how tattoos were used as a form of ostracization, to remind the indicted and members of the public of the crimes for which the individual had been accused.32 However, body art eventually morphed into a way to immortalize stories and events that an individual wanted to live up to, rather than to serve as a reminder of events from their past.33 Punitive tattoos were changed into large decorative pieces, changing the permanent reminder of morals from a shameful mark to an inspiring reminder of personal principles.

There are many theories on what caused the shift in meaning of tattoos and the resulting style developments, but most revolve around Ukiyo-e prints from the Edo period.

Tattoo and print were adopted and expanded by the same communities at the same time, and their parallel growth during this era prompts discussion of their impact on one another. In Inge Klompmakers’ writing she states that the two art forms were so closely related because of their similar accessibility to lower classes and their rejection as legitimately recognized art forms.34 She talks about how tattooing faced harsher public treatment, such as social outcasting, when compared to prints.35 This treatment was mostly based in tattoos’ connection to criminality, and the comparatively lenient treatment of Ukiyo-e led to prints taking a leap forward in development. Though neither art form was ever completely erased, the more severe restrictions placed on body art gave printmakers a chance to get ahead and make advancements in their craft. Klompmakers discusses the impacts that this brief gap had in the previously linear development of the two art forms, as well as how the lag between the two began to cause tattoo to take inspiration from Ukiyo-e prints.36 There are many perspectives on how these two art forms influenced each other, such as Madison Folk’s statement that the attempts to restrict these art forms created more of a market, and that tattoo was the first to break out of its limiting measures.37 There were edicts passed that attempted to control what types of art could be produced and how, but the specificity and number of statements passed rendered them effectively useless.38 Folks states that, once people realized this, there was less hesitance to hide these works, and that much of their reemergence began with tattoos.39 Since tattoo is body art, it was more difficult to hide in day-to-day life, so it was one of the first restricted art forms to begin to make a reappearance.40 With individuals such as firefighters and other laborers showing off their work, prints aiming to capture everyday life would have been influenced by the underground developments made in the realm of body art.

Before the release of the Kuniyoshi collection, warrior prints featuring tattoos were fairly common, and body art within these works featured a similar placement and size of tattoo when Klompmakers, Of Brigands and Bravery, 18.

Mansfield, “The Indelible Art of the Tattoo,” 31.

32 Ibid., 33.

33 Ibid.

34 Klompmakers, Of Brigands and Bravery, 13.

30 31

35

Ibid., 22.

Ibid.,13.

37 Ronin Gallery, Taboo, 9.

38 Ronin Gallery, Taboo, 8.

39 Ibid., 11.

40 Ibid.,9.

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compared to the later Suikoden prints.41 The difference in the Kuniyoshi prints is the extensive amount of detail incorporated into his works. When body modification is incorporated, the figures in his warrior prints are almost entirely covered in tattooed designs, densely packed details that almost blend into the high detail and color in the background and setting of the prints.

Before body art was included in these works, highly detailed fabrics and other textures were common inclusions in prints from the Edo period. Whether it was to allow artists to show off their skill with detail work or to let a more personal style develop within the medium, these elements were small details that took a certain level of mastery of the trade to accomplish.

People in these prints were regularly dressed in or surrounded by elaborate fabrics, covering and distracting from the empty areas that would have been taken up by bare skin. Everything from supernatural creatures to elements of nature within Ukiyo-e style included a high level of detail, so it makes sense that this technique would have transferred to tattoos within the style eventually. The inclusion of body art allowed artists to take their human figures, sections of the artwork that ordinarily would have taken up a decent amount of blank space and turn them into a densely decorated space in the middle of the composition. They would be able to fill that space with more detail, and eventually more color, in order to display their skill further within their works.

Even the way that figures were displayed within Ukiyo-e prints changed slightly to accommodate for the popular new motif. Many prints featuring heroes from the Suikoden have their bodies depicted at odd angles so that their backs, shoulders, and arms, densely covered with detailed tattoos, are on full display to the viewer. Previous to this development, the perspective in earlier prints were sometimes skewed for details sake, but it seems to be more consistent and purposeful in prints featuring body art, and particularly Musha-e works.

In the investigation of how Ukiyo-e prints and body art have influenced each other, an in-depth analysis into some of these works and their elements provides context into how their formal elements relate to one another. Kuniyoshi’s print featuring Kaosho Rochishin (Fig. 1), published in the 1827 Suikoden, is a work that in particular stands out among the rest in the collection.42 It is a full color Ukiyo-e warrior print in portrait orientation, a dramatic composition of a warrior figure cutting down a tree with a large sword. The print is made up of copious detail, the style commonly associated with Kuniyoshi’s work, with thick lines outlining major elements of the work and thinner lines creating the finer details. The absence of shading creates a visual chaos that makes some parts of the image difficult to interpret, but the bright block coloring of the figures provides some definition to elements of the piece. The colors are also realistic, mostly matching what would have been observed in real life, with some small sections of highlight added to create depth within the image. The coloring is done in relatively large areas, meant to fill space, rather than create more detail against the already intricate linework. The skin of the figure is colored tan, a comparatively dark choice when looking at other figures in this collection, whose skin was typically colored very minimally, if at all.43 Kuniyoshi’s intricate linework creates the shapes of the image in dramatic swirling outlines, such as the tree splitting in a way that is almost reminiscent of splashing water, or his exaggeratedly defined and muscular illustration of Rochishin set against a background filled with details of his natural surroundings.

The figure is contained to the top left section of the print, his muscular figure taught with the effort of cutting a pine tree in half. His expression is one of high emotion, likely frustration or exertion at the action of splitting a tree with his sword. The tree itself is planted in the lower left section of the print and grows up and towards the right at a diagonal across the middle of the piece, with the center of the work being the point of impact between Rochishin’s sword and the tree. We see his feet planted firmly as he swings downwards and the tree in front of DeMello, Encyclopedia of Body Adornment, 56.

DeMello, Encyclopedia of Body Adornment, 52.

43 DeMello, Encyclopedia of Body Adornment, 53.

41 42

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him splinters into pieces. The pieces of wood shatter and disperse throughout his surroundings, shocks of red color against the solid blue and green of the sky and grass around it. What would have been empty space in the lower part of the piece is filled with detailed grass and tree roots, while the area in the sky above the figures is filled with clouds, leaves and foliage detail from other plants, and the adornments from Rochishin’s clothes swinging out behind him from the force of his action. Along the top and right side of the piece is writing, describing the scene of the story that this work is from and listing the numerous names that are used to refer to Rochishin in the story.44 The detail that stands out from much of the rest of this print is the tattoos that decorate the upper arms and back of the figure. The tattoos, blue outlines that decorate the figures upper body, stand out from the black lines that make up the rest of Kuniyoshi’s linework. This work is the only one within the 1827 Suikoden collection where the tattoos are depicted in this fashion, rather than the black outline and colored tattoos featured in the other works that show body modification.45 Scholars have presented several ideas on why this work is different from others, with the most common being that this work was created earlier than other pieces in the collection.46 This idea, presented by Inge Klompmakers in her discussions of Kuniyoshi’s work, is supported by other formal elements of the piece, such as the intense facial expression and the style choices made in the coloring.47 The linework is very similar to later works by Kuniyoshi, dense and detailed, but the features stated previously were not carried through the rest of his work.

Many of Kuniyoshi’s heroes of the Suikoden are shown in similarly exciting and dynamic poses but display surprisingly neutral expressions when compared to their actions and surroundings. Many of the other works in this collection use a different method of color application compared to Rochishin’s print. Other pieces do not bother to color the skin of the figure, instead only applying a small amount of tan color along the linework, essentially creating a secondary outline that implies that the skin is colored. The color detail of other pieces is also much more intricate and seems more carefully considered in their design. The Rochishin print mostly uses color in large blocks, and the filling of the smaller details is not particularly clean, with noticeable misalignment and bleed between the color and the outline. Other works in the collection display finer skill in small details, especially in the realm of applying and overlaying color.

In his prints of heroes who appear in the later stories of the Suikoden, Kuniyoshi’s application of color is distinctly cleaner and used more boldly, filling in smaller and more intricate areas, with areas of light and dark colors neighboring each other with no noticeable bleed.

These elements are just some of the differences between these prints that imply that there was a gap between the dates of their creation. The importance of determining the period between when these works were made is to support the argument that there was enough time for artistic growth from the creation of one work to the other. Though the dates given for all the works from the 1827 Suikoden collection are the same, they align with the collection’s publication, and not the work’s actual date of creation.48 Kuniyoshi was one of the most well-known artists that used such a high level of detail in his work, but he was not the only artist that worked in this style. Other members of the Utagawa school that Kuniyoshi had attended to learn his skills were competing for many of the same jobs, and a period of low work and high competition spurred the rapid development of Musha-e styles.49 Artists wanted to develop more impressive skills in order to get the jobs that were so sought after, so seeing drastic differences in Ukiyo-e artists’ work in the early 1800s is a reasonable development to have occurred.

Klompmakers, Of Brigands and Bravery, 52.

Ibid.

46 Ronin Gallery, Taboo, 8.

47 Klompmakers, Of Brigands and Bravery, 13.

48 Klompmakers, Of Brigands and Bravery, 11.

49 Bickford, “Ukiyo-e Print History,” unpaginated.

44 45

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The inclusion of tattoo in print drew upon both the popularization of the Otokodate as the “people’s heroes” as well as the development of grander print styles as a reason to begin to include tattoo as a consistent element of Musha-e prints.50 Within a few decades of the wood block print style incorporating tattoo regularly, the development from these simple details to larger brightly colored works happened fairly quickly. The publication of the Utagawa Kuniyoshi version of the Suikoden, in the late 1820s, is the most notable release of a Musha-e prints featuring heavily tattooed characters, particularly the heroes. The Kuniyoshi version of the Suikoden is generally accepted to have been a major contributing factor in the changes seen in Ukiyo-e prints, majorly based in its bold differences from other interpretations.51 The heroes within this story had been depicted previously as part of previous editions, but Kuniyoshi’s publication was the first version where the heroes wore intensive body art so blatantly. The ties between criminality and tattoo created a clear connection and acknowledgement of the background of many of the men in these stories, some coming from the samurai class while others were reformed or misunderstood and honorable criminals.52 The clear visual recognition of these figures as being tied to the lower classes resonated with individuals who were reading the Japanese version of the Suikoden and purchasing readily produced Ukiyo-e prints.

One of the points that best supports the idea of these prints being the inspiration for the practiced tattoo style is the timeline of tattoo in Ukiyo-e prints surrounding the Kuniyoshi Suikoden. Before the book’s release, tattoos in prints were not a rare occurrence in lower class communities.53 They were referenced both directly and indirectly in literature and art, with works as early as the mid-1700s that documented the culture and practice of modern Japanese tattooing (Fig. 2). There were works that documented the tattoo process, but they more often than not depicted the application of punitive marks or small tattoos and did not record the larger scale work that was done to cover these pieces.54 Despite this, there was evidence for early Irezumi in works created outside of literature and Musha-e that showed what large decorative cover up tattoos looked like.

When the Kuniyoshi Suikoden was released, evidence for the beginning of rapid change in the depiction of tattoo became apparent. Though not an immediate change, the incorporation of tattoos into prints began to be used as a way for artists to show off their skills in printmaking, rather than serving as a way to record actual events and practices. The more detail that an artist could display to a consumer, the more their work would stand out from other work. Artists seemed to expand past realism for the sake of adding in more detail and color, creating a work that displayed an exaggerated and almost unnecessary amount of coverage.

Kuniyoshi was famous for this style, which gained traction through its publication alongside the already famous Suikoden book, so it had the opportunity for widespread distribution that would have reached a variety of artists among the lower classes that consumed the work.55 The style in these prints continued to gain popularity with the book’s distribution, so it was only a matter of time until the style of tattoo seen in Kuniyoshi’s warrior prints was translated back into real life body modification practices. The practical application of Kuniyoshi’s style was seen among those who would have already been involved with or close to tattoo culture, as they are the population that the stories and depictions of these outlaw heroes were resonating with.

Prints before the 1827 Suikoden featured figures with tattoos, but they looked noticeably different from the styles of tattoo that Japan is known for today. Mostly composed of lines and lacking complex details or colors, as seen in Kuniyoshi’s Rochishin print, early body Klompmakers, Of Brigands and Bravery, 19.

Guth, Japanese Art of the Edo Period, 32.

52 Gilbert, Tattoo History, 22.

53 Brake, McNiesh, and Simmons, Art of the Pacific, 74.

54 Bickford, “Ukiyo-e Print History,” unpaginated.

55 Gulik, Irezumi, 23.

50 51

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art in Musha-e works seemed to be reflective of their purpose in disguising smaller punitive markings. As simple styles of tattoo began to be incorporated into artist’s work as an opportunity to fill space, it became increasingly exaggerated, with the printmakers adding in more lines and colors to display their skill and create works that would stand out to people looking to hire them for projects or buy their prints over other artists’ work. With the limited market for jobs and purchases creating competition within the trade, the development of newer and more detailed styles continued at a rapid pace.56 The now established connection between prints and tattoos, a result of the popularized Otokodate and distribution of Ukiyo-e prints among the lower classes, meant that tattoo artists began to adapt those styles into their designs.

These developments can be seen clearly in the evolution of Kuniyoshi’s work and the art that it inspired. Returning to the Rochishin print as an early example of tattoo in his work, there are clear visual differences between this work and his later prints. For example, Kuniyoshi’s Suikoden print of Saienshi Chosei (Fig. 3) shows the development of style in his work within the same collection. The Chosei print depicts the warrior on guard, standing at the top of a cliff or hill and looking down.57 Though his face is almost fully visible from a front facing view, the perspective is shifted as to display his entire back and the fabric he is wearing around his waist. Chosei’s back tattoo and fabric adornments are heavily decorated with intricate linework and carefully applied color to provide both clean and fine details to the print. Compared to the Rochishin print, the lines in the Chosei piece are more delicate and the color is much cleaner in its application. The faces and bodies of the two figures also show significant differences, with the expression and facial features of the Chosei print more closely reflecting what was commonly seen in popular Ukiyo-e prints from the time. The skin in the Chosei work being mostly uncolored also effectively placed more emphasis on the figure’s tattoo, centering it as the focus of the piece. The changes in composition, attention to detail, and general style show the artist’s development, likely caused by tattoos becoming a staple element of Musha-e prints at the beginning of the 1800s.58 The emphasis on body art made stories appealing and relatable to a wider range of audiences, so including these elements in a work would help to show off an artist’s skill among other printmakers.

When comparing Kuniyoshi’s prints and other Musha-e work to real life tattoos, the connections between the two become easier to follow when observing work released after the publication of the 1827 Suikoden. The stories and morals of the tattooed Otokodate heroes not only resonated with the lower classes they would have defended but also with those who embodied their morals in real life. Among others already established in the body modification trade, actual Otokodate in Japan were inspired by these large colorful works and began to translate the style into real body art.59 Some tattoos replicated the patterns that the heroes in the prints wore, while others recreated the entire imagery of the prints themselves (Fig. 5). The format of the prints made it simple to translate the works into body art, as their portrait orientation and vertical lines of action were easy to reformat for areas of the body such as the upper arms or back. The Ukiyo-e style, which utilized mostly defined, dark outlines and block coloring, was similar to techniques already used in tattooing, which made it easy to create tattoos based off of the prints.

Once this method of tattoo began to blossom within the body modification spheres in Japan, it expanded beyond just mythological and warrior prints. The style of Ukiyo-e prints that recorded everyday events and practices began to see a change in style as well, as a result of the new designs being applied to real life tattoos.60 The imagery of people in these prints Klompmakers, Of Brigands and Bravery, 16.

Ibid., 64.

58 Guth, Japanese Art of the Edo Period, 6.

59 Klompmakers, Of Brigands and Bravery, 17.

60 Guth, Japanese Art of the Edo Period, 30.

56 57

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included more of the highly colored and densely packed tattoo that Musha-e works were famous for (Fig. 6). This cyclical system of prints influencing tattoo and vice versa had existed before the early 1800s and continues still today, but a period of such rapid and observable change is an uncommon occurrence that deserves its own examination. The publication of Kuniyoshi’s prints in the Suikoden is an important and central influence in the development of Japanese tattoo styles, considering its release fell in the midst of a period of social and artistic change in Japan.61 The growing anti-authoritarian attitudes and widening distribution of art and body modification practices meant that people responded well to a piece of media that embodied both attitudes, promoting them to incorporate those themes into their lives. Specifically, people were getting bigger and better tattoos that would more clearly associate them with certain attitudes and lifestyles, committing them to those ideas. Many people, since they were usually already punitively tattooed and therefore socially disadvantaged, saw it as an opportunity to engage with art and outwardly share their values.

In conclusion, the release of the Kuniyoshi Suikoden prints was a major instigator for the rapid evolution observed in tattoo themes and styles during the early 19th century. Prints documenting everyday occurrences were the main basis for what types of tattoo were being practiced during certain periods, so they served as a documentation timeline of changes in body art styles. Investigating the timeline of Ukiyo-e print production shows that changes in technique and motifs fall in line chronologically with similar changes seen in hero and warrior prints after the release of the 1827 Suikoden. When compared to printworks created in previous eras, the timeline of changes in both warrior and everyday prints suggest that real life tattoos inspired those seen in Musa-e and Ukiyo-e pieces and vice versa. Despite their criminal background, tattoos became more commonplace as they were reclaimed by both printmaking and body art communities in their artwork. As print styles continued to evolve, tattoo communities quickly picked up on those developments and applied them to their own art, creating a clear trend of inspiration. Ultimately, the introduction of tattoo as a major element in the broadening Ukiyo-e print trade at the beginning of the 1800s led to the reestablishment of tattoo as a more legitimate form of art and heavily influenced the iconic Japanese Irezumi style.

61

Klompmakers, Of Brigands and Bravery, 27.

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Figures

Figure 1. Utagawa Kuniyoshi, Kaosho Rochishin, 1827, Woodblock Print, 15 × 10 1/4 in.

Figure 2. Utamaro Kitagawa, Onitsutaya Azamino and Gontarô, a Man of the World, 1799-1806, Woodblock Print, 15 1/4 x 9 13/16 in., Boston (Museum of Fine Arts, Asia, Prints and Drawings)

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Figure 3. Utagawa Kuniyoshi, Saienshi Chosei, 1827-1830, Woodblock Print, 37.50 x 25.70 cm., London (The British Museum, Asia)

Figure 4. Utagawa Kuniyoshi, Kirenji Toko, 1827-1830, Woodblock Print, 14 5/16 x 9 15/16 in., Boston (Museum of Fine Arts, Asia, Prints and Drawings)

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Figure 5. Untitled, 2017, Ink on Skin, Los Angeles (Japanese American National Museum)

Figure 6. Asahina Tobei, Kunisada II, 1863, Woodblock Print, 9.75 x 14.25.

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Bibliography Bickford, Lawrence. “Ukiyo-e Print History.” Impressions, no. 17 (1993): unpaginated. Accessed March 22, 2021. http://www.jstor.org/stable/42597774.

This journal article establishes a history and timeline for Japanese prints from the Edo era. This work was used to place the release of certain works among the historical events surrounding its release, and to understand some of the details of political and social circumstances that may have impacted the work. This article could have further discussed the causes for the social and political state of Japan in the Edo period, but was a clear summary that was easy to apply to further writing.

Brake, Brian, James McNeish, and D. R. Simmons. Art of the Pacific. New York: H.N. Abrams in association with Queen Elizabeth II Arts Council of New Zealand, 1980.

This book was a compilation of writings, articles, and photographs surrounding a variety of Pacific cultures. The book itself was useful in understanding the purpose of art forms within these cultures, specifically its commentary of the historic use of tattoo in Japan. It referenced the uses of tattoo from before and after the Edo period, providing details that aided in understanding how tattoo was used at that time.

DeMello, Margo. Encyclopedia of Body Adornment. Westport, Conn: Greenwood Press, 2007.

This book provided a brief summarization and history on a variety of forms of body modification and other topics surrounding them. It was very useful for understanding the terms being used in other articles at a basic level and allowed for development upon the basic information it provided.

Ellis, Juniper. Tattooing the World: Pacific Designs in Print & Skin. New York: Columbia University Press, 2008.

This book provided a variety of different articles and thoughts on Pacific tattoo as a whole and discussed many cultures and forms of tattoo. It was useful in its analysis of the influences that came into the Pacific and how it might have impacted the art form, and how Pacific tattoo has changed while being practiced in other areas of the world. It also discussed tattoo origins from more concrete forms of art, such as Polynesian tattoos’ connection to wood carving and Japanese tattoo’s connection to prints and performing arts.

Gilbert, Steve. Tattoo History: A Source Book : An Anthology of Historical Records of Tattooing Throughout the World. New York: Juno Books, 2000.

This book was a great source of hard-to-find sources and information about tattooing before photography. It included illustrations, charts, and other records that serve as some of the only primary sources on the topic of early tattoo in the Pacific. Though many of the source materials were good, the annotations on them and other writing in the book seemed mostly from the author’s assumptions and personal thoughts, so the sources were better used when removed from that interpretation.

Gulik, Willem R. van. Irezumi: The Pattern of Dermatography In Japan. Leiden: E.J. Brill, 1982.

This book provided a lot of good information on specifically Irezumi tattoo in Japan and was very focused in on that topic. Though the book’s discussion did not cover many topics other than just the development and changes seen in the practice, it allowed for interpretation of the art form and application of different ideas into the causes for the art’s development. It allowed interpretation without having to determine what was fact and what was opinion from the original author.

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Guth, Christine. Japanese Art of the Edo Period. London: Weidenfeld & Nicolson, 1995.

This book covered a variety of art forms from the Edo period in Japan but discussed only that topic. It kept a small scope into one time period in one culture, allowing for very specific discussion of social, artistic, and cultural factors, as well as how they interacted. This specific view could then be taken into other contexts and applied to other discussions and info from other sources.

Klompmakers, Inge. Of Brigands and Bravery: Kuniyoshi’s Heroes of the Suikoden. Leiden: Hotei Pub., 1998.

This book was a compilation of the complete Kuniyoshi Suikoden collection. It included large color prints of all of the works, as well as text describing what part of the book they were from and wat part of the stories was being displayed. It helped to tell apart the works that were being examined and to provide necessary context for things such as formal analysis and comparisons between art styles and other discussion of the formal elements of the works. It also included an informational foreword that summarized a lot of the information in other sources.

Mansfield, Stephen. “The Indelible Art of the Tattoo.” Japan Quarterly 46, no. 1 (1999): 3035,37-41.

This article discussed some of the attitudes about tattoo and other condemned works in the Edo period, providing discussion into why these art forms were treated in the way they were, what changed in people’s attitudes over time, and how the social discussion changed the execution of these art forms. He talks about the differences in people’s opinions based in their class status and social background, and how prints and tattoos meant very different things to people based in these backgrounds. This source provided an interpretation of these works from a lens outside of art or art history, which was helpful in discussion of culture.

McCallum, Donald. “Historical and Cultural Dimensions of the Tattoo in Japan.” In Marks of Civilization, edited by Arnold Rubin, 155-176. Los Angeles: University of California, 1988.

This article provided a perspective on the topic of tattoo from outside of an artistic viewpoint.

It took a historical and psychological stance and discussed the impact of tattoos in Japanese culture. It covered a variety of time periods throughout Japan’s existence, but the section about the Edo period provided context into why attitudes were what they were surrounding controversial art forms.

Reed, Carrie E. “Tattoo in Early China.” Journal of the American Oriental Society 120, no. 3 (2000): 360-376. https://0-www-proquest-com.read.cnu.edu/scholarly-journals/tattooearly-china/docview/217151434/se-2?accountid=10100.

This source provided historical background into where some of the attitudes surrounding art came from in Japan, as well as discussing the topic of illustrated literature as a tool of education for the lower classes. These topics cover the sources of the issue discussed in this paper, providing essential understanding of how the issues began and how they escalated.

Ronin Gallery. Taboo: Ukiyo-e and the Japanese Tattoo. New York: The Ronin Gallery, 2015.

This source provided a collection of images that were used in interpretation of the topic, as well as theories on similar topics. The thoughts on the connections in development between print and tattoo allowed for further discussion of the works and insight into existing scholarly opinions on the subject.

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About the Author Jonah Peters is a 2021 graduate of the Art History program at Christopher Newport University, with minors in Museum Studies and History. With a background in studio art, he focused his studies at CNU on art from nonwestern cultures and the methods used to create it.

On-campus he was a tutor for Art History with CNU’s Center for Academic Success, a Student Ambassador for ArtCNU and the Torggler Center, and part of Student Diversity initiatives and Pi Lambda Phi Fraternity. Currently, he studies trade skills such as bookbinding and textile care and hopes to go eventually into a career in the museum field, in either education or objects conservation.

“Inducing Separating Equilibria as a Strategy for Scholarship Award Distribution” Joseph Rekus Faculty Mentor: Dr. Yixiao Jiang, Department of Economics

Abstract This paper presents a strategy to be used by university admissions offices that seek to distribute scholarship awards in a way that maximizes the quality of the students who enroll. The proposed methodology characterizes the scholarship standard as the “scoring” thresholds associated with scholarship application tasks (e.g., standardized tests, an interview). These thresholds are derived from a system of mathematical inequalities which together constitute an admissions office’s strategy. Upon proving the existence of these solutions under general conditions, we provide an illustration of our methodology in which we assume a specific cost function related to the completion of the application tasks. When applied, the strategy we delineate induces a separating equilibrium wherein students find no incentive to mimic the behavior of higher-quality students, and thus the admissions office does not fall victim to the problem of information asymmetry: a phenomenon that leads to inefficient allocation. In our conclusion, we end by offering formal recommendations to university admissions offices.

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I. Introduction In regard to the distribution of scholarship awards, it is a common strategy for university admissions offices to first stratify the prospective students into categories based on a selected set of metrics (such as high or low academic ability, initiative, etc.), then allocate the awards among the groups in a hierarchical manner. While this is an intuitive and widely used strategy, it has some basic complications which stem from the asymmetry of information: that is, the admissions office’s lack of an exact knowledge of the students’ caliber. Consequently, applicants have the choice to imitate the behavior of other applicants who are more suited to receive larger scholarship awards. An example of such imitation would be lower-level students taking on substantial costs to score higher on standardized tests than they otherwise would have.

The general problem of information asymmetry (and how to overcome it) has been widely studied in economics. In the labor market, employees often have better knowledge on their own ability than employers. According to Spence (1973), education credentials can be used as a signal to employers, indicating a higher level of ability that the potential employee may possess; thereby narrowing the information gap. Similar problems have been analyzed in the context of the insurance market (Rothschild and Stiglitz, 1976), strategic disclosure of accounting information (Bushman and Smith, 2001; Ball et al. 2003), corporate governance (Farber, 2005), and many others. To the best of our knowledge, the information asymmetry between the admission office and college applicants has not been studied in a formal economic model when the former is distributing a scholarship.

When the problem of information asymmetry goes unaddressed admissions offices get tricked into inefficiently allocating their scholarship awards. This leads to several unwanted effects, including the “crowding-out” of higher-level students and the overspending on students of lower caliber. To combat this, an effective approach is to add to or fortify the mechanisms that are in place that prompt students to send signals of their quality. For instance, an admissions office could add tasks such as an interview to their application process, or strengthen the standards for standardized test scores in such a way that imitative behavior becomes too costly to engage in. This study proposes a model for employing this type of strategy that effectively eliminates the problems posed by information asymmetry.

In the field of game theory, the strategy of imposing a task on another player with the intent of getting them to reveal certain information is referred to as screening. The mechanisms used to carry out this strategy – such as a standardized test or an interview – are referred to as screening devices. And manipulating the screening devices in such a way that it guarantees the truthful revelation of the opposing player’s ability is a process called inducing a separating equilibrium. In this paper, we will analyze this game strategy and its application to a college admissions scenario. We will use our analysis to then make recommendations to admissions offices regarding admissions strategy.

II. The Model In our game scenario, there are two players: a pool of applicants to a university and the university’s admissions office. All of the students (which we will also refer to as P1) are characterized by a vector ( ) representing their academic ability and willingness to attend.

Each trait can be characterized by “high” or “low.” The pool of applicants thus consists of four types, which we assume to be equally represented amongst the population.

Types of Students (P1)

High Ability

High Desire and Readiness

Type 1: (

)

Type 2: (

)

Low Desire and Readiness

Type 3: (

)

Type 4: (

)

Table 1. Types of students (P1).

Low Ability

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This admissions office (which we also refer to as P2) suffers from the problem of asymmetric information. That is, P1 possesses a certain amount of private information – namely, what type of student they are (low ability/high desire, high ability/high desire, etc.). This information is unknown to P2, and as we addressed in Section I of this paper, this can lead to the inefficient allocation of scholarship awards.

A way P2 can gain access to this information is by screening P1 for their type. In our model, P2 has decided to use a standardized test and an interview as screening devices to probe P1’s level of ability and desire, respectively. P1’s responses to the two screening devices are recorded by a vector (λ, µ), where λ represents the score of the standard test and µ represents the performance in the interview. In general, a higher score/performance requires more effort1.

The admissions office can distribute three descending scholarship awards: > > 0, to P1. They use the results of the screening as a guidance to assign scholarship. Based on the scholarship decision, P1 decides to accept or reject the offer vis-à-vis an alternative scholarship offer from other competitor schools, where j denotes student type. All > 0 in our game.

In addition, . The latter assumption reflects the idea that in the realm of scholarship distribution, high academic ability is more rewarded than high desire and readiness to attend college. Consequently, the admission office attempt to use and to attract Type 1 and Type 3. Furthermore, we assume where . That is, the scholarship differential is on par with the ratio of the alternative offers.

The timing of this game is described below in Table 2.

Nature separates the students into four types.

STAGE 1: P1 participates in the standard test and interview and obtain a score in each.

STAGE 2: P2 decides which scholarship award to offer each student based on standardized test score and interview performance, as meausred by (λ, µ).

STAGE 3: P1 chooses to accept or decline.

Table 2. The timing of the admissions game.

We assume P1 possess the following payoff (i.e., utility function) if they accept the offer.

Where is the intrinsic value of attending the university regardless of the scholarship offer, S is the amount of the scholarship received, and C is the irretrievable cost of responding to the screening. We discuss and parametrize these components of the game in detail below.

It is important to note that all information presented above, except for the type of students, is known to both P1 and P2.

II.1 P1’s Intrinsic Utility P1 and P2 have a general idea of the intrinsic value students of high or low desire and readiness to attend college receive from attending the university. We call this for students The exact functional relation between scores and the required effort levels is described in Section II.2.

1

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of high desire and it is valued in dollars. We call this for students of low desire and normalize this value to be 0 - that is, students of low desire find no intrinsic value in attending the university.

Thus, there is no additional utility for Type 3 and Type 4 students in attending the university, while is included in the utility functions for Type 1 and Type 2 students if they make the choice to attend the university.

II.2 Cost of Passing Screenings Preparing for and completing an exam and interview clearly incurs a cost on P1, and that cost depends on P1’s ability and desire, respectively. Intuitively, low type students need to commit more effort to perform well enough in the test and interview relative to high type students. Cost functions for completing the screenings are listed below.

• for any exam score λ and any level of academic ability .

• for any interview score µ and any level of desire to attend college .

Additional regularity assumptions are made on these cost functions: 1. Students receive zeros in exams and interviews when no effort is committed: .

2. Both cost functions are assumed to be differentiable, strictly increasing with respect to their argument, and strictly decreasing with respect to their second argument: .

3. There exists such that and for all λ and µ.

The second assumption makes it so that obtaining a better score always results in more effort for both types. Assumption 2 and 3 together imply that low type students need to commit more effort to perform well enough relative to high type students. In addition, the differential effort between the two types does not depend on the point scale.

II.3 P2’s Preferences and Objective P2 has the following ordered utility, measured in an arbitrary unit that represents the benefit of the student accepting a particular scholarship: P2’s Utility (If S accepted) Scholarship Type (S) Student Type (j)

0

Type 1

4

5

6

Type 2

-3

-2

-1

Type 3

1

2

3

Type 4

-6

-5

-4

Table 3. P2’s utility.

Any rejected offer has a payoff of zero for P2. It is important to note that all values correspond to true student types. The above enumeration suggests that high ability is preferred over high desire. Thus, P2’s order of preference of students is Type 1 > Type 3 > Type 2 > Type 4. Our objective will be to make it so that is only offered to Type 1 students, is offered to Type 3, 0 is offered to Type 2, and Type 4 are rejected from the university, with P2 preferring Type 2 over Type 4 (due to the high desire and readiness to attend college), our objective will be to set the scoring scale in such a way that is a more profitable alternative for Type 4 students.

We will describe how this exact result can be guaranteed in Section III of this paper.

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III. Separating Equilibrium The structure of the cost functions implies that low type students need to spend greater efforts to achieve the same score compared to the high type. As such, the high types are more likely to “signal” their credentials by achieving a certain score on the exam/interview, which the low type may not find it worthy to do so. In practice, can the admission office find a “threshold” on exams and interviews to separate the two groups?

We denote the threshold values (on exams and interviews) as λ*, µ*respectively. That is, any λ ≥ λ* makes P2 believe the student has high academic ability and any µ≥ µ* makes P2 believe the student has high desirability. It is important to note that P2’s belief only changes at the threshold. That is, any marginal improvement in score on either side of threshold will only lead to incremental cost on the student with NO marginal benefit. Consequently, we expect the high types to achieve exactly λ* or µ*, whereas the low types find it reluctant to put forth any effort and hence achieve 0. The mapping between observed score and implied type according to this “threshold-crossing” belief is reported below: In equilibrium, we expect the responses of the four types to be at the bottom-left corners of their respective quadrant.

Figure 1. P2’s Belief.

The admissions office wants to make it so that the students truthfully reveal their type. If P2 accomplishes this, then they can limit the offer of only to P1 who responds with (λ*, µ*) and can limit the offer of to P1 who responds with (λ*, 0), in accordance with the distribution objective.

However, as their true identify is not known by P2, P1 has an incentive to mimic the behavior of an alternative type for a higher scholarship. This, we can imagine, is a realistic and common occurrence for admissions offices everywhere.

Is it possible for the admission office to avoid this possibility? As shown below, a set of restrictions arise such that a separating equilibrium is induced. In this type of equilibrium, each

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type of student takes a unique action according to the aforementioned belief. Consequently, their different responses to the standardized test and interview reveal their type. We first give a formal characterization of this equilibrium, and then discuss the restrictions needed to induce it.

Proposition 1: Once (λ*, µ*) satisfy the five restrictions below, a separating equilibrium exists where Type 1 students respond with (λ*, µ*) and accept ; Type 2 students choose (0, µ*) and accept scholarship award 0; Type 3 students choose (λ*, 0) and accept ; and Type 4 students choose (0, 0) and will be rejected.2 The key takeaway of this equilibrium result is that the low-type P1 do not have an incentive to mimic the high type, so the combination of screening devices unveils the private information of P1. In other words, the equilibrium causes P1 to truthfully reveal their types.

Since ability is valued more than desire, the admissions office would only offer scholarship awards to those who succeed in the test to attract them. Furthermore, those of P1 with impressive interviews will receive a greater scholarship award for signaling the high desire to attend. We will go through the restrictions which induce the separating equilibrium below.

Restriction 1: That is, the difference between and must be exceeded by the cost of achieving µ*for low-desire students and must exceed the cost of achieving µ*for high-desire students.

This restriction guarantees that Type 3 students will find (λ*, µ*) too costly to pursue. It will also guarantee that Type 1 students will accept .

Restriction 2: That is, that the utility associated with (λ*, µ*) exceeds the alternative offer for Type 1 students. This guarantees that Type 1 students find the strategy associated with receiving to be more beneficial than their alternative offer.

Restriction 3: That is, the cost of achieving a score of λ on the exam must exceed the value of for low-ability students. This restriction guarantees that Type 2 students will truthfully reveal their type, and not try to mimic the behavior of Type 1 students by signaling high academic ability.

Restriction 4: That is, the difference between the intrinsic utility Type 2 students receive from attending the school and their alternative offer must exceed the cost they incur for achieving an interview score of µ. This restriction guarantees that Type 2 students will find it in their best interests to attend the school without a scholarship.

Restriction 5: That is, the difference between and the cost of achieving an exam score λ for high ability students must exceed the alternative offer of Type 3 students. This restriction guarantees that the utility Type 3 students obtain from accepting will be a more profitable alternative to .

To ensure the proposed separating is indeed implementable, we must ensure the five restrictions on λ* and µ* are not mutually exclusive. That is, some (λ*, µ*) must satisfy all five restrictions simultaneously.

Proposition 2: For any cost functions discussed in Section II.3, there exists some (λ*, µ*) that satisfy the five restrictions above.

This proposition is proved in the Appendix, where we derive the bounds for (λ*, µ*) from the restrictions and show the upper bounds exceed the lower bounds. Once the See appendix for proof of this proposition. Here we will discuss the procedure used to ascertain the restrictions that induce the equilibrium. We also prove the existence of λ*and µ* for any and all and .

2

239

cost functions are known, the bounds can be solved in closed form. We provide an illustration below to show how it can be done.

IV. An Example In this section, we work out a simple example, to serve as an antidote to the abstractness of the previous section and to solve for the bounds of λ*and µ*. These bounds are empirically relevant to the admission office as they provide concrete guidance on how the evaluation standards on exams and interviews should be set.

Assume the following cost functions: • •

The assumed cost functions satisfy the three regularity conditions in Section II.3: . With

and

for all λ and µ

We can now solve for the closed form of λ* and µ* by using our restrictions, which induce a separating equilibrium.

We can rewrite the restrictions in the following ways: 1.

2.

3.

4.

5.

We then isolate λ* and µ* for each restriction.

1.

2. We revisit Restriction 2 upon finding other potential upper bounds for λ* and µ*.

3.

4.

5.

In revisiting Restriction 2, we determine if a tautology will be produced by substituting the upper bounds of λ* and µ* found in Restrictions 5 and 4, respectively. If we are able to show that a tautology exists in this case, we eliminate Restriction 2 from consideration as the upper constraint it will pose to λ* and µ* will exceed that of the alternatively presented upper constraints, rendering it unnecessary.

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A tautology is presented. Therefore, our λ* and µ* are given by the constraints: • • Rewritten differently, our constraints are: • • We can now graph λ and µ as functions of

Figure 2. λ graphed as a function of

.

and , respectively:

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Where for each , there exists some λ which satisfy the constraints. These λ are λ*.

The solution set is found in the dark orange region.

Figure 3. µ graphed as a function of .

Where for each there exists some µ which satisfy the constraints. These µ are µ*.

The solution set is found in the dark orange region.

V. Conclusion and Discussion We have employed our methodology and induced a response from P1 that corresponds to true type behavior. Recall that this was accomplished by applying the separating equilibrium, which is designed specifically to separate the students into their true types.

Why was it so important to install a separating equilibrium in the first place? In our game, prior to assuming that the five restrictions were in effect, there was no established reason why Type 4 students could not signal high academic ability or high desire to attend university.

This would have prompted P2 to consider them eligible for , which we know to yield a much lower payoff for P2. Imagine if a university gave their most valuable scholarship award to the students that most lack appeal. This would be a blatant contradiction to any viable scholarship distribution strategy. However, this outcome is plausible for universities who fail to develop a sufficient strategy to prevent the imitation of types.

According to Bound et al. (2009, BHL henceforth), students have increasingly seen an incentive to amplify competitive behavior, particularly when it comes to standardized testing. Over time, colleges have become increasingly selective, and high school students have responded accordingly. BHL report on an overall increase in efforts such as enrolling in SAT or ACT prep classes, taking the tests several times in order to improve scores, and applying for special accommodations (some students are able to successfully petition test providers to have an isolated environment to take the test in, for instance). There has also been an increase

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in the percentage of students seeking formal help in standardized test preparation and that access to this type of assistance has become more available, particularly for students of highincome families.

All of this seemingly suggests the obvious: in general, imitative behavior is a prevalent phenomenon in the college admissions process and increasingly so. But what is even more interesting is that BHL had not found any evidence that an intensification of test-taking and test-prep culture has led to a general increase in academic ability. This suggests that this issue is even more pressing and gives more reason for P2 to combat it.

The strategy we propose consists of manipulating the scoring thresholds for the exam and interview in such a fashion that meeting said thresholds becomes too costly for lowtype students. In order do this effectively, an admissions office must adhere to the restrictions . Of provided in Section III – and thus, λ* and µ* are contingent on these components of the game, only can be adjusted by the admissions office. All other components but must be ascertained by P2.

