Proceedings of the 2022 Berry Summer Thesis Institute

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Arts and Humanities

Musical Expressions and Symbolic Forms

By Jacob Biesecker-Mast

Lovecraft, the Uncanny, and The Sublime: A Psychoanalytic Critique of H.P. Lovecraft's Fiction

By Jules Carr-Chellman

Critical Review of Literature Surrounding 'Cultish' Evangelical Pastor Mark Driscoll

By Phillip Cicero

Music Therapy Treatment Considerations for Adolescents with Attachment Challenges

By Jaylee Sowders

The Snuffed Critique of Modernity: Adapting Brideshead Revisited for the TwentyFirst Century

By Caitlin G. Spicer

Business

Where Do Female Athletes Get Their Role Models? Exploring Women's Basketball in the U.S  from Inception to NIL

By Tierra Freeman

Health and Sport Science

Overview of Cardiovascular Benefits and Mechanical Demands of the Kettlebell Swing Exercise: Implications for Work Economy

By Daniel E. Vencel

Life and Physical Sciences

Identifying the Effects of Low Temperatures and Propionate on L. monocytogenes Growth and Pathogenesis: A Review

By Lizzy Herr

Determining the Effects of Propionate on Listeria Monocytogenes Susceptibility to Lysozome Degradation

By Jeanne Paula E. Sering

Anti-Predation Behavior in Response to Conspecific Visual, Olfactory, and Damage Cues in the Three-Spined Stickleback

By Claire VanMeter

ARTS AND HUMANITIES

Berry Summer Thesis Institute

Musical Expression and Symbolic Forms

Jacob D. Biesecker-Mast1,2,3

University of Dayton

300 College Park, Dayton, OH 45469

1. Department of Philosophy

2. Department of Music

3. Berry Summer Thesis Institute

4. University Honors Program

Thesis Mentor: Neil Florek, M.A.

Department of Philosophy

Abstract:

Frequently the idea of expression comes up when people talk about music’s value in human culture. However, expression is often ill-defined and can be found to be used many ways. Some argue that music is expressive of the creator’s emotions, something like an unrestrained outpouring of emotions as musical form. Some argue that music instead expresses the creator’s knowledge about emotions, rather than the emotions themselves. Others argue music is not expressive at all, but instead is beautiful by virtue of its well-formed nature. This particular perspective, musical formalism, often looks at what is called “absolute music”, or music without any other kind of media like lyrics, and argues that the form of the music, with all its interesting play between various melodies, counter melodies, and chord structure, is that which gives it value rather than any kind of expressive capabilities. Susanne Langer is a scholar who has written much on the philosophy of art and makes compelling arguments for the expressive nature of art, and thus departs from formalism distinctly. Many of her theories treat art as a sort of language that expresses through meaningmaking symbols. This summer I am doing preliminary work, using many of Langer’s theories as a base, on investigating this question: based on the particular syntactic and semantic structure of music, as distinct from other methods of constructing and communicating meaning, what kinds of meaning is music ideal for expressing? In order to answer this question, I am reading various texts by philosophers of music including Susanne Langer, but also Nelson Goodman and Peter Kivy. While Susanne Langer presents a quite relevant and useful broad theory, which argues music allows the expression of the emotional inner-life of human beings, to answer the question, there seem to be some weaknesses in her framework that might be remedied through the introduction of ideas from these other authors. For example, Langer postulates that symbols in music, as distinct from discursive language, do not necessarily refer to an object to make meaning, but instead present concepts as they are through constructing analogous logical relationships. This argument is difficult to make sense of as it would seem that even in this sense, the symbol is referring to the concept in question. If the symbol does not refer to an object, then the symbol is all that is needed to comprehend the concept. If this is the case then how are the symbol and concept distinct? In this case, Goodman offers up the concept of exemplification, in which the symbol exemplifies the concept in question, in addition to presenting it. Ultimately, I hope to argue that the value of music lies, at least in great part, in its capability to not only express the emotional inner-life of human beings, but also that in this act of expression, it does important work conceptualizing and constructing understanding about the world we live in and our experience of that world.