V. 1 Ascertaining Relevant Factors There are ways in which admissions offices can do this. In Deardon et al. (2017), economists from the Western Economic Association International (WEAI) have proposed a concept termed “demonstrated interest” that is a concept similar to from our model. The authors of this paper measure demonstrated interest by using data related to the level of contact between students and the university. By referring to this paper, admissions offices could develop a methodology that enables them to obtain an understanding of a student’s . and are assumed to be unknown in our model and are thus presented in a general form. However, there are several properties of each that are implied by their nature. For instance, λ and are positively related and µ and are positively related, reflecting the idea that as effort increases, cost increases. This is an essential characteristic of any cost function. Also, and .

Thus, and are elements of a strict subset of potential functions. This helps P2 with making an identification of the specific cost functions.

Because for all λ, then for each λ, is a product of some scalar – call it – greater than 1 and . In our analysis, we assume that for all λ, . This assumption establishes that is that particular scalar for all λ. While this may not be the case for all cost functions, we can reasonably think of scalar as the average value of for each λ. We can think of in the same way.

V. 2 Deviation from the Equilibrium We show in Section VI of this paper that there exist a set of both λ and µ that satisfy each of the restrictions for all and . Thus, in our game, it is always possible to induce the equilibrium.

There are consequences for deviating from the equilibrium.

1) Violating Restriction 1 would either provide an incentive for Type 3 students to mimic Type 1 behavior, fail to provide enough of an incentive for Type 1 students to accept P2’s offer of , or both.

2) Violating Restriction 2 would fail to provide enough of an incentive for Type 1 students to engage in true Type 1 behavior.

3) Violating Restriction 3 would fail to take away any incentive for Type 2 students to mimic Type 1 behavior.

4) Violating Restriction 4 would fail to provide enough of an incentive for Type 2 students to enroll without scholarship.

5) Violating Restriction 5 would fail to provide enough of an incentive for Type 3 students to engage in true Type 3 behavior.

These results communicate a failure to induce the separating equilibrium. The admissions office may now suffer from the problem of asymmetric information.

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References Ball, R., Robin, A., & Wu, J. S. (2003). Incentives versus standards: properties of accounting income in four East Asian countries. Journal of accounting and economics, 36(1-3), 235-270.

Bound, John, Brad Hershbein, and Bridget Terry Long (2009). Playing the admissions game: Student reactions to increasing college competition. Journal of Economic Perspectives 23, no. 4 119-46.

Bushman, R. M., & Smith, A. J. (2001). Financial accounting information and corporate governance. Journal of accounting and Economics, 32(1-3), 237-333.

Dearden, James A., Suhui Li, Chad D. Meyerhoefer, and Muzhe Yang (2017). Demonstrated interest: Signaling behavior in college admissions. Contemporary Economic Policy 35, no. 4, 630-657.

Farber, D. B. (2005). Restoring trust after fraud: Does corporate governance matter?. The Accounting Review, 80(2), 539-561.

Miller, M. H., & Rock, K. (1985). Dividend policy under asymmetric information. The Journal of finance, 40(4), 1031-1051.

Spence, M. (1973). Job Market Signaling. The Quarterly Journal of Economics, 87(3), 355-374.

Rothschild, M., & Stiglitz, J. (1976). Equilibrium in Competitive Insurance Markets: An Essay on the Economics of Imperfect Information. The Quarterly Journal of Economics, 90(4), 629-649.

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IV. Appendix In this section, we will prove that Proposition 1 is the result of the game if all of the restrictions are assumed. Thus, we will show that the five restrictions cause each type to act according to the proposition. Proposition 2 argues the existence λ* and µ* for any and all and and we show this as well. Note that is a cost function of the form and is positively related with . Thus, for any .

Recall: Proposition 1: Once (λ*, µ*) satisfy the five restrictions below, a separating equilibrium exists where Type 1 students respond with (λ*, µ*) and accept ; Type 2 students choose (0, µ*) and accept scholarship award 0; Type 3 students choose (λ*, 0) and accept ; and Type 4 students choose (0,0) and will be rejected.

Where the restrictions – numbered 1 through 5 – are: 1.

2.

3.

4.

5.

Proposition 1 claims that each type of student takes a unique strategy. It also claims that each type of student makes a unique decision about their scholarship offer. To prove that under these restrictions no student will find an incentive to mimic another types’ true behavior, we show that the utility they obtain from pursuing their true behavior, prescribed to them in Proposition 1, exceeds the utility they would obtain from such imitation.

Consider Table 6, where

is the utility of signaling type for any student type .

(λ*, µ*)

(0, µ*)

(λ*, 0)

(0,0)

Type 1 Type 2 Type 3 Type 4 Table 6. Utility from strategy.

We must show that in assuming the above restrictions, for each where exceeds every where . The utility of being rejected from the university is the student’s alternative offer.

For Type 1 students, we show that: • Restriction 5 gives us •

Restriction 1 gives us

•

Restriction 2 gives us

For Type 2 students, we show that: • Restriction 3 gives us •

Restrictions 1 and 3 give us

•

Restriction 3 gives us

and

ergo

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For Type 3 students, we show that: • Restriction 1 gives us •

Restriction 5 gives us

•

Restriction 5 gives us

For Type 4 students, we show that: • Restriction 3 gives us • •

The statement true for any combination of as all are greater than zero. Thus, Restriction 3 gives us

We have thus shown that for each where exceeds every where . ; Type 2 students choose Therefore, Type 1 students respond with (λ*, µ*) and accept (0, µ*) and accept scholarship award 0; Type 3 students choose (λ*, 0) and accept ; and Type 4 students choose (0,0) and will be rejected.

Recall: Proposition 2: For any cost functions discussed in Section II.3, there exists some (λ*, µ*) that satisfy the five restrictions above.

Using the restrictions, we can invert the cost functions to give us potential upper bounds and lower bounds of λ* and µ*. In inverting Restrictions 1, 3, 4, and 5, we obtain the five following constraints:

i. ii. iii. iv. v. we find

, a potential lower bound for µ*. , a potential upper bound for µ*. , a potential lower bound for λ*. , a potential upper bound for µ*. , a potential upper bound for λ*.

In substituting the potential upper bounds for λ* and µ* for Restriction 2,

and

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The first result is a tautology. The second result shows that there is no contradiction as is assumed to be greater than 1. This tells us that the maximum values of λ* and µ* provided by Constraints ii, iv, and v satisfy Restriction 2. Thus, Restriction 2 does not provide a minimum upper bound on either λ* or µ*.

To prove the existence of λ* and µ*, we show that the upper bounds of each exceed the lower bounds of each.

Restriction 5 gives us and Restriction 3 gives us .

Thus,

.

Thus, λ exists. *

is true as

. Thus, . Restriction 4 gives us

Restriction 1 gives us

and

. Thus, .

Thus, µ* exists.

About the Author In May 2021, Joseph Rekus completed his sophomore year at Christopher Newport University where he is majoring in both mathematics and economics and also minoring in leadership studies.

He is a member of the Honors Program and President’s Leadership Program at Christopher Newport and obtained a Research LENS grant to complete independent research during the 2020-2021 academic year. Joseph also finds interest in the study of the Italian language as he serves as the student tutor for Italian and statistics at the university’s Center for Academic Success. He plans on pursuing further research opportunities with CNU faculty in the future.

“A Prescription for the Dissatisfied Society: Synthesizing Ágnes Heller and Axel Honneth” Abby Saether Faculty Sponsor: Dr. Dawn Hutchinson, Department of Philosophy and Religion

Abstract This paper analyzes the concept of “the dissatisfied society” as a diagnosis of modernity. Simply put, “the dissatisfied society” is the idea that social life today is deeply malcontent. I attempt to offer a comprehensive solution to dissatisfaction by synthesizing Axel Honneth’s struggle for recognition theory with Agnes Heller’s theory of transforming contingency into destiny.

I accomplish this by first thoroughly analyzing the background of both their theories and highlighting the shortcomings of each. Honneth’s theory is too broad, focusing on groups of people whereas Heller’s is too narrow, focusing only on the individual. However, a successful combination of the two accounts for both of their respective shortcomings. Their theories look at both halves of society: the macro (Honneth) and micro (Heller). The specific utilization of Honneth’s theory first and then Heller’s offers a more comprehensive and complete prescription to dissatisfaction than their theories do alone. Moreover, the hybrid I propose is relevant to social conflict and strife today as a stronger analysis of the modern condition and how to amend it.

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A Prescription for the Dissatisfied Society “Philosophers have hitherto only interpreted the world in various ways; the point is to change it.”

-Karl Marx Marx’s strong critique of traditional philosophical inquiry is a call to arms. As Marxism rightly claims, the world is deeply malcontent due to the consequences of capitalism. As a result, many followers of Marx have continued his work under the title of neo-Marxists. Their work, inspired by his analysis of modernity, hopes to do exactly as he preaches: change the world.

Since Marx’s reign, the modern world, as well as the postmodern world, has improved through technological advancements but has also remained socially malcontent. Therefore, his mission is still relevant. Today, sociologists, politicians, philosophers, and the like have wrestled with the quandary of how exactly to attain satisfaction within this dissatisfied society. Ágnes Heller proposes that satisfaction, within her understanding of the dissatisfied society, is achieved by the individual actor “transforming [their] contingency into destiny” (The Postmodern 26). She argues that our modern world is marked by indeterminate possibilities. The individual is always able to become more than what they are (Heller, The Postmodern 26). Through existential choice, however, the individual can transform their contingency into destiny. Without making an existential choice and firm decision, one is always dissatisfied. One’s needs are never fulfilled, since they always have unlimited opportunities. Axel Honneth, in contrast, presents the struggle for recognition as a solution to dissatisfaction. His approach understands dissatisfaction as being the result of groups of individuals and, in turn, individuals themselves, facing disrespect from others.

The struggle for recognition offers distinct stages wherein individuals can gain self-confidence, self-respect, and self-esteem (Iser). This, for Honneth, leads to satisfaction.

Heller and Honneth offer promising solutions to dissatisfaction, but their theories are unsatisfactory because they both neglect crucial elements of society. Heller’s theory fails to address that individuals are inescapably categorized by groups. Her theory does not adequately address the individual’s social strata. Honneth has the opposite problem. His solution is too broad and does not account for the individual apart from their groups. Due to their respective shortcomings, a combination of their theories, specifically utilizing Honneth’s theory and then Heller’s, offers a better, more comprehensive solution to dissatisfaction.

In this paper, I will first discuss the context in which Heller and Honneth are writing within the Marxist and socialist canon. Then, after giving a further analysis of their respective solutions to dissatisfaction with counters, I will address the importance of first utilizing Honneth’s theory and then Heller’s. Alone, their theories are unrealistically optimistic. They only address the individual or the greater societal system.

Responding to a Marxist tradition, Heller and Honneth’s respective theories are situated against its lens. They are contemplating the diagnosis of modernity marked by capitalism. To this end, Marx claims that modern society is both a representation of human progress and is also profoundly destructive. It is progressive in that capitalism has allowed for unprecedented leaps in productive power and human invention. In contrast, this flourishing progress inversely invites economic and commercial crises along with the alienation of the working class. These conflicts, however, do pave the way for the rise of socialism following capitalism (Bykova 373). Ágnes Heller Her interest in philosophy and culture was prompted by her experience during World War II. During the time, she was a Jew living in Hungary. As a child, she witnessed her father being sent to Auschwitz and consequently dying there before the war ended. She was baffled by how something so terrible could happen and what kind of world would allow it to happen. This prompted her exploration into modernity (Genzlinger). Such events are wrong. So, why do they happen?

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Her exploration begins with Marxism. Although distancing herself from it later in her career, she builds on its diagnosis of modernity by taking it a step further, claiming that modernity is more accurately defined as a complex set of social forces: the three logics of modernity (The Power 301). These logics are capitalism, democracy, and industrialism. She categorizes these three social forces as “logics” because they are developmental factors in society. These logics are self-enclosed systems driven by their own dynamic; they reproduce and maintain modernity via institutions (Heller, The Power 301). Capitalism is related to the institution of the markets, the logic of democracy is reinforced by the institution of the legal system, and industrialization through the institution of technological development. Importantly, these logics are universalizing in that they have no limit. They have the potential for constant expansion. Capitalism involves the constant expansion of markets within society. Democracy gives us a set of institutions and a vocabulary that pushes society forward politically, in a similar fashion that capitalism does.

Industrialism promotes efficiency, which expands into social life, the economy, and culture.

Unlike Marx, Heller focuses on democracy being the center of modernity as opposed to capitalism. She does this because democracy focuses on the freedom of the individual whereas capitalism has an economic aim. Individual freedom, Heller believes, is more central to the condition of modernity (Rivero 202). After all, having a satisfied society means nothing socially if individuals are still dissatisfied. Individual unrest is just as problematic as groups’ unrest since individuals can wield dangerous power over others by their own volition. To that same end, the individual has control over their freedom through democracy. Such freedom and unlimited progress, which defines modernity and its logics, is crucial in understanding why Heller concludes that society is dissatisfied. Essentially, “moderns do not acknowledge limit, they transcend it. They challenge the legitimacy of institutions, they criticise and reject them; they question everything; and by doing all this, they support rather than destroy the modern arrangement” (Heller, A Theory 4). Modernity reinforces its structure and condition through the constant struggle of institutional conflict. That is, the modern person is never satisfied with achieving one end. As soon as they do that, there arises a new end to achieve, and so on. When a conflict is resolved, a new one takes its place. This circular pattern fortifies the condition of modernity by the transcendence of limit, by never being pleased by one resolution.

Although this is her diagnosis of modernity, Heller claims that “men and women are thus born free, but they are everywhere limited in their possibilities” (A Theory 12). This is due to social construction and social institutions. As moderns, we create such inequalities. In the past, inequalities were believed to be natural law, given by birth in pre-modern societies. This paradoxical belief of having ultimate freedom, but yet being confined by social institutions, is optimistically corrected by the hope of conflict within the logics of modernity, which has the potential to break down the inequalities it itself has created. However, these inequalities still exist and are not corrected. Therefore, individual dissatisfaction is consuming.

Despite this claim, Heller later continues to diagnose moderns as existing in a state of initial contingency. Initial contingency, for Heller, is the sense that there is nothing that preordains or necessitates why a given individual is born or how they will live. There is no inherent purpose for the individual. Moreover, “expectations are imbued with contingency, yet what we experience are the hard facts of life, the factual limitation of our possibilities. The fateful and unbridgeable discrepancy between expectations and experience is a source of constant dissatisfaction and discontent” (Heller, The Postmodern 17). The modern person cannot actualize all the possibilities of the world, since their social strata binds them, and so they wallow in dissatisfaction. In this binding sense, we return to pre-modern societies, but it differs in that the modern person can theoretically move “up the ladder.” The American dream, for example, is the romanticization of this idea of freeing oneself from their social status. Even though it is achievable, the reality of it being actualized for every person is statistically low. The solution, for Heller, is to transform contingency into destiny through existential choice instead.

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“Modern men and women are like letters, put or thrown into an unaddressed envelope, possessing an empty freedom of nothingness. In a manner of speaking, the letters will be ‘self-addressing’ and ‘self-addressed,’ or else the envelopes will remain blank until the dispatcher picks them up from one of the dark street corners to throw them into the rubbish bin… Choosing oneself is tantamount to addressing one’s own envelope” (Heller, History, 25).

By choosing oneself, choosing to become a self-destining individual, is, as an existential choice, the fundamental choice that limits the possibilities to the same extent that it ‘pre-destines’ the probabilities of all subsequent life-choices. Existential choice gives parameters for one’s own meaningful life. However, an existential choice is not flippant. It holds a gravity that determines one’s telos. It is existential in that it determines one’s own existence.

The Matter of Existential Choice Heller’s theory of transforming contingency into destiny is one that, by her own standards, requires the individual to make this existential choice that we have been discussing. However, following in a Kierkegaardian fashion, such a choice is “by definition [...] the type of choice of one’s destiny that is necessarily irrevocable” (Bernstein 92). It carries this characteristic because if “you revoke [your choice], you lose yourself, your own personality, your own destiny, to relapse into contingency” (Heller, Morals 11). Therefore, making an existential choice is a very serious and life-altering decision that does not allow for one to change their mind, so to speak.

Yet, being flippant and unsure of oneself is a common trend in human behavior. For example, say I strongly believe in a certain political campaign and advocate for it because I believe their mission will genuinely accomplish good. After learning more about the campaign, I come to find out that it is actually corrupt and goes against my values. Does this then mean that I never really made an existential choice in the first place since I back out of it? Do I slip back into contingency and dissatisfaction since I can no longer carry through with my choice? This detail bleeds into the condition of the destiny of the individual. If they do not make an existential choice then “one is allowing others to choose [their] destiny” for them and creating a stark either/ or dichotomy (Bernstein 98). One either chooses their destiny or has it chosen for them. Heller places too much importance and overestimation on the ability of the individual to make this leap she claims is necessary for satisfaction by creating a rigid either/or condition of existence.

While this counter is more relevant to Heller’s moral philosophy, regarding its diagnosis of modernity, existential choice acts more like a pathway out of individual dissatisfaction. By utilizing Honneth’s struggle for recognition before such a decision is even possible, the individual has the choice of self-transformation. Alone, Heller’s theory is too optimistic. However, I argue that her optimism is corrected by synthesizing her theory with Honneth’s. This synthesis produces a more complete, comprehensive solution to dissatisfaction.

Given the nature of Heller’s argument and what making an existential choice means to her, such a radical leap is an option for the individual to create a purpose for themselves as beings on this Earth that offers relief from the agony of contingency. This leap is not meant to be taken lightly. It is one’s full commitment to their life trajectory. No simple idea of “maybe I would like to do this” or “in the future, I want to become this” is enough. Action is what brings to fruition one’s existential choice. Yet, if a choice is subject to change, then it is not an existential one. If it were, that choice is just like any other and has the potential to throw the individual back into contingency.

The point of such a weighty decision is meant to give one’s life a telos, a purpose. This telos cannot be achieved if one’s decision could essentially be a decision to do or be anything. If it is not a full commitment to that particular choice, individual satisfaction cannot be achieved.

Ergo, complete satisfaction cannot exist if one does not make a radically individual and existential choice. Yet, through my synthesis, the ability for one to transform their contingency into destiny becomes much more realistic after the struggle for recognition is actualized first. Still, this choice

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is only an option. As Kierkegaard rightly claims, “although every human being has the capacity to make an existential choice, it is the rare person indeed who does make such a choice” (Bernstein 98). Those who do will experience greater satisfaction than those who do not.

Axel Honneth In distancing himself from the Marxist tradition and the original critical theory of Horkheimer and Adorno, Honneth, like his mentor Habermas, does not agree that the primary order of society is production. This framework is flawed, according to Habermas and Honneth, because it treats intersubjective relations as subject/object relations. If we consider ourselves the subject, and everyone else as objects, we are disrespecting others’ autonomy as individuals that are like ourselves (Bohman). It strips their humanity which consequently produces the possibility of totalitarian regimes that Heller struggles to understand in her philosophy. Furthermore, Honneth even goes beyond Habermas’ revaluation of communication being what reproduces society.

Although Honneth holds true to Habermas’s critique of Marxism and critical theory, he departs from him in that instead of communication being the key dimension of interpersonal relations, he proposes that recognition is what reproduces modernity (Honneth 99).

With his theory being grounded in interpersonal relations, Honneth argues that individuals are inherently dependent on others for their own successful growth and formation.

Where Habermas argues that language is the medium through which human subjects are formed, Honneth goes beyond this interpretation (Bohman). His theory follows in agreement that yes, language and dialogue are crucial in the development of subjectivity. But what is even more so is the ability for the individual to grow positive self-relations. The individual does this through a struggle to receive positive recognition from others via communication and language. The individual cannot become fully developed without being positively recognized by other subjects (Honneth 92). This claim is relevant to modernity because intersubjective relationships validate people. Since the world is so populated by overwhelming amounts of people that are not so different from oneself, producing a positive relationship with oneself is difficult to do without the validation of others. Without other people to form positive intersubjective relations with, individuals struggle to produce their own positive-self image, especially when they encounter disrespect. Disrespect, for the purposes of my argument, can be simplified as being actions that deny recognition to be possible.

For the individual, there are three ways in which a positive self-relation is developed through social interactions. Honneth describes these as spheres because they have a depth of meanings and examples (95). However, it is only necessary to understand his spheres on a basic level for my argument. The first sphere is love. This is not romantic love, but rather relationships categorized by strong emotional bonds where subjects affirm one another by recognizing their mutual dependence. This relation is important because “... the assurance of care gives the person who is loved the strength to open up to himself or herself in a relaxed relation-to-self that he or she can become an independent subject” (Honneth 96). Love leads to a form of self-confidence.

It helps a person build trust in themselves.1 The second sphere is that of rights. Rights, quite literally, are the form of legal recognition. It differs from love in that “adult subjects acquire the possibility of seeing their actions as the universally respected expression of their own autonomy” (Honneth 106). Rights then allow for self-respect to become possible since one’s autonomy is respected. The third sphere is solidarity. This sphere focuses on the unique differences between individuals in their qualities and values. It requires the active affirmation of personal differences, not just passive tolerance. Such acceptance leads to self-esteem, which allows subjects to have 1

Having a reciprocal relationship of love, between individuals, allows for one to gain basic emotional confidence in themselves, which “preconditions the development of all further attitudes [or spheres of recognition] to form self-respect” and consequently self-trust (Honneth 107).

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feelings of being valid, important, contributing members of society. In order to achieve these three spheres of recognition one must overcome their counterparts represented through disrespect.

“Because the… self-image of each and every individual human being…is dependent on the possibility of being continually backed up by others, the experience of being disrespected carries with it the danger of an injury that can bring the identity of the person as a whole to the point of collapse” (Honneth 116).

These forms of disrespect are the violation of the body, denial of rights, and denigration of ways of life. All three align opposite to the three spheres of recognition mentioned above.

Honneth argues, contrary to neo-Marxists, that marginalized groups are partially responsible for driving social struggle and conflict through their lack of recognition associated with rights and self-esteem. By this, Honneth believes that individual experiences of disrespect get lumped together in the characteristics of an entire group. Even beyond marginalized groups, today we witness the social struggle and disrespect in the partisan nature of the United States.

Conflict plagues modernity and, in our example, postmodernity as well, because groups do not feel recognized. Because of this, people who share values align themselves in groups that conflict with other groups. This reinforces modernity. Although Honneth acknowledges that the individual cannot account for the entire group, the struggle for recognition in a broader, group setting is beneficial for the individual to struggle for their own subjective recognition.

Without their group being respected, the individual fails to flourish and faces individual disrespect in regard to the denigration of their way of life (Honneth 134). This highlights the shortcomings of Heller’s theory of transforming contingency into destiny. She fails to account for the relationship between the individual and the groups they belong to, which overlooks the consequent disrespect they may experience that bars them from choosing their destiny.

Context-dependent Recognition Honneth’s view is that of the macrocosm of society. As such, it includes the “big picture” issues of the theory’s implications. The theory of recognition is difficult to apply practically if taken out of a theoretical context. People within society suffer from more physical ailments than just that of essentially a form of mental disrespect. Taking into account such physical stresses, the struggle for recognition offers a shallow solution that only addresses a mindset and not the reality of those disrespected people. For example, if someone has an honest intersubjective relationship with a single mother living below the poverty line, their relationship will create mutual respect between the two. However, it will not lift the mother out of her practical misfortune in life. If both individuals recognize each other, the struggle for recognition is successful, but it does not put the mother in the position to pursue an existential choice, since she still remains in a poor corporeal, physical state. The nature of Honneth’s recognition is such that it “can only proceed in a context-dependent way” (Iser).

Honneth is a political thinker as well as a social philosopher. He addresses the physical aspect of the theory of recognition in his writing and acknowledges that theoretically, it does little to progress dissatisfaction into satisfaction without noting how it will also improve the physical state of one’s being. His political theory is broadly egalitarian insofar as it does attempt to provide a solution to physical dissatisfaction. However, for the purposes of my argument, his theory of recognition is only relevant to a mental state as opposed to a physical one. I argue that societal satisfaction is achieved by utilizing the struggle for recognition and then Heller’s existential choice. In order for one to be properly prepared to make such an existential choice, recognition, in the form of building positive self-relation and intersubjective relations, is what is necessary. Those who suffer from physical constraints, so that the struggle for recognition would not allow them to make an existential choice, are not relevant to my discussion. Such a discussion requires a greater political theories’ application. The struggle for recognition, in contrast to a political theory, assumes anyone is capable of practicing recognition and having successful intersubjective relationships. Moreover, everyone does have “... a responsibility with

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regard to men we do not even know… an obligation anachronously prior to any commitment” through Honneth’s struggle for recognition (Levinas 90). Satisfaction can only be actualized in this form if there is a comprehensive, complete genuine participation of the masses to actively pursue intersubjective relations.

In reference to the example of the single mother, Honneth attempts elsewhere to provide solutions to her physical misfortunes in his political philosophy. For the sake of my argument, one’s physical condition cannot be considered because it complicates the subsequent argument of the ability for the individual to transform their contingency into destiny. What is relevant is the potential for individuals to validate each other through their interpersonal relationships that encourages recognition. Every person is capable of having these relationships.

It requires participation in recognition to gain a positive self-relation. This then allows for Heller’s existential choice to become possible whereas before, it was understood to be a more unlikely and rare occurrence.

The Different Views of Society As noted above, both these thinkers clearly identify inherent flaws in society in the form of social relations. While Honneth builds his theory upon intersubjective relationships, Heller builds hers upon individual freedom. Naturally, with Honneth being considered a more political thinker with his philosophy, he approaches the condition of modernity from a broader perspective. Heller, inversely, claims that the individual must achieve their own satisfaction apart from the larger cosmos of groups of people. Together, they encompass both halves of society by approaching dissatisfaction differently. Honneth views society from a macro perspective and Heller from a micro perspective.

Macro Perspective To be completely respected, through the struggle for recognition, requires that others look upon us and recognize us as autonomous individuals apart from themselves. Recognition requires others, which implies that dissatisfaction cannot be overcome without the validation of those separate from ourselves. It functions as a macro view of society because “recognition makes it possible [...] to characterize the structure of the social bond and to describe society as the outcome of social action” (Deranty 750). The social bond, which is acquired through recognition, creates groups of individuals who all feel a sense of belonging and respect within that sphere. Social struggle is faced together by like-minded groups of people. It acknowledges the function of other subjects’ influences on one’s own personal self-esteem.

Micro Perspective With Heller’s analysis of the logics of modernity mentioned previously, she, similar to Honneth, does claim “new universalization of values” is to blame for the condition of the modern individual (The Power 303). Namely, that “modern man is indeed the Faustian man” in that their wants are never met, since, if they were, a new desire would take its place (The Power 304). This is the condition of moderns; we continuously want more. Since unlimited progress is a condition of society, so too is it a condition of individuals’ expectations of themselves. Dissatisfaction, in this form, is more than just being unhappy. Rather, individual dissatisfaction means that one is never able to create a purpose for their existence. Whatever they do is not good enough and never will be. This fact is horrifying. What’s the point, if everything I am doing amounts to ultimate dissatisfaction?

Heller’s claim is a universalizing one in that it does consider the overarching picture.

However, she does not prescribe her solution to it. Instead, she prescribes it to each and every individual. It is up to the individual alone to mend their dissatisfaction through their ability to transform their contingency into destiny. Again, this solution is possible since our radical freedom

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allows us to choose our own destiny, like Luther: “here I stand and I cannot do otherwise” (Heller, The Postmodern 27). Since Heller places her emphasis on the individual separate from both society and any potential group they could belong to, her solution to dissatisfaction approaches modernity from a micro view. The individual is responsible for reversing their dissatisfaction that does not rely upon intersubjective relationships like Honneth’s theory does.

The Problem and How They Work Together The combination of their approaches provides a complete, comprehensive understanding of modernity insofar as they relate to one another. With both these thinkers coming from the same tradition with differing aims, “modernity [can] be taken primarily as a process of differentiation as a response to the demands of growing social complexity” (Pensky 138). Social complexity is understood as social unrest due to disrespect and dissatisfaction. Both Heller and Honneth’s theories rest on an understanding of modernity broadly and how it affects the individual narrowly.

With this, both of their theories consider the whole picture. Their differing solutions provide an informed, complete account of modernity.

The Sequence With Heller’s approach to dissatisfaction being from the micro-level, her theory hopes to systematically transform societal dissatisfaction starting with an individual’s self-determination and actualization of possibilities through transforming contingency into destiny.

However, from this approach, Heller overlooks the more political side of societal dissatisfaction. The individual is condemned to be a part of and involved inherently with, society as a whole. By identifying as a member of a group rather than just a lone ranger, the individual finds solidarity in participating in a community within the larger cosmos of society.

Within these communities, the individual becomes a part of something larger than themselves.

Due to feelings of acceptance and recognition, the individual feels validated and therefore free to transform contingency into destiny. Without being recognized, individuals instead face forms of disrespect, that Honneth emphasizes, which distracts and eliminates the possibility of transforming contingency into destiny. Therefore, it is a mistake to focus on the individual without attention paid to the cultural conditions one either finds themselves thrown into or has chosen freely for themselves. Heller herself notes this concern (The Power 303). However, she does not satisfactorily address it. My solution proposes that without first successfully utilizing the struggle for recognition, individuals find themselves dissatisfied with issues larger, and more political than just their lack of actualizing possibilities to turn their contingency into destiny.

With Honneth’s identification of disrespect being one of the primary conditions of a dissatisfied society, his theory can account for intersubjective relationships that Heller fails to address. Specifically, in relation to Heller’s work, Honneth notes how disrespect has the potential to crumble one’s self-image to the point of an identity crisis (116). The individual needs to actively become recognized through the mode of respect, and not simply passive tolerance to make an existential choice.

“Negative concepts [such as disrespect and denial of recognition] are used to designate behaviour that represents an injustice not simply because it harms subjects or restricts their freedom to act, but because it injures them with regard to the positive understanding of themselves that they have acquired intersubjectively” (Honneth 116).

The individual is bound by the relationship between themselves, the disrespected, and the Other, who is carrying out the disrespect. This consequently affects the individual’s own self-image and ability to pursue their own self-determination.

Honneth is correct in noting the importance of having a sense of belonging and acceptance in a group within his diagnosis of the dissatisfied society. An individual cannot flourish if they are actively and constantly being undermined and disrespected. However, in the same breath, the individual cannot transform their contingency into destiny if they rely on their

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group for satisfaction. The individual chooses their own destiny. The dissatisfied society can be diagnosed as suffering from both a larger, political dissatisfaction, as Honneth emphasizes, and individual dissatisfaction, as Heller notes. Therefore, Heller’s antidote to dissatisfaction only applies to a minority who do not and will not face disrespect and the struggle for recognition.

If Honneth’s theory is applied first, though, then more individuals will be able to actualize their possibilities and become satisfied. Being respected is not enough for satisfaction, just as attempting to pursue all the possibilities of life will also not lead to satisfaction. The combination of the two: macro and micro, is necessary to attempt to regain satisfaction.

Since Heller’s attempt, on its own, to respond to dissatisfaction is too narrow, her argument is not fully convincing. She gives attention to the three logics of society, but does not consider how they forge the want for recognition into a need. These needs are motivated by social institutions, but produce the same outcome. Social institutions demand that respect be a crucial element towards the individual overcoming dissatisfaction. One cannot simply break out of the mold they were shaped in. Instead, one must learn to adapt and recognize the greater picture of societal dissatisfaction, not only their own. In doing so, the struggle for recognition is properly identified and Heller’s response to dissatisfaction becomes achievable. On its own, self-determination is a weak response that overlooks the heavy importance of considering how we, as social creatures, rely on one another to validate ourselves. Therefore, the sequence of first addressing the struggle for recognition and then the ability for the individual to transform their contingency into destiny is necessary because, in order to achieve the ability to make an existential choice, one must be recognized first.

Actualization Leads to Satisfaction Since Heller and Honneth’s solutions to dissatisfaction address both spheres of society, one’s own radical existential choice, made through transforming their contingency into destiny, can become possible to realize after they experience successful interpersonal relationships that affirm their own being through recognition. Again, because of this sequence, modernity can achieve societal satisfaction, since it addresses both halves of social life. Heller’s theory of transforming contingency into destiny is faulty. It overestimates the ability of the individual to make that grand choice for themselves without considering the social struggle that the individual finds themselves in with regard to being recognized by others. Without proper recognition, of the kind which Honneth proposes, the individual is stagnant in that they cannot achieve a positive relationship with themselves, let alone make an existential choice for themselves. Such a positive self-relation requires successful interpersonal relationships, which I argue is necessary in order to transform contingency into destiny.

Moreover, Honneth’s struggle for recognition faces a similar one-dimensional flaw in that it does not consider how one can create purpose or telos individually, independently from others. One may have a positive self-relation after struggling for recognition, but it is not a purposeful one like the kind that Heller is promoting. Therefore, the sequence that this paper proposes is essential.

It is important to note that neither one of these thinkers has an inherently weak theory. They both address and recognize that society functions both individually and through groups. However, their differing solutions separate to focus on each independently; the group or the individual. Because of this, their solutions fine-tune one another and fill in the holes and critiques that they face alone. The combination of their views encompasses society tightly and succinctly so that the individual creates their purpose. They may flourish in their choices due to their recognition and intersubjective relationships with others.

“The universalistic achievements of equality and individualism would be so embedded in patterns of interaction that all subjects would be recognised as both autonomous and individuated, equal and particular persons” (Honneth 175)

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Honneth has a political end game in mind with his struggle for recognition that will correct the macro aspect of society. His theory will allow “all individuals [to be] emancipated from experiences of misrecognition and injustice” (Lysaker 5). This is crucial for the individual to then be able to transform their contingency into destiny. The sequence of utilizing the macro theory and then the micro one permits both Honneth’s and Heller’s solutions to dissatisfaction to become properly actualized. This actualization will lead to satisfaction comprehensively.

Nietzsche’s Existential Counter Traditionally, existentialism claims that the individual creates their own value. The nature of our freedom allows this to be possible. Through one’s own individuality, “freedom, on Nietzsche’s account, is [...] a self-relation that is inexplicable in natural terms: holding oneself to self-imposed standards” (Guay 309). Existential choice requires only that the individual uses their freedom to make their own meaning. Precisely because morals and values are historically ambiguous is the reason why one must create their own. The history of humanity has created “so monstrous a mode of valuation [...] as one of the most widespread and enduring of all phenomena” (Nietzsche 117). Blind acceptance of these values is wrong and must be corrected by the individual creating their own values and meaning. They must have self-imposed standards that are not dictated by the commonly accepted norms in society. One accomplishes this entirely alone. They do not require the validation or recognition of others to complete this task to form their own purpose.

Indeed it is true that every individual has this possibility. However, it is an overstatement to expect and/or trust that the individual will carry out their existential choice. Again, to cite Kierkegaard, “although every human being has the capacity to make an existential choice, it is the rare person indeed who does make such a choice” (Bernstein 98). Theoretically, it seems easy to agree that individuals create their own telos. Our freedom allows this to be possible, but recognition makes it attainable. Recognition, through the medium of intersubjective relationships, produces a more complete analysis of one’s self-image. Making an existential choice then becomes obtainable since it is informed by a positive self-relation brought about by recognition from others.

Moreover, meaningful decisions are validated by others. If one chooses their destiny, but it is not valued by others or validated, then it has no value; it is absurd. Against Nietzsche, de Beauvoir analyzes how “only [people] can rob [people] of the meaning of [their] acts and [their] life because it also belongs only to [them] alone to confirm it in existence, to recognize it in actual fact as a freedom” (88). To transform contingency into destiny requires that one’s self-chosen destiny be validated by others. This is done by measuring it against other’s existence.

One is not a radical individual, like Nietzsche proclaims, but rather possesses radical freedom.

It allows for one to transform their contingency into destiny within the boundaries of social context. With recognition, it will no longer be the rare person who succeeds in transforming contingency into destiny, but the common person. Societal dissatisfaction can be overcome by having existential choice be commonplace.

Conclusion The nature of modernity’s capitalistic society has created the condition for indeterminate possibilities that are yet bound by one’s social status. Following the greater, macro understanding of capitalism being modernity’s defining trait, recognition is necessary in order to achieve honest intersubjective relationships that validate oneself and build positive self-relations. However, a positive self-relation is not enough to overcome dissatisfaction, since individuals still live a contingent lifestyle within modernity. By transforming contingency into destiny, after creating positive self-relation and intersubjective relationships, the individual is able to overcome dissatisfaction. Through a radical existential choice, the individual produces their own destiny, which gives their life purpose.

Satisfaction is achievable throughout society by this successful combination.

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Alone, Heller and Honneth’s views are too narrow, focusing on the micro and macro respectively. The combination of their theories successfully rounds the other out in that they create a complete social prescription for satisfaction. By putting these two theories in conversation with one another, the exploration of a more substantial solution is possible that goes beyond just that of the traditional socialist and Marxist perspective. Importantly, this is done by first utilizing Honneth’s and then Heller’s theory. Given the discontent and general hesitation towards political movements such as socialism today2, this solution is relevant in offering a fresh, likable prescription to the diagnosis of dissatisfaction.

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“Today” is more commonly understood to be representative of postmodernity, not modernity. However, I refer to the present time as modernity, since that is the language used in my primary texts. Still, this raises the question: is my solution prescriptive to postmodernity as well as modernity? I would argue that yes, it is. If it was not, it would be irrelevant to dissatisfaction today. Yet, this is a larger analysis than I have time to address here. It is a question for further research.

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Works Cited Bernstein, Richard. “Existential Choice: Heller’s Either/Or.” Engaging Agnes Heller: A Critical Companion, edited by Katie Terezakis, Lexington Books, 2009. ProQuest Ebook Central, https://0-ebookcentral-proquest-com.read.cnu.edu/lib/cnu/detail. action?docID=1501790.

Bohman, James and William Rehg. “Jürgen Habermas.” The Stanford Encyclopedia of Philosophy, Fall 2017, Edward N. Zalta (ed.), https://plato.stanford.edu/archives/fall2017/entries/ habermas/.

Bykova, Marina F. “On the Philosophical Relevance of Marx›s Views Today.” Frontiers of Philosophy in China, vol. 9, no. 3, 2014, pp. 370–380. JSTOR, www.jstor.org/stable/43281428.

Accessed 7 Nov. 2020.

De Beauvoir, Simone. The Ethics of Ambiguity. Translated by Bernard Frechtman, Open Road Integrated Media, 1948.

Deranty, Jean-Philippe. “Marx, Honneth and the Tasks of a Contemporary Critical Theory.”

Ethical Theory and Moral Practice, vol. 16, no. 4, 2013, pp. 745–758. JSTOR, www. jstor.org/stable/24478779. Accessed 13 Sept. 2020.

Genzlinger, Neil. “Agnes Heller, 90, Hungarian Philosopher and Outspoken Dissident, Is Dead.”

The New York Times, July 30, 2019, https://www.nytimes.com/2019/07/30/world/ europe/agnes-heller-dead.html.

Guay, Robert. “Nietzsche and Freedom.” European Journal of Philosophy, vol. 10, no. 3, 2002, pp. 302-327.

Heller, Agnes. A Philosophy of History in Fragments. Oxford: Blackwell, 1993.

---. A Philosophy of Morals. Oxford: Basil Blackwell, 1990.

---. A Theory of Modernity. Wiley-Blackwell, 1999.

---. The Power of Shame: A Rational Perspective. London: Routledge & Kegan Paul, 1985.

Heller, Agnes, and Ferenc Féher. The Postmodern Political Condition. New York: Columbia University Press, 1988.

Honneth, Axel. The Struggle for Recognition: The Moral Grammar of Social Conflicts, Polity Press, 1995. ProQuest Ebook Central, https://ebookcentral-proquest-com.simsrad.net.ocs. mq.edu.au/lib/mqu/detail.action?docID=4029984.

Iser, Mattias. “Recognition.” The Stanford Encyclopedia of Philosophy, Summer 2019, Edward N. Zalta (ed.), https://plato.stanford.edu/archives/sum2019/entries/recognition/.

Levinas, Emmanuel. “Substitution.” The Levinas Reader, edited by Sean Hand, Blackwell Publishers, 1989, pp. 88-125.

Lysaker, Odin and Jonas Jakobsen. “Introduction: Recognition and Freedom: Axel Honneth›s Political Thought,” Recognition and Freedom: Axel Honneth’s Political Thought, edited by Jonas Jakobsen, and Odin Lysaker, BRILL, 2015. ProQuest Ebook Central, https://0ebookcentral-proquest-com.read.cnu.edu/lib/cnu/detail.action?docID=1936125.

Nietzsche, Friedrich. On the Genealogy of Morals, edited by Walter Kaufmann, Vintage Books, 1989.

Pensky, Max. “Social Solidarity and Intersubjective Recognition: On Axel Honneth’s Struggle for Recognition.” Axel Honneth: Critical Essays: With a Reply by Axel Honneth, edited by Danielle Petherbridge, BRILL, 2011. ProQuest Ebook Central, https://0-ebookcentralproquest-com.read.cnu.edu/lib/cnu/detail.action?docID=737757.

Rivero, Angel and Angel Prior. “The Concept and the Experience of Freedom: Hannah Arendt and Agnes Heller,” Agnes Heller and Hannah Arendt: A Dialogue, edited by Angel Prior and Angel Rivero, Cambridge Scholars Publishing, 2018, pp. 198-208.

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About the Author Abby Saether is a member of the class of 2021, with a double major in philosophy and English with a writing concentration. During her time at CNU, Abby became heavily involved in Phi Sigma Tau, the honor fraternity for philosophy students. She organized and hosted their annual Hoaglund conference in 2021 with her fellow members. She’s also been a tutor for the university’s Center for Academic Success for two years. Over her spring 2020 semester, Abby studied abroad at Macquarie University in Sydney, Australia where she took a social philosophy class that inspired this paper. Following graduation, Abby will be attending Georgia State University where she will pursue her Masters in philosophy. She hopes to become a professor of philosophy in the future.

“‘And We’re Still Talking About It’: Redefining Black Femininity Through Female Friendship and the Evolution of Microaggressions” Sydney L. Smith Faculty Sponsor: Dr. Margarita Marinova, Department of English

Abstract Aristotle’s creation of friendship theory during ancient times traditionally excluded all aspects of difference. Feminist interpretation and integration of friendship theory in literature isolated black women, forcing them to form their own movement and identity. The erasure of black women in all waves of the feminist movement has attributed to stagnation in representation of black women and friendship in mainstream contemporary literature and society. During the height of the civil rights movement, intersectionality among black women was emphasized and many stereotypical depictions of black women became prevalent and are well-known today.

Microaggressions can be used as a bridge to highlight the evolution of racial and gender injustice between the 1960s and the modern day as it remains relevant. It is necessary to reexamine and redefine black femininity to undermine the stagnation that has carried into contemporary society. Toni Morrison’s Sula and Angie Thomas’s The Hate U Give explore difference through microaggressions and trauma bonds and emphasize the female support group that has been made in response to it.

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We find ourselves having to repeat and relearn the same old lessons over and over that our mothers did because we do not pass on what we have learned, or because we are unable to listen. For instance, how many times has this all been said before? (Lorde).

In her article “Age, Race, Class and Sex: Women Redefining Difference” (1984), Audre Lorde addresses intersectional differences such as race, socioeconomic status, and gender that define and confine women. She further states that people emphasize difference for the simplicity of definition; but with no productivity behind it, intersectional individuals are forced to relive the lives their elders once did. When women are brought into the equation, historically speaking, black women are pushed aside and erased from the feminist movement.

According to Deborah King, “Black women have been feminists since the early 1800s, but our exclusion from the white women’s movement and its organizations has led many incorrectly to assume that we were not present in the (white) women’s movement because we were not interested in resisting sexism both within and without the black community” (70).

Particularly focusing on the 1960s, at the height of the civil rights movement, black women were forced to choose between racial and gender injustice. As white women became the face of the feminist movement, the same-sex support system that accompanied it gave rise to the incorporation of friendship between women in scholarship, literature, and media. This effectively diminished the importance of black femininity and friendship. Constant exclusion from the feminist movement forced black women to create their own movement considering the social issues of the time. Ivy Schweitzer addresses the issue of this inequality in her article “Making Equals: Classical Philia and Women’s Friendship”. She states that “it was women of color and lesbian theorists and activists who led the way in exposing the inequalities built into the notion of sisterhood and engaging in dialogues about the history of differences among women that affect friendship and collaboration” (Schweitzer 356). The unfortunate responsibility of inclusion was passed on to those in exclusion, a job that has not gotten easier over time.

As we reach the modern day, it is easy to forget the metaphorical ‘ugliness’ of the past with the assumption that black women are able to break the racial and gender boundaries set before them, but that could not be falser. These injustices have only evolved, leaving the concept of black femininity in the same intersectional ‘fork-in-the-road’ that was established and addressed in the 1960s. Was there room in the contemporary feminist movement for black women? What support system was there for them? Ultimately, what does it mean to be a black woman in contemporary society? The public face of black femininity is distorted with misconceptions of individualism, colorism, trauma bonds, racism, and overall disconnect between black women.

Like the feminist interpretation of friendship theory, the corresponding scholarship and interpretations of black female friendship needs to evolve. Using microaggressions as a bridge between the 1960’s and contemporary literature, I will examine and attempt to fill the void of lacking black female representation in friendship theory and bring the concept into mainstream literature. This is a massive task to take on, as decades of cultural stereotypes and racist agendas mold the definition of black femininity. To properly bring the concept of friendship into the modern day as it pertains to black women, means to expunge these stereotypes and agendas.

In critique of Aristotle and other foundational critics, I will begin by examining prominent theoretical and contextual factors and stating where they fall short. The reader can then use this bridge to objectively examine Toni Morrison’s Sula and Angie Thomas’s The Hate U Give through a close reading exploring difference through microaggressions and trauma bonds, redefining black female friendship in the process and emphasizing the support group that has been made in response to it. The goal of this research is not to undermine the political, social, and theoretical groundwork for the representation of black women, but to simply expand on it.

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From Aristotle to Black Feminism: A Brief History of Friendship Theory Friendship theory as we know it in contemporary literature is rooted in Greco-Roman ideals. Traditionally, friendship is based on public, political, and ethical guidelines, which makes it the optimal bond in society; however, women were not included within the framework. At its core, friendship theory is centered around the misconception that women are too emotional to maintain a substantial friendship, and that a heterosexual, romantic relationship is enough to fulfill the female desire for friendship (Schweitzer 348). Schweitzer describes traditional friendship framework as a voluntary, [non subordinating] affiliation; friendship typically implies parity, symmetry, spirituality, and self-affirmation through a rational form of desire and free choice rather than hierarchy, physicality, and self-loss or self-dilution through irrational and uncontrollable passion or forced alliance (340). Ancient theorists were obsessed with ‘likeness’, meaning that the ideal friendship essentially reflects a mirror, where the two see the self within each other. This subsequently led to the rejection of the ‘other’; but what defines ‘otherness’?

During this time, the classification of ‘other’ is given to an individual who differed in political, social, economic, physical, and racial ways. Inequality within a power structure is seen to host an unequal friendship as well. This refers to servants and masters and fathers and sons. Aristotle states that “Differences arise also in friendships based on superiority; for each expects to get more out of them, but when this happens the friendship is dissolved” (Ross).

Aristotle’s understanding of friendship in Nicomachean Ethics categorizes three main types of friendship: utility, pleasure, and virtue. Friendships based on utility are typically shortlived, and the emphasis on equality does not have to be present. If the pair remains useful to one another, they will interact with each other. Friends of pleasure are based on mutual enjoyment, commonality, and sometimes phenotype. These friendships are also traditionally short-lived, do not adapt well to change, and can be sexual in nature. The third type of friendship, virtue / ideal, Aristotle describes as perfect. According to W.D. Ross’s translation of Nicomachean Ethics, perfect friendship is the friendship of men who are good, and alike in virtue; “for these wish well alike to each other qua good, and they are good themselves”. In the ideal friendship, both parties benefit in different ways, but it is not the core of the relationship. It is rare, long-lasting, and the two can mold each other for the greater good. As the theory evolved, other ancient philosophers like Cicero incorporated their thoughts as well. Cicero believe that friendship with the ‘other’ emphasizes trust and admonition. Corresponding literature in this time reflects these ideals. For example, the friendship between Achilles and Patroclus in The Iliad represents the theory as it was known.

In the first and second waves of the feminist movement, the inclusion of women meant recognizing difference between upper-class white men and women. During this time, friendship for middle and upper-class white women served as an emotional and intimate outlet, geared towards better preparing the woman for marriage and motherhood. Through life-writing, the recollection of experiences, memories, and spiritual progress, white women possess the key to showing the true ‘self ’ within their friendships as Aristotle described. While this is an improvement, including women into the ideal friendship based on their theoretical equality with (mirroring of, being the same as) men, we reinscribe masculine norms and ignore differences that characterize many women’s realities. (Schweitzer 348). By introducing the binary between men and women, a new dominant / submissive binary is created. The creation of a new hierarchical system, labeled ‘sisterhood’, meant women who belonged to a lower economic, sexual, and racial class were not afforded the privileges of friendship, thus emphasizing a new type of difference, placing black women on the bottom.

Presumably, black women are supposed to be included in this new ‘sisterhood’ concept; however, they become further marginalized in the process. The call for unity that ‘sisterhood’ provides is misdefined as homogenous, making black feminism seem as a “betrayal of our common interests as people” (Lorde). The invisibility of black women in the feminist movement

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led to the cultural signifier tying white women to feminism and black women to civil rights. As Deborah King explicitly states in her article, “Multiple Jeopardy, Multiple Consciousness: The Context of a Black Feminist Ideology”, the experience of black women [in society] is apparently assumed, though never explicitly stated, to be synonymous with that of either black males or white females; and since the experiences of both are equivalent, “a discussion of black women in particular is superfluous” (45). The survival of the black woman and her femininity was determined by her ability to use the economic, social, and cultural resources within the black and dominant white community.

At the same time, it became normalized for black women to assume roles within the feminist movement that patriarchal American society would deem atypical. Black women were not afforded the luxuries and freedoms to nurture and develop their femininity through support groups, as they were too affixed on survival. In addition to the differences between white and black women, a particular stereotype of strength in black women dominated mainstream culture throughout the feminist movement in its entirety. Shardé M. Davis and Tamara D. Afifi discuss the association between black women and strength in their article, “The Strong Black Woman Collective Theory’’. They argue that while strength shows adaptability and is a powerful tool for surviving and navigating ‘post-racist’ society as a black woman, “[it has] historically been an insidious determinant of Black women’s degenerative well-being” (Davis and Afifi 2). This image dually functions as a progressive and oppressive state for black women. Strength, and the recurring bouts of strength, establishes unnatural expectations for black women amongst the black community. Black women are ‘supposed’ to be strong against all odds within their everyday lives. This promotes an “unattainable standard of invulnerability and independence”, which erases the image, importance, and need for black female friendships and support from the face of the movement. On the offset to this, black women’s perception of strength allowed white women the safe space to remain vulnerable. In literature, it is painstakingly common to see white women experiencing the luxuries of femininity and friendship while black women are depicted to be singularly focused on survival.

As a response, black women began to create their own meaning of femininity and friendship, thus introducing the ‘consciousness-raising’ document. Consciousness-raising documents were popularized in the 1960s and were a form of activism used to call attention to a wider group or cause. Brian Norman discusses the topic of race consciousness within the feminist movement through the consciousness-raising document in his article “The ConsciousnessRaising Document, Feminist Anthologies, and Black Women in Sisterhood is Powerful”. He states that anthologies like the consciousness-raising document that included black voices during the second wave of feminism “grew out of an impatience with the half-hearted go-along attempts of Black women caught up in the white women’s liberation groups around the country” (Norman 57). Collections of poems, essays, manifestos, and ideologies from black voices are drawn to not generalize the experience of the black woman, but to spread awareness and discuss the realities of their everyday life. The emphasis is on making connections between differences amongst women to further evolve as a movement. Lorde, a pioneer during the second wave of feminism, notes that “it is not those differences between us that are separating us. It is rather our refusal to recognize those differences, and to examine the distortions which result from our misnaming them and their effects upon human behavior and expectation”. In contemporary society and literature, the lack of recognition is still relevant, thus emphasizing the stagnation of representation of black femininity.

Moving to the post-secondary and into the third wave of feminism, the idea of difference is expanded upon. By simply identifying difference, (the goal of the previous movements) and not invoking much change, the social, economic, academic, and sexual gap between white and black women is widened. Moreover, the existence of difference solidifies a hierarchical structure emphasizing the false notion that oppression is exclusively related to gender. Ironically, in the

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grand scheme of the movement, the second wave of feminism did little to further it along. Even in contemporary literature, discussing black femininity and friendship is considered a taboo subject. Audre Lorde reiterates this point in her article by stating: The literature of women of Color is seldom included in women’s literature courses and almost never in other literature courses, nor in women’s studies as a whole. All too often, the excuse given is that the literatures of women of Color can only be taught by Colored women, or that they are too difficult to understand, or that classes cannot “get into” them because they come out of experiences that are “too different”.

The fear that many white women have when it comes to discussing black femininity is a product of the racially dominated power structure that has benefited them for decades. On the other hand, the fear that black women have when they discuss themselves is the result of decades of nonconsenting silence and erasure by the same power structure that dictated white women in power. Like the white women Lorde addresses in her quote, we as black women are afraid of being “too different”. Refusing to discuss issues that do not align with your own contradicts the purpose of the feminist movement, leaving white women in blissful ignorance. As a result, the black feminist movement was established in the 1960s.

The focal point of black feminism in the third wave of the movement is the overall health of black women. This includes mental, physical, social, economic, and sexual factors that were initially ignored in the previous waves. Ula Taylor discusses this in her article, “Making Waves: The Theory and Practice of Black Feminism”. Reactions within the black community to stereotypical depictions like those of the ‘strong black woman’ image steer black women away from seeking the help they need. Simultaneously, literature and media attention shifted to black males and the struggle against police brutality. “Currently, the media tends to portray the “crisis of the black male” as if black women were healthy and doing well” (Taylor 24). Preservation of images like ‘the strong black woman’ enforces individualism by implying that black women are supposed to endure the many things society throws at them with a supernatural mindset.

Although contemporary society may not see black women as such, we are human beings with human needs. Recognizing the lack of support within the black female community sparked the rise of self-help groups that would ideally meet for life, as self-growth is seen as an ongoing process. Alice Walker, the author of The Color Purple, introduced womanism, which serves as an interchangeable term for black feminism. The theoretical construct has become incredibly popular within the black female community as it allows black feminists to pick and choose which aspects best aligns with their overall views. In general, it is a cultural movement that foremostly includes a black / woman of color, who appreciates, loves, and “prefers” women’s culture and culture of the self (Taylor 26).

Many of those ideas are reflected in the plot of Sula, which centers around the unusual and atypical friendship between Nel Wright and Sula Peace as they grow up in Medallion, Ohio.

Traumatic events that occur in adolescence firmly bring the two together and mature into something more sinister. The novel does a brilliant job of dismantling gender expectations, the concept of morality, black patriarchal society, and redefines what it means to be a friend. While the novel primarily takes place in the 1930s, Toni Morrison was writing this during the 1960s.

Representative of contemporary literature, The Hate U Give follows the story of Starr Carter, a sixteen-year-old girl who witnesses the unjustified murder of her childhood friend, Khalil, at the hands of a white police officer. This tragic event effectively turns Starr’s world upside down, as she tries to navigate through her liminal world of attending a predominantly white private school while living in a poor, predominantly black neighborhood. The urge to speak out against this injustice overtakes Starr’s purpose in the novel and the social tensions that surround this decision complicate, test, and redefine the relationship that she has with her childhood friend, Kenya. Through their interaction and the familiar support Starr receives, by the end of the novel

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she has a better understanding of herself and the power her voice has.

Upon closer inspection, Sula and The Hate U Give are more similar than one might realize. Even though the bulk of Sula takes place within the 1930s and The Hate U Give in 2017, society’s interaction with and treatment of black women are the same. Both novels explore black women’s response to traumatic events within the black community and they showcase the different forms black female friendship can take. Furthermore, I argue that Toni Morrison’s decision to narrate Sula within the 1930s versus the 1960s when the book was written only emphasizes the significance of the story that defines black femininity. Black women have always been depicted with unattainable strength, adaptability, stoicism, and individualism by societal standards. Until the stereotype is changed, we will always be seen this way in society. Throughout the three waves of feminism and movement towards social equality, the representation of black women in literature has remained stagnant in time.

Terminology Several terms must be clarified before I proceed with my exploration of critically neglected aspects of the two novels. ‘Double consciousness’, ‘microaggression’, and ‘trauma bond’ have flexible definitions and intentions as they relate to the narratives of Sula and The Hate U Give. Moreover, these terms have different cultural impacts for black women in the 1960s in comparison to those in contemporary society.

‘Double consciousness’ is a term that originated in W.E.B. Du Bois’s The Souls of Black Folk in 1903. In its original form, the term describes the sense of looking at oneself through the eyes of another. In a ‘post-slavery’ society, the experiences and perceptions of black individuals is both intimate and generalized. Du Bois’s intent was to merge both selves into a singular, true self. Springing forward to 1972, Frances Beale, a founding member of the Women’s Liberation Committee of the Student Nonviolent Coordinating Committee, transformed double consciousness into double jeopardy, which takes Du Bois’s definition and adds a gender component. In 1960s society, they were not just black; they were female and black.

In contemporary society, the experience and perception of black people and black women is shifting. In the past, we were seen as slaves and lynched from trees. Today, we are not afforded equal career opportunities and are being shot in the streets.

A ‘microaggression’ is a nonviolent, subtle racist act or comment. Typically, they are unintentional and unconscious. What makes microaggressions so harmful are its lasting impacts on the marginalized group or individual. In reference to black women, microaggressions force black women to question their identity and significance in society. Historically, posting ‘whites only’ on water fountains, building entrances, and train sections are considered microaggressions.

In Sula, the term can be applied to the rumor that Sula slept with white men and the social backlash she receives from that. In The Hate U Give, microaggressions are shown through the implication that Starr loves fried chicken and the lack of support she receives from her white classmates after the death of her childhood friend because of his past ‘thug-life’ persona in the media.

A ‘trauma bond’ is a severe emotional attachment between two individuals because of repetitious cycles of abuse and struggle. Normally, these bonds have periods of healthy engagement so those who are in a trauma bond are resistant to change. A trauma bond can be formed between the abuser and the abused or two individuals who form a connection through similar trauma. This type of bond is the stereotypical framework for black female friendship.

Abuse, survival, exploitation, and religious constraints is not seen as an issue, but everyday occurrences in the black community. So, applying the term to 1960s social norms is a new concept. In Sula particularly, the mistreatment that women faced at the hands of their husbands was treated as a normal occurrence, a societal expectation even. In The Hate U Give, the death of Khalil brings Starr and Kenya back together, rekindling the relationship that was strained

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once Starr began going to a new school. This event also exposes the traumatic nature of Starr’s relationship with her other white friends at school.

Exploring Difference, Trauma Bonds, and Microaggressions in Sula and The Hate U Give

To expand on Audre Lorde’s point on difference, black women need to be depicted in fictional situations that are culturally exclusive to white women. Difference does not have to carry a negative connotation. This means seeing more black women who happen to be vampires, witches, hopeless romantics, with well-developed story lines and redemption arcs.

For example, to further alienate Sula from the rest of The Bottom, the residential town in Sula, spooky, and sometimes sacrilegious events occur whenever Sula comes into town: “Mr. Finley sat on his porch sucking chicken bones, as he had done for thirteen years, looked up, saw Sula, choked on a bone and died on the spot” (Morrison 114). The implication that Sula’s presence causes death and destruction to The Bottom without physical action transcends her character.

Although tragic things occur, Sula’s indirect influence causes the citizens of the town to become better individuals within their circle of influence. By incorporating elements of the supernatural into Sula, Toni Morrison proves that depicting black women in unconventional ways can be successful.

In “Something Else To Be”: Examining the Spirit of Friendship in Toni Morrison’s Sula”, Tangela La’Chelle Serls discusses the self-actualization of Nel and Sula and the cultivation of their own reality. She states that society’s oppressive constructs make it difficult, if not impossible “for the [black female] subject to journey towards autonomy in isolation (Serls 25).

In Sula, Nel and Sula are the definition of difference. Their physical appearance, home life, and moral standards are all different. Nel comes from a well-structured family that grooms her to perfectly assimilate into the life of not only a black woman, but a black wife. Any possibility of individuality is soaked up by her mother: “She loved her house and enjoyed manipulating her daughter and her husband. She would sigh sometimes just before falling asleep, thinking that she had indeed come far enough away from the Sundown House” (Morrison 18-19). Sula comes from an unruly home of women who take pride in their sexual promiscuity and are devoid of physical and emotional support. Sula’s mother, Hannah, is too busy to raise her and her siblings in the traditional sense, so she has an abundance of time to foster a unique perspective of life.

“Under Eva’s distant eye, and prey to her idiosyncrasies, her own children grew up stealthily” (Morrison 41). Consequently, Sula develops these same traits.

By Aristotle’s definition of friendship, Nel and Sula would be considered unequal, which would not be an ideal / virtuous friendship. However, through the chaos of difference, Nel and Sula can understand each other and themselves in a way that others cannot, thus having a friendship that is purer than a virtuous one. Their friendship becomes a sanctuary where each girl can explore the possibilities of becoming something other than black women in a poor, racist, misogynistic, urban community in Medallion, Ohio. Naeem Nedaee and Ali Salami note in their article “Toward an Affective Problematics: A Deleuze-Guattarian Reading of Morality and Friendship in Toni Morrison’s ‘Sula’” that the separate but connective disappointment with their mothers cause Nel and Sula to have a lost sense of belonging. They try to compensate for this loss “in one another’s company where they can “afford to abandon the ways of other people and concentrate on their own perceptions of things” (Nedaee and Salami 125). Their point is emphasized in the novel when Morrison states that Nel and Sula found relief in each other’s personality (53). As the two grow older and pursue opposite paths in life, at the surface level, the pair seem to represent the binary of good and evil. Nel’s decision to get married and have a family follows the traditional, ‘good’ aspect of the binary and Sula’s decision to go to college and live vicariously represents the ‘evil’ aspect of the binary. Sula concretes her ‘evilness’ by sleeping with Nel’s husband, despite the bond they share. “Ironically, it is with the same kind of awareness—the consciousness of her desires and her friendship—that Sula sleeps with her

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best friend’s husband. Sula’s dismissal and breaching of normative morality comes into conflict with Nel’s conception” (Nedaee and Salami 122). Although Nel is traumatized by Sula’s actions, when Sula falls ill at the end of the novel, Nel is the only one to come to her aid. This proves that even with their moral and physical difference, which would not be recognized by Aristotle, they still maintain a virtuous friendship.

In The Hate U Give, unlike Sula, the physical differences between Starr and Kenya are minimal but significant. Kenya is depicted to be the personification of what complete immersion into Garden Heights, the community they both grew up in, looks like. This comes with stereotypical beauty standards as well: Kenya could be a model, if I’m completely honest. She’s got flawless darkbrown skin-I don’t think she ever gets a pimple -slanted brown eyes, and long eyelashes that aren’t store-bought. She’s the perfect height for modeling too, but a little thicker than those toothpicks on the runway. She never wears the same outfit twice (Thomas 4).

Unlike Kenya, Starr is more self-conscious of her body and beauty and takes more comfort in covering her body. Moreover, Thomas does not even bother to describe what Starr looks like. The reader ties her identity to her affinity and obsession with sneakers. Whenever her appearance is mentioned in the novel, a sneaker is involved. “My Jordans are comfortable, and d***, they’re new” (Thomas 4). I interpret Thomas’s choice to do this to further emphasize that in the story of black female activism, looks are not as important. Starr’s story is one of many women before her, and many women after her, so describing her minimally makes her more relatable to the reader’s experience. This also ties into the wavering confidence that Starr possesses.

Unlike Kenya, Starr is not truly comfortable with all the aspects of her identity because in her two environments, she must be two different people. To emphasize this, Starr identifies herself as “Williamson Starr” whenever she is around white people, even if those people are her close friends. In her article “Adolescence, Blackness, and the Politics of Respectability in Monster and The Hate U Give,” Gabrielle Owen claims that “we see a number of moments where Starr should get angry but doesn’t for fear of how she will be perceived” (251). The first example of Starr’s fear is on the first page of the novel, which is significant as it sets the standard for the rest of the narrative. “Stop following me and go dance, Starr”, Kenya says. “People already say you think you all that” (Thomas 3). The same fear can be seen again later in the novel when she tries to work through her emotions about meeting with the police: Williamson Starr holds her tongue when people piss her off so nobody will think she’s the “angry black girl”. Williamson Starr is approachable. No stankeyes, side-eyes, none of that. Williamson Starr is nonconfrontational. Basically, Williamson Starr doesn’t give anyone a reason to call her ghetto (Thomas 71).

The fear that Starr possesses directly relates to the double consciousness of her identity. She prioritizes her perception over personal satisfaction, while Kenya does the opposite. When Khalil is murdered, Starr initially refuses to speak out, allowing her more palatable aspect of herself dictate her instinctual feelings of pain, anger, and grief. In his article “Finding the ‘Herstorical’ Narrative in Angie Thomas’s The Hate U Give”, Adam Levin states that Starr’s ‘color-blindness’ is shown in her adherence to conducting white acceptance. “Her status within their world is based on how effectively she distances herself from her Blackness” (Levin 154). Through their friendship, Kenya motivates Starr to speak out against the injustices involving Khalil’s murder and the racially insensitive actions of her friends at her school. This brings Starr closer to the other aspect of her identity that she was previously neglecting: “I’m just saying Starr…Here you are, with a chance to help change what happens in our whole neighborhood, and you staying quiet.

Like a coward” (Thomas 197). By the end of the novel, Starr embraces her black femininity and rejects the white-normative standards of beauty. She learns that it is okay for her to show anger, for her voice to be heard, and more importantly, her opinions matter.

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Double consciousness is shown in Sula as well with a specific focus on gender.

Unlike Starr and Kenya, Nel and Sula are more restricted by societal gender expectations. To Nel’s distaste, Sula takes advantage of gender constraints and redefines herself as having both masculine and feminine tendencies. During the pairs final meeting, Nel states that because of the color of her skin, Sula cannot “have it all” by acting in a manner that promotes isolation and individualism. She strictly ties femininity with maternal instinct. “You say I’m a woman and colored. Ain’t that the same as being a man?” (Morrison 142). Sula takes pride in being this way, claiming that the only thing of relevance is her mind as it is distinctly hers. Unlike Nel, Sula does not allow the actions of others to project onto her consciousness. In her mind, by doing so, one is truly lonely. “Now your lonely is somebody else’s. Made by somebody else and handed to you. Ain’t that something? A second hand lonely” (Morrison 143). For both sets of women in these two novels, friendship, like identity and the concept of self, is not a concrete object. It cannot be felt as it is a question of “prepersonal intensities, relations, and movements” (Nedaee and Salami 129). For most black women in literature, the relations Nedaee and Salami reference are ones rooted in trauma.

Elements of trauma are uniquely depicted in Sula and The Hate U Give by adding an adolescent component. The harsh and grotesque situations and decisions the characters must make makes it easier for the contemporary reader to forget that these characters are still children.

Although Sula follows the life of its two main characters, the bulk of their trauma occurs during adolescence and influences their development into adulthood.

Toby Rollo argues that it is not the exclusion from childhood but rather the alignment of blackness with childhood, in which black people are perceived as biologically grown but without “mature intelligence and self-control,” that perpetuates notions of criminality and deviance recurrent in antiblackness (310) (Owen 240).

In relation to Nel and Sula’s childhood, they are pre-destined to be exposed to trauma. After her husband abandons his family, Sula’s grandmother must presumably sell one of her legs to provide for her children. Eva’s stoic and survival-fueled mindset means that her children lack emotional intelligence that carries into the next generation of Peace women. To expand on Toby Rollo’s statement in Owen’s article, what the public perceives as a “lack of mature intelligence and self-control” is a cry for help. Desensitization is inevitable for Sula, as she is eventually able to witness her mother burn to death without flinching. I argue that this was due to Sula’s first encounter of trauma which comes when she overhears how her mother truly felt about her.

“Sure you do. You love her, like I love Sula. I just don’t like her. That’s the difference” (Morrison 57). The trauma bond is consummated between Nel and Sula after Chicken Little’s death. At his funeral, the two reflect on the incident in an intimate way: “At first, as they stood there, their hands were clenched together. They relaxed slowly during until the walk back home their fingers were laced in as gentle a clasp…” (Morrison 66). Intimacy becomes vastly important for the connection between Nel and Sula as they reach adulthood. Sula’s ultimate betrayal of Nel’s friendship and Nel’s eventual forgiveness perfectly depicts how problematic trauma bonds amongst black women are. Morrison raises a complex question of friendship and morality: “What do you mean take him away? I didn’t kill him, I just f***** him. If we were such good friends, how come you couldn’t get over it?” (145). Ultimately, Morrison depicts that female friendship rooted in trauma should survive above all circumstances. This is shown through her decision to have Sula call for Nel in the afterlife and Nel’s realization that it is Sula, not Jude that she truly needs. “We was girls together, she said as though explaining something. “O Lord, Sula,” she cried, “girl, girl, girlgirlgirl” (Morrison 174).

In the forward of Sula, Morrison states that she was invested in exploring sexual freedom, its consequences and escaping conventional society on [black] female friendship.

“Some of us thrived; some of us died. All of us had a taste” (Morrison xvii). While Morrison

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attempts to redefine black female friendship, the damage the novel depicts is received poorly for contemporary representation. Women who sleep with the husbands of those they consider friends cater to the stereotypical depiction that has defined black women for years. That allows for contemporary expectations and representation of broken black families and seductive women which opens another layer of trauma.

In The Hate U Give, Khalil’s death is not the only traumatic experience that ties Starr and Kenya together. Starr’s father, Maverick, cheats on her mother, Lisa, with Kenya’s mother, Iesha. Maverick’s adultery produces Seven, the half-brother of Starr and Kenya. Inadvertently, this is a common scenario in contemporary representation that Morrison was interested in exploring. Who stakes claim to Seven becomes the epicenter of friendship and friction for both girls. For the first half of the novel, Starr and Kenya exhibit a ‘frenemy’ relationship despite Starr claiming it being easy to connect with Kenya. “It’s easy to hang out with Kenya because of our connection to Seven. She’s messy as h*** sometimes, though. Always fighting somebody and quick to say her daddy will whoop somebody’s a**” (Thomas 5). The two predominately communicate through sarcastic and contradictive remarks and signs of affection. A key example of this is Kenya’s contradictive statement that Starr is dually stuck-up and lucky to be going to Williamson, and again when Starr seeks her approval for her new Tumblr page. “I roll my eyes.

That’s about as close as I’m gonna get to a compliment from her. I text her back. I love you too” (Thomas 211). The two bicker over irrelevant things like who has the right to call Seven “theirs” and if the other is wearing his clothes: “There she goes calling Seven “my brother” like she’s the only one who can claim him. It’s annoying as hell” (Thomas 43). When a bigger, social issue arises in the novel, Starr and Kenya settle their differences and unite against social inequality: “Of course he’s our brother, I’m extremely sorry for acting like he wasn’t yours too” (Thomas 367). Unfortunately, Khalil’s death serves as a catalyst for change. Prior to the event, Starr assimilates herself into the stereotypical lifestyles of her classmates at school and she is disconnected from the social inequalities that are outside her front door. Recognizing traumatic and communal narratives is as crucial to the movement as focusing on white violence against black bodies. “In allowing her Black female readers to bear witness to the evolution of Starr’s ‘fight’ through the way she makes her ‘herstory’ public, Thomas creates a space for them to reflect on how they themselves could participate in this ‘fight” (Levin 161). While Starr’s story is inspiring, everyone may not want to be the face of activism. The popular notion within the black community is that one must be on the front lines to be influential; however, the same goal can be achieved within your individual circle of influence. I argue that the primary focus of the black female is the protection of her personal circle, which includes undermining and correcting microaggressions when they come across them.

From being asked if our natural hair can be touched to being told that we ‘talk white’, the exposure and interaction with microaggressions is not a new concept for black women.

Since the impact of microaggressions is primarily internal, they can be hard to identify by the subject and the objectified. When the racist comment is called out, white women have the racial privilege to minimize and deemphasize their statement. By making the comment more palatable to themselves and black women, racism continues and turns back to the black woman. Labeled as “overly sensitive, out of contact with reality, and even paranoid”, introspection unjustly occurs (Davis 135). Like myself, many black women have regressed to silence and dismissal, because the overarching racist social structure is too big of a hassle to take on. As a black woman, you learn to pick your battles.

Where does one draw the line? The exposure and eventual erasure of the microaggression can be seen within the support system black women provide for themselves. By taking the stereotypical ‘Strong Black Woman’ image and using it to our advantage, strength regulation has become a method of support between women. Strength creates a situation where black women socialize with one another to imitate and reproduce their own subordination (Davis

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and Afifi 3). According to Shardé M Davis, black women are more apt to disclose their troubles to other black women. Within the sacred space of other black women, they can expose their true selves and receive validation for doing so (135). In her article, “When Sistahs Support Sistahs: A Process of Supportive Communication about Racial Microaggressions among Black Women”, she emphasizes the need for black female support groups and studies how different age groups respond to microaggressions. She concludes that in addition to the perseverance that accompanies old age, societal factors build resilience. Women who were in the middle of the Civil Rights Movement, exposed to physical and verbal assault, will not respond as negatively to microaggressions like a younger black female would. An example of this support system occurs in The Hate U Give. Immediately following the death of Khalil, Kenya serves as a safe space for Starr to vent her issues and comforts her as she does so: “It hurts. Kenya says what I can’t…

Kenya pops her Hot Cheetos open and holds the bag toward me. Comfort food… We munch on Cheetos. Khalil’s supposed to be here with us” (Thomas 43). In Starr’s time of need, Kenya provides non-verbal support and strength regulation by sharing a snack. They bond together through the memories of the past and can get through the traumatic situation together.

Filling the Void: Reimagining Black Female Friendships in Contemporary Society “All the communities, then, seem to be parts of the political community; and the particular kinds friendship will correspond to the particular kinds of community” (Ross). In critique of Aristotle, the community that black women reside in is too complex to define. It does, however, correspond to the types of friendship depicted within the community, which are just as valid and virtuous as the traditional community and friendship. To modernize the image of the black female in society and literature, we must stop responding to microaggressions through humor, laughter, and blatant ignorance. Too many social situations have turned into a self-deprecating joke. Acknowledging racism in this way continues to feed power into the system that has oppressed black women for generations. Inadvertently, younger women are encouraged to end the conversation, distance themselves from the aggressor, and educate them on their wrongdoings (Davis 143). But this responsibility should not start and end with black women. Simply acknowledging difference for the sake of doing so is not enough for validation and representation. This method continues to feed into the power structure that confines black women and their representation into a bubble. As modern feminists, we should correct and steer away from works that contain prejudiced views, intentional or not. In literature, when representation occurs, it should not be centered around racial injustice, abusive/dysfunctional relationships, or within a submissive binary that is more acceptable and palatable to a white audience. Friendships between black women are just as sacred as those between white women and deserve to be shown in a positive light.

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Works Cited Davis, Shardé M. “When Sistahs Support Sistahs: A Process of Supportive Communication about Racial Microaggressions among Black Women.” Communication Monographs, vol. 86, no. 2, June 2019, pp. 133–157. EBSCOhost, doi:10.1080/03637751.2018.

1548769. Accessed 24 Feb. 2021.

Davis, Shardé M., and Tamara D. Afifi. “The Strong Black Woman Collective Theory: Determining the Prosocial Functions of Strength Regulation in Groups of Black Women Friends.” Journal of Communication, vol. 69, no. 1, Feb. 2019, pp. 1–25. EBSCOhost, doi:10.1093/joc/jqy065. Accessed 7 Apr. 2021.

King, Deborah K. “Multiple Jeopardy, Multiple Consciousness: The Context of a Black Feminist Ideology.” Signs, vol. 14, no. 1, 1988, pp. 42–72. JSTOR, www.jstor.org/ stable/3174661. Accessed 15 Mar. 2021.

Levin, Adam. “Finding the ‘Herstorical’ Narrative in Angie Thomas’s The Hate U Give.” English Studies in Africa, vol. 63, no. 1, 2020, pp. 148–166., doi:10.1080/00138398.2020.

1780762. Accessed 7 Apr. 2021.

Lorde, Audre. “Age, Race, Class and Sex: Women Redefining Difference.” Blackboard , Sister Outsider Crossing Press , Apr. 1984, scholar.cnu.edu/webapps/blackboard/execute/ content/file?cmd=view&content_id=_1168036_1&course_id=_793580_1. Accessed 8 Apr. 2021.

Morrison, Toni. Sula. Vintage Books, 2002.

Nedaee, Naeem, and Ali Salami. “Toward an Affective Problematics: A Deleuze-Guattarian Reading of Morality and Friendship in Toni Morrison’s ‘Sula.’”Atlantis, vol. 39, no. 1, 2017, pp. 113–131. JSTOR, www.jstor.org/stable/26330873. Accessed 15 Mar. 2021.

Norman, Brian. “The Consciousness-Raising Document, Feminist Anthologies, and Black Women in Sisterhood is Powerful.” Frontiers 27.3 (2006): 38,64,158. ProQuest. Web. Accessed 21 Mar. 2021.

Owen, Gabrielle. “Adolescence, Blackness, and the Politics of Respectability in Monster and The Hate U Give.” The Lion and the Unicorn, vol. 43 no. 2, 2019, p. 236-260. Project MUSE, doi:10.1353/uni.2019.0021. Accessed 9 Apr. 2021.

Ross, W.D., translator. “Nicomachean Ethics”. By Aristotle, 350 B.C.E. Norton Book of Friendship, edited by Eudora Welty and Sharp, Norton, 1991. Accessed 22. Mar. 2021.

Schweitzer, Ivy. “Making Equals: Classical Philia and Women’s Friendship.” Feminist Studies, vol. 42, no. 2, 2016, pp. 337–364. JSTOR, www.jstor.org/stable/10.15767/feministstudies.42.2.0337. Accessed 7 Apr. 2021.

Serls, Tangela La’Chelle. “Something Else To Be”:Examining the Spirit of Friendship in Toni Morrison’s Sula”. The Spirit of Friendship: Girlfriends in Contemporary African American Literature. Order No. 10643293 University of South Florida, 2017. Ann Arbor: ProQuest. Web. 22 Mar. 2021.

Taylor, Ula Y. “Making Waves: The Theory and Practice of Black Feminism.” The Black Scholar, vol. 28, no. 2, 1998, pp. 18–28. JSTOR, www.jstor.org/stable/41069774. Accessed 8 Apr. 2021.

Thomas, Angie. The Hate U Give. HarperCollins, 2017.

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About the Author Sydney Smith is a member of Christopher Newport Class of 2021, with a major in English Literature and a minor in Childhood Studies. Sydney is a member of Sigma Tau Delta, and after graduation, she plans on furthering her education at Christopher Newport in the MAT program. She one day hopes to earn her PhD and teach at the collegiate level. When not in class, Sydney enjoys spending quality time with her family and at the mall, where she adds to her never-ending shoe collection.

“Psychosocial Development in Disney Music: The Impact of Childhood Favorites” Madelyn Tatum Faculty Sponsor: Dr. Michelle Lange, Department of Psychology

Abstract The combination of powerful music arrangement and lyrical phrases possess the power to deeply connect with the listeners. Artists often compose music reflecting on their personal journey and developmental stages. Over the past seventy years, the Disney film industry has produced cinematic masterpieces that incorporate musical elements. Indeed, the music aids in the character development as the individual sings about any pressing crises in their life and how they choose to overcome the situation. Although directed to a younger audience, Disney music attracts listeners of all ages in all stages of psychosocial development, connecting the music to their own circumstances for motivation and empowerment. Across three stages of Disney eras, the franchise develops characters with various goals, desires, and life purposes, using the music to express these achievements. The three eras, Classic, Renaissance, and Modern, will be analyzed through the following songs: “A Dream is a Wish Your Heart Makes” in Cinderella, “Part of Your World” in The Little Mermaid, and “Let it Go” in Frozen. Audiences of different stages of development will gain individual perspectives of these lyrics and may use them as motivation for overcoming their own life crises.

Keywords: Disney music, psychosocial development, film soundtrack

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Psychosocial Development in Disney Music: The Impact of Childhood Favorites Traditional composition of music targets a specific audience with regard to their age group, stage of life, and cultural background. Music can identify people based on nostalgia, race, religion, shared life experiences, lyrics, melodies, and arrangements that manage to attract a variety of individuals possessing the ability to connect a community of listeners. However, the film industry in particular must write music for their specific audiences to shape their perspective of the character development and plot events (Green, 2010). Within a film, music’s primary functions include: conveying of emotion, connection to themes, and suspension of reality (Green, 2010). Through music, the audience can better envision the perspective of the character through their vulnerability and musical self-expression. In order to capture the attention of the audience, the film targets a specific group of listeners who will connect to the intricate combination of plot development and music.

As films direct their music to their particular audience, they can use the lyrics, melody, and overall composition to convey specific details of the film. In fact, a goal of many musical pieces in films is to manipulate the emotional experience of the audience so they can connect to the event or character stronger than through a dialogue or scene (Fischoff, 2005). If the general audience can connect through a shared experience or theme, the music becomes an effective tool for the film’s progression; the emotional tie with the audience links their own personal journeys in development and life to the character or plot.