In her book, Philosophy in a New Key, Susanne Langer makes the case that music plays an integral role in shaping one’s understanding of the world. This is because, for Langer, musical works are not simply beautiful creations that may bring pleasure to the subject, but are symbolic forms that are vital to the process of conceptualization. Essentially, she argues music helps individuals to create concepts that help them understand the world in particular ways. One of Langer’s main points is that music is what she calls a presentational form, or a form that simply presents concepts to the subject. However, there may be some weaknesses in this argument, including her vague explanation on both the limits of discursive form and the advantages of presentational form. In light of these weaknesses, Nelson Goodman’s concept of exemplification might aid Langer’s theory by postulating a different approach to symbolism in the process of conceptualization.

One key distinction Langer makes is between signs and symbols. Langer argues that signs refer to something about the presence of an object, usually with regards to an action that should be taken in response. A good example of this is a train signal one might find at the intersection between a road and a railway. A train signal is useful because it refers to the eminent presence of an object: the train. Because of this, the signal provides useful information to the subject that can then be used to inform subsequent decisions, such as stopping before the crossing. A symbol, on the other hand, refers to a concept about the object, not just the object’s presence. Essentially, words are representative of the general concept, but can also be used to refer to the specific object as well. One very common example of this is words. The word “train” does not always inform the subject about the presence of a train. Seeing the word “train” on this page should not cause the reader to look around their reading area for a train. Instead, this word references one’s concept of trains: where they are usually found, what they do, how they function, and any number of other related ideas to the object. As Langer explains: “Most of our words are not signs in the sense of signals. They are used to talk about things, not to direct our eyes and ears and noses toward them… they take the place of things that we have perceived in the past, or even things that we can merely imagine…” (Langer 31). It is not that signals are not important, it is just that they serve a different purpose.

At this point, Langer also makes a clear distinction between connotation and denotation for symbols. This is because saying that symbols refer to a concept and a sign to an object is not a complete picture. First of all, it is important to understand that, according to Langer, signs do not just refer to objects, but specifically something about the presence of them. Even a sign pointing to something is referring to the presence of that object. Again, a symbol directly refers to a concept, but

this concept also refers to many objects, the most important one being that which the concept is about. Thus, a symbol can refer to an object through the concept. This is where the terms connotation and denotation come in; Langer explains: “Denotation is, then, the complex relationship which a name has to an object which bears it… The connotation of a word is the conception it conveys” (Langer 64). The relationship between a symbol and a concept Langer calls connotation, while the relationship between a symbol and the object through the concept is called denotation.

This connection between symbolism and conceptualization is an important one for Langer’s argument. If music is symbolic, then it means that music must relate to the subject’s conceptualization of the world. However, Langer does not stop there. So far, all that has been shown is that symbols refer to concepts, not that concepts actually shape the conceptualization process beyond the simple act of dividing up the world, that this is a bag and not a tree for example. For Langer, these symbols actually have some essential quality that necessarily relates them to their concept. Langer argues that symbols and concepts are related by sharing logically analogous forms (Langer 82). In other words, symbols refer to specific concepts because the two both possess some congruent logical form that is important. Take for example the pairing of a mercator projection and the earth itself. While these items are very different, most would easily make the connection between the two.  Even though the earth is made of stone, metal, water and organic matter

while the map might be paper or even digital; even though the map is flat while the earth is a sphere; even though the earth is thousands of miles in diameter while a map might only be several inches; one still makes the connection that the map symbolizes the earth. Langer would argue that this is because the map and one’s concept of the earth share the logical relationships present in the geographic arrangement of features like continents, countries, oceans, and many other features depending on the specific map. That Europe is north of Africa and the two poles are opposite each other is preserved, and makes the map a useful symbol. To use the specific terms, the map connotes the various geographical concepts, and it denotes the earth itself. The idea that symbols are linked to their concepts and objects via logically analogous form is integral to Langer’s argument.