Background of Disney Music

Born in Chicago in December 1901, Walter Elias Disney originally established the Disney brand (Bryman, 2003). Walt began a journey to the film, theme park, and entertainment industry in 1919 when he worked as a cartoonist following his service in World War I. In the 1920’s, he began creating short advertisements by moving cartoons, but grew unsatisfied with the amateur method used. After receiving the necessary financial backing, Walt and his brother Roy created the Disney Brothers Cartoon Studio, in which Walt used his artistic vision and talent for animation (Bryman, 2003). He began writing story-lines and eventually renamed the organization the Walt Disney Company to attract a greater audience through a single identity.

Over the course of a century, the franchise exploded and entered American households across the country. Theme parks, animated movies, television shows, and even streaming services all came to exhibit the brand of Disney. In each of these spectacles, a certain aspect rings through and catches the attention of every audience member, young and old. Whether hearing the music in one of the many movies, on the radio, or even on the streets of Disney World, the lyrics and melodies surrounding the Disney brand manages to captivate the hearts and minds of many.

Embedded in every aspect of the Disney franchise exists the overarching classification of Disney music. Disney music can be referred to as any song written specifically for “a feature or short film, a Broadway musical, a television show or special, a made-for-video production, a record, or a theme park” within the institution (Hischak & Robinson, 2009, p. viii). The songs express a positive outlook to listeners and can be associated with childhood memories.

Even though the genre targets children specifically, individuals of all age groups listen to and appreciate the popular genre (Lesser, 2016; Waldon & Wolfe, 2006). Within their animated movies, Disney music attracts a wide audience with memorable tunes and powerful lyrics, enticing the child inside of everyone. The appeal extends beyond children alone due to the complex storylines and personal battles within each film’s soundtrack. For example, the iconic song “Let it Go” in the Modern Disney movie, Frozen, won the Oscar for Best Original Song in 2014 (Whitfield, 2017). When the movie released in 2013, the new approach to Disney encouraged feminist principles, empowering the lives of young females without depending on the rescue of a traditional prince. “Let it Go” demonstrated the built up suspense within one of the protagonists, Elsa, as she achieved the freedom to utilize her powers to their greatest potential. Not only have the lyrics and melody appealed to children, but also to adults.

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The song’s popularity has infiltrated Disney theme parks, countless radio stations, and continuously plays in the American culture.

For a variety of other films, music can play a subservient, supplemental role for seamless plot progression. Often, the instrumentals or lyrics can provide a background or enhance the action occurring on the screen. Conversely, Disney creates an atmosphere in which the music is prominent and characters truly engage in song (Batchelder, 2018). For instance, the powerful lyrics in “Let it Go” are accompanied by Elsa’s creation of her own ice castle. As she sings about her authority, fearless attributes, and a journey to self-actualization, Elsa expresses herself verbally, in tone, in body language, in actions, and more. Through the melody and message, characters can organize their environment for self-expression. Even though Elsa is the only vocalist in “Let it Go,” she uses the opportunity to reveal her abilities and strengths, without the need for other characters present. In many instances, everything surrounding the character will pause for the momentous and breakthrough event established through music.

Historical Context of Disney

As a multi-billion dollar franchise, Disney started with a humble beginning in the music industry. Music first appeared with the use of improvised instruments in the 1928 phenomenon, Steamboat Willie (Hollis, 2006). The seven minute long short-film was not the first to feature the legendary image of Mickey Mouse, but did successfully increase the popularity of Mickey as he became the face of the Disney brand. Furthermore, Steamboat Willie also introduced synchronized sound, which was then added to two earlier films: Plane Crazy and The Gallopin’ Gaucho. Adding the instruments introduced a new element to the Disney franchise that attracted many viewers; their addition caused all the films to stand out above any competing features (DeCherney, 2019).

When music entered the realm of the Disney corporation, Walt Disney himself feared that he did not have the proper experience for music production (Hollis, 2006). To avoid interfering with the musical additions, Disney chose to rely on other music producers to convey messages from an instrumental perspective. During this time, many different record companies received recording rights under the franchise. Throughout the 1930s and 1940s, Disney shared their profits with these several record companies. They produced their first major full-length film, Snow White and the Seven Dwarfs (1937) which lacked initial traction due to World War II (Hischak & Robinson, 2009). Nevertheless, the re-release of the film, starting in 1944 and every seven to ten years thereafter, resulted in major profits for the company (Hischak & Robinson, 2009).

In 1949, Fred Raphael initiated a new Walt Disney Music Company independent of Disney Publications (Hollis, 2006). Raphael sought to create a film and music combination with even greater success than Snow White. With a similar plot structure, female protagonist, male heroic prince, and music style, the next Disney project contained all the potential for a successful release. As the first film to connect a soundtrack with the story, Cinderella created an opportunity to analyze the potential success of the music company. First released in 1950, Cinderella made $10 million in the first year in America, not adjusted for inflation, and has exceeded $93 million since then (Gutiérrez, 2017). The soundtrack itself sold 750,000 copies and achieved first place on Billboard Magazine Pop Charts, an uncommon achievement for a children’s album (Hollis, 2006).

The success of the film caused many to question how Cinderella attained such significant accomplishments. Both the movie and soundtrack grabbed the attention of a broader audience, more than originally expected. The children’s album achieved substantial success in 1950 and has remained–70 years into the future–an American classic. Disney has obtained a certain quality that attracts a variety of age groups and life stages, rather than only young individuals.

The upbeat rhythm and memorable lyrics captivate children and adults alike. Over the course of the past 70 years, Disney has continued to release many feature films with a unique story

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and musical connection. Even with major changes across the company’s eras, the widespread popularity of the franchise continues to expand.

After the success of these musically centered films, Disney experienced a time where they released many films without any soundtracks. The pause in music releases caused audiences to grow anxious for a new soundtrack debut throughout the 1980’s. Thus, in 1989, Disney produced another musically centered film based on the Disney princess Ariel, titled The Little Mermaid. Loosely connected to Hans Andersen’s 1837 mermaid tale, the animators of Disney adapted the story to create a more family oriented plot line (Neuffer, 2019). The Disney version of the tale caters more toward their faithful audience members, depicts a happily ever after conclusion, and incorporates musical connections. Without any recent, largely popular films, the creators expected The Little Mermaid to stand as the comeback musical feature. Prior to any animation, Ashman and Menken completed the soundtrack, making the songs one of the central priorities of the film (Neuffer, 2019). The investment paid off, and both the film and soundtrack gained immediate popularity in the public eye. In fact, the Oscars gave The Little Mermaid awards for both best music and best song (Mortensen, 2008). Thus, Disney successfully captured the attention of their audience through the plot and vocals of Ariel.

As Disney continued in the Modern era, they began releasing films that encouraged new themes such as feminism and individual empowerment. Released in 2013, Frozen approached the filmmaking industry with two female protagonists, a new Disney princess plotline straying from previous films, and powerful, memorable music. Deep impressions of the music impacted all audience members with connections to freedom, liberty, and determination (Liu, 2016).

Worldwide, the movie made almost $1.3 billion: an incredible financial achievement, especially for an animated film (Whitfield, 2017). In fact, Disney declared plans to create a sequel in 2015 following the initial success (Whitfield, 2017). Individuals of all ages grew fascinated with the story line and new approach to Disney filmmaking.

From the Classic album of Cinderella to Modern day songs in the film Frozen, both children and adults find themselves surrounded by Disney music (Hughes, 2016). Not only has Disney created an abundance of musical films, but they continue to increase in popularity among the general public. Many individuals, no matter their age, know the lyrics to these songs and can learn lessons about love and standing up for what they believe. Even without the film, the songs themselves share a story with the audience pertaining to cultural and societal themes.

Developmental Impact of Disney Music

Across all genres of music, the melody, lyrics, rhythm, and instrumentals can connect with people in a variety of methods. Indeed, an individual can satisfy a psychological need from their interpretation of the lyrics and overall message (Delsing et al., 2008). People may gravitate towards certain music based on a certain need, personal conflict, or their own personality. Not only does the music challenge us personally based on our own needs, but also encourages us to fulfill individual crises and challenges (Paynter, 1997). Through music, an individual will not only recognize a conflict or crisis, but may identify the tools to resolve them.

Furthermore, music connects with one’s emotions and provides an outlet to fully express oneself, whether individually or collectively. In many cases, the emotions that listeners experience in music are equal to the emotions that they experience in response to life events (Sloboda, 2001). Songs have the ability to generate authentic feelings as if the listener were confronting the event themselves (Sloboda, 2001). If the emotions captured through song are enough to stimulate these intense feelings, then music choices carry remarkable weight for an individual’s psychological frame of mind.

Music maintains a close connection to emotions and can demonstrate the fulfillment of psychological needs. By observing an individual’s course of development, one will face certain crises in their lifespan that reflect these needs. In fact, according to Erik Erikson’s (1959, as cited in Parke et al., 2019) Stages of Psychosocial Development Model, all individuals follow

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a similar pattern from infancy to adulthood. Each of Erikson’s stages involves a crisis that the individual must resolve before progressing to the next one. Over the eight stages of development, each person must satisfy a certain need ranging from trust vs. mistrust to integrity vs. despair.

Everyone must establish their own sequential path as they grow and mature, both independently and in regard to their relationships with other individuals.

The general plot line of Disney animated films follows a female protagonist facing the crisis of the intimacy vs. isolation stage. During this stage of psychosocial development in late adolescence and early adulthood, the individual forms intimate relationships with others.

Depending on their success, they will either find fulfilling relationships or feelings of loneliness.

At the end of this stage and in many of the Disney films, many of these characters achieve personal fulfillment when united with their male lover. Within Disney songs, the stages of development will differ depending on the character progression, position in the plot, as well as the interpretation of the audience. Thus, many other factors, rather than just the character’s visible age, will contribute to the singer’s stage of development.

As a powerful tool, music can demonstrate the stages of development in the listeners as well as the singers or characters themselves. First, the singer or character will portray a certain theme or concept by their words, tone, intonation, and context of the song. In many Disney movies, the character will often use music to express a clear breakthrough from their situation or circumstance. In addition, from the perspective of the listener, the interpretation and choice of music may demonstrate their own stage of psychosocial development. Audiences will relate to specific songs based on how the message resonates in their own life. For instance, a child watching the film and listening to the soundtrack will likely be in either initiative vs. guilt or industry vs. inferiority. During this time, they will be working towards independence, sociability, and higher thought processes. Nevertheless, individuals of all stages will be able to make correlations between their lives and the lives of the characters depicted in the film and music, which will be studied throughout the analysis. Thus, music can be an effective instrument in one’s own self-evaluation, or the evaluation of others.

Disney Music Eras Since the launch of synchronized sound in Steamboat Willie in 1928s, Disney music has transformed according to cultural themes, character identities, and plotlines. From the music lyrics and contexts, new themes have emerged over time. In fact, Hughes (2016) depicts three distinct eras of Disney movie and music production: Classic, Renaissance, and Modern. In each of these eras, Disney creates films with plots, character developments, cultural influences, and thematic focuses to resemble the society at the time.

The various Disney eras incorporate Erikson’s stages of psychosocial development in different manners. As the plot and characters evolve over time, societal norms and individual priorities shift. The films and music grow to reflect these changes, while maintaining a family inclusivity and the distinctiveness of the Disney franchise.

Classic: Cinderella (1950)

The era of Classic Disney music can be identified by films from 1937-1959 (Hughes, 2016). Most of the music and films during this time center around the Disney theme of a happily ever after focusing on a single female protagonist who seeks to find a handsome, beloved prince that will rescue her from hapless circumstances. The 1950 release of Cinderella contained musical tracks to follow the course of the storyline. Early on, Cinderella sings “A Dream is a Wish Your Heart Makes,” surrounded by her animal friends to express her personal aspirations (Downey, 2016). The short, repetitive song expresses her desires to change her situation and experience true freedom.

Cinderella expresses herself through music at the start of the film, but does not explicitly state the dreams themselves. In the lyrics below, the audience can recognize a type of ambiguity from Cinderella’s perspective. Perhaps Disney created a vague message to allow for

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broad connections from the audience. Individuals from all walks of life who face any hardship can all envision their own dreams through their interpretation of these lyrics. In addition, the audience will not automatically understand the dreams that Cinderella desires to fulfill over the course of the film. Based on the basic plot of Cinderella, she desired to meet her Prince Charming and for him to provide a refuge apart from her stepmother and stepsisters. Culture and society at the time supported the idea that the woman would serve a passive and submissive role to the man in her life.

“Have faith in your dreams and someday Your rainbow will come smiling through No matter how your heart is grieving If you keep on believing The dream that you wish will come true” (Downey, 2016)

At this time, Cinderella grieved the loss of her mother and awaits the “rainbow” that will come in the end. In order to achieve her dream, she declares that she just needs to “keep on believing.” Applied to Erikson’s stages of psychosocial development, all Disney princesses exhibit the idea of intimacy vs.isolation due to their age and the longing for their prince to save them. Erikson declared that this stage would occur during late teenage years and early adulthood as an individual struggles with the battle between a committed relationship and isolation.

However, Cinderella more specifically displays the first stage of development, identified as trust vs. mistrust, at this point in the film and through the expression of this song. During this time, the individual must establish their safety and dependability in others. She learns early on that she cannot depend on her stepmother or stepsisters. Nevertheless, the lyrics above imply that she can continue dreaming, believing, and waiting for her situations to change and improve.

She portrays through music the idea that she will not need to actively pursue her dreams in order for them to come true.

Renaissance: The Little Mermaid (1989)

The second area of Disney films and music is identified as Renaissance from 19891998 (Hughes, 2016). After the death of the legendary animator Walt Disney in 1966, the franchise struggled to regain the same achievement and success. To regain momentum, Disney producers inspired the creation of this Renaissance era. In 1989, the release of The Little Mermaid provided the necessary boost to enhance the publicity of the company (Hughes, 2016). At this point in American history, Hughes (2016) recognized the frustration of many women as they were discouraged from desiring both children and a career and forced them to choose one. In most cases, culture questioned why women wanted to pursue a career and not just remain home as a mom or housewife. As a result, the songs of the Disney Renaissance reflect a yearning for freedom to choose their own path and fulfill their dreams (Downey, 2016). These songs follow individuals who were pressured by society and questioned for not finding contentment in their current situations.

Toward the beginning of the movie, Ariel expresses her desire for discovery and freedom through the song, “Part of Your World.” Audiences recognize the ballad as the lyrical “I am” declaration as Ariel inspects her collection of human objects (Hiscak & Robinson, 2009). She expresses to uncover an unfamiliar society apart from the only world she has ever known. Born to King Titan, this mermaid wonders how life differs outside of the ocean. On her journey to self-discovery, Ariel declares the need to understand the human side of life even at the expense of her father’s approval. Her declaration through “Part of Your World” reveals Ariel’s curiosity and new approach to life, differing from Classic Disney princesses (Neuffer, 2019). Even as a daughter to the king, Ariel could not find satisfaction in her current life without the experience of life beyond the ocean.

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“Up where they walk, up where they run Up where they stay all day in the sun Wandering free Wish I could be part of that world What would I give if I could live Out of these waters?

What would I pay to spend a day Warm on the sand?

Betcha’ on land, they understand Bet they don’t reprimand their daughters Bright young women, sick of swimming Ready to stand” Ariel’s words in this song can exhibit two of Erikson’s stages of development: autonomy vs. shame and doubt as well as initiative vs.guilt. First, King Triton fails to allow Ariel to explore her environment so she expresses a feeling of captivity. According to the stages, a caregiver must support and foster curiosity to instill a child’s personal confidence (Graves & Larkin, 2006). A lack of exploration causes Ariel to question and doubt the intentions behind her father’s regulations.

The failure to establish autonomy can cause the child to grow obsessive with their own control of their life (Graves & Larkin, 2006). In the film, Ariel obsesses over her collection of items and the thoughts of humans on land. After Erikson’s second stage, an individual naturally takes their new-found autonomy to apply to the third stage in pursuit of initiative (Vogel-Schibilia et al., 2009). Without her father’s support of exploration, Ariel desperately seeks to find her own initiative in “Part of Your World.” Her plea for freedom connects with audience members of many developmental stages. In fact, the stages build upon one another, so a lack of parental or other authoritative support early on will disrupt development later on.

Interestingly, children in the audience of The Little Mermaid’s first screening lacked interest in the musical debut of “Part of Your World” (Neuffer, 2019). In fact, Neuffer (2019) states that during the song, the children were restless and many took the opportunity to use the restroom. The filmmakers considered cutting the song entirely, but would have lost the progression of Ariel’s character and a true understanding of her desires. Unlike Cinderella’s song, Ariel clearly depicts her dreams in detail without any vague descriptions.

Modern: Frozen (2009)

As Disney progresses to the Modern era of filmmaking, the female characters gain a newfound independence. The emergence of modern gender roles, cultural influences and feminism have shaped Disney’s direction in filmmaking and music composition for the past 12 years.

Also identified as the “Disney Revival” era, Modern Disney began with the 2009 release of The Princess and the Frog, exhibiting the first African American princess in the franchise (Hughes, 2016). The films released during this time reflect the feminist movement in American culture, making romantic relationships less prominent when compared to other goals of the protagonist.

Released in 2013, Frozen focused less on romantic relationships, a different approach to the Disney princesses than Disney sought in the past. Set in the magical land of Arendelle, Princess Elsa exhibits magical powers with ice and snow. Early on, Elsa accidentally hurts her sister Anna and therefore must learn to control and contain her powers to prevent from harming others. After the tragic death of their parents, Elsa later becomes queen of Arendelle, but struggles to conceal her powers. Filmmakers centered more on Elsa and Anna’s relationship as sisters than any love interest in this movie, a decision that was well-received by audiences of all ages. Categorized as a children’s film, Frozen quickly became a household picture and the music immersed into the American culture (Pinkerton, 2018). Furthermore, the breakthrough song performed by Elsa titled “Let it Go” won an Oscar in 2014 and became a popular song in American society (Whitfield, 2017).

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Elsa’s proclamation through “Let it Go” reveals that she will no longer hide her powers, but rather express herself openly. Performed originally by Broadway star Idina Menzel, the song possesses many similarities to her performance of “Defying Gravity” in the Broadway musical Wicked. Both songs contain powerful vocals by Menzel and focus on a young woman making a significant and distinct decision in her life (Whitfield, 2017). In both cases, the young woman chooses to accept her natural abilities, professing that her power will no longer control or hinder her. The strong musical connection reminds older audiences of the Broadway musical, while exciting younger audiences for the dramatic scene.

“It’s funny how some distance makes everything seem small And the fears that once controlled me can’t get to me at all It’s time to see what I can do To test the limits and break through No right, no wrong, no rules for me I’m free Let it go, let it go”

The lyrics in “Let it Go” reveal the developmental stage of identity vs.role confusion.

The straightforward lyrics express Elsa’s true freedom from her circumstances (Liu, 2016). Elsa declares that she will no longer be controlled by her fears or any societal rules. She asserts her identity in herself and that will not accept the orders imposed by others. While understanding the danger of her powers, she welcomes her abilities. Completely different from other Disney female leads, Elsa demonstrates a developmental stage of self-acceptance, and accomplishes this task without a male counterpart (Gavala, 2019). Her independence originates from an internal drive to accomplish her own goals.

Furthermore, Elsa’s stage of development could also be described as generativity vs.stagnation. She cares for Anna as more than a sister after the loss of their parents, and thus reflects a maternal quality. Elsa demonstrates generativity at this time because she learns that Anna can take care of herself. In addition, to best lead Arendelle, she needs to distance herself from her position as queen for the time being, as she states in the lyrics above. In order to accomplish generativity, an individual does not need to have children under their direct care, but rather can pass their qualities and leadership to family members or other followers (Slater, 2003). All of her followers witnessed her willingness to choose her own path, even if consequences were likely to follow. Elsa abandoned any previous fear in exchange for a future of hope and expectation (Wirawan & Hapsari, 2018). The overcoming of personal obstacles encourages listeners to transform their outlook on their own situations.

Audiences of all ages contributed to the immediate popularity of the song upon the film’s release. The song demonstrated the ability to unite diverse groups of people across various developmental stages (Kowalski and Bhalla, 2018). No matter the social dilemma that an individual may encounter, the application can expand to all people, with the assurance that they can overcome their obstacles as Elsa. Assurance in one’s own potential and abilities applies to all developmental stages, especially prior to establishing relationships with others. The broad application led to an extensive fascination of the composition of “Let it Go.” Application to Viewers

The lyrics of songs sung by Cinderella, Ariel, and Elsa all reflect the developmental stages of these respective protagonists. However, each viewer may individually view these characters from a different perspective. Depending on the viewer’s own developmental stage, their experiences and personal connection to the character can impact their point-of-view. For example, a school age child facing the crisis of industry vs. inferiority may view the protagonist’s situation differently than their parent in middle adulthood in generativity vs. stagnation. Thus, an individual’s experience of the music in these films will vary depending on their development both individually and universally (Michael, 2019). Their interaction with others as well as self-

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assurance will transform how they view the situation of the character at a given time.

If Disney music possesses the potential to address various stages of development through a single song, the franchise can reach a broad audience. The films will not only captivate children, but their parents, grandparents, and even teenagers and young adults who do not yet have children of their own. The popularity of the company will allow Disney to continue adapting to the changing world and modernize the characters within the films. As the films become more modernized, the music and lyrics themselves possess deeper meanings for young and old listeners alike.

Due to the significant connection to developmental stages, the music in these films can be applied to education, motivation, and maturation. For instance, teachers can use music to promote learning and even emotional support for a child’s development (Faber, 2004). The powerful lyrics can act as a supplemental tool in the classroom to motivate children in whatever psychosocial crisis they find themselves in. Compared to Classical music, music from Walt Disney films is significantly more effective in changing moods of elementary aged children (Giles et. al, 1991). Since children are the target audience and the music is more familiar, Disney songs are likely to improve their emotional state when compared to other genres. They associate their own stages of development to the situation expressed in the lyrics of the song, motivating them to overcome their own obstacles and achieve self-confidence in their own abilities.

Disney music in particular serves to benefit childhood development because of the intentional childlike approach in the music’s composition. The lyrical language can easily be understood, and the franchise chooses to implement good values and positive character progressions (Wirawan & Hapsari, 2018). Although the interpretation of the music can vary for individuals of different developmental stages, the overall interpretation of the soundtrack will be favorable to the audience. The encouraging and uplifting language supports motivation and empowerment specifically in children, no matter the social dilemma they may face.

Further, adults can also benefit from Disney music due to the extensive applications.

The underlying messages that reach audiences of all ages exceed expectations for children’s music and film. Traditional children’s music and film, such as the messages in the Classic Cinderella, lack an expansive application to individuals other than children. Nevertheless, the progression of Disney music over time demonstrates deeper character development. When teenagers and adults make connections to their own lives and stages of psychosocial development, they can benefit from the messages within the lyrics. In fact, movies and music in general potentially serve as a tool of narrative therapy as clients discuss their own interpretations of the story and analyze these connections (Ricks et al., 2014). The various priorities and sequence of the character development can encourage an individual as they approach their own crises in life.

Thus, an individual’s interpretation of music through narrative therapy reveals their own thought processes and personal situations in life.

The progression of Disney music in film over the past seventy years has progressed from Classic to Renaissance to Modern eras. Across these eras, Disney has adapted to the cultural norms by implementing societal values and positive personality traits. Their film and music industry specifically targets children, but has gained expansive popularity among listeners of all ages. As the eras progress, the characters express new stages of psychosocial development through music which can apply to a broader audience. The unique approach of Disney seeks to include all individuals, motivating and empowering all listeners in their own developmental progression.

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About the Author Madelyn Tatum, a senior at Christopher Newport University, completed her undergraduate degree in May 2021. She finished a Bachelor of Science in Psychology in the Honors program with minors in Spanish and Linguistics. Next year, Madelyn will continue at CNU to complete her Master of Arts in Education for teaching English as a Second Language (ESL). In the future, she hopes to teach ESL both locally and abroad. In the “Development in Disney Music,” Madelyn expanded upon her undergraduate education, combining her knowledge of personal development and Disney music. Her PSYC 490 Senior Seminar class provided her with the opportunity to research a music topic of her choice, combined with a psychology concept.

“Ending Mass Incarceration: A Critical Analysis of the Norweigan Criminal Justice System in Search of Carceral Solutions for the United States” Abigale M. Waclo Faculty Sponsor: Dr. Steven Keener Department of Sociology, Social Work, and Anthropology

Abstract

The United States incarcerates its citizens at a higher rate than any other country in the world (Klinger, 2020). The ramifications of overcrowded prisons and jails has become deadly during the Covid-19 pandemic, as the virus has spread rapidly through carceral institutions. As criminal justice reformers and prison abolitionists debate how to solve the mass incarceration crisis in the United States, much can be learned from looking abroad. Specifically, Norway has taken a radically different approach to how they approach justice, crime, and punishment, and there are potential solutions to the American mass incarceration crisis already being utilized in this country. This study attempts to find some of these solutions by critically comparing and contrasting the criminal justice systems in the United States and Norway. The study particularly focuses upon how the two countries differ in cultural factors that shape their justice systems, how they each approach sentencing and punishment, and the actual operation and structure of their carceral facilities. After completing the critical analysis, policy solutions for addressing the American mass incarceration crisis are recommended based upon their short-term, medium-term, and long-term viability for implementation.

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Introduction Criminal justice reform is a major focus of political and cultural discussion. Various factors have driven discussions regarding the need for immediate and major reform, a primary such factor being the crisis of mass incarceration. This crisis is best encapsulated by the fact that approximately 2.3 million people are incarcerated in the United States on a given day (Hernández et al., 2015). Additionally, approximately 10.6 million individuals are admitted to local jails in a given year prison (Sawyer & Wagner, 2020). This crisis has disproportionately impacted communities of color. Specifically, African Americans represent approximately 12% of the national population, but represent 40% of the U.S. prison population (Norris & Billings, 2016). These incarceration rates are staggering on their face, but even worse when considering the United States holds 5% of the world’s population, but 25% of the world’s prison population are housed in American carceral facilities (Norris & Billings, 2016). Considering that the United States prides itself on being a country built upon the ideal of freedom, the reality that it takes freedom away from its citizens at a higher rate than any other nation demands interrogation.

A myriad of factors helped drive the mass incarceration crisis that exists today. Much of the mass incarceration can be attributed to federal and state-level policies produced during the ‘tough on crime’ era of the 1980s and 1990s (Mauer, 2011). At the federal level, political rhetoric was used to advocate for more aggressive policing and punitive punishments, while stroking public fear of crime. President Nixon gave the first declaration of the homefront drug war, “it is necessary to wage a new all-out offense” (Norris & Billings, 2016). President Reagan followed suit by signing into law the 1986 and 1988 Anti-Drug Abuse Act. This legislation implemented an array of punitive punishments, especially for drug offenses, in the form of mechanisms like mandatory minimums which removed judicial discretion and forced a minimum sentencing level if found guilty of certain offenses (Mauer, 2011) President H.W. Bush further expanded the drug war, remarking that drug use is found in every community, “nowhere is it worse than in our public housing projects’’ (Norris & Billings, 2016). President Clinton followed suit by signing into law the 1994 Violent Crime and Control and Law Enforcement Act, which expanded the use of the death penalty, significanlty increased funding for to state law enforcement, and increased the building of prisons. It also implemented ‘three strike’ laws, which mandate harsher sentencing for recidivists and often result in near life sentences on the third offense (Norris & Billings, 2016). These highlight some of the major movements toward a punitive criminal justice system initiated at the federal level.

The move toward more punitiveness also occurred at the state level during this time.

This is especially important to consider since the majority of individuals incarcerated in the United States are held in state prisons (Sawyer & Wagner, 2020). In New York City, rising crime was responded with a ‘broken windows’ policing strategy that over-criminalized minor infractions like panhandling and graffiti, and specifically targeted poor people and people of color (White, 2014). California implemented a series of ‘three strike’ laws focused upon punishing habitual offenders, as opposed to rehabilitation, and they helped fuel its eventual prison overcrowding crisis (Stolzenberg & D’Alessio, 1997). In the 1970’s, Texas held a relatively small imprisonment rate, that changed following the 90s ‘tough on crime’ where imprisonment rates tripled, as state increased its usage of punitive punishments and the death penalty (Brooks, 2020).When combining these state-level factors with the federal-level change to a ‘tough on crime’ approach, it is evident how the mass incarceration crisis was built.

These array of factors helped entrench a tough on crime political and cultural dialogue that created and fueled the mass incarceration crisis that exists today. As mentioned previously, the most frequently cited data to illuminate this crisis is the 2.3 million people incarcerated in the United States (Hernández et al., 2015). However, the impact of mass incarceration extends far beyond those individuals. For example, approximately 7.2 million citizens are also either on probation or parole, or being held for deportation (Hernández et al., 2015). Even once

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individuals leave prisons and jails, approximately 65 million Americans hold a criminal record (Hernández et al., 2015). The incarceration rates affect more than the individuals themselves, in 2007 2.3% of children in the United States had a parent in prison (Raphael, 2011). This loss of parental figures interrupts the lives of children, but also imposes material hardships on the families (Raphael, 2011). Even once individuals are released, two thirds of ex-inmates are rearrested within a few years, due to the housing arrangements, weakened social connections with family, poor job skills, and the stigma of having a criminal record (Raphael, 2011). All of these show factors necessitate the need to address and eradicate mass incarceration.

The Covid-19 pandemic brought about increased and intensified demands for significant and immediate criminal justice reform. Mass incarceration fueled the overcrowding of prison and jail facilities across the country. For example, prior to the pandemic there were 27 countries that were operating at 150-200% their actual capacity (MacDonald, 2018). Once overcrowded facilities intersected with the pandemic, the mix became deadly. Overcrowded carceral facilities lacked adequate physical distancing and were ill-equipped with personal protective equipment (Widra & Wagner, 2020). Carceral facilities also have a long documented history of poor health care treatment and incarcerated individuals are more likely to have poor health conditions when compared to the general population (Widra & Wagner, 2020). All of these factors mean incarcerated individuals are amongst the most vulnerable populations during a pandemic of this nature. To help illuminate this reality, on May 13, 2021, 397,240 incarcerated individuals in the U.S. had tested positive for COVID-19 and 2,671 incarcerated individuals had died as a result of contracting COVID-19 (The Marshall Project, 2021). This number of deaths is tragic, especially when considering that many of the issues that made carceral institutions vulnerable to the spreading of Covid-19 were preventable.

The deadly impact of COVID-19 on overcrowded prisons and jails demands a renewed search for ways to end mass incarceration and rethink the nation’s approach to incarceration.

Varying ideas exist for how to end mass incarceration; however, some solutions may already exist in other countries. This study will attempt to find new policy approaches to incarceration and punishment for the U.S. system by analyzing it in comparison to the Norweigan carceral system. Norway has continually innovated their approach to punishment, garnining international attention and becoming recognized for their low rate of incarceration and recidivism (Labutta, 2017). By comparing and contrasting these systems, much can be learned about how Norway approaches crime and justice differently than the United States. From there, various different policy solutions that can be learned from Norway and implemented in the United States in order to address mass incarceration will be explored.

Analysis of the U.S. and Norweigan Criminal Justice Systems To begin analyzing the differences in how the carceral systems of Norway and the United States operate differently, it is important to first understand the guiding principles behind each system, as well as the differences in their size and scope. As detailed previously, the United States’ approach to carceral punishment became increasingly punitive during the ‘tough on crime’ era (Mauer, 2011). Much of these policies were implemented under the guise of deterrence. Deterrence-based approaches justify official state punishment with the rationale that individuals are less likely to commit a criminal offense if they fear the potential punishment (Akers, 1990). On the other hand, Norway takes a restorative justice approach to handling crime and punishment. A restorative justice approach to official state punishment means a violation in law has occurred, as such, the criminal justice system provides those affected by the offense, the opportunity to come together to discuss the offense and appropriate reparation (Latimer et al., 2005). These differing guiding principles of crime and punishment have created carceral systems that operate far differently.

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The most glaring difference between the carceral systems of the United States and Norway is exemplified through their incarceration and recidivism rates. Specifically, the United States incarcerates 693 out of every 100,000 Americans. On the other hand, Norway incarcerates only 70 out of every 100,000 Norwegians (Dick, 2018). Additionally, researchers found that among prisoners released in 30 states across America in 2005, 67.8% of these individuals were arrested for a new crime within three years and 76.6% were arrested for a new crime within five years (Durose et al., 2014). This is especially alarming when considering the punitive ‘tough on crime’ era policies were justified in their ability to deter individuals from offending if punished, or aware of the potential punishment. In comparison, after two years of release, Norway’s recidivism rate is approximately 20% of individuals released from incarceration (Labutta, 2017). The visuals below further displays differences in the rate of incarceration among the United States and Norway.

Figure One *(Dick, 2018)

Figure Two *(Klinger, 2020)

It is evident from these differing rates of incarceration that the criminal justice systems, and carceral systems specifically, operate very differently in the United States and Norway. There are various elements that make these systems distinct; however, in order to understand the differences in these systems’ shaping and operation, three main elements must be analyzed. These three elements are the cultural differences that shaped these systems, their differing approaches to official sentencing and punishment, and the operation and design of their actual carceral facilities. The remaining analysis will walk through each of these elements and compare and contrast how these two countries differed. Then, the lessons learned from this analysis will guide the policy recommendations for what the United States could learn from Norway in implementing solutions to end mass incarceration.

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Cultural Differences in Approach to Crime and Justice In order to fully understand the differences between the carceral systems of the United States and Norway, it is important to first look outside of each respective criminal justice systems.

While policies and practices within the system are important, these are shaped by larger cultural and social forces. In order to understand the intersection of cultural and social forces shaping the modern carceral systems, much focus is needed on how the United States and Norway approaches race and ethnicity, education, and mental health.

Race and Ethnicity Race and ethnicity play a major role in the shaping of social structures and systems.

Norway has not embraced the definition of race in the same manner and respect that it has been defined in the United States. The term ‘race’ in Norway is not commonly used in either political or public discussions (Kyllingstad, 2017). There is a connotation when discussing race, where individuals tend to feel shame and embarrassment when engaging in conversations about it (Gullestad, 2004). This dynamic and relation the nation holds towards race has not always been this way. In the early 20th century, notions about a hierarchy of races was commonplace within public, political and academic discourses in Norway (Kyllingstad, 2017). However, following the decades of World War II, notions of race became marginalized in politics, public, and academia (Kyllingstad, 2017). Majority of people in Norway find themselves the victims of Danish colonialism and Nazi-German occupation, rather than being influenced by an unacknowledge racist culture (Gullestad, 2004).

Since World War II, Norway largely holds that ‘race’ holds a negative connotation with ties to Nazisim during WWII, segregation in the United States southern states, and the aprathied system in South Africa (Gullestad, 2004). Instead of ‘race’, Norway uses the term ‘skin color’ (Gullestad, 2004). In Norway ‘skin color’ represents the many different features of a person’s appearance, looking at the core of individuals through historical, culture, and linguistic features that defined Norwegians and separated people from Germanic Nordic (Gullestad, 2004). Norway has thus largely avoided structuring the country and its systems and structures around race, which is far different than the United States’ approach.

In the United States, the racialized nature of most systems and structures is evident, especially within the criminal justice system. Race began to largely shape the criminal justice system following the conclusion of the Civil War. With slaves now freed, plantation owners needed a way to protect their elite standing, and maintain their dominance of African Americans as free labor (Adamson, 1983). Prior to the Civil War, the criminal justice system was used to punish White citizens only who violated norms of freedom, while African Americans were not punished directly by the criminal justice system, due to being bound to slavery (Adamson, 1983). The solution in order to maintain dominance, and continue to use African Americans as labor was the practice of convict leasing. African Americans were arrested for minor, or made up infractions, and they would then be leased to elites to work their lands and operations (Adamson, 1983). Instead of being seen as slaves, African Americans were now viewed as presumed criminals, and instead of plantation owners initiating the punishment, the criminal justice system was now the determinant. Social elites worked to mobilize and continue the justification of enslaving African Americans, by using the criminal justice system as an oppressive tool. From 1865-1890, poor young African Americans made up 95% of the prison population (Adamson, 1983; Hernández et al., 2015; Norris & Billings, 2016). This system of oppression continued to evolve, and today, one in three Black youth, and one in six Latino youth, will be incarcerated at some point in their lives (Hernández et al., 2015). Race is socially constructed and it is clear that countries can take very different approaches to how they define race and use it within their larger systems and structures.

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Education

Education is an instrumental building block for growth and developments of individuals to achieve these standards of society. Norway places an emphasis on institutional streamlining, what this means is either preparing students for direct employment in job fields or pursuing higher education (Reisel, 2011). Education is seen as an important fixture in the nation with indication of 100% student enrollment in public schools with the goal of mastering basic skills that help them move forward in education or job opportunities (Braathe & Otterstad, 2014).

Norway also adopted an education and social reform approach that helped make higher education more accessible for less privileged families. This helped reduce income inequality, equalized living conditions, and reduced direct cost of education (Reisel, 2011). The reform that Norway took towards equalizing the education opportunity for all citizens is the same approach the nation takes towards active welfare and employment, creating this universalistic approach, which has resulted in high levels of public expenditure creating a generous welfare state (Stamsø, 2009).

Removing structural barriers to accessing education and employment has helped in shaping a nation where there is rapid economic growth, along with low unemployment rates. (Stamsø, 2009). Importantly though, Norway is not extinct from education being related to criminal activity. Prison populations in Norway have been reported as lacking substantial formal education (Skardhamar & Telle, 2012). However, just like the general public the nation works in preparing for their release, and providing ample means of job training and educational classes (Tønseth & Bergsland, 2019). This rehabilitative approach during incarceration helps individuals throughout the reentry process.

In the United States, education attainment is seen as a primary mechanism for achieving the ‘American Dream’. However, a large number of American students do not graduate from college (Reisel, 2011). Within the United States, students pursuing higher education are faced with high cost and limited financial aid, making it difficult for individuals from low income families to attend, and eventually graduate, from college. Instead of removing barriers, the United States has taken the expansionist route, the basis of this route stems from the thesis of inequality, where equalization of all resources will become accessible, when there is a consistency of resource acquisition from high income families (Reisel, 2011). Therefore, equal opportunity for higher education for all socioeconomic status, is dependent upon the consistency of resources attainment for higher income families (Reisel, 2011). The problem with this route is that it does not help to remove the barriers that persist for students and families.

Education attainment is a major factor shaping the population of the U.S. carceral system. In 2011, Black Americans had a high school dropouts rate of 19%, while the high school dropout rate for White Americans was 5% (Raphael, 2011). One of the highest incarceration rates in the U.S. is for individuals between the age range of 26-35, and 30% of the individuals that are incarcerated within this age range are Black high school dropouts (Raphael, 2011). Postincarceration, 54% of males reentering society have not completed a high school degree (Raphael, 2011). Unlike Norway, there is a lack of education programs available to those while incarcerated (Dick, 2018). Once released, this lack of education prior to, and during incarceration, helps construct an array of barriers to success within the reentry process. One example of a barrier to education pursuit while incarcerated was through the 1994 Violent Crime Control and Law Enforcement Act, which essentially barred state and federal prisoners from receiving financial aid for education programs, eliminating chances of post-secondary education while incarcerated (Dick, 2018). These differing approaches to education have major ramifications for the shaping of their carceral systems. Norway has worked to remove barriers to education attainment, creating a potential growth of jobs and wealth for citizens. Even if they have been incarcerated, Norway still works to provide that level of education in order to help improve the likelihood of successful reentry and reduce recidivism rates. In the United States, barriers to higher education are prevalent both during, and prior to, incarceration, especially for individuals from less privileged backgrounds.

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Mental Health Modern research has revealed the growing rate of individuals that are incarcerated with mental health issues. In Norway, individuals with mental illness are not typically treated as outcasts (Pedersen & Kolstad, 2009). It is viewed as the responsibility of the nation to help individuals with a mental illness. Norway upholds this commitment by enacting laws that guarantee all Norwiegan citizens the right to necessary and adequate health treatment and care (Johannessen et al., 2011). Norway has gone through various changes to their mental health care since they experienced overcrowded asylums in 1955 (Pedersen & Kolstad, 2009). Most recently, they expanded mental health care resources from 1999-2008 (Pedersen & Kolstad, 2009). They now see community-based mental health care as the best way to provide such care, where public authorities responsibility is to finance health services and municipalities are responsible for providing primary health services (Johannessen et al., 2011). Norway has thus remained committed to community-based care of this nature and have provided legislation and funding to help back this notion.

The United States has treated mental health far differently, which has major ramifications for its carceral system. Mental health is still largely stigmatized, which often leads to individual unwillingness to disclose mental health problems. Society as a whole is uncomfortable with mental illness; individuals that suffer from mental illness are depicted as poor, homeless, educationally/vocationally challenged in communities (Brandt, 2012). The United States suffered from overcrowding and poor treatment of individuals in asylums, similar to Norway.

The United States responded by closing asylums, on the argument that individuals would be transitioned into community-based care. In reality, individuals were moved out of asylums but community based care was poorly funded and never truly implemented at scale. In fact, funding for mental health assistance has been chronically low for decades. At the same time individuals were leaving the closed asylums with community based care ill prepared, or non-existent, the rate of individuals incarcerated with a mental illness rose rapidly (Roth, 2018). The Bureau of Justice now estimates that there are 250,000 mentally ill men and women incarcerated in prisons or jails (Brandt, 2012). According to the 2019 National Survey on Drug Use and Health, 45% of adults receive mental health services, and 10% of individuals 12 years old and older received treatment for substance abuse (Alegría et al., 2021). In comparison, jails report that 64%, state prisons report that 56%, and federal prison report that 45%, of those incarcerated in their respective facilities suffer from some form of mental illness (Brandt, 2012).

While the carceral system is increasingly housing individuals with mental illness, criminal justice officials are ill equipped for this task. Currently, 7-10% of police encounters involve someone that is suffering from mental illness (Alegría et al., 2021). This equates to approximately two million people with mental illness cycling through a jail in a given year (Alegría et al., 2021). The carceral system that is housing an increasing rate of individuals with mental health issues has been built into a system of punishment, rather than treatment. Thus, individuals with mental health issues struggle upon release accessing mental health services, in addition to navigating the social and economic barriers already present in reentry (Pescosolido, 2013). This results in the likelihood of individuals in need continuing to not receive the proper care and facing the stigma of having both a mental illness and criminal record, and increasing the likelihood of recidivism.

Individuals that suffer from mental illness can be treated well through well funded community-based care. Norway has built a culture that works with, and provides the resources to, individuals with mental illness. In the United States, individuals with mental illness are stigmatized and community-based care is poorly funded and implemented. Police officers are increasingly interacting with individuals with mental health issues but they are not trained to handle these situations. Detainment of the individual is a typical response and there is little adequate mental health care available upon incarceration (Alegría et al., 2021). These array of

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factors fuel the increasing rate of individuals with mental health issues incarcerated, and overall poor treatment in the United States.

Sentencing and Punishment The way a country approaches its official sentencing, and eventual punishment, of crime can vary widely. When the United States was in the mindset of the ‘War on Drugs’, Norway was also dealing with their own crackdown on drugs (Labutta, 2017). However, in 1978, Norweigan leaders called for greater rehabilitation, as well as alternatives to imprisonment, shortened sentences for property offenses, and restricted use of indeterminate sentencing, which is the sentencing of offenders to potential imprisonment with no actual release date determined (Labutta, 2017; O’Hear, 2011). At this point, the country began focusing upon rehabilitation and restoration of incarcerated individuals. The average sentence length ranges around eight months (Labutta, 2017). Since 1981, Norway has held a maximum sentence length of 21 years, for cases of premeditation, felony murder, or offender acted to conceal a felony or evade it’s penalty (Labutta, 2017). Even when individuals receive a lengthy sentence, they are eligible for parole after serving 14 years (Klinger, 2020). In 2012, Norway held a daily average of 3,800 offenders in a correctional facility, one of the lowest prison populations in Europe (Giertsen, 2012). Much of this can be attributed to focus on shorter sentencing in the larger focus on rehabilitation and restoration.

Unlike Norway, the United States adopted a punitive approach to sentencing, especially during the ‘War on Drugs’ era. Specifically, federal legislation in the form of the 1986 and 1988 Anti-Drug Abuse Acts implemented mandatory minimum sentencing for an array of drug related offenses (Bjerk, 2017; Norris & Billings, 2016). Prior to this period, the United States focused on intermediate sentencing, which allowed for prisoners to participate in rehabilitation programs and earn consideration for early release based upon this participation (Labutta, 2017).

However, this method was criticized for allowing early release for those that individuals believed deserved a longer sentence length (Labutta, 2017). In response, the Sentencing Reform Act of 1984 replaced previous indeterminate sentences guidelines, ultimately rejecting rehabilitation in punishment (Labutta, 2017). This allowed for the easy enactment of the aforementioned Anti-Drug Abuse Acts and the Violent Crime Control and Law Enforcement Act. Following years of a growing punitive approach to crime and punishment, incarcerated individuals in the United States serve an average of 27 months behind bars (Labutta, 2017). Additionally, 20% of state prisoners and 33% of federal prisoners serve more than five years incarcerated (Labutta, 2017). Clearly, decades worth of punitive approaches to crime and punishment have created a very different carceral system.

Carceral Facilities Incarceration removes individuals from their normal function of life. Mass incarceration is impacted not just by the policies and guidelines, but also the physical structure and operation of carceral facilities. In Norway, when individuals are incarcerated, the greatest punishment is the loss of freedom. Norway maintains this emphasis that incarcerated individuals are only temporarily removed from society. Since Norway is focused upon rehabilitation and restoration, a critical element in the structural design of facilities is to maintain the essence of normalcy.

Correctional facilities in Norway resemble structures of hotel or college dorms like living situations (Klinger, 2020). Inmates are afforded the normal elements of playing board games and video games, cooking, and going grocery shopping to restock their refrigerators (Labutta, 2017). Norwegian prisons are never crowded, allowing for a more intimate relationship between correctional officers and prisoners (Johnsen et al., 2011).

Correctional officers play a major role in the everyday operations of these facilities as well. These officers are expected to maintain and exhibit the values of respect, humanity, trust

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and support to all inmates (Johnsen et al., 2011). They were expected to be the first line of motivation and assistance in incarcerated individuals changing their lives (Eide & Westrheim, 2020). Correctional officers are trained to focus upon building relationships with incarcerated individuals, and adequate resources are dedicated to rehabilitative programs. Correctional officers will often socialize with inmates over meals and card games, which will build and extend a level of trust amongst the relations between officers and inmates (Labutta, 2017). Throughout the Nordic countries, there is a strong tradition of state investment in establishing profession and academic disciplines, with corrections services being one of the investment areas (Bruhn et al., 2017). To become a correctional officer in Norway, individuals must complete a twoyear higher education program equivalent to 120 credits of American college education (Eide & Westrheim, 2020). Graduates of the two-year program have the option of continuing the program and receiving a Bachelor’s degree in correctional studies (Eide & Westrheim, 2020).

Aligning with the purpose of Norway’s criminal justice system, correctional facilities see their responsibility to rehabilitate and prepare for help after release (Dick, 2018). Norway is also guided in their approach of rehabilitating inmates under the European rules for imprisonment, where it is suggested that no one should be deprived of liberty except as a last resort (Tønseth & Bergsland, 2019). The European rules expand on the aspect of incarceration being as normal as possible, and rights and obligations are just like the rest of the general population (Tønseth & Bergsland, 2019). Therefore, while individuals are incarcerated, prisons serve as a way to motivate and encourage prisoners to seek treatment and help after release in ordinary health institutes. Norway has furthered their testament of individuals that are incarcerated and guarantee a return to society through the Soria-Moria declaration of 2005 (Giertsen, 2012). The aim of the policy was to offer rehab and social welfare services i.e. providing housing, financial assistance, employment, and (re)establish contact with family (Giertsen, 2012). These areas of welfare services are key critical conditions that have been found as pivotal objectives that post incarcerated individuals are tasked with handling.

Norweigan carceral facilities are also faced with addressing many of the same root causes of crime as the United States, such as low education rates and substance abuse (Skardhamar & Telle, 2012). However, they attempt to address these issues during incarceration in hopes of reducing recidivism risks. Present in the majority of correctional facilities, are the rehabilitation resources of primary and secondary school work, qualifying courses and vocational training (Dick, 2018). Findings have shown that having education programs in correctional facilities increases the likelihood of employment increases, translating into ability to live in conditions away from their deviant influences (Tønseth & Bergsland, 2019). In 2016 Norway reported that around 6,000 prisoners (51%) were taking part in some form of education in prison (Tønseth & Bergsland, 2019). Also, Norweigan prisons typically have drug handling units, where they aim to prepare participants to enter treatment after release or while serving part of their sentences (Giertsen, 2012). Even once individuals are released, correctional facilities continue to provide the necessary resources to continue rehabilitation. This has created a seamless transition back into a society for many of the formerly incarcerated.

In the United States, prison cells resemble cages, offering limited space to move around and resemble the normalcy of daily life (Klinger, 2020). The ‘tough on crime’ era fueled a prison building spree in America, where there were 592 prisons in 1974, but by the start of the early 21st century, there were 1,023 prisons across the country (Glasmeier & Farrigan, 2007).

During this prison building boom, rural areas struggling economically vied for the construction of the facilities in their localities in order to generate economic activity (Glasmeier & Farrigan, 2007). This prison building spree led to facilities poorly equipped for humane treatment of those incarcerated.

Correctional officers in the United States operate, and are trained, differently than those in Norway. The main aim of correction officers in the United States is to punish those

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incarcerated who do not follow rules (Misis et al., 2013). With the high number of individuals incarcerated, correctional officers often feel overwhelmed by the number of individuals they must monitor (Labutta, 2017). Unlike Norway, the United States has adopted a security structure within carcedral facilities that is antagonistic. There is a constant worry among officers of inmate violence, transfixing this constant mindset of security and safety, over the interpersonal relation of being a motivator of change (Misis et al., 2013). It is also important to consider that in the United States, there is lower minimum training and education that is needed to be a correctional officer when compared to Norway (Kowalski, 2020). With the increasing overpopulation of prison, and lack of adequate training for correctional officers, there is this sense of being overloaded, and lack the information and ability to control their environment (Kowalski, 2020).

Unlike Norway, the United States does not provide the rights to prison programs, and education programs that are offered are very sparse in correctional facilities (Dick, 2018).

One reason for this sparseness is due to the lack of legislative actions to create a right of rehabilitation programs (Dick, 2018). For example, in the 1994 Violent Crime and Control and Law Enforcement Act, all state and federal prisoners were barred from receiving federal financial aid for education programs, and eliminated the chance of a person receiving a post secondary education while in prisons (Norris & Billings, 2016). This is in contrast to the origins of the American prison, which was created through a rehabilitation framework established by the Quakers focused upon individual-level capability of change (Labutta, 2017). Even in 1968, 48% of the public thought the primary purpose of correctional facilities was rehabilitation (Labutta, 2017). However, there has been slight promise in United States correctional facilities offering some form of rehabilitation programs that address reading and family connections. For example, there are an increasing number of facilities that offer rehabilitative focused programs and incentive them through mechanisms like earned credit policies (Blumberg & Griffin, 2013).

While this is a positive sign, these types of programs vary between localities in terms of their availability and funding since there is no guarantee to such programs for incarcerated individuals.

There are clear differences between the carceral facilities in the United States and Norway.

In terms of physical design, Norway has built structures that provide a sense of normalcy and a goal of a successful return back to society. In the United States, prisons have been designed without the goal of the humane treatment of these behind bars. In terms of correctional officers, Norway has implemented highly educated and trained correctional officers focused upon helping inmates rehabilitate and prepare for reentry. In the United States, correctional officers are focused upon punitive measures for maintaining safety. They also tend to face complex issues as facilities are understaffed and underfunded. Lastly, the accessibility of rehabilitative based programs varies widely, where it is the norm in Norway but not a guaranteed right of individuals incarcerated in the United States.

Policy Solutions There is much that can be learned from the Norweigan carceral system when searching for ways to end mass incarceration in the United States. It is evident that Norway and the United States approach criminal justice in a very different manner. While the Norweigan model is clearly superior in various ways, it would be naive to think that the United States could successfully implement all elements of the Norweigan model and solve the mass incarceration crisis. Norway is a small, largely racially homogenous country with a deeply embedded social welfare system (Labutta, 2017). Thus, some elements of the Norwegian model may work well if implemented in the United States; however, other elements may not work in the United States. Thus, the potential policy solutions that can be learned from Norway should be broken down by timeline of potential implementation, as well as likelihood of success. These solutions are thus framed in terms of those that can be pursued in the short-term, medium-term, and long-term.

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Short-Term Solutions Prior to the onset of the COVID-19 pandemic, correctional facilities were viewed as hotspot locations for the transmission of infectious diseases (MacDonald, 2018). This has largely played out during the pandemic, as prisons and jails have been hotspots for the spread of Covid-19. Normal precautions like social distancing are nearly impossible in many carceral facilities because of the overcrowding produced by mass incarceration. This means that shortterm solutions should be focused on how to immediately reduce prison and jail populations.

The Norweigan model provides potential solutions here for early release policies based upon the shortened sentence length that are typical in Norway.

The early release of incarcerated individuals can mitigate the spread of Covid-19 in prisons and jails and begin a larger movement toward ending mass incarceration. Since the ‘tough on crime’ era began, lengthy punishments have become institutionalized in the United States.

The fear of crime that helped galvanize public support for these lengthy sentences may also be used as a way to prevent the early release of individuals. However, Norway has utilized shorter sentences without an increase in crime or high recidivism rate (Labutta, 2017). The United States can immediately begin considering the release of individuals incarcerated for property and drug offenses, as well as those offenses attributable to an individual’s mental illness. These individuals can be shifted to community care where the focus is on long-term rehabilitation.

In fact, Norway has utilized shorter sentences for individuals convicted of violent crime as well, so early release of individuals convicted of lower-level crimes can be an easy element of reform.

Medium-Term Solutions

While these early release approaches can decarcerate facilities during a pandemic, there are other solutions that will help move toward ending mass incarceration but will take longer to implement. One such medium-term solution will entail diverting individuals away from the carceral system. The implementation of diversion courts has grown in the United States. These courts are focused upon treating the root cause of what brought the individual into the criminal justice system. These courts create treatment programs focused upon drug rehabilitation, community service, job training, mental health, and victim restitution (Schlesinger, 2013). Diversion courts allow prosecutors to defer or dismiss a crime charge on the successful completion of a community-based diversion program (Schlesinger, 2013). This largely follows Nordic countries; implementation of national legislation focused upon mediation, which is a way for prosecutors to waive charges or judges to waive or mitigate sentences (Lappi-Seppälä & Tonry, 2011). Mediation services in Norway have been around since 1981, and currently see around 9,000 cases go through mediation, successful mediation cases result in non prosecutions (Lappi-Seppälä & Tonry, 2011). While these diversionary efforts exist in the United States, they do not exist in every locality. Thus, implementing these courts at scale could be a major medium-term solution that moves toward less individuals being incarcerated, and more being treated in a proper and needed manner.

Another medium-term solution that can be pursued involves restoring humanity to the criminal justice system. Both the United States and Norway have dealt with drug scares.

However, when faced with this challenge, Norway’s response focused upon rehabilitation, while the United States’ response focused upon punishment. It is no coincidence that this helped fuel a mass incarceration crisis in the United States, while Norway has not faced this same crisis. If the United States focused more upon the needs and struggles of the individuals facing drug charges, they could take a rehabilitative approach similar to Norway. This humanity focused approach could extend far beyond the treatment of drug offenses. For example, in Norway probation services work to keep caseloads below 20 per caseworker, and these cases can range from managing community sentences and early release (Kvam, 2020). Having this relatively low number of cases helps to build a positive relationship that fosters a change in the person while continuing to assist and find other sources of help during the probation period

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(Kvam, 2020). However, in the United States as the rate of incarceration has increased, so has the population of probation and parole offenders, resulting in officers’ caseload increasing, leading to stagnant hours and less time in building positive relations with the offenders (DeMichele & Payne, 2007). If the United States learned from Norway, they could lessen the caseloads of probation and parole officers so that individuals could get the attention they need to succeed long-term post-incarceration.

While this shift is important, it will likely be met with resistance. Norway communities have trust in their correctional facilities, and that rehabilitative approaches are effective.

Importantly though, individuals that are incarcerated are still treated as members of society. The narrative for a long time in the United States has been focused upon the fear of the offender before, during, and after their incarceration. If the United States can move away from this narrative, and see these individuals as still part of the community, this will work on reducing the stigma of the criminal record and focus on ways to help these individuals succeed long-term.

One of the prime ways to bridge this gap between criminal justice and community, lies with the structure of correctional facilities. Norway has made incarceration not an automatic withdrawal from society, but rather a temporary removal. This has resulted in facilities to maintain the essence of normalcy through the physical structure and staff of correctional officers (Klinger, 2020; Dick, 2018). Structure and correctional officers might not seem like a difference maker, but these are two prime areas of ways in which the United States can restore humanity. This approach might take time, with restructuring facilities to resemble normalcy, and retraining of correctional officers in more disciplines rather than just security (Eide & Westrheim, 2020) .

However, if the United States can reformulate correctional facilities to resemble normalcy, this is one step closer in creating all round humane conditions for individuals incarcerated.

Long-Term Solutions While these short-term and long-term solutions are important for helping fix the carceral system, long-term solutions are needed to reshape the factors that lead individuals to incarceration. One of the main predictors of increased risk of involvement in the criminal justice system is socioeconomic status (Brown & Males, 2011). Rather than using carceral facilities and carceral solutions for poverty and homelessness, the United States needs to address the root causes of these social problems. One area of root causes of social problems is through the education system in the United States. Families and students that have the resources are able to attain a quality education, while those in low socioeconomic status, are faced with barriers in pursuit of higher education and at the public school level (Raphael, 2011). Norway has worked to alleviate barriers that may persist for education attainment, by making education available to all citizens resulting in a 100% enrollment rate (Braathe & Otterstad, 2014). The education that one receives can be a differential piece in the projection of life. Therefore, the United States needs to restructure the system, towards equal access to all, and not a system based social status dictating the course of individuals lives.

Continuing this for mental illness, where prisons and jails have become de facto mental health institutions, community mental health treatment should be funded rather than continuing to send these individuals into carceral facilities. Norway has largely viewed helping those in need as the responsibility of everyone. For example, within the realm of mental health Norway recognized that there are individuals unable to get the help needed on their own, therefore the nation allocated resources and support for mental illness awareness, not stigmatizing those that suffer from it. These cultural and economic shifts will be difficult to implement; however, they can help make major progress toward ending mass incarceration.

Conclusion The Covid-19 pandemic magnified the mass incarceration crisis and showed its deadly ramifications within the United States. While criminal justice reform has grown in

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political and cultural popularity, there have been an array of potential solutions proposed for ending mass incarceration. However, many solutions may already exist, and the Norwegian model can provide some potential pathways toward ending mass incarceration. Norway has a much lower incarceration rate and recidivism rate than the United States. They also take an approach focused upon the humane treatment of those incarcerated, and they are focused upon rehabilitation throughout the criminal justice process. While the United States may not be able to implement all elements of the Norweigan model, there are short-term, medium-term, and long-term solutions that can be pursued in an overall goal of ending mass incarceration. These solutions can help decarcerate overcrowded facilities, divert individuals away from the carceral system, treat them more humanely while incarcerated, and create a social support system that addresses individual needs and the root causes that lead individuals to the carceral system. These solutions are a mix of practical and aspirational, but each can help move a step closer toward the United States being free of its mass incarceration crisis.

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About the Author Abigale Waclo is a student of the Christopher Newport University class of 2021, graduating this May with a major in Sociology with a concentration in criminology and minor in Leadership studies. Originally from Gloucester, Virginia, she transferred to Christopher Newport University fall of 2019, after receiving her Associates degree in criminal justice from Rappahannock Community College. Through her two years she has been a member of Alpha Phi Sigma, Alpha Kappa Delta, a supervisor with the athletic event staff, and captain of the running club.

During the spring 2021 semester she presented at Paideia on the comparison of Norway and United States criminal justice systems. Following graduation, she will pursue a commission as an officer in the United States Coast Guard. Through the course of her two years she is very grateful to all the professors, mentors, and fellow classmates that have helped guide her during the course of her CNU experience.

“Psychological Perspectives on Eminem’s Music: Empowerment Themes, Music Therapy, and the Effects of Violent Music” Grace N. Wilson Faculty Sponsor: Dr. Michelle Lange, Department of Psychology

Abstract While negative associations with violent music have been the focus of media attention and psychological research studies, emerging research on positive associations may help to explain the popularity of music with violent or angry elements. Most of the current literature investigates heavy metal and rap as popular “violent music.” Such music is perhaps best represented by the popular artist Eminem. Eminem continues to be known not only as one of the best-selling artists of the early 21st century, but also as one of the most controversial. His concerts have been picketed, his lyrics have been protested, and a radio station was even fined for airing one of his songs. Despite all of this, Eminem is a best-selling and award-winning rapper. The current work examines the intersection of Eminem’s music and psychology and investigates Eminem’s success as a White rapper in the hip hop industry. It also aims to find explanations for his popularity among audiences in the late 90’s and early 2000’s. Finally, it discusses the relevance of Eminem’s past experiences and struggles, many which related to his mental health, and identifies empowerment themes within his lyrics. To conclude, the themes featured in Eminem’s music as well as hip hop music in general can also have positive effects on listeners.

These themes show potential for use in music therapy, especially when working with people of ethnic minorities or people who come from low-income areas.

Keywords: Violent music, hip hop music, popular music, rap music, music therapy, empowerment

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Psychological Perspectives on Eminem’s Music: Empowerment Themes, Music Therapy, and the Effects of Violent Music It is a commonly accepted conception that music is an artistic form of self-expression.

Therefore, in understanding a musician’s body of work, one must first understand the artist who lives behind them. Marshall Bruce Mathers III was born October 17, 1972, and came to be known professionally as Eminem. Eminem has been referred to as one of the greatest rappers of all time by other popular artists in the hip hop industry and has placed within the top 10 on various “Best Rappers” lists (e.g., Billboard) (Billboard Media, 2015). Although now considered past the apex of his career, many view Eminem as a legend whose popular tracks are still revered and played today. He continues to be known not only as one of the best-selling artists of the early 21st century, but also as one of the most controversial (Encyclopædia Britannica, n.d.).

Many of Eminem’s fans are aware of his turbulent childhood and difficult past, marked by poverty, bullying, drugs, and abuse allegations (Encyclopædia Britannica, n.d.). These experiences have undoubtedly influenced his music. Eminem’s music is often seen, especially by critics, as revealing a troubled psyche. Violent, angry, and obscene lyrics are particularly characteristic of his early hits, as well as songs voiced by Slim Shady, his uninhibited alter ego.

Both Eminem and his music have faced substantial disapproval from his mother, his ex-wife, the Gay and Lesbian Alliance Against Defamation, and others in the public audience (Encyclopædia Britannica, n.d.). His concerts have been picketed, his lyrics have been protested, and a radio station was even fined for airing one of his songs (Dansby, 2001). Despite all of this, Eminem has had 10 consecutive albums place number one on the Billboard 200, and his music remains popular (“The Full List of Eminem’s Awards,” 2018). Thus, an investigation of Eminem’s music may offer an explanation as to why violent music has acquired and maintains an audience.

Literature Review: Violence in Popular Music Negative Associations and Effects

Numerous studies have investigated the possible effects of listening to violent or extreme music. Roberts et al. (2003) mention that most of the criticism aimed at popular music today is based on the assumption that the content of the music (i.e., the attitudes, behaviors, and values portrayed in the lyrics) can influence how young listeners think and act. Unsurprisingly, much of the literature tends to emphasize the negative associations, like violence, aggression, misogyny, racism, suicide, Satanism and substance abuse (Anderson et al., 2003; Carey, 1969; Christenson & Roberts, 1998; Johnson et al., 2000; Roberts et al., 1999). Most of the literature also investigates heavy metal and rap as popular “violent music.” The findings of studies that link heavy metal and rap to negative psychological outcomes or behaviors are not to be dismissed.

However, it is important to acknowledge that many of the relationships established by said studies are not causal. As Thompson et al. (2018) explains, some of the associations between violent media and aggressive behaviors which are reported in literature can be explained by the fact that individuals with pre-existing aggression problems seem to find pleasure or comfort in listening to violent music. The negative effects which are found in literature are also not always “massive and uniform” (Roberts et al., 2003). According to Roberts et al. (2003), important media effects “need not and probably do not extend to a large proportion of the total audience” (p. 160). Therefore, not all listeners of rap and/or heavy metal exhibit aggressive, misogynistic, or racist attitudes, thoughts, or behaviors. In fact, most probably do not. Many studies seek to find a 10 percent effect on an entire population. Some may also find a 100 percent effect on a specific subgroup of people that only comprises around 10 percent of the population (Roberts et al., 2003).

Listeners respond to music in terms of various social, psychological, and physical conditions that influence how they will use it, how they will interpret it, and whether, when, and how they act on what they learn from it (Roberts et al., 2003). A risk factor approach has also been applied to younger music listeners. This approach holds that children who are already

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at risk for suicide or violence can potentially increase their risk by heavy use of music which eulogizes violent themes. Conversely, for children without preexisting risk factors, or children who have a number of buffering or protective factors, music with these themes is not likely to have any short-term effects (Roberts et al., 2003). Thus, again, not all people who listen to violent music are violent, and not all listeners will become violent or internalize the values that are reflected in the music they listen to.

Research also suggests lyrical content is not the only aspect of music which may produce a negative effect on human emotion. A study by McCarty (2003) found that two versions of a violent song, one version sung by Eminem (rap) and one sung by Tori Amos (alternative rock), produced increases in state hostility. State hostility is a measurement of hostile or antagonistic feelings. The Tori Amos version yielded a significantly greater increase in state hostility than the Eminem version, despite the fact that the lyrics of the two versions were nearly identical.

Thus, a conclusion was drawn that lyrical content, while important, is not the only factor in state hostility increase. The possible explanations listed for these findings were the existence of differing music preferences and the fact that Eminem’s style may be seen as facetious or sarcastic.

This interpretation may not apply to the more morose Tori Amos.

Positive Associations and Effects

Aside from the potentially negative psychological effects of violent music, other outcomes have been researched as well. A study by Thompson et al. (2018) found that while negative emotions tend to be avoided in daily life, they are often appreciated in artistic ventures.

The study found that listening to Death Metal music with extremely violent themes (e.g., death, emotional or physical harm, and aggression) resulted in a wide range of positive emotions including power, joy, peace, and wonder for fans, while non-fans reported emotions such as anger, tension, and fear. Thompson et al. (2018) looked into distinguishing fans from non-fans using personality traits and found that fans were lower in conscientiousness and agreeableness. Thus, people who enjoy violent music may share common characteristics. Relatedly, an experimental study by Sharman and Dingle (2015) found that extreme heavy metal music did not make angry participants feel angrier. Participants were subjected to anger induction, then either listened to 10 minutes of extreme music from their own playlists, or sat in 10 minutes of silence. The extreme music seemed to match the participants’ physiological arousal levels and resulted in an increase of positive emotions. For the listeners involved in the study (who were already extreme music listeners), listening to extreme music appeared to represent a healthy way of processing anger. Sharman stated that respondent’s levels of hostility, irritability, and stress actually decreased after listening to heavy metal.

Previous studies on sad music have yielded similar results, as people have been found to listen to sad music when they are already sad in order to connect with their emotions, fully experience sadness, and consequently improve their moods (Papinczak et al., 2015; Saarikallio & Erkkila, 2007; Van den Tol & Edwards, 2013). In a study conducted by Olsen et al. (2020), fans of extreme metal and violent rap were found to report feelings of empowerment and joy after listening to music. Fans of violent music also utilized their preferred music for positive psychosocial functions to a similar or greater extent than classical fans. Having harmonious passion for music predicted positive emotional outcomes for all groups of fans, whereas obsessive passion predicted negative emotional outcomes, suggesting that manifestations of violence may have more to do with the person listening to the music, and not the music itself. Passion is defined as a strong inclination towards an activity, and obsessive passion entails becoming obsessed with or relentlessly pursuing one’s passion(s). For people with an obsessive passion for violent music, the activity begins to overpower them, and a sense of self-control is lost.

Obsessive passion involves the ego and the affected person’s self-worth may become reliant on the activity. They may also begin to focus control over the activity, believing that this will lead to their desired outcomes. On the other hand, harmonious passion allows for integration

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of the activity into the authentic self. The person values the activity and chooses to engage due to his or her own free will. Mastering oneself is the focus, rather than controlling what others do; therefore, the person’s areas of interest function together harmoniously and flourish their being. The activities the person considers passions are seen as rewarding in themselves and can be used as an opportunity to explore more about themselves. Stepping away from the activities also occurs without guilt, and the ego is not of importance. If the person listening isn’t able to pursue an area of passion, it doesn’t harm their ability to enjoy other activities in life. Olsen et al. (2020) propose that most fans of violent music use their preferred music to induce an equal balance of positive and negative emotions.

Hip hop is also a popular genre of music to listen to while working out. Barney et al. (2012) found that 27.7 percent of their college student sample listened to hip hop while working out, and 24 percent listened to rock. Pop came in third at 20.3 percent. Jabr (2013) states that although what genre of music excites movement varies from person to person, a broad generalization is that fast songs with strong beats are particularly stimulating. Accordingly, Dr. Karageorghis, leading expert in sports psychology, asserts that the right music can elevate mood and persuade people to push through waves of exhaustion (Jabr, 2013).

Rap Artist Eminem: Popularity of Violent Music While negative associations with violent music have been the focus of media attention and research studies, emerging research on positive associations may help to explain the popularity of music with violent or angry elements. Such music is perhaps best represented by the popular artist Eminem. Many websites list Eminem as the best-selling rapper in history on account of selling nearly 227 million records (e.g., Medium) (Callas, 2018). Rolling Stone magazine has included him on its lists of the “100 Greatest Artists of All Time,” and the “100 Greatest Songwriters of All Time” (Rolling Stone, 2015, 2018). Eminem has won 15 Grammy Awards, eight American Music Awards, and 17 Billboard Music Awards (“The Full List of Eminem’s Awards,” 2018).

Personal Life

Eminem had a turbulent childhood. His father left when he was a toddler and as a child he was often bullied at school. A fellow student severely injured Eminem in an assault, however, the lawsuit filed after the incident was dismissed (Siemaszko, 2010). Eminem spent a lot of his youth in a working-class Detroit neighborhood which was primarily Black, and he and his mother struggled with poverty. He was interested in storytelling as a child and was given a rap soundtrack by his mother’s half-brother, Ronnie Polkingharn. Polkingharn went on to commit suicide in 1991, at which point Eminem lost a musical mentor and fell silent for some time. Eminem’s home life was unstable, as he often fought with his mother, even accusing her of having Munchausen syndrome by proxy and sprinkling valium on his food (Moore, 2020).

His mother was once described as “paranoid” by a social worker. Eminem eventually dropped out of high school at age 17 (A&E Networks Television, 2017). He began participating in rap battles with a friend at age 14, later signing to Jeff and Mark Bass’s F.B.T. Productions. His debut album Infinite (1996) was a commercial failure. It was ignored by the industry and Eminem was criticized as an artist, which may have contributed to his angrier tracks which followed. Bozza (2003) states that at the time of Infinite’s release, Eminem lacked the “comically violent slant” that he developed later on (p. 16). Infinite referred to both his financial struggle and his difficulties in raising his newborn daughter, Hailie. At this point in his life, Eminem lived in a crime-ridden neighborhood with his partner Kim Scott. He cooked and washed dishes for minimum wage at a family-style restaurant. After the release of this debut album, personal problems and substance abuse issues led to a suicide attempt (Medeiros, 2018). By 1997, he lived in his mother’s mobile home with Kim and Hailie. His relationship with Kim was strained and rocky, leading to divorce and struggles for the custody of their children. The hardships Eminem faced in his life have a substantial impact on the content of his music as they shaped his psyche.

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Rise to Success: Popularity and Impact of Eminem’s Music Eminem’s controversial rise to success began in 1999 with the release of The Slim Shady LP. At this point he had been hired by Dr. Dre, who was one of his idols. Eminem attracted more attention when he introduced “Slim Shady” to his music (Medeiros, 2018). This sadistic and violent character is viewed as his alter ego. At the time of The Slim Shady LP’s release, Eminem’s violent lyrics which were often riddled with misogyny, obscenity, and aggression sparked much controversy. For example, in “97 Bonnie and Clyde” (1999), Eminem vividly describes taking a trip with his infant daughter in order to dispose of his wife’s body. Nonetheless, the album was one of the year’s most popular, and was certified as triple platinum by the end of 1999.

Eminem continued this violent, angry rap style for some time and it evolved into something he was and is known for, although less so today.

Despite this characterization of an aggressive musical style, Eminem is also known for the raw emotions and narratives expressed in his music, as well as his rhyme. Analyzing a multitude of fans’ posts on the internet reveals some reasons why he may have become so popular in 1999, and why he maintains an extensive fanbase today (Dorianopolis, 2015). First, he began to rhyme words that people previously thought could not be rhymed. In “Without Me” (2002), he rhymes the words “vodka,” “start,” “shock,” and “hospital,” by stressing and compressing different syllables. Thus, fans assert that his songs flow in a novel way. Second, he is straightforward and explicit in both his lyrics and his enunciation. He discusses personal experiences quite clearly in his songs. In some of his songs, he also takes an inspirational standpoint that those who may not be a fan of his more violent music can relate to. For example, in “Beautiful Pain” featuring Sia (2013), Eminem says “As time passes, things change every day/But wounds, wounds heal/But scars still remaining the same/But tomorrow, today’s going down in flames/Throw the match, set the past ablaze.” In “Not Afraid” (2010) he raps “I’m not afraid/To take a stand/Everybody/ Come take my hand/We’ll walk this road together, through the storm/Whatever weather, cold or warm/Just letting you know that, you’re not alone.” Third, he uses different voices. For example, in “The Real Slim Shady” (2000) he changes his voice drastically when narrating people other than himself. Fourth, he incorporates the media’s response to himself in his songs as well as offering commentary on politics. For example, his song “White America” (2002) is a direct commentary on the media’s response to him as a White rapper. Eminem claims that the media’s response to his lyrics about misogyny and homophobia was greater because he is White, and that he isn’t the first person to rap about these things, saying the following: Surely hip hop was never a problem in Harlem, only in Boston/...Actin’ like I’m the first rapper to smack a bitch or say “faggot,” shit/Just look at me like I’m your closest pal/The poster child, the motherfuckin’/spokesman now, for-/White America!

In “Not Afraid,” Eminem also addresses his fans directly, rapping “and to the fans/I’ll never let you down again, I’m back/I promise to never go back on that promise/In fact, let’s be honest, that last Relapse CD was eh.” Fifth, Dr. Dre, a highly esteemed Black artist, promoted him. This is seen as an important contributor to Eminem’s success since he was a White man entering the hip hop realm in the late 90’s. Dr. Dre became his mentor and producer. Eminem acknowledges this in “I Need a Doctor” (2011), “All I know is you came to me when I was at my lowest/You picked me up, breathed new life in me, I owe my life to you/...And you ain’t given’ up on me, get up, Dre!” Race and Authenticity in the Hip Hop Genre Primary factors that are of relevance to Eminem’s rise to success are his race and the historical context of the years in which he became popular. Eminem himself recognizes the significance of his race when it comes to his success and the extent to which he drew the attention of the public. In “White America,” he exclaims “Look at these eyes, baby blue, baby just like yourself/If they were brown, Shady’d lose, Shady sits on the shelf/...Look at my sales!/Let’s do the math, if I was Black, I would’ve sold half.” The film Eight Mile, released in 2002, earned

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over 51 million dollars in the US. The story of a White rapper called Rabbit, who was played

by Eminem, was attractive to many. This is because stereotypically, a White man is not expected to excel at rapping (Fraley, 2009). As Toure (2000) expresses, it feels dangerous to imagine a White boy nearing hip hop, as it is viewed as a celebration of Black maleness. Throughout his career, Eminem has remained conscious of his race. He previously stressed that he does not wish to be placed in the White rapper category, instead, he wants to be a rapper based on talent.

Nevertheless, hip hop as a genre makes visible the complexities of racial identities, and reveals the difficulties faced when trying to deconstruct essentialist beliefs of race in favor of more fluid racial categories (Fraley, 2009).

Eminem’s success cannot be separated from the effects of his race. The hip hop world originated in the 1970s South Bronx as a “Black cultural expression that prioritizes Black voices from the margins of urban America” (Rose, 1994, p. 2). Due to the origins of hip hop, the authenticity of the experiences and narratives portrayed in rap music becomes crucial. Even so, numerous White rappers have come to succeed commercially, and be positively received by the public as well as other Black rappers in the industry. This phenomenon is in some ways thought to be inevitable as a large number of people have now grown up listening to and being influenced by hip hop. Eminem is an example of this, emerging in the late 90’s, having been influenced by hip hop and hip hop artists. However, the reality is that White involvement in Black art forms is immediately problematic, and thus many have also questioned the authenticity of White rappers and their content (Armstrong, 2004). Armstrong (2004) highlights the importance of authenticity in rap as a genre, and claims that Eminem is firmly grounded in three types of authenticity. The first is being true to oneself, as in having individuality and self-creation as values. The second is having local allegiance and territorial identity. Eminem’s territorial identity is linked to Detroit, and he falls under West Coast style rap due to his connection to the city. The third is proximity to an original source of rap. Dr. Dre is an important figure in this aspect of Eminem’s authenticity and serves as this close connection. Although Eminem may be grounded in these elements, Armstrong (2004) brings up an important concept to consider.

It is very well possible that Dr. Dre signed Eminem, a White man, in order to “appeal to rap’s largest consumer base—White middle-class suburban teenagers” (p. 336). Rose (1994) has asserted that “there is abundant evidence that White artists imitating Black styles have greater economic opportunity and access to larger audiences than Black innovators” (p.5). Thus, it simply cannot be denied that Eminem’s Whiteness has been used as a marketing tool, whether Eminem’s work comes from the heart or not. Eminem has always seemed quite aware of this situation himself, judging from his lyrics and the entitling of his autobiography as Angry Blonde.

He also introduced himself saying “are y’all ready for the White boy,” at his first appearance in New York City (Armstrong, 2004).

Emerging in 1999, Eminem wasn’t the first White man to enter the hip hop industry, but the odds worked heavily in his favor with being discovered by Dr. Dre and establishing a fanbase. As Fraley (2009) phrases it, “while hip-hop remains forever tied to its African American roots, it is now undeniably evident in all aspects of popular culture. Eminem, a White MC, has achieved a level of success unmatched in the world of hip-hop” (p.37).

Popularity of Hip Hop and Violent Hip Hop Music Among White Audiences Eminem’s success can also be credited to the way the public received his music style at the time. On Billboard, a breakdown of his hit albums and their peaks are as follows: The Slim Shady LP- peaked at number two on 3.13.1999, The Marshall Mathers LP- peaked at number one on 6.10.2000, The Eminem Show- peaked at number one on 6.8.2002, Encorepeaked at number one on 11.27.2004, Curtain Call: The Hits- peaked at number one on 12.24.2005, Relapse- peaked at number one on 6.6.2009, Recovery- peaked at number one on 7.10.2010, The Marshall Mathers LP 2- peaked at number one on 11.23.2013, Kamikazepeaked at number one on 9.15.2018, and Music to be Murdered By- peaked at number two

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on 2.1.2020 (Billboard Media, n.d.). Thus, it can be seen that the peak of his career was likely from 1999-2005. He had a return in 2009-2010, then again in 2013. His most recent hits in 2018 and 2020 are not to be ignored, but he had a streak in the early 2000s, during which he established a legacy. According to Armstrong (2004), 11 of the 14 songs in The Marshall Mathers LP contained violent misogynistic lyrics. Nine of these 11 songs depict killing women.

Despite this violence, the album peaked at number one in the year 2000. While Whites initially favored non-threatening rap, analysts and market researchers soon found an overall demand for harsher lyrics (Watts, 1997). Thus, rap may have become more vulgar to appeal to the tastes of the genre’s consumers, which consisted largely of White youth (Armstrong, 2004). Samuels (1991) argues that record producers packaging rappers as violent Black criminals increased hip hop’s White audience. Yousman (2003) argues that this is because it confirms Whites’ negative stereotypes about Black people (termed Blackophobia) and hip hop. Yousman also argues that Whites are attracted to hip hop because it can be used as a socialization tool to fit in with peers (termed Blackophilia). He asserts that many of these same Whites who consume Black culture may oppose ending racism. Albeit extreme, his piece offers a critical argument for a phenomenon which is still insufficiently researched (Blackshear, 2007). Kitwana’s (2005) book titled Why White Kids Love Hip-Hop: Wankstas, Wiggers, Wannabes, and the New Reality of Race in America also highlights Blackophilia, particularly Whites who may have an obsession with Blackness. Although these theories may not apply directly to Eminem’s popularity because he is White, they could possibly explain why his violent lyrics were accepted as fitting or representing the hip hop genre.