This step is important because it entails that the structure of the symbols themselves is important in the process of conceptualization. Not only is the act of using symbols important for shaping the way one conceptualizes the world, but the nuances of the symbols themselves affect the structures of the concepts. Langer argues there are two main categories of symbols. The first category is discursive symbols, or symbols that lend themselves to discourse. The most prominent example is language. Language consists of sentences that are made up of words, and can be combined in various ways. Some of the key characteristics of discursive form are that sentences are structured linearly and thus must be read one piece at a time, and that connotations in discursive form are general- they refer to concept that often includes many ideas (Langer 97). Additionally, discursive form relies on common understandings of syntax and word-meanings for individuals to be able to derive connotations and denotations from discourse. Often discursive form is taken for granted and some might argue that in order for something to be thinkable and therefore cognitive, it must be able to be articulated in discursive form. However, Langer argues there is another category of symbols that she calls presentational form. Presentational symbols simply present the concept for the subject’s observation and thought, rather than encoding it in words or sentences: “the meanings of all other symbolic elements that compose a larger, articulate symbol are understood only through the meaning of the whole, through their relations within the tonal structure” (Langer 97). Presentational symbols include paintings, dance, music, and other kinds of art forms. Some key aspects of presentational forms is that they do not necessarily require common understandings of various elements, such as words, as the logical relationships are simply presented for observation. Langer argues that presentational forms offer the ability to articulate ideas that cannot be articulated in discursive form due to its limitations, and thus this a key purpose of music.

One key area that discursive form does not articulate well but is articulated well by presentational form is what Langer calls the “inner life”. For Langer, the inner life is perhaps what some would call the emotional life of human beings, even though that does not quite adequately explain it (Langer 98). It is the felt experience of a situation and the very human ways that one might respond to or understand said situation other than explicit reasoning. Take for example the experience of standing before the Trevi fountain in Rome. Discursive form is very helpful for articulating things like the number of people there, the color of the sky, the height of the water, the time of day, or the temperature of the water. Discursive form can help to make a list of all the various objects present and the ways they are related. However, Langer would argue there is a felt experience of being there as a human being with respect to all these objects that cannot be articulated with discursive form. The way the wind feels in one’s hair, the tiny droplets of water from the fountain’s explosion that collide with one’s skin and cool it down from the warm rays of the sun, or that feeling of being around so many other people who are all there to see the same amazing object are just a few examples of things that cannot be well articulated in discursive form, even though it has been attempted here.

www.abbapublishing.com

While Langer’s theories may be compelling, there is at least one possible issue. Langer clearly states that presentational forms do not refer to an object or even a concept. Langer instead argues these forms “present” logical relationships for the subject’s conception. But it seems contradictory to claim a symbol does not refer to any object. Nelson Goodman offers a different theory of the relationship between symbol, concept, and object. Goodman postulates the concept of exemplification, in which a symbol represents an object by both possessing and referring to either labels or properties present in the represented object (Goodman 53). The example Goodman uses in Languages of Art is that of a sample of cloth and the whole piece. The sample of cloth symbolizes the larger piece by both possessing the redness, the softness, and the thickness of the larger piece, and also by referring to those qualities (Goodman 53-54). It is important that both possession and reference is present for symbolism to be happening as an identical whole piece of cloth does not symbolize the original whole piece as it is not referring to those properties even though it does possess them. This theory of exemplification bridges the gaps between presentational symbol, concept, and object without introducing any logical inconsistencies. In this way Goodman presents a clearer picture of these relationships, that may allow one to preserve Langer’s other important insights like logical analogy, the roles of connotation and denotation, and the inner life.

Acknowledgements

First, I would like to acknowledge the Berry Family and Honors Program, without which the Berry Summer Thesis Institute could not exist, and thus I could not have had this wonderful opportunity to work on this project. I would also like to acknowledge my fantastic mentor, Neil Florek, for all his work this summer to help me complete this project and push me to do the best work I could. Finally, I would like to acknowledge my fellow Berry Summer Thesis Institute scholars: Phillip Cicero, Jules Carr-Chellman, Daniel Vencel, Caitlin Spicer, Lizzy Herr, Tierra Freeman, Jeanne Serring, Jaylee Sowders, and Claire VanMeter. They made this summer such a joy and I am no doubt a better person because of them.

Bibliography

Goodman, Nelson. Languages of Art. Hackett Publishing Company Inc., 1976. Langer, Susanne. Philosophy in a New Key. Harvard University Press, 1957.

Lovecraft, the Uncanny, and the Sublime: A Psychoanalytic Critique of H.P. Lovecraft's Fiction

Jules Carr-Chellman1,2,3,4

University of Dayton

300 College Park, Dayton, OH 45469

1.Department of Philosophy

2.Department of English

3.Berry Summer Thesis Institute

4. University Honors Program

Thesis Mentor: Andrew Slade,

Department of English

Ph.D.