Further, there are also theories as to why young, middle class, White adults are consumers and fans of hip hop music in general. The hip hop industry itself is predominantly Black, however, studies reveal that around 70% of its consumers are White (Kitwana, 2005; Yousman, 2003). Blackshear (2007) concluded from her studies that hip hop music is used

by White listeners as a means for negotiating social group memberships (e.g. race, class). It may be argued that many of the Whites involved in her study do not have the capacity to fully understand or relate to hip hop as it is a Black art form. However, Blackshear (2007) highlights that White adolescents are also listening to hip hop at a time in their lives when they are seeking to understand their identity and find their social groups. Thus, listeners may have understood more about their Whiteness through comparison to Blackness and hip hop culture.

This may especially be the case because discussing Whiteness is something that is often avoided in conversation among White people, as they recognize the privilege they afford due to their skin color. For some White listeners, temporarily embodying alternative identities that speak to Black culture may be helping them better understand their identities. Blackshear’s (2007) study also revealed that Whites found ways to relate to hip hop music through some of its universal appeals of class and emotions. These same people realized that hip hop music directly speaks to Black experience, but found ways to parallel it to their lives. While it does not speak directly to their White experiences, it is a genre they love and appreciate. Thus, Whites are also attracted to hip hop music for reasons that extend beyond its socio-cultural roots (Blackshear, 2007). In the context of Eminem as a White hip hop artist, the author hypothesizes that Whites may be able to relate to Eminem’s music more strongly upon knowing that they share a racial identity.

This phenomenon becomes problematic if White audiences use Eminem’s success as a way to undermine or dismiss hip hop’s roots–an art form created by Black people for Black people.

However, as Blackshear (2007) found, this is not always the case.

After emerging in the late 90’s, Eminem maintained popularity throughout the early 2000’s. His violent music may have followed the trends of the time and thus succeeded in drawing the public’s attention. According to National Civil Rights Museum educator Ryan Jones, hip hop artists have conveyed stories of urban violence since the 1980’s, and hip hop culture has long been associated with violence and other stereotypes (Jones, 2016). Perhaps

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Eminem’s ability to fit this violence stereotype contributed to his popularity as well. Finally, it is interesting to note that boy bands also peaked commercially in the 1990’s and early 2000’s.

These peaks were described to have “hardly mattered to the Marshall Mathers Machine,” as his album broke record sales during a period in which the Backstreet Boys and Britney Spears also dominated the charts (Callas, 2018). Consequently, Callas (2018) describes Eminem as being in a “stratosphere” of his own as far as commercial success. His undeniable popularity during the “boy band” era reveals that even during times when tame music was widely popular, darker, angrier music also had an audience.

Empowerment Themes in Eminem’s Lyrics A quote by KRS-One (2009) is as follows: For a culture with no central home base, no financial backing, no religious affiliation, no political organization, not even a race or ethnicity that it can call its own; this culture Hip Hop created out of the historical activities of America’s inner cities has risen up and has completely established itself in the minds of youth everywhere and has completely side-stepped the entire World system and ways of achieving success and stability in the World. (p.14) Lawrence Parker, better known by his stage name KRS-One, is an American rapper from Bronx, New York. He is the author of a book called The Gospel of Hip Hop: The First Instrument.

KRS-One argues that today, hip hop culture is global and provides unconditional acceptance to all people whose voices have been marginalized, oppressed, and stifled by societal structures.

It is meant to provide hope to those living in this state. Viega (2016) examined music therapy literature and found several theories that align with the ethos of hip hop culture. He included research by Kobin and Tyson (2006) which analyzed rap lyrics from a social work perspective.

They discovered lyrical themes in hip hop which reflect an empowerment perspective. Kobin and Tyson (2006) concluded using these themes in rap music to connect to clients, especially those who are of ethnic minorities in low-income neighborhoods, can encourage the use of projective narration and serve as an “icebreaker.” The presence of these empowerment themes may also help explain why hip hop is a genre often preferred when working out.

The various empowerment themes found by Kobin and Tyson (2006) include increasing self-efficacy, developing group consciousness and empathy, reducing self-blame, assuming personal responsibility, and authenticity. This work aims to search for these themes in some of Eminem’s songs, “Beautiful” (2002), “Beautiful Pain” (2013), “Cleanin’ out my Closet” (2002), “Bad Guy” (2013), “Bad Husband” (2017), and “Mockingbird” (2004). Representative lyrics are listed below each section.

Self-Efficacy, Group Consciousness, and Empathy Self-efficacy is a person’s perceived ability to make changes to their environment, which often requires having the passion or desire to overcome hardships. According to Kobin and Tyson (2006), motivation for treatment may be improved through recognizing themes of self-efficacy portrayed in hip hop. Many of Eminem’s lyrics are encouraging and suggest the idea that people are capable and resilient. Group consciousness and empathy require people to recognize the “I” as “we” and the “you” as “me” (Viega, 2016, p. 133). According to Viega (2016) empathy is required of both therapist and client. Both parties are expected to understand and communicate. Although it may be challenging at times to weed out empathy themes within the evocative imagery in hip hop, listeners can learn to experience hip hop content as a reflection of themselves, and realize the responsibilities they have within their group to make changes in both themselves and their environment. Eminem’s song “Beautiful” particularly highlights the importance of empathizing with others when trying to improve one’s own situation.

Self-efficacy “But you’ve returned from the ashes/And the hurt that you have, you just converted to gasoline” “And it’s as though you feel you’ve died/’Cause you’ve been killed inside/But yet you’re still

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alive/Which means you will survive.../And by tomorrow, you may even feel so good that you’re willing/To forgive ‘em, even after all the shit you been put through/This feeling of resilience is building” (“Beautiful Pain”) Group Consciousness and Empathy “I guess we would have to walk a mile/In each other’s shoes, at least/What size you wear? I wear tens/Let’s see if you can fit your feet/In my shoes, just to see/What it’s like, to be me/I’ll be you, let’s trade shoes/Just to see what it’d be like to/Feel your pain, you feel mine/Go inside each other’s minds” “I just wanted to fit in, every single place, every school I went” “Everybody has a private world/Where they can be alone/Are you calling me, are you trying to get through/Are you reaching out for me, like I’m reaching out for you” (“Beautiful”) “Have you ever been hated or discriminated against?/I have, I’ve been protested and demonstrated against/Picket signs for my wicked rhymes, look at the times” (“Cleanin’ Out My Closet”) Reducing Self-Blame, Personal Responsibility, and Authenticity An additional theme present in Eminem’s music is reducing self-blame. Many rappers share autobiographical accounts to express their resilience and endurance despite facing adversities.

Hip hop offers opportunities for people to reflect on the experiences and circumstances they have been through and better understand that they do not carry all of the blame for their mistakes.

In his lyrics, Eminem often reflects on past hardships and how certain people or situations impacted him negatively. He brings attention to his past experiences with poverty, mistreatment, and poor relationships and recognizes that these things were difficult for him to recover from.

The following theme is personal responsibility. While hip hop includes lyrics which reduce self-blame, it also encourages taking responsibility for one’s fate. Hip hop often features themes of resilience and endurance through times of stress or oppression, and encourages self-reflection to come to terms with one’s own wrongdoings and what one can do to improve.

Eminem often highlights his own flaws and mistakes in his lyrics, as well as the fact that it took extensive effort for him to get to where he is today. Some mistakes he often raps about are hurting his family and making offensive remarks.

Lastly, there is the theme of authenticity and being true to one’s self. Having the ability to voice lived experiences in a genuine manner and be confident in oneself is another social construct in hip hop. It is often referred to as the act of “being real” (Hodgman, 2013, p. 402).

KRS-One notes authenticity in hip hop has its roots in one’s journey towards self-knowledge, and self-improvement, and recognizing the difficult experiences of people who are marginalized.

Reducing Self-Blame “Tempers flarin’ from parents, just blow ‘em off and keep goin’” “I look at Hailie, and I couldn’t picture leavin’ her side/Even if I hated Kim, I’d grit my teeth and I’d try/To make it work at least for Hailie’s sake/I maybe made some mistakes/But I’m only human...”

“Now, I would never diss my own mama just to get recognition/Take a second to listen ‘fore you think this record is dissin’/But put yourself in my position, just try to envision/Witnessin’ your mama poppin’ prescription pills in the kitchen/Bitchin’ that someone’s always goin’ through her purse and shit’s missin’.../See, what hurts me the most is you won’t admit you was wrong/ Bitch, do your song, keep tellin’ yourself that you was a mom!.../I’m sorry, Mama/I never meant to hurt you/I never meant to make you cry/But tonight I’m cleanin’ out my closet” (“Cleanin’ Out My Closet”) “I’m just so fuckin’ depressed/I just can’t seem to get out this slump” (“Beautiful”) “We did not plan it to be this way/Your mother and me/...I don’t see us ever being together ever again/Like we used to be when we was teenagers/But then of course/Everything always happens for a reason/I guess it was never meant to be/But it’s just something/We have no control over”

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“I remember back one year when daddy had no money/Mommy wrapped the Christmas presents up/And stuck ‘em under the tree/And said some of them were from me/’Cause daddy couldn’t buy ‘em/I’ll never forget that Christmas/I sat up the whole night cryin’” (“Mockingbird”) Assuming Personal Responsibility “Nobody asked for life to deal us/With these bullshit hands we’re dealt/We gotta take these cards ourselves/And flip them, don’t expect no help/Now I could have either just sat on my ass and pissed and moaned/Or take this situation in which I’m placed in/And get up and get my own” (“Beautiful”) “You hit me once/And that I would use to continue the pattern of abuse/Why did I punch back/Girls your dad is a scumbag.../Good dad, but a bad husband” “But I’m sorry Kim/More than you could ever comprehend” (“Bad Husband”) Authenticity “Don’t let ‘em say you ain’t beautiful oh/They can all get fucked just stay true to you” “God gave you the shoes/That fit you, so put ‘em on and wear ‘em/And be yourself man, be proud of who you are” (“Beautiful”) Music Therapy as an Outlet for the Expression of Psychological Struggles

Considering the presence of these themes in Eminem’s music, his songs may show potential for use in music therapy. Music therapy is an established health profession in which music is used within a therapy setting to address the physical, emotional, cognitive, and social needs of individuals (American Music Therapy Association, n.d.). Music therapists assess the strengths and needs of their clients, then provide treatment which can include creating, singing, moving to, and/or listening to music. These activities often provide avenues for communication which may be helpful to those who find it difficult to express themselves using their own words. Research in music therapy supports its effectiveness in many areas including facilitating physical movement and rehabilitation, increasing people’s motivation to engage in treatment, providing emotional support for clients as well as their families, and providing an outlet for the expression of feelings. A systematic review by Kamioka et al. (2014) found that music therapy treatment improved functioning in schizophrenia and/or serious mental disorders, gait in Parkinson’s disease, depressive symptoms, and sleep quality” (p. 727). Harvard Health Publishing lists music’s benefits in easing anxiety and discomfort during procedures, restoring lost speech, aiding pain relief, reducing the side effects of cancer therapy, and more (Harvard Medical School, 2016).

Using hip hop in music therapy may be helpful in fostering a more productive relationship between therapist and client, especially if they are of different backgrounds, socioeconomic statuses, races, or ages. A stronger relationship between therapist and client can assist in the creation of a safe and open environment where dialogue can occur. As mentioned above, ethnic minorities in low-income neighborhoods could particularly be encouraged by the use of hip hop music, which they may already be familiar with. Hip hop’s potential for use in therapy has been recognized by others in the field as well. Hip Hop Psych, a company co-founded by Dr. Akeem Sule, a consultant psychiatrist, and Dr. Becky Inkster, a clinical neuroscientist, uses hip hop in therapy settings. Their take also includes addressing the stigma towards mental illness and the lack of diversity within the psychiatric profession. Sule explains: Much of hip-hop comes from areas of great socioeconomic deprivation...it’s inevitable that its lyrics will reflect the issues faced by people brought up in these areas, including poverty, marginalization, crime, and drugs...we can see in the lyrics many of the risk factors for mental illness, from which it can be difficult to escape. (“Hip Hop Psych,” 2014, para. 4) Hip hop artists use their talents to describe the world around them, but also aim to break free from this world. They often relay a message of hope, describing the place they

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would like to be once they are able to improve their lives, or the place they are currently in after persevering through many struggles. The founders of Hip Hop Psych believe hip hop and its rich narrative style can be used to create more effective therapies and help patients hold more positive impressions of themselves and their futures. They plan to take Hip Hop Psych to prisons, schools, and hostels, and have received a positive response from the hip hop community (“Hip Hop Psych,” 2014).

Conclusion

Eminem’s music has had an enormous impact on the public, the music industry, and hip hop culture. His lyrical content has been both loved and fiercely protested. His popularity and large fan base can be seen as revealing an appreciation for negative emotions expressed through artistic ventures. Roberts et al. (2003) ended their chapter with a note to parents about the role of violent popular music in the lives of youth. They note that the loud, booming, music heard behind children’s bedroom doors is not turning young people into monsters.

Roberts et al. (2003) suggest parents should pay attention to their children’s grades, general mood, and friends. If these parts of their lives are fine, there is likely little to worry about from the lyric content of their preferred music. If a child listens to angry music for hours a day, perhaps they are angry and dwelling on these emotions. This could be a cause for concern, but for the most part, music is a source of pleasure, even if it is angry music. Children listen to certain music because they like it. Popular music also addresses issues central to adolescents’ developmental stages, often more directly than the adults in their life. Consequently, children and adolescents look to youth culture to sort out emotions and feelings. Popular music, including hip hop, functions as “essential equipment for living,” and thus has positive impacts on its listeners which everyday critics may fail to see (Roberts et al., 2003, p. 170).

This paper examined the intersection of Eminem’s music and psychology. First, it discussed the relevance of Eminem’s past experiences and struggles, many which related to his mental health. There is no doubt that his own struggles with poverty, bullying, unhealthy relationships, substance abuse, and suicidal thoughts had an impact on his work. Second, it looked into how the psychology of his audience and consumers also had an impact on his staggering success in the late 90’s and early 2000’s. Third, it investigated Eminem’s identity as a White rapper in the hip hop industry, leading to the discussion of the significance of race and authenticity in hip hop culture. The extremely violent themes in Eminem’s early music also brought further attention to the negative effects of hip hop, as researched in psychological literature. Fourth, it has been found that many fans of extreme music actually experience positive emotions while listening. The themes featured in Eminem’s music as well as hip hop music in general can also have positive effects on listeners. These themes show potential for use in music therapy, especially when working with people of ethnic minorities or people who come from low-income areas. Specifically, the empowerment themes featured in Eminem’s music could be used to encourage improvement and increase motivation for treatment and therapy.

It is unsurprising that the rich imagery and narrations present in Eminem’s lyrics are relevant to psychology. Both Eminem’s psychology and the psychology of his audience are represented heavily in his work.

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Thompson, W. F., Geeves, A., & Olsen, K. N. (2019). Who enjoys listening to violent music and why?. Psychology of Popular Media Culture, 8(3), 218-232. https://doi.org/10.1037/ ppm0000184 Toure. (2000, July 6). The Marshall Mathers LP. Rolling Stone. https://www.rollingstone.com/ music/music-album-reviews/the-marshall-mathers-lp-203914/ Van den Tol, A. J., & Edwards, J. (2013). Exploring a rationale for choosing to listen to sad music when feeling sad. Psychology of Music, 41(4), 440–465. https://doi. org/10.1177/0305735611430433 Viega, Michael. (2015). Exploring the discourse in hip hop and implications for music therapy practice. Music Therapy Perspectives, 34(2), 138-146. https://doi.org/10.1093/mtp/ miv035 Watts, E. K. (1997). An exploration of spectacular consumption: Gangsta rap as cultural commodity.

Communication Studies, 48(1), 42-58. https://doi.org/10.1080/10510979709368490 Yousman, B. (2003). Blackophilia and Blackophobia: White youth, the consumption of rap music, and White supremacy. Communication Theory, 13(4), 366-391. https://doi. org/10.1111/j.1468-2885.2003.tb00297.x

About the Author Grace Wilson is a member of the Class of 2021 at Christopher Newport University, and will be graduating summa cum laude with a B.S. in Psychology and a minor in Chemistry. She is a member of Psi Chi (the International Honor Society in Psychology), Alpha Chi (the National College Honor Society), and the Honors Program at CNU. Finally, she was also an undergraduate research assistant in Dr. Lee’s Emotion and Personality Lab! Her mother is Japanese, and because she is bilingual she applied to international graduate schools in Japan. She hopes to join an Education and Psychology Program which involves Japanese-English bilingual education. She would like to teach English in Japan and eventually pursue a doctoral degree to teach at the collegiate level, or practice counseling.

“‘Jenny, Darling, You’re My Best Friend’: Examining Queer Female Friendships in Young Adult Literature” Vic Windt Faculty Sponsor: Dr. Margarita Marinova, Department of English

Abstract In the realm of literature, female friendships have scarcely been explored. This is especially true of queer female friendships in young adult literature. This exploration is not only important for representation purposes, but because these relationships are fundamentally different from those between heterosexual girls due to the addition of romantic and sexual elements, the addition or lack of boundaries within the relationship, and whether the friendship is same or cross orientation. Nina LaCour’s We Are Okay and Mariko Tamaki’s Laura Dean Keeps Breaking Up with Me display all the elements commonly found within “passionate” friendships and cross orientation friendships through their titular characters: Marin and Mabel, and Freddy and Doodle. In the examination of queer female friendships within these novels and their characters, it becomes clear that queer women and girls are able to alter what is known about typical female friendships and develop something new.

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Throughout the history of companionship in literature, companionships between men have been examined in much closer detail than those of their female counterparts. Female friendships are scarcely explored, despite being incredibly prominent historically and important in understanding how women experience both platonic and romantic relationships. One aspect of these relationships that is rarely looked at are those between adolescents, especially within young adult literature. Within this domain comes the even less explored area of queer female friendships and experiences for women. Most of these books about queer youths are focused on gay male experiences, with the female characters being cast off to the side as secondary or background characters.

The experiences of queer females, especially during adolescence, are incredibly important and need to be explored because visibility is extremely important in literature. This is also a time when adolescents are attempting to understand themselves and their sexuality all at the same time, and books pertaining to their experiences can help them along this journey. In addition to the personal exploration of their identities, examining the relationships between girls in young adult literature is crucial to the conceptualization of the ways in which they understand themselves and experience different aspects of female friendship. There are many types of bonds that queer women have with other women; some of these companionships traverse romantic and sexual boundaries, some become relationships while still maintaining aspects from their friendship, and others have more boundaries in place due to differences in sexual orientation.

There is also the often-unexplored aspect of experiencing fewer common changes in the nature of the relationship, such as going from being in a queer relationship to a platonic one and removing the romantic and sexual aspects of the relationship. What makes these friendships special is that typically, heterosexual women do not have boundary-crossing relationships with other heterosexual women; queer women have unique friendships with other queer women and heterosexual women, especially during adolescence when they are going through a stage of identity exploration.

The goal of this paper is to establish how queer females experience friendship within adolescent literature. I will be investigating this through two novels: Mariko Tamaki’s Laura Dean Keeps Breaking Up with Me and Nina LaCour’s We Are Okay. Both works feature queer main characters who struggle with breaking down boundaries within their respective female companionships, one of which being a same-orientation queer friendship, and the other being a cross-orientation lesbian-heterosexual friendship. Because these are queer adolescents, their relationships differ greatly from those of heterosexual girls, and include different romantic and sexual aspects that one would not find in a typical female companionship. Therefore, queer female friendships are fundamentally different from those of heterosexual females in many ways, including the romantic and sexual elements that may be present within the relationship and the boundaries, or lack thereof, that are put in place, all of which can be explored through the medium of queer adolescent literature.

Terminology There are key terms and concepts that need to be explained before I continue into the examination of the queer female friendships in adolescent literature. Firstly, the term “queer.”

While the term itself typically refers to an ambiguous sexual identity lacking “a consistent set of characteristics,” often used by those who prefer not to identify with a specific label, I am using it as a blanket term, similarly to the way in which the LGBT community can be referred to as the queer community (Jagose 96). More specifically, the term is being used to encompass all women in the community who experience romantic and/or sexual attraction to other women, including lesbian and bisexual women.

The second term that will be defined is “passionate friendship,” also called “romantic friendship.” In Lisa M. Diamond’s article, titled “Having a Girlfriend Without Knowing It,”

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she says that passionate or romantic friendship refers to a friendship that “frequently involves forms of physical intimacy (such as cuddling and hand-holding) that are usually considered exclusive to romantic relationships,” which is a very important distinction to make from regular female friendships (6). In defining this specific term, the physical intimacy aspect should be expanded upon. Physical intimacy, in the realm of passionate friendships, can include things like holding hands and cuddling, as mentioned in Diamond’s article, as well as sleeping in the same bed, hugging, and generally being in each other’s personal space, and it is a key element of a passionate friendship. Essentially, these “intense relationship experiences cannot accurately be characterized under broad interpersonal labels, such as friend or romantic partner, but have instead been defined as existing in an in-between space, characterized as passionate [friendship]” (Glover et al. 72).

Exploration of Passionate Friendships Passionate, or romantic, friendships date back all the way to Victorian times, and were very common during this era. In Sharon Marcus’s book Between Women: Friendship, Desire, and Marriage in Victorian England, she describes how women would write to each other, commonly known as lifewriting, and how their language in describing how they cared for each other was akin to that of lovers, stating that these writings were “essential sources for differentiating friendship, erotic obsession, and sexual partnership between women. The distinctions are subtle, for Victorians routinely used startlingly romantic language to describe how women felt about female friends and acquaintances” (Marcus 32). While these specific friendships may not have always had the physical intimacy expected of a passionate friendship, they did include a different type of intimacy, noted as “unrequited passion and obsessive infatuation” in some cases, and in others, “life partnerships, which some Victorians [described] as marriages between women” (Marcus 44).

These life partnerships have transcended time from the Victorian era to the modern day, and many women, especially queer adolescent women, describe experiencing “a sense that losing the love object would greatly diminish one’s life,” the “love object in this case being their close female friend (“Having a Girlfriend” 9). This goes even further, as Diamond notes in her “Having a Girlfriend” article that one of the best examples of “how such relationships blurred the boundaries between friendship and romantic love” was the relationship between “two friends who sought out a couples counselor to repair the tension in their relationship,” and the counselor “remarked, ‘I see–what you have is like a marriage, so that’s how I’ll treat it” (“Having a Girlfriend” 9). Much like Victorian women had life partnerships with other women, queer women in the modern-day experience similar relationships; their friendships are so passionate that they are almost akin to a marriage.

In addition to the marriage like qualities of some passionate friendships, there is also the way in which women experience the physical intimacy elements within these relationships, wherein “physical affection is common in many young women’s same-sex friendships, the types of affectionate behaviors that characterized these [passionate] friendships…are usually only observed in…romantic relationships” (“Having a Girlfriend” 10). It is important to note that this behavior is not typically sexual in nature, and some women feel that “it [is] the absence of sexual attraction in the friendship that [makes] them so comfortable with such a high degree of physical intimacy” (“Having a Girlfriend” 10).

Passionate Friendships with Sexual Intimacy Though many queer women have stated that they do not experience sexual intimacy or attraction within their passionate friendships, and that it is purely platonic for them, there are some who do add the sexual element. In Diamond’s study, she mentions that “the transformation of a passionate friendship into a sexual relationship is often a woman’s first direct experience with

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same-sex sexuality,” and “some participants reported experiencing unexpected, unprecedented same-sex attractions for passionate friends that seemed to emanate directly from the unique emotional intensity of the relationship” (“Having a Girlfriend” 12). It is important to note that “attraction between partners is a frequent but not necessary component,” and this especially applies to these sexual experiences that women in passionate friendships have, because there does not always have to be an element of actual sexual attraction for there to be a sexual relationship between them (“Sex, Dating, Passionate Friendships, and Romance” 178).

Some of these women have these sexual experiences in singular bouts of curiosity and attraction, while others continue the sexual relationship for quite a while. This is significant within the realm of passionate friendships because typically, after the sexual component of the relationship comes to an end, the passionate friendship is still there. One participant in Diamond’s study, after having a sexual relationship with a female friend, stated, “The sexual part is over, but that was never the main thing. She’s still the most important person in my life,” while another participant notes, “It was like taking the relationship to the next level–in some ways, I guess it felt like the only way I could express how deeply I felt about her” (“Having a Girlfriend” 12).

Friendships Between Queer and Heterosexual Women Passionate friendships are not the only bonds that queer women can create, though.

Queer women also have cross-orientation friendships with heterosexual women, and they have many qualities and traits that define them. In a study conducted by M. Paz Galupo, titled “Women’s Close Friendships across Sexual Orientation: A Comparative Analysis of LesbianHeterosexual and Bisexual-Heterosexual Women’s Friendships,” she finds that lesbian and bisexual women have “different friendship profiles” (“Women’s Close Friendships” 473). After conducting her study, which involved interviewing queer and heterosexual women about their close bonds with other women, she found that “bisexual women had significantly more crossorientation friendships and significantly fewer same-orientation friendships than did either lesbian or heterosexual women” (“Women’s Close Friendships” 479).

While lesbian-heterosexual friendships contain elements wherein “differences in sexual orientation are highlighted, and lesbian identity is explicitly acknowledged,” bisexual-heterosexual friendships contain the reverse, wherein they “do not incorporate explicit acknowledgement of the sexual orientation difference in the same way. Heterosexual women perceive their bisexual friends to be more like themselves than their lesbian counterparts” (“Women’s Close Friendships” 479). This is something that is very important to note, because it can be attributed to both internalized biphobia on the side of the bisexual women, and biphobia coming from heterosexual women. On the contrary, lesbian-heterosexual and bisexual-heterosexual relationships can also be incredibly beneficial for both parties involved. In another study, conducted by M. Paz Galupo and Sarah St John, they found that these relationships are very positive ones, wherein “the increased closeness and trust that accompanied the disclosure of sexual orientation identity” was a benefit in the friendship, as “heterosexual participants were aware of the trust granted them with their friend’s disclosure” and “lesbian and bisexual participants felt relieved by the disclosure and felt closer to their friends because they felt freer to discuss important issues in their lives” that were previously hidden (“Cross-Sexual orientation friendships” 87).

Despite the negative impacts within cross-orientation friendships, there are also many benefits as well. Connecting back to passionate friendships, it is possible for queer and heterosexual women to share a passionate friendship; however, the information presented

by Galupo shows that these relationships are not likely to contain physical intimacy due to internalized homophobia and biphobia. This is not to say, though, that physical intimacy is completely ruled out. For the intimacy to be present within these relationships, both parties would have to be fully comfortable, both around each other and in their own sexualities, for the level of comfort to be enough to initiate the physicality of a passionate friendship to be seen.

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Passionate Friendship, Romantic Relations, and Sexual Intimacy in We Are Okay

Nina LaCour’s We Are Okay explores the ideas of passionate friendship through the lens of American adolescence. The story focuses on Marin, a college freshman who is dealing with the grief of losing her grandfather months earlier. Her friend, Mabel, comes to stay with her in her dorm over winter break, which is their first time seeing each other since she disappeared and started ignoring Mabel. Their relationship is very important to the plot of the novel, as it focuses on snippets of their past and present over the course of Mabel’s three-day stay with Marin, but it is also very significant in displaying a queer female friendship in a few different aspects.

When the novel begins, Marin is very nervous to see Mabel, as she has ignored her for months after vanishing due to her grandfather’s death. Their relationship is very strained at this moment, evident in the way that Marin describes feeling about Mabel’s arrival. Marin remarks, after thinking about possibly getting stuck in an elevator with no way for Mabel to contact her, that “She would think it was almost predictable. That I would disappoint her. That I would refuse to be seen” (LaCour 12). After receiving a text message announcing Mabel’s arrival, Marin says, “I can’t help but torture myself by scrolling up to see all of the texts Mabel sent before this one. Asking if I’m okay. Saying she’s thinking of me. Wondering where… am I, whether I’m angry, if we can talk, if she can visit, if I miss her…a series of unanswered messages that seize me with guilt” (LaCour 13). Up to this point, it is only clear that there is an edge to their relationship, but context clues only infer that it is due to their lack of communication.

The strain in their relationship, however, is given more context as the novel continues.

It is revealed that the two were involved both romantically and sexually before starting college.

Before the change in their relationship, Marin and Mabel are in a passionate friendship. This is noted towards the beginning of the novel, as Marin says, “We used to touch all the time, even before we really knew each other,” and later, explains that they did things like holding hands and sleeping in the same bed (LaCour 48). This relationship then matures over the summer, with both girls sneaking down to the beach at three in the morning with a bottle of Marin’s grandfather’s whiskey. They begin reminiscing about their friendship, and, as if testing the waters, Marin says, “Remember how we used to practice kissing? …We were determined to be experts by the time we were sophomores” (LaCour 110). In response to this, Mabel says, “It’s been a long time since we practiced,” and then kisses Marin. Things begin to get more serious between the two, and as the situation moves towards a sexual encounter, Marin remarks, “It’s not like I was used to being touched this way. But even if I had already been kissed by dozens of mouths, I would have known this was different. I loved her already” (LaCour 110).

Marin and Mabel’s joint experience is like that of many adolescent girls, and it is noted

by Morgan and Thompson in their article, “Young Women’s Sexual Experiences Within Same-Sex Friendships: Discovering and Defining Bisexual and Bi-Curious Identity,” that specifically “for sexual minorities,” the exploration of identity “frequently involves the discovery of attraction to and initial sexual experiences with the same-sex” (Morgan and Thompson 10). Another key element to this type of exploration is that in the specific case of passionate friendships “[evolving] into full-fledged romantic or sexual relationships, they are always initially asexual,” meaning that the sexual attraction is not there originally, and the passionate friendship takes precedence over the sexual element of the relationship (“Sex, Dating, Passionate Friendships, and Romance” 195). While part of this remains true, with Mabel and Marin starting out in a platonic passionate friendship with no inherent sexual feelings for each other, the relationship that they share begins to traverse into romantic territory.

This romantic element in their relationship changes many things for them both. While they never explicitly decide to start dating, they do continue their sexual relationship, and the surrounding atmosphere of these encounters as described throughout the novel seems to be much more than just sexual. Marin notes that after she began ignoring Mabel, she received text

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messages saying things like, “Did you meet someone?” and “You can tell me if you did. I just need to know” (LaCour 118-119). Even though they were never in an outspoken relationship with each other, these messages from Mabel are more akin to those of someone who has been broken up with than those of someone who just misses their friend. Marin also says that “it was a summer of denial. Of learning what Mabel’s body could do for mine, what mine could do for hers. A summer spent in her white bed, her hair fanned over the pillow,” which comes across as more romantic as well (LaCour 153). Their sexual turned romantic relationship is something that can erupt from a passionate friendship with sexual undertones, as this is one of “the most typical [pathways] into acknowledging queer desire…Given the traditional importance of friends and “best friends” for girls and the acceptability of physical affection between girls” as well as “the historical precedent of romantic friendships between women, the move from friendship to lover is not surprising” (Rupp 78).

Their summer fling, however, stops once they began college and Marin’s overarching grief takes over. This abrupt end to their relationship creates tension between the two, as described by Marin throughout the novel. There are many boundaries that are put in place between the two, which is evident in a scene where they both “reach for the gate at the same time” and “[their] hands touch,” and Mabel apologizes, to which Marin says, “She isn’t apologizing for pulling away. She’s apologizing for our accidental contact” (LaCour 48). This boundary continues for a large portion of their interactions, and their discomfort around each other becomes more obvious, especially in the middle of the novel where they must share a bed, having left Marin’s dorm room due to a power outage and being left with no choice but to stay at the groundkeeper’s house for the night. This moment is especially difficult for them, because they have the “notouching” barrier in place, but also because Mabel is now dating someone else, a boy she met while at college named Jacob.

The tension between the two in this specific moment is very uncomfortable, with Marin asking, “So should we get the bed ready?” to which Mabel replies, “That rug is pretty soft,” implying that she would rather sleep on the rug than even be in the same bed as Marin (LaCour 116). The discomfort continues, as Marin tries to make Mabel understand that she is trying to put their romantic relationship behind her, saying, “How many times did we sleep in the same bed before anything happened? Hundreds? I think we’ll be okay tonight,” and then continuing with, “I promise not to mess anything up for you” (LaCour 116). This does not alleviate any worries the two have, though, and when they finally go to sleep, Marin describes the situation, stating, “Our backs are to each other’s. We’re as far apart as two people could be on a mattress this size. The space between us is worse than our awkwardness, worse than not knowing what she’s thinking during our long stretches of silence” (LaCour 118). The tension they feel due to how neither feels comfortable touching the other causes a rift in their friendship, which adds to the understanding of how women who had passionate friendships that turned into something more interact with each other when trying to reform those bonds.

Their relationship is also strained by the introduction of Jacob into the picture, as Mabel is assumed to, at this point, identify as bisexual due to her attraction to both men and women.

Mabel’s first night in Marin’s dorm ends with two things: an uncomfortable conversation, and a phone call. The uncomfortable conversation is the first time Jacob is discussed, where Mabel says, “he knows that things between us got…less clearly defined toward the end. And he’s fine with that” (LaCour 51). The discussion itself ends very abruptly, with not much else being said, and Mabel decides to get ready for bed. She leaves the room, and Marin hears her on the phone with Jacob, saying, “You have nothing to worry about…I promise…I love you too” (LaCour 52).

The fact that Mabel must reassure Jacob that there is nothing to be concerned about insinuates that Jacob is not as okay with the fact that the two girls were previously involved with each other as he has previously stated. This sentiment is later mirrored by Marin’s previously mentioned statement of: “I promise not to mess anything up for you,” which makes things more awkward

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due to the acknowledgement of Mabel’s new relationship (LaCour 116).

While things for the two girls are very labored for a while, with the different boundaries they have put in place, their relationship slowly starts to heal after Marin opens up about her grief, and they begin to trust each other again. While spending the night at the groundkeeper’s house, after awkwardly figuring out the bed situation, they break the ice by talking after realizing neither of them can sleep due to the tension in the room. Their relationship shifts immediately when the two finally touch for real. Marin describes the encounter, saying, “Before I know what’s happening, Mabel is pulling me close…Her arms are around me so tight that I can’t even hug her back, so I rest my head on her shoulder and I try to stay still so that she won’t let go” (LaCour 134). She then goes on to describe how lonely she is once they let go of each other and decide to sleep. Marin then says, “the ghost of me starts whispering again. She’s reminding me of how cold I’ve been…She’s saying that Mabel is warm and that she loves me. Maybe a love that’s different than it used to be, but love all the same,” which begins the pivotal change in their current relationship, ending with the two of them pulling each other closer on the bed and reengaging in the activities of a passionate friendship once more (LaCour 134-135).

Their relationship, then, comes full circle. The platonic, intense love they shared for each other at the beginning of their friendship comes back into their lives, albeit slowly, but they begin to take down the barriers that came with their break-up. The morning after they finally touch, they make breakfast, and Marin says, “I don’t know if I still love her in the way that I used to, but I still find her just as beautiful. She peels an orange, separates it in perfect halves, and gives one of them to me. If I could wear it like a friendship bracelet, I would,” and then goes on to emphasize how much Mabel really means to her, saying, “Instead, I swallow it section by section and tell myself it means even more this way. To chew and swallow in silence with her. To taste the same thing in the same moment” (LaCour 137-138).

Marin’s description of her feelings for Mabel mimics the language used by many queer women in passionate friendships, as “over three-fourths of women reported that they were strongly possessive of their friend’s time and attention and chronically fascinated or preoccupied with their friend’s behavior and appearance,” which is seen here in Marin’s narration of her love for Mabel (“Having a Girlfriend” 9). Though Marin is not possessive over Mabel’s time, she is conscious of the time they are spending together, and this is clear in her description of eating the orange, tasting it together and sitting in a comfortable silence for as long as they can, while the appearance element comes into play when Marin mentions how she still finds her beautiful despite loving her in a different way. By gaining back the elements they previously had in their passionate friendship, they are able to repair their relationship and become more comfortable around each other, which allows Marin to fully begin her healing process and find a home in Mabel once more.

Cross-Orientation and Passionate Friendship in Laura Dean Keeps Breaking Up with Me

The elements of passionate friendship present in We Are Okay can also be found alongside the features found within cross-orientation friendship in Mariko Tamaki’s graphic novel Laura Dean Keeps Breaking Up with Me. The novel follows Frederica, or Freddy, a high school aged lesbian as she navigates her difficult relationship with her on-and-off again girlfriend, Laura Dean. The novel progresses through her hardships with Laura Dean, the way in which she is treated by her and how she deals with her emotions. Another very important aspect of this novel, much like We Are Okay, is the female friendship present between Freddy and her best friend Doodle. Like the relationship between Marin and Mabel, Freddy and Doodle also go through their own hardship, though theirs is quite different because their relationship is, presumably, not same-orientation. Doodle as a character is never explicitly stated to be heterosexual, but throughout the novel, the only romantic or sexual experiences she discusses have been with men.

Therefore, the rest of this argument will be made under the pretense that Doodle is heterosexual,

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and her relationship with Freddy will therefore be described as a cross-orientation or lesbianheterosexual friendship.

Freddy and Doodle’s bond, while being cross-orientation, still has some defining features of a passionate friendship seen between queer and heterosexual women. They are shown as being very close with each other, including elements like hugging (Fig. 1) and leaning on each other (Fig. 2), cuddling, and laying in the same bed together without many boundaries (Fig. 3 & 4).

These different types of physical intimacy are seen, typically, when the two girls are trying to comfort each other. Doodle puts her arm around Freddy (Fig. 2) to comfort her, as the night before, Freddy had gone to the school dance and found Laura Dean cheating on her with another girl. This simple act of physical intimacy is purely meant for comfort in this scene, which does go against what is typically seen in a passionate friendship, as they “frequently [involve] forms of physical intimacy” (“Having a Girlfriend” 6). In another scene, Freddy comforts Doodle after she has had an abortion (Fig. 1 & 4), a result of her sleeping with her married Dungeons & Dragons Dungeon Master. The two are illustrated hugging and cuddling on Doodle’s bed, which would typically be an act of physical intimacy commonly seen in a passionate friendship, as this is something that would only be observed in a romantic relationship, but the two are only doing these actions as forms of comfort and not simply because they have a passionate bond with each other.

This is not to say that the two do not have a passionate friendship. Some passionate friendships do not always have to involve the frequent touching and acts of physical intimacy that are observed, but it is more common for them to be present within the relationship. The lack of common and consistent physical intimacy could be because the two are in a lesbian-heterosexual friendship, which typically do have more boundaries in place due to the differences in sexual orientation. In a study conducted by Jenell A. Glover et al., “Young women’s passionate friendships: a qualitative analysis,” they found that most of the heterosexual women who participated in the study “reported no” or “limited physical affectional behaviors similar to typical friendship (e.g., hugging)” (77). However, one of the heterosexual women involved in the study did report “some level of intimacy involving physical affection with [her] past and current closest friend” (76).

These relationships within the study are passionate despite the lack of constant, or any, physical affection between the female friends; therefore, a passionate friendship is possible even with a lack of or less physical intimacy typically seen in companionship between two queer women.

Because they have a lesbian-heterosexual friendship in addition to a modified passionate friendship, there are aspects that can be contributed due to the cross-orientation nature of their relationship. One of these aspects is the fact that the two girls have “explicit knowledge of lesbian identity” (Galupo 479). Doodle acknowledges Freddy’s identity as a lesbian, as well as her relationship with Laura Dean. This is a key component within lesbian-heterosexual friendships, as is the “increased closeness and trust” that individuals within these relationships feel (Galupo and St John 87). In their study, “Benefits of cross-sexual orientation friendships among adolescent females,” M. Paz Galupo and Sarah St John find that the “lesbian and bisexual participants felt relieved by the disclosure” of their sexual identity “and felt closer to their friends because they felt freer to discuss important issues in their lives” (87). This is a two-way street, as they also found that the heterosexual participants within the friendship pairs felt positively about their friends trusting them with this information, thereby making the shared bond much stronger (87).

This type of comfort and closeness is displayed in Freddy and Doodle’s friendship.

One example of this is the moment in which Doodle tells Freddy that she is pregnant and needs to have an abortion (Fig. 5 & 6). Prior to this, the two girls have not been talking due to Freddy’s infatuation with Laura Dean, which has led to her spending less time with her friends, especially Doodle. She calls her a “terrible friend,” and then says, “Thank you for coming. Say hello to Laura Dean for me,” calling Freddy out for not being there for her in her time of need

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(Tamaki 225-226). Freddy sees Doodle at school the day after their fight and asks how she can help, to which Doodle says, “You don’t have to do anything,” and Freddy responds, “Okay, but I’m offering” (Tamaki 233). Doodle then gives Freddy permission to come with her to the appointment, and she agrees (Fig. 6); this is her way of trying to fix their friendship and show Doodle that she does care about her, that she will be a better friend and stop putting Laura Dean and her needs before Doodle’s, with whom she shares a closer bond. The two clearly trust and care for each other deeply despite the fight that they have, which signifies that even in arguments they feel comfortable enough to open up and say what is on their minds, and that their relationship is one that can withstand arguments.

The mutual trust and platonic love they feel for each other can be seen in an incredibly pivotal scene towards the end of the novel. The day of Doodle’s abortion falls on the same day that Laura Dean has planned her birthday party, despite her birthday being the next week (Tamaki 236). Freddy, looking very hesitant, says, “Oh. Um. I can’t go,” and then follows up with, “I’m so, so sorry… It’s just, I have this thing I have to do. It’s really important and it’s kind of private…But I totally wouldn’t miss your party if it wasn’t important. But it is” (Tamaki 237). Freddy is maintaining Doodle’s trust in this situation, refusing to disclose her friend’s appointment details to Laura Dean and keeping her promise. This moment is so vital because, before this moment, Freddy was very subservient to Laura Dean and did whatever she wanted, but in this moment, she is going against what the other girl wants. Laura Dean is very passive aggressive towards her after she says she cannot go, saying, “Don’t worry about it. It’s totally, TOTALLY cool. I gotta go,” which is clearly an attempt manipulate her into feeling bad and cancelling her plans (Tamaki 238).

Laura Dean’s first attempt to manipulate Freddy does not work, as Freddy is seen getting ready for the appointment and making sure she will get there on time (Tamaki 239).

However, Laura Dean texts Freddy (Fig. 7) saying that there is an emergency and providing no other details, which prompts Freddy rush over to her house, thinking something is wrong. As it turns out, the only emergency is that Laura Dean “[wanted] to see [her] girlfriend,” and when Freddy gets angry with her over this, she continues by saying, “But here you are, so obviously whatever you have to do isn’t that important…How come YOU always get to be bent out of shape? Like, ALWAYS. It’s my birthday and my girlfriend has some secret plan? …Whatever, I just wanted to see you, but you’re totally freaking out. So just go” (Tamaki 242). Freddy then has a moment of realization that the way Laura Dean has been treating her is incredibly manipulative and unfair, asking, “Did you just call me over here because you were alone for five minutes?” (Tamaki 244). This realization is crucial to Freddy’s motivation to fix her friendship with Doodle, because she is now aware that her entire relationship with Laura Dean is based in manipulation and works to counteract the way that she is being treated and the way that she has treated her friends.

Despite the setback, Freddy does make it to Doodle’s appointment, albeit late, and she attempts to make up for it by being there after the fact; she even apologizes, saying, “I’m sorry I was late today,” and when Doodle says, “Let me guess,” implying that she is fed up with hearing about Laura Dean, Freddy responds with, “I don’t want to talk about it. Do you want me to read to you or something?” (Tamaki 261). This is a moment of growth for Freddy, as before this, she would have jumped at the chance to discuss her relationship problems, but she is now aware that her relationship with Laura Dean is not central to her life and Doodle needs her more in this moment. Her focus on comforting Doodle places their friendship back on the forefront, and they once again display the aspects of comfort seen towards the beginning of the novel (Fig. 4). Their relationship takes even more precedence when Freddy goes to actually break up with Laura Dean, where she acknowledges, “You’re a shitty girlfriend. But also when I’m with you I’m a shitty friend. So I’m breaking up with you” (Tamaki 278). She then takes Doodle to the prom, and in her monologue, says, “I had other things to be that night.

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Things I am choosing to be. Like a good date. A better friend,” demonstrating how she has changed and is now prioritizing her friendship with Doodle (Tamaki 285-287). At the end of the novel, the two can be seen dancing and enjoying their time together, which displays both elements of passionate and lesbian-heterosexual friendships and shows incredible trust between the two and their need to be close with each other (Fig. 8). This act, while small, overall establishes that their bond, despite their differences, is unbreakable.

Conclusion

The friendship displayed in Laura Dean Keeps Breaking Up with Me between Freddy and Doodle shows considerable similarities to that of Marin and Mabel in We Are Okay, despite the two relationships being completely different in some respects. The two friendships are similar in the fact that both involved bouts of physical closeness despite the tension within the relationships, and the physical closeness observed takes place when they begin to heal. It can then be implied that the aspect of physical intimacy helps both friendships along on that path of healing, as the trust and comfort that the girls feel towards one another in each companionship is essential to their growth.

The struggles within their relationships are also similar, as both Marin and Freddy go through a period where they are actively ignoring their best friend and struggling within their own relationships with others: Marin with her grandfather, and Freddy with Laura Dean.

Because of this, both Mabel and Doodle feel resentment towards their friendship counterparts and place boundaries between them so that the other understands how much they have been hurt by their actions. These boundaries are very similar, as seen with Mabel’s discomfort in touching Marin and their lack of communication skills, while Freddy puts up similar barriers, ceasing communication with Freddy and stopping the physical contact between the two until they make up. These barriers are important because Marin and Mabel are both queer, while Freddy and Doodle are in a cross-orientation friendship, but this does not stop them both from containing aspects of passionate friendships.

With both relationships displaying these characteristics, the question then becomes this: Why are same-orientation and cross-orientation friendships able to contain features found within passionate friendships? The research that has been conducted on passionate bonds between women and girls has mostly focused on these relationships within the context of queer similarorientation women, and the ones that do focus on heterosexual women do not explicitly state if these friendships are same or cross-orientation. Within the same vein, the research conducted on cross-orientation companionships between queer and heterosexual women does not explicitly examine the qualities of passionate friendship that can be found within them, instead focusing on mutual benefits and issues.

However, through the lens of queer adolescent literature, it becomes clear that these relationships function the way that they do, with features of passionate friendship, due to the inclusion of the queer identity. Therefore, queer women are able to shift the concept of friendship from the platonic norm into something new by introducing components of passionate friendships, including physical and sexual intimacy, as well as creating and deconstructing boundaries in similar and cross-orientation female companionships; what makes these relationships so different is the addition of the queer woman, which changes the shape and form of female friendship as we know it.

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Works Cited Diamond, Lisa M. “‘Having a Girlfriend Without Knowing It’: Intimate Friendships Among Adolescent Sexual-Minority Women.” Journal of Lesbian Studies, vol. 6, no. 1, 2002, pp. 5-16. Taylor & Francis Online, https://doi.org/10.1300/J155v06n01_02. Accessed 25 Feb. 2021.

Diamond, Lisa M., et al. “Sex, Dating, Passionate Friendships, and Romance: Intimate Peer Relations Among Lesbian, Gay, and Bisexual Adolescents.” The Development of Romantic Relationships in Adolescence, edited by Wyndol Furman et al., Cambridge University Press, Cambridge, 1999, pp. 175-210. Accessed 25 Feb. 2021.

Galupo, M. Paz. “Women’s Close Friendships across Sexual Orientation: A Comparative Analysis of Lesbian-Heterosexual and Bisexual-Heterosexual Women’s Friendships.” Sex Roles, vol. 56, 2007, pp. 473-482. SpringerLink, https://doi.org/10.1007/s11199-007-91864. Accessed 25 Feb. 2021.

Galupo, M. Paz, and Sarah St John. “Benefits of cross-sexual orientation friendships among adolescent females.” Journal of Adolescence, vol. 24, no. 1, 2001, pp. 83-93. ScienceDirect, https://doi.org/10.1006/jado.2000.0364. Accessed 25 Feb. 2021.

Glover, Jenna A., et al. “Young women’s passionate friendships: a qualitative analysis.” Journal of Gender Studies, vol. 24, no. 1, 2015, pp. 70-84. Taylor & Francis Online, https:// doi.org/10.1080/09589236.2013.820131. Accessed 23 Mar. 2021.

Jagose, Annamarie. Queer Theory: An Introduction. Melbourne University Press, 1996.

LaCour, Nina. We Are Okay. Penguin Books, 2019.

Morgan, Elizabeth M., and Elisabeth Morgan Thompson. “Young Women’s Sexual Experiences Within Same-Sex Friendships: Discovering and Defining Bisexual and Bi-Curious Identity.” Journal of Bisexuality, vol. 6, no. 3, 2006, pp. 7-34. Taylor & Francis Online, https://doi.org/10.1300/J159v06n03_02. Accessed 8 Apr. 2021.

Marcus, Sharon. Between Women: Friendship, Desire, and Marriage in Victorian England. Princeton University Press, 2007.

Rupp, Leila J. “Queer Dilemmas of Desire.” Feminist Studies, vol. 45, no. 1, 2019, pp. 67–93. JSTOR, www.jstor.org/stable/10.15767/feministstudies.45.1.0067. Accessed 13 Apr. 2021.

Tamaki, Mariko. Laura Dean Keeps Breaking Up with Me. First Second, 2019.

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Figures

Fig. 1. Rosemary Valero-O’Connell. from Laura Dean Keeps Breaking Up with Me. 2019, Graphic Novel, New York (First Second), p. 254.

Fig. 2. Rosemary Valero-O’Connell. from Laura Dean Keeps Breaking Up with Me. 2019, Graphic Novel, New York (First Second), p. 26.

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Fig. 3. Rosemary Valero-O’Connell. from Laura Dean Keeps Breaking Up with Me. 2019, Graphic Novel, New York (First Second), p. 258.

Fig. 4. Rosemary Valero-O’Connell. from Laura Dean Keeps Breaking Up with Me. 2019, Graphic Novel, New York (First Second), p. 259.

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Fig. 5. Rosemary Valero-O’Connell. from Laura Dean Keeps Breaking Up with Me. 2019, Graphic Novel, New York (First Second), pp. 222-223.

Fig. 6. Rosemary Valero-O’Connell. from Laura Dean Keeps Breaking Up with Me. 2019, Graphic Novel, New York (First Second), p. 233.

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Fig. 7. Rosemary Valero-O’Connell. from Laura Dean Keeps Breaking Up with Me. 2019, Graphic Novel, New York (First Second), p. 240.

Fig. 8. Rosemary Valero-O’Connell. from Laura Dean Keeps Breaking Up with Me. 2019, Graphic Novel, New York (First Second), p. 288.

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About the Author Vic Windt is a member of the Christopher Newport University class of 2021, having majored in English Literature and minored in Childhood Studies. On campus, she has been involved with Spectrum, Zeta Tau Alpha, the Marching Captains colorguard, Sigma Tau Delta, and the CNU Writing Center. After graduation, she is pursuing a master’s degree in secondary education through Christopher Newport’s 5-Year MAT program and will also be participating in the NNPS Teacher Residency Program in the fall with plans to teach high school English. Outside of her academic interests, she can be found binge watching horror movies and baking.

“Trouble at Sea: China’s Claims in the South China Sea in Light of International Law” Jordan Winnett Faculty Sponsor: Dr. Andrew Kirkpatrick, Department of Political Science

Abstract The South China Sea has progressively become one of the most hotly contested disputes in the international realm. Because of the economic and geostrategic value to be gained in controlling the Sea, almost a dozen states that border the Sea have claimed some form of control over its waters and islands, creating a complex and overlapping web of claims. This paper proposes to examine the dispute in light of international law, focusing especially on China’s claims and their legitimacy. To do so, this paper begins by providing a brief overview of the dispute and the various claimant states before transitioning to how China has historically defined its claim, the nine-dashed-line. I will then examine China’s claim as it applies to relevant international law, paying particular attention to the United Nations Convention on the Law of the Sea and the landmark international tribunal ruling handed down at the Hague in 2016. I will close by examining possible routes to resolving the dispute, concluding that, because of the power asymmetry between China and the other border states individually, the most plausible way to resolve the dispute before it erupts into open conflict would be for China to negotiate with the border states as members of the Association of Southeast Asian Nations collectively.

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Introduction For a relatively small, semi-enclosed body of water containing dozens of uninhabited islands and reefs, the South China Sea has gradually become one of the most contentious disputes within the realm of international law. Many of the states that share a border with the South China Sea claim some form of territory or control of its waters, with exception of China, who claims sovereignty over most of the region. When these claims overlap, it raises the question of whose claims are legitimate. In recent years, tensions have ebbed and flowed, teetering on the eruption of open conflict at times. In particular, response to Chinese aggression and construction of artificial islands in the South China Sea has been at the forefront of international debate.

International law may help settle some of these disputes, notably through the United Nations Convention on the Law of the Sea, but at times it has only further complicated the situation.

In many instances the surrounding states attempt to negotiate the resolution of these disputes, yet these efforts have largely yielded limited and often temporary results. Moreover, the ruling of an international tribunal at the Hague in 2016 has shown some of the limits of international law, as many facets of China’s claims were disputed only for China to disregard the tribunal’s decision entirely. It would seem as though this dispute has no end in sight and given China’s refusal to abide by international law thus far, it seems unlikely that a resolution is forthcoming.

Yet, in order to secure long-term stability in the South China Sea, multilateral cooperation and negotiation appears to be the most promising route to any form of dispute settlement.

The South China Sea and Its Claimants Occupying roughly 648,000 square-miles of the Pacific Ocean, the South China Sea shares borders with “China and Taiwan to the north, Vietnam to the west, Malaysia, Brunei, Indonesia, and Singapore to the south and southwest, and the Philippines to the east,” as well as Cambodia.[1] There are two main clusters of islands in the South China Sea, the Paracel Islands and the Spratly Islands, which are both small and largely uninhabited, in addition to a number of reefs and rocks. Several of the aforementioned states claim some part of the waters or the islands, with the exception of China who claims all of the islands for itself. Yet for decades these claims have remained hotly contested. Why, then, would these tiny islands and reefs in the South China Sea be of such importance to these states? The answer lies within the economic and strategic value of the islands and reefs. It is widely believed that the South China Sea possesses a substantial amount of oil and natural gas under its seabed, the U.S. estimates around “11 billion barrels of oil and 190 trillion cubic feet of natural gas in the South China Sea.” [2] In addition, the Sea is a large fishery hotspot and is one of the busiest trade routes in the Pacific Ocean. As scholars note, these resources are a main source of tension in the region, as the states that border the Sea are all rapidly industrializing states and as such, have interest in potential petroleum and natural gas reserves, both for their own consumption and for the economic benefits of controlling them.[3] At least six of the states who share a border with the South China Sea claim some form of territory within it. Where the complexity of the dispute over whose claims are legitimate arises is from the creating a complex web of overlapping claims—both China and its border states seeking sovereignty over the area. In order to discuss how these claims might potentially be resolved, it is necessary to take them each in turn. Vietnam has one of the most expansive claims in the South China Sea, claiming “indisputable sovereignty over all of the Spratly and Paracel Islands.”[4] Vietnam’s case rests primarily on claims to historical rights and archaeological claims, and it is worth noting that Vietnam currently occupies more of the Spratly Islands than any other state in order to reinforce its claims.[5] Additionally, the Philippines “occupy and lay claim to many of the Spratly islands on the basis of quasi-juridical notion of ‘proximity.’” Moreover, “Malaysia claims the same islands in the southern Spratlys and also grounds its claims on its occupations,” and Brunei “claims a huge maritime zone running through the Spratly area,” despite not occupying any of the islands.[6]

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Yet it is China and Taiwan who claim the largest amounts of territory and are the source of the most enmity in the region. Both China and Taiwan claim all of the islands in the South China Sea as well as most of the surrounding waters. The Chinese claim is based almost entirely off of a series of nine, dashed lines in the South China Sea, sometimes referred to as the U-shaped line or the nine-dashed-line. The origin of this nine-dashed-line dates back prior to the creation of the current government, the People’s Republic of China, to the former Nationalist government under Chiang Kai-shek. Beginning in 1947, Kai-shek’s government began publishing maps outlining the nine dashes, claiming all the territory within as sovereign China.[7] Once Mao Zedong and his communist party took over in 1949, maps containing the nine-dashed-line were carried over and continued to be published, and are still published today. Most of China’s defense of the nine-dashed-line comes from the notion of “historic waters,” or the idea that its claim of a historic title gives China “at least some kind of exclusive rights to administer the waters and territory within the lines boundaries.” [8] Similarly, Taiwan claims most of the South China Sea and the islands within based on the nine-dashed-line. Because the nine-dashed-line originated in Chiang Kai-shek’s Nationalist Chinese government, it makes sense that the policy was carried over when they were expelled to Taiwan, once Mao Zedong consolidated his power in 1949. Yet, the Taiwanese government has been decidedly less confrontational in the South China Sea, largely in part because of its own size and strength. Taiwan has gone so far as to indefinitely suspend its 1993 “Policy Guidelines for the South China Sea” in 2005.[9] The potential remains for Taiwan to eventually rescind its suspension and once again stake its claim in the South China Sea; however, it seems unlikely.

China and International Law in the South China Sea Prior to the adoption of any international legal regime regulating claims in the South China Sea, customary international law has had at least some application to the South China Sea and China’s claim of a historic right to the waters within the nine-dashed-line. Customary international relating to bays allowed for “coastal states to claim extended jurisdiction over water space or islands when their claims have been open and long-standing, exclusive, and widely accepted by other states.” [10] Yet this would seem to contradict China’s claims of sovereignty within the nine-dashed line. China’s claims are neither exclusive as various other states in the South China Sea have claims that overlap China’s, nor are they widely accepted for the same reasons.

Nevertheless, the adoption of the United Nations Convention on the Law of the Seas (UNCLOS) provides the legal framework for many of the disputes in the South China Sea. Sometimes referred to as the “Constitution of the Sea,” UNCLOS divides the sea into six maritime zones: internal waters, territorial seas, the contiguous zone, the exclusive economic zone (EEZ), continental shelf, and the high seas. Of particular relevance to this discussion are territorial seas, contiguous zones, EEZs, and continental shelfs. A state’s territorial seas extend out 12 nautical miles from a state’s baseline, or low water lines, inside which the state has complete sovereignty.[11] The contiguous zone is defined in Article 33, Sections 1 and 2 of UNCLOS, and may not “exceed or extend beyond 24 nautical miles from the low water line or the baselines from where the width of the territorial seas is measured,” and within “can be governed by the sovereign coastal state only for exercising the taxation, customs and immigration laws.”[12] The Exclusive Economic Zone extends 200 nautical miles from the shore or baseline of a state as defined in Article 56 of UNCLOS. In a state’s EEZ, the state possesses “exploitative rights to all natural resources and fisheries in the sea, seabed and subsoil areas,” however they should retain freedom of navigation within it.[13] Similarly, Article 76 designates the continental shelf as “the seabed and subsoil of the submarine areas that extend beyond its territorial sea … to the outer edge of the continental margin, or to a distance of 200 nautical miles from the baselines from which the breadth of the territorial sea is measured.”[14] Included in Article 76 is the provision that states may extend their claims to their continental shelf beyond the designated 200 nautical miles to the edge of the continental margin.

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Considering that much of the dispute in the South China Sea revolves around China’s insistence on the legitimacy of the nine-dashed-line, it makes sense to evaluate their claims in light of UNCLOS. Before China ratified UNCLOS, it passed its own Law on the Territorial Sea and the Contiguous Zone in 1992. The law reaffirmed earlier claims to sovereignty over all of the territory within the nine-dashed-line, which as stated in Article 2, “includes within the land territory of China the four island groups in the South China Sea, as well as other islands, to which China’s twelve-mile territorial sea attaches.”[15] China became bound to UNCLOS after ratifying the treaty in 1996, however, it did so maintaining its nine-dashed-line claim and argued that the features of UNCLOS applied to it. Furthermore, in 1998, China passed the Law on the Exclusive Economic Zone and Continental Shelf, declaring an EEZ over all Chinese territory, which as claimed by the 1992 Law on the Territorial Seas, includes all of the islands in the South China Sea and the territory within the nine-dashed-line.[16] China’s increasingly expansive claims in the South China Sea have been an ongoing territorial dispute, but the declaration of an EEZ over all of China’s claimed territory is especially troubling. Within its EEZ, China is able to regulate all of the economic activities, giving China claim to many of the valuable resources in the South China Sea. China has sought to consolidate its control over the resources in its EEZ, even when its claims overlap with other states’ own claims.

Beginning in the mid-2010s, China embarked on a new path in the South China Sea, seeking to expand its territorial and jurisdictional claims by artificially manufacturing islands and claiming EEZs from them. By transporting sediment from the seafloor to existing reefs and rocks, China has set out to construct new islands primarily in the Spratly Island region. Upon completion of these artificial islands, China has “focused its efforts on construction,” creating “port facilities, military buildings and an airstrip on the islands,” with plans to build more.[17] Among the largest of these artificial islands are Mischief Reef and Fiery Cross Reef, which are both equipped with airstrips large enough in size to land Chinese aircraft of a variety of sizes. More importantly, China is constructing the islands in the Spratly Island group, which “the Philippines, Vietnam, Malaysia, Brunei, and Taiwan also claim sovereignty over.” [18] Artificial islands come up in UNCLOS in several places. In Article 121, Section 1, an island is defined as “a naturally formed area of land, surrounded by water, which is above water at high tide.” [19] Whereas an island that is naturally formed according to UNCLOS is permitted the various maritime zones that the convention lays out, artificial islands are not.

Furthermore, “artificial islands within the context of Article 60(8) ‘have no territorial sea of their own, and their presence does not affect the delimitation of the territorial sea, the exclusive economic zone or the continental shelf.”[20] This would suggest that even under the Law of the Sea, China’s artificially constructed islands do not retain the same legal privileges of naturally formed islands, which brings into question the legitimacy of their claims that they are entitled to an EEZ extending from these islands. There is certainly ambiguity over whether many of the formations in the Spratly are even large enough to be considered as islands under UNCLOS. Thus, if they are not considered islands, what maritime protections are they guaranteed, if any, would be determined by the convention.

The questions that remain concerning the classification of islands and the legality of China’s artificial islands became the foundations for a case brought by the Philippines against China in 2013. By far the most important legal development regarding the situation in the South China Sea, an international tribunal convened at the Hague reached a landmark decision in 2016. The five members of the tribunal unanimously refuted several of China’s legal claims to sovereignty in the South China Sea, condemning “China’s behavior in the South China Sea, including its construction of artificial islands,” and further that “its expansive claim to sovereignty over the waters has no legal basis.” [21] First brought to the tribunal in 2013 by the Philippines after China seized the Scarborough Shoal Reef, which is claimed by both China and the Philippines, the case is

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significant because it not only struck down several of China’s claims based on international law and the Law of the Sea, but also showed promising signs that smaller states like the Philippines could challenge the more powerful China in an international tribunal. Included in the ruling, the tribunal denied the legality of China’s nine-dashed line, arguing that “any historic rights to the sea China had previously enjoyed were extinguished” when China ratified the Convention on the Law of the Sea in 1996.[22] Moreover, the tribunal found that China had violated international law on several accounts. The tribunal argued that several of the rocks and reefs in the South China Sea that China had claimed EEZ’s for were “too small for China to claim control of economic activities in the waters around them,” and as a result, had conducted unlawful activities in Philippine waters.[23] The panel also declared that China had caused significant environmental harm to the surrounding reefs in violation of international law.

Predictably, the Chinese government denounced the tribunal and refused to be bound by the panel’s ruling. An editorial in The People’s Daily, a Chinese newspaper, lambasted the tribunal, contending that the Chinese “do not claim an inch of land that does not belong to us, but we won’t give up any patch that is our,” going so far as to call the tribunal a “lackey of some outside forces,” and a “laughingstock.”[24] Furthermore, the Chinese government immediately responded by claiming that the tribunal lacked any jurisdiction to begin with. Their principal argument as to why the tribunal lacked jurisdiction was because “deciding the issues presented by the Philippines’ claims concerning rights in maritime zones inevitably implicated issues of territorial sovereignty over the disputed landforms, but questions of territorial sovereignty are beyond the scope of UNCLOS and thus beyond the jurisdiction of the panel as an ad hoc tribunal under UNCLOS.”[25] The question of the legitimacy of the ruling for the Chinese hinges on whether or not the disputed rocks and reefs are considered as territory. China maintains that they are while the tribunal ruled that are not, and as such do not qualify for extended maritime zones.

Is There A Way to Resolve the Dispute?

Party leader Xi Jinping and the Chinese government’s response to the 2016 Hague tribunal ruling has again highlighted the various limits of international law. Beijing’s refusal to abide by the tribunal’s ruling demonstrates a recurring pattern of thought among superpowers; namely, that international law can be a useful tool when it coincides with the state’s own national interests, but that it can be disregarded when it does not. Moreover, the tribunal’s ruling is legally binding but lacks any mechanism for enforcement, giving China even greater leeway in response. Yet, contrary to some scholarly interpretations, there was no declaration of an immediate withdrawal from UNCLOS and China’s behavior immediately following the tribunal’s ruling had been “fairly good … managed and careful.” [26] However, it is clear that China’s position in the South China Sea has not changed. Beijing still maintains its claims of sovereignty over much of the South China Sea and continues to proceed with the construction of artificial islands. Furthermore, China continues to increasingly militarize its artificial islands in the Spratlys, with airstrips, ports, fueling stations, and other military equipment. As recent as August 2020, China conducted a series of military exercises in the South China Sea including the launching of several medium-range missiles, a demonstration aimed at reinforcing China’s military power and dominance in the Sea. A spokesman for the Chinese Ministry of National Defense claimed, however, that the “above exercises are not directed at any country,” and had been planned for a period of time.[27] The U.S. has since condemned China for its actions and has been gradually increasing its own military presence in the South China Sea for some time, routinely conducting Freedom of Navigation exercises.

What remains to be seen, then, is if there is any way to resolve these disputes in the South China Sea. It is clear that the parties involved would like to avoid an eruption of tensions into open warfare. Also clear is the dangerous precedent that China would set if allowed to claim extended sovereignty and jurisdiction in the South China Sea by artificially manufacturing islands.

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Yet, given China’s response to the initial 2016 tribunal ruling and its broader commitments as a party to UNCLOS, the options are fairly limited. It is clear that if China were to be brought before another international tribunal by another state who has a claim in the South China Sea, that the outcome would likely be the same. Moreover, the idea that a resolution could be adopted through the United Nations Security Council condemning China’s actions or denouncing the legitimacy of its claims is even more unlikely as China retains its veto power as a permanent member on the Council.

Another possible route could be through dispute settlement as parties to the Law of the Seas Convention. Under Article 279 of the treaty, states-parties are obligated to resolve their disputes through peaceful means.[28] However, the dispute settlement mechanism in UNCLOS allows for reservations, also known as escape clauses or opt-outs, in which a state does not have to submit to arbitration. Among the allowed reservations is one “relating to sea boundary delimitations or those involving historic bays or titles, which can be exercised … not only when a state signs, ratifies, or accedes to the Convention but also any time thereafter,” suggesting disputes concerning historic titles may be exempted.[29] This allows the Chinese government, who has ratified UNCLOS, to opt out of potential dispute settlements relating to the nine-dashed-line and its historic claim in the South China Sea. Perhaps the most plausible route, albeit by no means an immediate or impending one, then, could be resolution through multilateral cooperation and negotiation between China and the Association of Southeast Asian Nations (ASEAN), to which all of the other claimant states belong. There is a clear power asymmetry between China and the other, smaller claimant states by themselves. China, as the regional hegemon, can largely act as it wants with little forceful response from the other states. Moreover, China “does not respect the autonomy of the smaller ones, and the smaller states appear as aggressors against the leadership of the bigger.” [30] Because of this power asymmetry, China can open itself to negotiations of boundaries in the South China Sea while maintaining the current status quo, continuing its patterns of antagonism. ASEAN, then, could be the means in which the smaller states jointly negotiate with Beijing, as opposed to attempting to resolve their various disputes individually.

There is at least some history between China and ASEAN that would support this. In a joint declaration submitted in 1997, China and the ASEAN members “agreed to resolve their disputes in the South China Sea through friendly consultations and negotiations in accordance with universally recognized international law, including the 1982 UN Convention on the Law of the Sea.” [31] This declaration is significant because it commits China and the ASEAN states to resolve their disputes through negotiation, as opposed to force, and provides a forum for such discussion. The statement also provided the groundwork for the Declaration on the Conduct of Parties in the South China Sea in 2002, which further reaffirmed the commitment of the associated parties to negotiate disputes peacefully. Once again declaring their commitment to the principles of UNCLOS, the ASEAN members and China undertook “to resolve their territorial and jurisdictional disputes by peaceful means, without resorting to the threat or use of force, through friendly consultations and negotiations by sovereign states directly concerned, in accordance with universally recognized principles of international law.”[32] However, the aforementioned declarations are not legally binding and contain no measures for the enforcement of their principles. It is clear that China has gone on to violate these declarations in the years since agreeing to them, however, if mutual cooperation between China and ASEAN is to move forward, these declarations can at least provide the framework for future discussion.

One angle for ASEAN members to take in order to make China take negotiation more seriously would be to “first focus on developing the individual countries’ economies and together gradually try to reduce their dependence on Chinese products, markets, and aid …

Seeing ASEAN growing stronger economically will entice China to behave moderately – to cooperate rather than take the offensive in the South China Sea.”[33] Granted, this is no small

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task, even for countries industrializing at the speed which many of the ASEAN members are.

Any prospect of internal development will inevitably take time and the situation in the South China Sea will likely continue to change. However, long-term, this would seem like the best option. If ASEAN can capitalize on prior agreements with Beijing, a final commitment could eventually be procured, setting the stage for an eventual resolution.

Conclusion Considering the potential vast amounts of oil and natural gas reserves, the bountiful fishing resources, and home to one of the busiest shipping routes in the world, it is no surprise that the South China Sea has become so contested. The states that border the South China Sea have created a complex, overlapping set of territorial and jurisdictional claims that raise significant international law questions. This problem has only been further exacerbated by the adoption of the United Nations Convention on the Law of the Sea, which delimitates the various maritime zones and the rights to sovereignty within. The most aggressive of these claimants has by far been China, whose nine-dashed-line claims an overwhelming majority of the South China Sea. China’s actions in the South China Sea, whether it be skirmishes, military exercises, or the artificial construction of islands, has prompted serious international response. Also, China’s disregard for the international law as it relates to the Law of the Seas and the international tribunal at the Hague’s ruling has reaffirmed that powerful states can and will disregard international law when it does not suit them. The complex nature of the situation has, at times, made any resolution seem far off, if not impossible; however, the most plausible solution for lasting stability might be for China to negotiate with the governments of ASEAN members collectively within the bounds of prior declarations and the Law of the Sea.

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Bibliography Association of Southeast Asian Nations. “Declaration on the Conduct of Parties in the South China Sea.” ASEAN Website, November 4, 2002, https://asean.org/?static_post=declarationon-the-conduct-of-parties-in-the-south-china-sea-2.

Beckman, Robert. “The UN Convention on the Law of the Sea and the Maritime Disputes in the South China Sea, American Journal of International Law 107, no. 1 (January 2013): 142-163.

Burgess, J. Peter. “The Politics of the South China Sea: Territoriality and International Law.” Security Dialogue 34, no. 1 (March 2003): 7-10.

Chen, Yi-Hsuan. “South China Sea Tension on Fire: China’s Recent Moves on Building Artificial Islands in Troubled Waters and Their Implications on Maritime Law,” Maritime Safety and Security Law Journal 1, (2015): 1-15.

DeLisle, Jacques. “Political-Legal Implications of the July 2016 Arbitrations Decision in the Philippines-PRC Case Concerning the South China Sea: The United States, China, and International Law,” in Asian Yearbook of International Law, vol. 21, eds. Seokwoo Lee, Hee Eun Lee, and Lowell Bautista (2015): 49-82.

Dutton, Peter. “Three Disputes and Three Objectives – China and the South China Sea.” Naval War College Review 64, no. 4 (2011): 42-67.

Gao, Zhiguo and Bing Bing Jia. “The Nine-Dash Line in the South China Sea: History Status, and Implications.” The American Journal of International Law 107, no. 1 (January 2013): 98-124.

Miyoshi, Masahiro. “China’s U-shaped Line Claim in the South China Sea: Any Validity Under International Law.” Ocean Development and International Law 43, no. 1 (2012): 1-17.

Myers, Steven Lee and Keith Bradsher. “China Fires Missiles Into South China Sea, Sending U.S. a Message. New York Times, August 27, 2020. https://www.nytimes.com/2020/08/27/ world/asia/missiles-south-china-sea.html.

Perlez, Jane. “Tribunal Rejects Beijing’s Claims in South China Sea.” New York Times, July 12, 2016, https://www.nytimes.com/2016/07/13/world/asia/south-china-sea-hagueruling-philippines.html.

Saiidi, Uptin. “Here’s why the South China Sea is highly contested.” CNBC, February 7, 2018, https://www.cnbc.com/2018/02/07/heres-why-the-south-china-sea-is-highlycontested.html.

Sands, Gary. “Rethinking Taiwan’s Claims in the South China Sea.” The Diplomat, June 28, 2019, https://thediplomat.com/2019/06/rethinking-taiwans-claims-in-the-south-china-sea/.

Taoqeer, Hamzah. “South China Sea Dispute: In Light of International Law of the Seas.” Modern Diplomacy, August 19, 2020, https://moderndiplomacy.eu/2020/08/19/south-chinasea-dispute-in-light-of-international-law-of-the-seas/.

Tong. Linh. “Seeking a Solution to the South China Sea Disputes.” The Diplomat, July 21, 2016, https://thediplomat.com/2016/07/seeking-a-solution-to-the-south-china-sea-disputes/.

United Nations. “Commission on the Limits of the Continental Shelf (CLCS).” United Nations website, https://www.un.org/Depts/los/clcs_new/continental_shelf_description.htm.

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[1] J. Peter Burgess, “The Politics of the South China Sea: Territoriality and International Law,” Security Dialogue 34, no. 1 (March 2003): 7.

[2] Uptin Saiidi, “Here’s why the South China Sea is highly contested,” CNBC, February 7, 2018, https://www.cnbc.com/2018/02/07/heres-why-the-south-china-sea-is-highly-contested.html.

[3] Burgess, “The Politics of the South China Sea,” 7-8.

[4] Peter Dutton, “Three Disputes and Three Objectives – China and the South China Sea,” Naval War College Review 64, no. 4 (2011): 44.

[5] Burgess, “The Politics of the South China Sea,” 8.

[6] Ibid.

[7] Dutton, “Three Disputes and Three Objectives,” 44.

[8] Ibid-46.

[9] Gary Sands, “Rethinking Taiwan’s Claims in the South China Sea,” The Diplomat, June 28, 2019, https://thediplomat.com/2019/06/rethinking-taiwans-claims-in-the-south-china-sea/.

[10] Dutton, “Three Objectives and Three Disputes,” 50.

[11] Hamzah Taoqeer, “South China Sea Dispute: In Light of International Law of the Seas,” Modern Diplomacy, August 19, 2020, https://moderndiplomacy.eu/2020/08/19/south-chinasea-dispute-in-light-of-international-law-of-the-seas/.

[12] Ibid.

[13] Ibid.

[14] United Nations, “Commission on the Limits of the Continental Shelf (CLCS): The continental shelf,” United Nations website, https://www.un.org/Depts/los/clcs_new/continental_ shelf_description.htm.

[15] Zhiguo Gao and Bing Bing Jia, “The Nine-Dash Line in the South China Sea: History, Status, and Implications, The American Journal of International Law 107, no. 1 (January 2013):104.

[16] Dutton, “Three Disputes and Three Objectives,” 50.

[17] Derek Watkins, “What China Has Been Building in the South China Sea,” New York Times, updated October 27, 2015, https://www.nytimes.com/interactive/2015/07/30/world/ asia/what-china-has-been-building-in-the-south-china-sea.html.

[18] Yi-Hsuan Chen, “South China Sea Tension on Fire: China’s Recent Moves on Building Artificial Islands in Troubled Waters and Their Implications on Maritime Law,” Maritime Safety and Security Law Journal 1, (2015): 1.

[19] Ibid-4.

[20] Ibid-4.

[21] Jane Perlez, “Tribunal Rejects Beijing’s Claims in South China Sea,” New York Times, July 12, 2016, https://www.nytimes.com/2016/07/13/world/asia/south-china-sea-hague-rulingphilippines.html.

[22] Ibid.

[23] Ibid.

[24] Ibid.

[25] Jacques deLisle, “Political-Legal Implications of the July 2016 Arbitrations Decision in the Philippines-PRC Case Concerning the South China Sea: The United States, China, and International Law,” in Asian Yearbook of International Law, vol. 21, eds. Seokwoo Lee, Hee Eun Lee, and Lowell Bautista (2015): 73 [26] Linh Tong, “Seeking a Solution to the South China Sea Disputes,” The Diplomat, July 21, 2016, https://thediplomat.com/2016/07/seeking-a-solution-to-the-south-china-sea-disputes/.

[27] Steven Lee Myers and Keith Bradsher, “China Fires Missiles Into South China Sea, Sending U.S. a Message,” New York Times, August 27, 2020, https://www.nytimes.com/2020/08/27/ world/asia/missiles-south-china-sea.html.

[28] Masahiro Miyoshi, “China’s U-shaped Line Claim in the South China Sea: Any Validity Under International Law,” Ocean Development and International Law 43, no. 1 (2012): 10.

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[29] Ibid.

[30] Tong, “Seeking a Solution to the South China Sea Disputes,” The Diplomat.

[31] Miyoshi, “China’s U-Shaped Line Claim in the South China Sea,” 10.

[32] Association of Southeast Asian Nations, “Declaration on the Conduct of Parties in the South China Sea, ASEAN Website, November 4, 2002, https://asean.org/?static_post=declaration-onthe-conduct-of-parties-in-the-south-china-sea-2.

[33] Tong, “Seeking a Solution to the South China Sea Disputes,” The Diplomat.

About the Author Jordan Winnett graduated as a member of the class of 2021 at Christopher Newport University.

He received his B.A. in Political Science and American Studies with minors in History and U.S. National Security Studies. At CNU he worked as a Junior Fellow at the Center for American Studies, was a member of the Alpha Chi Honor Society, as well as the Pre-Law Program.

His academic interests include international relations and U.S. foreign policy. After graduating, he is working as a Research Fellow at the Center for American Studies and hopes to pursue graduate studies in international relations.

“Homelessness and the Hostile Environment” Katherine Witmer Faculty Sponsor: Dr. Christopher Loy, Department of Sociology, Social Work and Anthropology

Abstract This study was conducted to examine the perceptions of aid workers in the Virginia Peninsula from a para ethnographic perspective concerning the effects of the hostile environment on their clients experiencing homelessness. I investigated homelessness operationalized as the publicization of the private life due to an inability to access private space due to socioeconomic factors. I additionally define the hostile environment as an environment faced by the homeless that is supported by and recreates the views of the dominant structures that control space in any given area and the discursive scripts surrounding the homeless. Within the literature surrounding homelessness three main themes have emerged: the fight to control public spaces, the discursive scripts surrounding homelessness and their contributions to negative perceptions of people experiencing homelessness, and how the ways in which homelessness is treated by the systems of power only targets the symptoms of homelessness rather than the root causes. Through the use of semi-structured interviews, open and axial coding, and thematic analysis this study attempts to examine aid workers’ perceptions of the hostile environment and homelessness from a space perspective. This study finds that not only are aid workers aware of the hostile environment faced by their clients experiencing homelessness and the individual factors which comprise the hostile environment, but they were also at times party to those factors (such as discursive scripts). In addition they have informally begun to construct their own methods for combating the hostile environment in their own workspaces and in the community.

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Literature Review In this paper I will be using Non-Marxian conflict theory as observed by Charles Wright Mills in order to utilize conflict theory while also reconciling with classical conflict theory’s uneven treatment of people experiencing homelessness. In order to use modern conflict theory as a lens though, we must first look at its origins with Marx. Marxian conflict theory believes that society is a dynamic entity, which constantly undergoes changes as a result of class conflict. This conflict is due to the fact that society is made up of many individuals who are all competing for the limited resources available (money, food, space). This competition is reflected by larger organizations, which mirror that competition as well as the inequality inherent to it. Those that have more resources continually work and use those resources to maintain their positions of power within society. There are a couple of critiques of Marx to be made though, some of which make his version of conflict theory not applicable for this paper.

In his Communist Manifesto, Marx defines the lumpenproletariat (literally translated to ‘ragged proletariat’) as “The lumpenproletariat is passive decaying matter of the lowest layers of the old society, is here and there thrust into the [progressive] movement by a proletarian revolution; [however,] in accordance with its whole way of life, it is more likely to sell out to reactionary intrigues” (Marx and Engels 2020:18). Marx would go on to reference the lumpenproletariat, sometimes also called “underclass”, in his other works as well. Their revolutionary potential is dismissed and within the lumpenproletariat people experiencing homelessness were often grouped with criminals and vagrants. Marxian conflict theory for the most part either ignores or disparages the homeless, similar to the treatment they also receive from society.