The ideas of the uncanny and the sublime are part of a philosophical tradition that lies at the intersection of psychoanalysis and the critical analysis of art and literature. Psychoanalysis, in a clinical context, works to understand crucial processes that compose the human being while also working to address problems that arise out of those processes. Psychoanalysis, at its core, seeks to answer the crucial questions facing the human condition from a human perspective and to help people live better lives because of it.

Psychoanalysis is also a way to understand the mediums through which we express our feelings, our opinions, and our ideas about who we are in art and literature. Art and literature are the medium for the interarticulation of our individual human experiences. Frida Kahlo, a Mexican painter, once said, “I paint flowers so that they will not die.” This quote summarizes how art is a means by which humans seek to try and fully articulate their ideas about themselves and other people, thereby bringing their perspective closer to being a part of shared human understanding. The field of psychoanalysis is important because of its crucial mission to think about what it is to be human, as it also serves as an essential critical lens through which to understand the expression of the human mind in art and literature. Psychoanalysis as critical theory will yield valuable insights into what it means to be a human being and how humans respond to the social, historical, and cultural problems that face us and our world.

The text that I will examine today was written by H.P. Lovecraft, an American author who, during the late 19th and early 20th century, published horror science-fiction titles such as The Call of Cthulhu (1928), At the Mountains of Madness (1931), and The Shadow Out of Time (1936). Lovecraft’s stories were virtually ignored by the general public until later authors of scholarship began paying attention to his work in the late 1970s, and ever since, scholars have mostly labeled Lovecraftian fiction as simply ‘grotesque’ or ‘weird.’ 1 There is more depth, however, to Lovecraft’s fiction than can be captured by these terms alone and also more complications. While I will not address these in this paper, my larger thesis project will include a section addressing Lovecraft’s racist and xenophobic tendencies. Thus, the aim of this project is to find the deeper meanings in Lovecraft’s texts’ by using a psychoanalytic lens. First, I will explain the Freudian concept of the uncanny, secondly, I will briefly articulate a Burkean understanding of the sublime, and finally, I will make the argument that Lovecraft’s fiction is rooted in elements of the uncanny and the sublime.

The uncanny is colloquially understood as something weird or bizarre that evokes a feeling of disease. A psychoanalytic conception of the uncanny is more than a surface level description of feeling, it emphasizes internal unconscious processes that are fundamental for human beings to exist. Freud says that it might be uncanny to repeatedly observe a number several times in different places throughout the day, or to meet someone that looks almost identical to ones’ spouse.

1Harman, Graham, Weird Realism: Lovecraft and Philosophy, (Winchester, UK: Zero Books, 2012) vii.

More than just uncomfortable, according to Sigmund Freud, the feeling of the uncanny occurs when something that is meant to be buried in the unconscious mind comes to light.2 To further understand the Freudian conception of the uncanny, I will consider the first part of his essay where he etymologically dissects the Germanic roots of the word uncanny.

Freud begins his essay on the uncanny by etymologically examining the two German words Heimlich and unheimlich Heimlich can be translated in English to mean ‘homeliness,’ and unheimlich is understood to mean ‘unhomely.’ To be in one’s home is to be in a private space that is sheltered from the outside world. Thus, the German language secondarily defines the word homely to refer to that which is hidden, and unhomely to define something that has been unconcealed. In this investigation of German etymology, Freud observes a border between the meanings of homeliness and unhomeliness. This border is the place where the uncanny resides. The uncanny can be understood as a feeling that occurs when something familiar, that should be hidden, is revealed. Through a psychoanalytic lens, the things that are meant to be hidden are repressed experiences, ideas, or memories – these things are meant to be quite literally hidden from conscious experience. Freud’s argument, in The Uncanny, is that the reemergence of repressed ideas causes a feeling of uncanniness.

In the second chapter of Freud’s essay on the uncanny, he has several ideas about the experiences that he considers to be uncanny. Freud suggests that the uncanny can be prompted by a number of different things, like witnessing a person having a seizure, or the “repetition of the same thing,” such as numbers observed in a given day, or the “doppelganger,” which could occur in the form of seeing a person that looks identical to one's own acquaintance or themselves.3 As Freud will illustrate, the feeling of uncanniness comes from the partial excavation of ideas, feelings, and memories that have been repressed into the unconscious. The clearest example of the uncanny mentioned by Freud, I think, occurs when a human has a seizure because it physically reveals the electrical anatomical processes that lie behind the animated, nonmechanical essence of human behavior. Understanding a human being as nothing more than a robot is not a thought pattern that is sustainable, so the mind represses the idea or memory out of conscious thought where it will still exist but lay mostly dormant until we observe things that bring that repressed idea to light – then we feel uncanny.

One of Freud’s most provocative and famous ideas was his conception of the human psyche akin to that of a Roman city. Freud explains that the buildings and infrastructure of European cities can undergo destruction, war, and natural disaster, yet they are always rebuilt in a different way on top of the previous foundation.4 If one is walking around Europe, it is easily examined that most buildings, in some way or another, retain elements of a previous form of the building, but at a deeper and more hidden level. This is how Freud asks the reader to understand the human psyche in Civilization and its Discontents. While thinking about the uncanny, it is important to remember that no psychological change or development is ever lost in the human psyche; instead, the mind retains its current form and all previous forms.

Freud conducts an analysis of The Sandman by E.T.A Hoffman to demonstrate how a fictional narrative incites a feeling of uncanniness. Freud argues that the source of uncanniness in the story comes from the sandman himself, whose mythological task is to tear out the eyes of children.5 Through a psychoanalytic lens, the loss of one's eyes comes from a fear of castration, which is observable in The Sandman when Coppelius, the evil doppelganger of Nathaniel’s father, attempts

2Freud, Sigmund, The Uncanny. (New York: Penguin Books, 2003), 124.

3Freud, Sigmund, The Uncanny. (New York: Penguin Books, 2003), 142

4Freud, Sigmund, Civilization and Its Discontents, (New York: W.W. Norton & Company, 2022),7.

5Freud, Sigmund, The Uncanny. (New York: Penguin Books, 2003), 136.

to burn Nathaniel’s eyes with a chemical solution and then interferes with all of his love relationships. Freud’s central thesis is that the uncanny is a feeling that comes from repressed psychological material. My central argument in this paper, however, is that the feeling of uncanniness as theorized by Freud is more than an uncomfortable or bizarre experience, but instead, that the uncanny is rooted in more substantial feelings of terror. Take, for example, Freud’s analysis of the uncanny in The Sandman – it is not simply bizarre or strange to fear being castrated by having one's eyes gouged out, it is horrifying. Thus, a conception of the uncanny as simply strange is to misrepresent a feeling that is rooted in terror.

H.P. Lovecraft is skilled at creating a sense of the uncanny, and a prime example of this uncanniness occurs in his short tale “The Outsider.” The story is narrated by a mysterious being who, for as long as they can remember, has lived entirely alone in an inescapable dark castle surrounded by an endless expanse of trees. Eventually, the being feels impelled to escape his prison-like home and scales the ruins of the castle’s staircase, only to reach the top and discover that he has breached the surface of a new world “decked and diversified by marble slabs and columns, overshadowed by an ancient stone church…”6 Longing for human contact, the being scouts out a different castle filled with “an oddly dressed company, making merry, and speaking brightly to one another.”7 As soon as the being enters the castle, there “descended upon the whole company a sudden and unheralded fear of hideous intensity.”8 The being carefully searches for the presence that caused the terror, and upon finding it, reaches out to touch the creature’s paw only to feel “a cold and unyielding surface of polished glass” -- a mirror.9

This brief story constructs an environment through the perspective of the character, which gives the reader a way of understanding the character’s experiences as real within the narrative. The readers’ understanding that the beings’ experience is real becomes ambiguous when the being reaches out toward the monster and realizes that it is, in fact, a reflection of itself. This fits in with the characteristically uncanny feeling that arises “when the boundary between fantasy and reality is blurred.”10 The final moment in the story when the being encounters the monster as himself is an uncanny moment, specifically in the form of what Freud would call a “double” or a “doppelganger.” The uncanny, as we will recall, is “what one calls everything that was meant to remain secret and hidden and has come into the open.”11 For example, in Lovecraft’s short story “The Outsider,” the being in the tower recounts a memory of his first conception of the human form – he describes it as “something that looked mockingly like myself, yet distorted.”12 This is the moment when the being first conceived of someone other than himself – this distorted recollection of the initial encounter with the human form as resembling itself indicates the gradual repression of a narcissism that occurred early on in its life. The central idea here is that the being in Lovecraft’s “The Outsider” is recognizing a frightening distorted version of himself in other objects. This ultimately results in the degradation of the beings’ own self-image, which creates a terrifying sense of the uncanny.