C. W. Mills is often referred to as the founder of modern conflict theory. Like Marx, Mills views society as a dynamic entity, and many of his ideas originate from Marx’s theories.

Mills also believes that social structures are created as a result of the conflicts between different interests and that people are then impacted by those social structures resulting in a differential power between the “elite” and “others” (Mills 1979).

There are several themes which emerge within the literature surrounding homelessness, the most prolific of which is discursive scripts surrounding the homeless. Discursive scripts surrounding the homeless and the exclusion resulting from these scripts is not a new phenomenon in the United States. Randall Amster tracks the history of the treatment of the homeless in the U.S. and identifies the fact that there is in fact a pattern of exclusion and marginalization of people experiencing homelessness (2003). There are three primary discursive scripts and categories of social deviance which have been applied to and semantically associated with the homeless: dirtiness, drugs, and danger (Toft 2014). In addition to these three primary discursive scripts surrounding the homeless, there seem to be a pervasive idea about the nature of homelessness and its causes. Homelessness is viewed as the result of personal or moral failing on the part of the individual experiencing homelessness, rather than the result of overarching systemic conditions (Belcher and DeForge 2012). All of these societally held views that have been shaped by discursive scripts surrounding the homeless serve as justification for the hostile environment the homeless face. Besides the alienation of the homeless, we need to know what purpose these discursive scripts serve. By painting the homeless as ‘dirty’ and ‘dangerous’, presenting homelessness as a moral failing becomes that much easier. This takes the pressure off of the systems in power which are truly responsible for this phenomenon.

The criminalization of homelessness is another theme which has emerged in the literature. Éva Tessza Udvarhelyi provides a history of the treatment of people experiencing homelessness in Hungary and chronicles the slow social and structural transition from compassion to criminalization (2014). She argues that the criminalization of the homeless is not purely a strategy to achieve political domination, but also serves to obscure failures of the state to address social, political, and economic issues. She concludes that the criminalization of homelessness cannot be attributed as the state would have it, but is instead indicative of severe and deep structural,

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social, and political crises (Udvarhelyi 2014). Just as Udvarhelyi confronts the criminalization of homelessness in Hungary, Tars et al. addresses the criminalization of homelessness in the United States. This criminalization can include anti-loitering and anti-vagrancy laws, and city beautification initiatives. They argue that our current remedies for combating the criminalization of homelessness need to be supported by laws that allow them to be broadened to allow for more effective redressing of the violations on homeless people’s civil and human rights (Tars et al.

2014). Tars et al. also argue that the remedies offered by court systems to homeless people often consist only of narrow injunctive relief or small monetary compensation, and that this kind of relief does nothing to combat homelessness or its causes directly and is therefore inadequate to drive discontinuation of the mistreatment by municipalities and states of people experiencing homelessness (2014).

In addition to criminalization, many homeless populations also have to contend with hostile architecture. This criminalization of homelessness serves a distinct purpose, controlling public space and this fight to control public spaces is another common theme. This theme surrounding the struggle for control of public spaces is also vital to the definition of homelessness that I have previously discussed which centers around the publicization of private life. James Petty theorizes that part of the reason for the strong fight for control of public spaces is because public space is continually created and redefined by the people who occupy or use it. By this logic, use of a public space conveys a kind of ‘operative ownership’, making the right to use public space imperative as it leads to the right to define and then the right to own (2016). Sarah Dooling goes further into the manner in which this extreme struggle to control public space serves to negatively impact homeless populations who have nowhere to go but public space. She writes: “punishing people for performing private acts in public when they lack private places of their own situates homeless people in a highly vulnerable position of being everywhere while permitted to be nowhere” (2009:2). These space-controlling strategies are borne out of a desire to not have to share space with the homeless, as a result of discursive scripts surrounding the homeless, and in a way they render the homeless invisible to the public eye. The motivations behind this strong collective desire to exclude and render invisible the homeless lie in the ideas we have surrounding them which are informed and influenced by many of the discursive scripts surrounding the homeless.

Slightly smaller but no less important, there are many authors who have attempted to track the progression of homelessness both in the present and in the future. As already mentioned, Udvarhelyi gave a history of the past and ongoing treatment and perceptions of homelessness and people experiencing homelessness in Hungary. There have also been attempts

by Hambrick and Johnson to map out the potential future manifestations of homelessness in 10 or 20 years’ time. They lay out three possible scenarios: Homelessness routinized (homelessness becomes a routine part of society and the political landscape), Homelessness no longer a problem (economic and social change combined with strong policy changes achieves a significant impact on homelessness), and the homeless problem worsens (both homelessness and other symptoms of poverty worsen as existing support systems are unable to keep up with society’s growing intricacy) (Hambrick and Johnson 1980). In addition, they argue that homelessness should not be treated as a temporary problem but, like Udvarhelyi, think that it should be viewed as a failure of existing social services and the state.

Some of the literature surrounding homelessness also focuses on the shelters themselves.

In his article, Asadi addresses concerns that the identity constructed for clients by the homeless shelter industry perpetuates the idea that homelessness is a result of personal failings and as a result absolves the structures in power of responsibility and obscures the root causes of homelessness (2013). Both Giesler and Lundahl address the perceptions and feelings of shelter workers but for different means. Giesler investigates the lack of official or organized connection between public libraries and homeless shelters and the communication between the two. His study also

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found that homeless shelter employees had an awareness of the fact that there are not many “safe” (not controlled by police, approved or allowed access, easily accessible, productive) places for their homeless clients to be outside of the shelter (2019). Lundahl and Wicks examined the relationship between shelter volunteers and what needs they can meet, and the needs of homeless shelters and their clients. Within their study, many shelter workers revealed that they have to deal with misconceptions and misunderstandings on the part of volunteers surrounding the needs of the shelter and its clients (Lundahl and Wicks 2010). And while no one is at fault, it does bely a critical misunderstanding of the homeless condition on the part of those not relatively connected or adjacent to the community.

Through the course of my research into the existing literature, I was unable to find any case studies which aligned closely with my own research. While I did find research like Giesler’s and Lundahl & Wicks’ that interviewed shelter workers and those who offer aid to the homeless in order to gauge their perceptions like I do, it was not concerning the same subjects and there were no geographic similarities. A study by Khanna et al. was one of the few that I was able to find that took place in Virginia, they found by interviewing homeless women in Richmond, Virginia that many of the characteristics ascribed to homeless people were completely inaccurate: many of the women they interviewed had children, were married, and many were educated (1992). My research attempts to fill a gap both in literature by addressing the perceptions of shelter workers on the treatment and experiences of homeless people concerning discursive scripts and the hostile environment and geography by looking specifically at the Virginia Peninsula.

Theory

This research attempts to investigate the perceptions of those who offer aid to people experiencing homelessness concerning the hostile environment. Conflict theory tells us that society is constantly changing as a result of class conflict and that the origins of that conflict lie in an uneven distribution of resources. Due to classical Marxian conflict theory’s approach to homelessness however, this study will utilize Non-Marxian conflict theory in order to reconcile those differences. In this section I will justify the use of Non-Marxian conflict theory, track the progression from Marxian conflict theory to conflict theory as utilized by Charles Wright Mills, and tie in the theories of David Harvey and Philip Webb to this paper’s understanding of public space.

For my research on homelessness and the hostile environment I use the conflict theory of Charles Wright Mills through a Neo Marxian lens. Both of these perspectives have their root in Karl Marx and in order to engage with them fully we must first engage with their foundation.

Marxian conflict theory tells us that society acts as a dynamic entity which is constantly undergoing changes, and that those changes are a result of class conflict. This conflict originates from differences in resources, whether those resources be wealth, food, space, or something else entirely, and that individuals are constantly competing for these limited resources. This individual conflict is also reflected on larger structural or institutional levels which mirror not only the conflict present but also the inherent inequalities (Marx, Engles, and Smelser 1973).

There are a couple of reasons to deviate from Marx and pure Marxian theory, but the primary one for the purposes of this research is his concept of the lumpenproletariat. Marx felt that the lumpenproletariat (literally translated to ragged proletariat) comprised the lowest layers of society: criminals, vagrants, and those experiencing homelessness. He believed that the lumpenproletariat were a kind of “underclass” with no real revolutionary potential who were just as likely to sell out to reactionary intrigues (Marx and Engels 2020, Marx, Engels, and Pascal 2011). This is the primary reason for my Neo Marxian approach and for the utilization of C. Wright Mills’ conflict theory. As a non-Marxian conflict theorist, Mills’ ideas of class and class struggle are far more applicable to my study. Additionally, the Neo Marxian approach tells us that there are classes, that homelessness is one such class, and that classes are produced. And

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for the purposes of this research I will be viewing the production of that class as an aspect and strategy of the control of public spaces.

As previously discussed, conflict theory has been evolving since its origination in Marx’s works. Conflict theory gained some of its first and most important contributions from Antonio Gramsci, who felt that Marx had underestimated the power of ideology and that more needed to be done in order to overcome cultural hegemony. Next, Max Horkheimer and Theodor Adorno, two theorists from the Frankfurt School who considered themselves critical theorists, focused on how mass produced cultural resources, like music or art, work to reinforce cultural hegemony. More recently, C. Wright Mills elaborated on his own version of conflict theory which focused on the concept of a small power elite in the United States, comprised mainly of military, economic, and political figures, which has held control over America starting in the mid-twentieth century. Conflict theory has been adapted for multiple other purposes beyond those on this ‘main’ path and has even been used to develop new theories entirely. Feminist theory, critical race theory, post-structural theory, and queer theory all have roots in Marx’s conflict theory to name a few. Tracking the adaptations and changes in conflict theory over the years is important because it allows us to have a more holistic understanding of the subject and as a result deepens our understanding of specific subsections of the theory.

Both C. Wright Mills and Neo Marxian thought tell us that social structures and classes are something that is created. Mills theorized that these structures are created as a result of differing interests. People are then impacted by the inequalities that these structures create and a resulting differential of power is born between the ‘elite’ and ‘others’. In addition to the perspectives already discussed I’d like to incorporate two more into my research. Vital to both my definition of homelessness “a critical lack of or inability to access private space and the publicization of private life due to socioeconomic factors” and to the ways in which I attempt to explain the conflict between those experiencing and not experiencing homelessness, is space.

As such, I plan to incorporate both David Harvey and Philip Wells’ ideas concerning space.

The primary aspect of David Harvey’s work I will focus on is his work concerning the concept of ‘the right to the city’. Harvey defines the right to the city as: But we also increasingly live in divided, fragmented and conflict-prone cities. How we view the world and define possibilities depends on which side of the tracks we are on… The results are indelibly etched into the spatial forms of our cities, which increasingly become cities of fortified fragments, of gated communities and privatized public spaces kept under constant surveillance. (Harvey 2008:9).

Harvey goes on to elaborate further that the kind of city that people want is integrally tied to the kind of people they want to be. Therefore, our identity is fully entwined with the spaces that we live in and to control space is to control the kinds of people that live in that space. People can have a transformative relationship with the places they inhabit and spend time in and vice versa.

Therefore, to control space is to control people and to create the kind of people you wish to see.

Philip Webb addresses ‘Disneyfication’, the commercial transformation of a society or space into a Disney-like pre-planned and sterile space with four primary aspects: theming, hybrid consumption, merchandising, and performative labor. Theming is the act of infusing a place (or in some cases an object) with a specific idea. Hybrid consumption is the collection of multiple establishments where people can consume in one place. Merchandising is attaching a logo or phrase to goods or services for promotional reasons. Performative labor is when companies make employees not only the providers of a service, but also entertainers to consumers (Webb 2016). To Disneyfy a place is to strip it of its original character and replace that character with a sanitized version, sometimes one that conveys an entirely different meaning. Webb investigates the relationship between Disneyfication in homeless populations and the transformation of homelessness into a mass, rather than, individual condition.

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There are a couple of expectations that Neo Marxian conflict theory creates. Conflict theory helps to describe the fight over physical space happening between homeless and nonhomeless people. Owning and, almost more importantly, controlling, public space can certainly be seen as a resource or form of power over which individuals and institutions fight for control.

Many papers have already posed the idea that public spaces are continually created and remade by the people who inhabit and frequent them (James Petty 2016). To occupy or frequent a space is in a way, to lay claim to it, therefore, in order to control and maintain ownership of a space you must also control who is allowed to be in that space. This is done through things like anti-vagrancy laws, hostile architecture, discursive scripts surrounding the homeless which frame them as undesirable or unfit for public spaces, and other space controlling measures used primarily towards the homeless. Following the same vein, this gives new meaning to the things which aid workers perceive and hear about from their clients experiencing homelessness. These observations and experiences now become one of two things: either indicative of the struggle to control space, or symptoms of that struggle. At this point in time, these things have been supported by the data. Aid workers report the police being used as a controlling force to monitor and enforce who is and is not allowed to occupy a given space and they additionally report people in the area calling the police for the exclusive purpose of removing homeless people from a given area. Further indicative of a lack of private or allowed space, is the aspects of private life that many aid workers indicate are forced to become public functions out of necessity or availability.

Other themes in the data, such as the re-identification of people experiencing homelessness as a willful collective versus circumstantial individuals, work along with other discursive scripts to paint people experiencing homelessness as certain kinds of undesirable which increases support and effort into space controlling methods and measures.

Methodology Introduction

This exploratory study attempts to answer the question: What are the perceptions of those who offer aid to people experiencing homelessness in the Virginia Peninsula regarding the hostile environment? For the purposes of this research, the hostile environment is operationalized as: an environment faced by the homeless that is supported by and recreates the views of the dominant structures that control space in any given area and the discursive scripts surrounding the homeless. The hostile environment consists of things like hostile architecture, negative attitudes towards and opinions of the homeless held by the general public, anti-homeless and anti-vagrancy laws, city beautification initiatives, and negative interactions with police concerning space. This study hypothesizes that, because of their unique position in relation to people experiencing homelessness, aid workers will be actively aware of not only the hostile environment faced by people experiencing homelessness but also the underlying causes of that environment like discursive scripts and space controlling efforts. According to Gazi Islam (2015:1): Para-ethnography involves collaboration with organization members who are themselves producers of cultural analysis rather than sources of raw data.

It begins from the premise that contemporary workplaces involve internal theorizing that, although distinct from academic theorizing, can inform and ground organizational theory.

Aid workers, and in general those who directly work with and help those experiencing homelessness, within their institutions perform their own kind of qualitative analysis on a day to day basis and this study attempts to utilize that specific knowledge through para-ethnography.

Project Design This study took place Fall of 2020 over the course of approximately 15 weeks throughout the Virginia Peninsula. Participants were interviewed through Google Meets video call as a result of

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the COVID-19 pandemic. The study took a qualitative and para-ethnographic approach and collected data via interviews. This study utilized both individuals and institutions as units of analysis. Participants were sampled using a combination of convenience and snowball sampling.

Initial participants were located using convenience sampling via institutions the researcher was aware of and those that could be found through research. Snowball sampling was then used to locate people the participants knew of or worked with who might be willing to be interviewed.

Interview questions ranged from warm-up questions, meant to relax and open up the participant (“What would you say the most rewarding aspect of your work is?”), to grand tour questions designed to make the participant think, which targeted specific information (“What would you say is the biggest challenge faced by your clients?” and “Of all these things, which do you feel is the most detrimental to the advancement of people experiencing homelessness?

Which does the most in keeping the homeless homeless”). Interviews were semi-structured and designed to slowly work into larger subjects and more sensitive topics (Leech 2002). Interviews typically took around an hour and were initially transcribed using Otter.ai and then underwent a second round of transcription by the researcher to ensure accuracy. Interview data was analyzed using coding and thematic analysis.

Given their unique institutional and social position and experiences, the researcher felt that para-ethnography was the best approach to take that allowed for the full scope of participant expertise to come through. Para-ethnography engages with participants not only as sources of raw data but as organizational or institutional members who produce cultural analysis by way of the internal theorizing which takes place within their workspaces (Islam 2015). Throughout the research the researcher has identified two distinct para-ethnographic groups: aid workers who work for semi-secular institutions which rely on government, community, and congregational funding, and church-based aid organizations which primarily rely on funding from community and congregation. Non church-based institutions are labeled semi-secular as, while most of them saw it as their role to fulfil non-spiritual needs of people experiencing homelessness, many of the institutions and their employees were of a Christian persuasion and this partially guided how they conceptualized many things. Church-based aid organizations fulfilled non-spiritual needs of people experiencing homelessness, but saw their primary prerogative as serving their spiritual needs as a means of alleviating homelessness.

There were several different reasons that a qualitative approach was taken instead of a quantitative approach. While the researcher suspected that participants would have their own views and theories of the challenges faced by those experiencing homelessness and that they would have a heightened awareness of the dynamic between homeless and non-homeless people, they were not exactly sure what those views and theories would be. In order to both accommodate a number of different views and to keep interviewees from feeling penned in while also receiving as much information as possible, the researcher chose to use a qualitative approach and open-ended interview questions. An in-person interview, or in this case a virtual interview, allows for researcher and participant to build a rapport that enables the participant to express things they might not feel comfortable sharing otherwise and encourages the participant to give more detailed and lengthy responses (Leech 2003). In cases where the participant does not understand the question, or where they give a very short response, qualitative open-ended interview questions allow for the researcher to prompt the informant in a multitude of ways such as pre-prepared prompts written into the interview schedule and mirroring in order to gain more information.

The researcher performed a two-step style of analysis, starting with open codes and ending with axial codes. This two-step, or cycle, approach to coding allows for the codes to travel from first cycle informant-centric code labels and generalized codes to second cycle research specific labels that target themes that emerge during the first round of coding (Korsgaard and Linneberg 2019). Open codes consisted of descriptive codes (“affordable housing”, “lack

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of privacy”) in vivo codes (“some people really don’t want to be homeless”) emotion codes (“resignation”, “stagnancy”) and evaluation codes (“-Affordable housing: not realistic”). Axial codes attempted to pull recurring themes out of the text and open codes previously produced.

The final list of axial codes was as follows: Alienation of charity, Lack of education/awareness of homeless experience, Police as main agents to control space, Publicization of private life, The realities/practicalities of being homeless, Control of/fight for space, Choice versus circumstance, Discursive scripts, Homelessness as identity, Homeless versus Experiencing Homelessness, Religion, Housing, and Community. Several of these final axial codes ended up emerging as primary themes in the data. With the process of coding and analyzing interview data, measures must be taken to ensure reliability and validity.

Validity, Reliability, and Generalizability

The researcher has incorporated multiple strategies in order to promote validity and reliability. Coding of raw data can be used as a method for ensuring validity by maintaining coherence between the participants and data and the final results (Korsgaard and Linneberg 2019). Additionally, using low inference descriptors while coding like verbatims or in vivo coding can promote validity (Johnson 1997). The researcher additionally utilized peer review throughout the writing and analysis process. As a final measure to promote reliability and validity, the researcher promoted validity throughout the entirety of the research by practicing self-awareness and critical self-reflection by engaging in reflexivity to attempt to limit personal biases and predispositions from entering the research or results, especially during the analysis and coding phases of the research (Johnson 1997). The researcher must acknowledge that the use of convenience and snowball sampling do provide an opportunity for possible bias, further cause for the utilization of critical self-reflection.

There are ways in which this research both is and is not generalizable. While it is difficult to account for how the public views homelessness in a county by county or state by state basis, within America there are some common sources through which we are exposed to discursive scripts surrounding the homeless. Many people are exposed to these discursive scripts through mainstream media that paints people experiencing homelessness in a highly stereotypical manner that presents them as dirty, violent, or addicts, common discursive scripts associated with homelessness, and this media is available across the United States (Toft 2014).

With the increasing globalization of our society and the strong emergence of social media’s role in our lives, discursive scripts presented in those formats can be reasonably assumed to be far reaching. In this way, discursive scripts seen and held by interview participants informed by the media around them, and the public opinion stemming from that media, can be assumed to be similar to those of aid workers across the country. However, institutional generalizability poses a challenge. Different organizations, like the two para-ethnographic groups identified, have different prerogatives when working with people experiencing homelessness and this prerogative vastly shapes how they operate institutionally. Therefore, unless a common prerogative is established between the research group and the group one hopes to generalize to, generalization here poses a significant challenge. On top of differing institutional prerogatives, geography plays a large part in potential generalizability. According to participants of this study, Winter in Virginia does not pose a significant health risk to homeless populations as compared to other states. A very low percentage of people experiencing homelessness experience cold-related injuries or maladies and, according to them, no one in the communities they’ve worked with has ever died of the cold. In a state like New York however, where the average temperature in January is 34° Fahrenheit (Climate & Weather Averages in New York, New York, USA, n.d.), the cold poses a far more significant risk to people experiencing homelessness. As such, between the states of Virginia and New York, their aid workers will have vastly different opinions on the environment faced by their homeless populations and will have different institutional approaches to things like temporary winter housing.

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Issues and Limitations

This exploratory study faced a couple different issues through the course of its completion. The first is that due to the COVID-19 pandemic all interviews were conducted via Google Meet video calls. Ethical concerns were raised with the process of doing research during a global pandemic. The researcher decided that in order to ensure that the research was conducted in an ethical manner research had to be conducted entirely virtually in order to eliminate risk of infection or illness of any party. There were few technical difficulties but the virtual format did give some participants pause who were used to and therefore more comfortable with inperson meetings and were not as comfortable using the technology. Getting into contact and setting up interviews with potential participants also proved to be difficult. Many had different definitions of what exactly they do and were unsure whether or not they fit the criteria the researcher was looking for. At one point during the research, the scope of the project changed from the Newport News area to the entirety of the Virginia Peninsula due to difficulty locating interviewees and because a significant amount of snowball sampling led outside of Newport News. While most interviews did not have any gatekeepers, some organizations had strict rules about interviews with publishing potential or where employees might be asked to sign anything which made conducting interviews difficult. There was a cultural gatekeeper present through all interviews which actually served to make things easier for the researcher. All of the participants were Christian themselves or worked for organizations with a partial Christian focus.

The interviewer grew up and was raised in a conservative, Christian environment and qualifies as what one could call ‘culturally Christian’. Some participants expressed embarrassment or hesitation in concerns to their religious beliefs and the ways that those religious beliefs framed their opinions. Being aware of common terminology and phrases used and having a knowledge of the way Christian spaces operate, allowed the researcher to establish a deeper rapport with some of the interviewees and allowed the researcher to make participants feel more comfortable expressing their opinions.

There were a few limitations to this study. Specific to this study is that many participants felt comfortable having the audio from interviews being recorded but were hesitant and visibly nervous or uncomfortable with the idea of video also being recorded. To ensure participant ease the researcher made a policy to only record audio. This meant that the researcher could not go back to utilize body language that was not observed in field notes when analyzing interview data. There are also some limitations that come from the nature of this study. Since this is an undergraduate exploratory study conducted within a smaller period of time, the researcher was only able to interview 9 participants from the Virginia Peninsula. As brought up earlier, this research has limited geographic generalizability.

Analysis and Discussion Introduction

This research has identified four major themes in the perceptions of those who offer aid to the homeless concerning the hostile environment: The Fight to Control Public Space, Discursive Scripts Surrounding People Experiencing Homelessness, Homelessness as Choice versus Circumstance, Homeless people versus People Experiencing Homelessness. This section attempts to analyze and discuss the significance of these themes and what they mean as a whole for the aid community in the Virginia Peninsula concerning the hostile environment and homelessness.

The Fight for Control of Public Spaces

The first theme that emerged is the fight for control of public spaces. This theme encapsulates the struggle over public spaces that happens between people experiencing homelessness and people who are housed. Aid workers were aware of the control exerted over public spaces through what their clients experiencing homelessness told them, their own experiences with

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the police, and through trends apparent in their client’s legal history as many have received trespassing or similar charges. This struggle over public space is both an aspect and tool of the hostile environment. A facet of this is the use of police as agents to control space. Five of nine interview respondents spoke about police being called on their clients in specific areas of the Peninsula, had had dealing with the police concerning their clients, or both. Christie, an aid worker who works as a case manager for people experiencing homelessness, spoke about the situation at a popular public bus station that her clients have told her about “they informed me that they can only stay there for an hour. If they stay there beyond an hour, then they will call the police on them”.

When respondents did talk about the police and control being exerted over public spaces, there was a strong implication that the police themselves were not an issue for their clients, but that housed people were explicitly using the police to keep people experiencing homelessness out of public spaces which they considered to be theirs. Charlie, another aid worker, spoke quite explicitly about the underlying motivations of housed people in their attempted expulsion of people experiencing homelessness from public spaces: For reasons about their physical space, you know, having purchased this acreage, or this- this home where I live, and I get to experience nature and quiet and this- and if you take space away that I don’t own, public space, owned by somebody else, somehow it’s going to take away from the value of my space… Definitely, the presence of somebody experiencing homelessnessthe perception is their mere presence in- in or near this space, negatively impacts my space.

A sub-theme which regularly came up when respondents talked about the control of space, and which is also a result of space controlling measures which affect people experiencing homelessness, was the publicization of the private life.

As a result of the struggle for public space and how people experiencing homelessness are forced out of those spaces, they are afforded fewer and fewer public spaces, including those which afford some kind of privacy like public bathrooms. As more spaces accessible to people experiencing homelessness dwindle, the more their private lives are forced into the public eye.

In order to access private spaces through aid programs like rapid rehousing, people experiencing homelessness must not only provide in-depth personal information but must make all portions of their lives accessible to their case workers. From a respondent who offers aid at an organization which also handles case work “Yeah, I think there is a part of, part of homelessness is giving up a- some privacy, and accessing services, in many cases, requires you to forfeit some things, privacy being one”. While this is somewhat necessary, and reintegration into being housed often goes smoother (as brought up by six out of nine respondents) with the help and support of a caseworker, the necessary intrusion does contribute to the baring of the private life. A respondent who works as a Reverend at a local church which offers aid to people experiencing homelessness spoke about the lack of privacy experienced by many of their clients on a regular basis due to the nature of common shelter policy “So, yes, everything that they own, everything that they’re doing, it’s all you know, they’re drinking, everybody sees it, if they’re just asleep, everybody sees it, see, the privacy is very much gone”. This control over public spaces, and the resulting publicization of private aspects of life, is reflected both in the literature surrounding homelessness as well as in conflict theory.

James Petty speaks at length about both the physical and ideological securitization of public space and how this securing of public spaces for particular use is an aspect of space controlling measures (2016). In addition, Petty advances the idea that by exerting control over public space, you also exert control over other people. Control of public spaces allows one to decide not only who is allowed in, but what kind of person to whom you will grant entry.

Controlling spaces is about more than physical access, it also affects the membership of the

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community. This aligns with what conflict theory tells us about power and resources. Public spaces are a limited resource over which people fight for control. To inhabit and exert your influence over these spaces is to own them socially.

This theme’s presence and prevalence is important because it presents the opportunity to glean some of the motivating factors behind space controlling measures. Knowing that there is in fact tension between people experiencing homelessness and people who are housed concerning space and its usages allows us to investigate why housed people are so reticent to share space. The explanation to this reticence might in fact lie with the discursive scripts surrounding homelessness that shape how the general public, and as a result housed people, view those experiencing homelessness.

Discursive Scripts Surrounding People Experiencing Homelessness

The next major theme is discursive scripts surrounding people experiencing homelessness.

This theme covers both aid workers’ awareness of these discursive scripts as well as their presence in and outside of the aid community. Every single interview respondent was aware of discursive scripts surrounding people experiencing homelessness. The most common scripts which they used as examples were drug use (nine out of nine respondents), laziness (six out of nine respondents), and dirtiness (four out of nine respondents). When asked about the negative perceptions of people experiencing homelessness that the respondent encounters most often, Mark, a church-based aid worker said “there’s an assumption of some kind of substance abuse, there’s an assumption of mental health issues. There’s an assumption of laziness”. These discursive scripts play a large part in shaping the hostile environment with which people experiencing homelessness are forced to contend. In response to the interview question “Of all of the things which we have discussed so far, which do you believe is most detrimental to the advancement of people experiencing homelessness? Which do you believe does the most in keeping the homeless homeless?” Four of nine respondents cited discursive scripts or negative public opinions surrounding people experiencing homelessness. While aid workers were aware of discursive scripts and their effect on their clients, that’s not to say that they were immune to them. One respondent gave a good example of the ways in which discursive scripts reach most of the general public “Now, certainly, you know, the homeless get yelled at, they get made fun of they get laughed at. But I, well, I say that, because I just assumed that happens, probably because of what I see in movies and TV and such”.

These discursive scripts have the power to shape the social reality that someone experiencing homelessness faces. A sub-theme which was relatively prevalent and is a direct result of these discursive scripts is homelessness as an identity. Six out of nine respondents spoke about how homeless as a label is incredibly collective. They spoke about the re-identification that a person undergoes when we refer to them as homeless. One respondent phrased incredibly well the relationship between identifying someone as homeless and the discursive scripts surrounding homelessness: Just by using the moniker homeless. We- we have labeled people just as if we use the term black or if we use the term female or if we use the term pipe fitter, or if I mean any- any, any term that you can use to describe a group of people comes with its own connotations, comes with its own set of assumptions and stereotypes that we automatically fit on people.

These discursive scripts are what are applied to individuals experiencing homelessness when we re-identify them and write over their individuality using the moniker of homeless.

The prevalence of discursive scripts surrounding people experiencing homelessness and the influence those scripts have has been well documented in the literature already (Toft 2014). Discursive scripts have their place in Non-Marxian conflict theory as well. In the struggle between people who are housed and people experiencing homelessness for the control of space, what are the tools? Discursive scripts fuel the negative perceptions of homelessness and people

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experiencing homelessness that most of the general public holds, implicit as those perceptions may be. Things like dirtiness, drug use, mental health disorders, and laziness are all negative personal aspects which are generally looked down upon. These are things which most people do not want to be. And if it is in fact the case that the people shape the space, and that by controlling space you control the kind of people who inhabit it, the kind of people with whom you associate and are associated with, then these discursive scripts are all the reason that people need to not want to share space with individuals experiencing homelessness.

These discursive scripts and the resulting re-identification of people experiencing homelessness have had a strong effect on the two remaining major themes which have emerged: Homelessness as Choice versus as Circumstance and Homeless people versus People Experiencing Homelessness.

Homelessness as Choice versus as Circumstance

This next theme could be considered a discursive script in and of itself, but is at the very least heavily influenced by scripts surrounding the supposed laziness and irresponsibility of people experiencing homelessness. The prevailing idea outside of the aid community (and sometimes within it) that homelessness is a kind of personal moral failing. The perception is that people choose to be homeless rather than that homelessness is a temporary state of being and something that happens to people due to circumstantial or systemic forces. One aid worker spoke about her encounters with this perception of choice from people with housing “They assume that the majority of the population wants to like panhandle and wants to live on the streets. But surprisingly, that’s quite the opposite. People do want to be housed, they just can’t afford it”. Eight out of nine respondent spoke about the prevailing perception that homelessness was a choice and a personal failing.

As previously mentioned, aid workers were not immune to discursive scripts, and as an extension, the idea that homelessness is a choice. When talking about a frequent visitor to the shelter he works at, one respondent said: “if you get him to be honest with you, you can just see the horrible choices that he makes month by month that caused him to just never stop being homeless”. Many of the respondents had their own theories about where the perception that homelessness is a choice comes from “I believe that because most people are so far removed from homelessness, they see it as a character defect instead of a circumstance”. Seven out of nine respondents attributed this perception to a lack of understanding about how homelessness works practically and what experiencing homelessness is really like.

This leads into two sub-theories which were often brought up at the same time as discussions of choice versus circumstance and were how most respondents rationalized this perception: The Realities of Experiencing Homelessness and Lack of Education or Awareness.

Most respondents (seven out of nine) felt that if members of the general public had more awareness of, or education about, homelessness then they would feel quite differently about the individuals who experience it. They felt that there were also many hidden dimensions to homelessness that many people in the general public are not cognizant of because they simply have had no need to in their own lives. The largest hidden dimension, or reality, of homelessness that was cited was the difficulty of access (eight out of nine respondents): I’ll take a shower in the morning before I go to work. Because I have one in my home. And if you don’t have a home, you may not have access to that shower, we offer showers three hours a day, or three days a week… So I mean, the possibility for a shower is there. But people have to navigate their way there. They don’t wake up next to a shower. So the convenience is- is just not available in many cases.

This most often came up in conjunction with hygiene and access to showers or laundry services (three out of nine respondents).

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Perceptions of homelessness as a choice rather than a circumstantial condition have also been relatively commonly remarked upon within the literature. With the perception of homelessness as a choice also comes the perception that that choice is a result of personal moral failings on the part of the individual (Belcher and DeForge 2012).

This theme is interwoven with all of the others discussed so far either influencing other themes or being influenced itself. The interconnectedness of these themes brings us t the final major theme in the research which, like Choice versus Circumstance, is heavily influenced by discursive scripts.

Homeless People versus People Experiencing Homelessness

The fourth and final major theme in this research, which as earlier discussed is strongly impacted by the presence of discursive scripts surrounding individuals experiencing homelessness, is Homeless People versus People Experiencing Homelessness. This theme encompasses the idea largely held by aid workers that by changing our language from “homeless” to “person experiencing homelessness” we can reframe how people view homelessness and also prevent quite as much reidentification of people experiencing homelessness. In fact, this theme and its importance to aid workers is why I have been using that specific language throughout the entirety of this paper and my research in general. The distinction between, as one respondent put it “homeless with a capital H”, and “person experiencing homelessness” was not actually on my radar at the beginning of this project. One of my interview respondents brought it up during our meeting and phrased his understanding of the importance of the terminological distinction as such: When we’re using the moniker homeless, I think it gets back to kind of that idea is that we say, well, the homeless, and that takes out individuals… it takes- takes us out of understanding them as individual humans and the individual differences that we recognize in each of them, and the uniqueness of each of their situations.

There is a recurring idea within the aid community concerning the importance of language in how we conceptualize homelessness.

This idea is at the center of this movement of linguistic reframing in order to subtly combat discursive scripts surrounding the homeless. The idea is that by non-obtrusively reframing homelessness from something that someone is to something that they experience in the eyes of the public, they can begin to reformat their views of homelessness to something that is more closely aligned with the reality of homelessness for those who experience it. One respondent pointed out the unconscious nature with which we use capital H homeless terminology “with someone who lives in an apartment, we don’t oftentimes identify them, as “oh these apartment dwellers”, you know? versus someone who doesn’t have a place to stay, and they are labeled as homeless”.

This is part of a very intentional shift within the aid community which leads into a sub-theme already discussed: Education and Awareness. The idea being that, by changing your language, specifically the language you use when dealing with members of the general public or people who do not have any experience with homelessness, you can subtly challenge the collective perception that many people have of homelessness: I think language does matter. And intentionally changing the way that people consider homelessness, rather than something that defines an individual, it is an experience that I mean, it’s just that it’s an experience… Whereas if we say, Well, he’s homeless, then that, that provides too much identity… Whereas if we say, well, as John, you know, John’s experiencing homelessness right now, just as he may be experiencing joy… He’s experiencing homelessness.

Yeah, he is not homeless.

This is part of a larger movement which seeks to re-educate the public on homelessness. For four out of eight respondents, re-education was particularly important for police officers in their community. As previously discussed, much of the tension between police and people experiencing

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homelessness stems from housed people using the police to relocate people experiencing homelessness out of the public space in their area. Respondents talked about both their own efforts to educate police by talking to officers who patrol near their places of work, and also about improvements in the relationship between aid workers, police, and people experiencing homelessness due to new education programs at individual precincts. Respondents who spoke about improvements in precinct-provided education (three out of eight), said that the role of police was aligned with their own objectives and instead of arresting individuals experiencing homelessness, they now brought them to shelters or at least had a number to call.

The importance of language, specifically when it comes to homelessness, has been remarked upon semi-regularly in the literature surrounding homelessness. Both Amoshaun Toft and Muhammed Asadi discuss the effects of specific language usage, specifically in the case of the identities of people experiencing homelessness. There is a connection to be made between Webb and the discourse between ‘homeless’ and ‘experiencing homelessness’. One of the primary issues with the term homeless and motivating factors for the shift to experiencing homelessness is to transform homelessness from a collective condition to an individual. Webb speaks similarly of homelessness when he discusses how Disneyfication has influenced a change in homelessness from individual to collective (2016), just as controlled spaces still seek to.

This theme of Homeless versus Experiencing Homelessness is indicative of a larger social movement taking place within the aid community. This movement attempts to fight language with language and looks to reform public opinions of homelessness through almost gentle re-identification.

Conclusion

This research has identified four major themes in the perceptions of those who offer aid to the homeless concerning the hostile environment: The Fight to Control Public Space, Discursive Scripts Surrounding People Experiencing Homelessness, Homelessness as Choice versus Circumstance, Homeless people versus People Experiencing Homelessness. This exploratory study found that much of the tension between people with housing and people experiencing homelessness does in fact stem from a struggle over the use and right to public space. This struggle fuels the hostile environment as the presence of the hostile environment in part serves to remove people experiencing homelessness from the public eye and therefore out of public spaces. This results in a forceful publicization of the private lives of people experiencing homelessness. Aid workers are both aware of, and in some cases party to, discursive scripts surrounding people experiencing homelessness. These discursive scripts are a large contributing factor to the reidentification of people experiencing homelessness as a stigmatized collective. These discursive scripts also feed into perceptions that homelessness is a personal moral failing for which the responsibility of that condition lies on the individual. There is a growing movement within the aid community which is both aware of all of these things and also seeks to if not solve them, alleviate the effect that they have on people experiencing homelessness. Most indicative of this movement is the linguistic shift from Homeless, to people/person experiencing homelessness.

This is indicative of both an active awareness on the part of the aid community of not only the factors which make up and fuel the hostile environment but also the specific ways in which they operate sociologically. The aid community is actively seeking to undo the effects that discursive scripts have had on people experiencing homelessness by using the same subtle linguistics which made these discursive scripts so effective in the first place.

This is all largely reflected in the attitudes of the aid workers who participate in this study. While many cited a multitude of problems both on the part of individuals and our communities when it comes to how we treat people experiencing homelessness, a great many of them remarked that while there was still progress to be made, there has been an active improvement in the aid and understanding available to people experiencing homelessness.

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It is my hope that this study not only helps to share the thought and perceptions of aid workers in the Virginia Peninsula, but that it too will raise awareness of the challenges faced by our community members experiencing homelessness, and that through a more thorough understanding of the underlying forces which affect the way we conceptualize homelessness we might better combat them in the future.

Recommendations for Further Study There is one other theme which made itself apparent through the course of this research that I feel is deserving of further research which this exploratory study could not give. There was a marked tension between two distinct groups within the aid community: church-based or run aid groups and all others. This distinction does not relate to the presence or absence of religion.

Almost every single person interviewed was Christian or the organization they worked for had Christian views. Many respondents remarked upon their feelings concerning church-based aid and aid organizations, namely the presence of discursive scripts within those organizations, the perception of homelessness as a choice, and the church’s responsibility to the soul rather than the body. Four of nine participants brought up their feelings concerning church-based aid and the ways in which church groups chose to give aid. The primary complaint being that the church and as an extension church-based aid groups had abandoned the body of the person experiencing homelessness in favor of the soul “the church has lost their place as the- the arbiter of social welfare for our physical beings, and has been relegated to just the spiritual. And they’re owning that incredibly well”. While this comments and many like it reveal interesting and fascinating things happening under the surface between aid organizations, it is not the purview of this study. In addition, I feel that in order to properly investigate and comment upon this phenomena I would need more direct interviews with church-based aid workers. Because while the input from non-church-based aid workers that I got concerning this subject was incredibly consistent, the same can not be said for what I heard from church-based aid workers. Of the two respondents who worked for church-based aid organizations, only one aligned with what I have been hearing from other respondents. As such I cannot form any conclusions on the subject but there is possibility for further study which either collects enough interviews to be able to reliably say something or which focuses specifically on church-based aid.

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About the Author Katherine Witmer is a Senior at Christopher Newport University in the class of 2021 with a major in Sociology with a concentration in Anthropology and minors in Classical Studies, Greek Studies, and Leadership Studies. Katherine is a member of the Lambda Alpha and Alpha Kappa Delta Anthropology and Sociology Honors Societies. Katherine has conducted research during her time at CNU as a Research Assistant and Research Apprentice during the 2019-2020 school year. She researched as a Summer Scholar in 2020. Katherine was a poster presenter at the annual Society for Applied Anthropology conference and placed third in the poster competition and was a presenter at the social sciences plenary for Paideia. Katherine was the 2021 recipient of the Mai Lan Gustafsson Excellence in Ethnography Award for her paper “Homelessness and the Hostile Environment”. Katherine is planning on pursuing a PhD in Biological Anthropology with a focus on osteoarchaeology with intent to teach or work for the state but in the meantime will be working as a legal assistant for Spotts Fain PC.