So, we have evidence of a repressed idea in this story. Freud’s argument is that the uncanny experience of the “doppelganger,” or double, occurs when one observes, in adulthood, someone or something else that looks remarkably similar to oneself in reality.13 And this is exactly what

6Lovecraft, Howard P., “The Outsider,” (New York: Library of America, 2005), 11

7Lovecraft, Howard P., “The Outsider,” (New York: Library of America, 2005), 12

8Ibid

9Lovecraft, Howard P., “The Outsider,” (New York: Library of America, 2005), 14.

10Freud, Sigmund, The Uncanny, (New York: Penguin Books, 2003),150

11Freud, Sigmund, The Uncanny, (New York: Penguin Books, 2003), 132.

12Lovecraft, Howard P., “The Outsider,” (New York: Library of America, 2005), 8.

13Freud, Sigmund, The Uncanny, (New York: Penguin Books, 2003), 141.

happens at the end of the story when the being reaches toward the monster only to discover that his hands are touching a mirror, a reflection of himself, a doppelganger. The most significant portion of the story’s plot, when the creature touches the mirror, is tied to subtle details throughout the story in order to articulate an uncanny encounter with repressed infantile narcissism. The Outsider, therefore, is a weird story, it's a grotesque story, and it is, from beginning to end, a tale of an encounter with a feeling of the uncanny.

The goal of using psychoanalysis as a form of critical theory is to analyze pieces of art or literature to detect less obvious meanings or truths that might be ciphered within a narrative. This is done by thinking through the lens of the human psyche. The work of H.P. Lovecraft, and of any artist, is a part of cultural discourse; Lovecraft externalizes his interior life in his fiction. The uncanny is a deeply interior idea. Yet, there is a reason that it happens, and this reason, from the perspective of the psyche, is self-preservation and the uncanny is a feeling that occurs when that which is repressed returns.

Since we have understood uncanniness to be an interior affect, where do we see it externalized? The uncanny cannot be seen– it is felt, but what can be seen is the sublime. The sublime, as it is understood by Edmund Burke, is everything that elicits terror.14 Yet, the sublime is also a “form of self-preservation,” as Burke says, because the feeling of terror caused by something experienced outside of the body triggers a visceral response in the mind that works to preserve the self from death.15 In contrast to the uncanny, the sublime occurs because of an encounter with something exterior to the mind, while the uncanny is an internal mechanism within the psyche. Both concepts, however, seek to preserve the self. So, the uncanny is an internal designation for feelings associated with particular repressed images, and the sublime is a feeling often externalized in images of magnitude and power.

The being in The Outsider, for example, is never developed by Lovecraft. The reader does not know its species, its gender, its age, or what it looks like – all that is concrete is the fact that it exists. This is how the uncanny works in the human psyche – the mind is familiar with the existence of this repressed idea, but unfamiliar with the specifics of its form. At the end of the story, when the creature realizes that the monster is himself, he explains it like so:

“...in that same second there crashed upon my mind a single and fleeting avalanche of soul-  annihilating memory. I knew in that second all that had been; I remembered beyond the frightful castle and the trees, and recognized the altered edifice in which I now stood; I recognized, most terrible of all, the unholy abomination of that which stood leering before me as I withdrew my sullied fingers from its own.”16

This is the moment in the narrative when the creature moves from being an internal uncanny idea, to being a full-blown externalized object capable of inciting sublime terror. The creature, through a psychoanalytical lens, could be understood as this completely unknown, yet familiar repressed idea that, when revealed or externalized, triggers a feeling of terror.

14Burke, Edmund, A Philosophical Inquiry into the Origin of Our Ideas of the Sublime and Beautiful, (New York: Oxford University Press, 1990), 36.

15Burke, Edmund, A Philosophical Inquiry into the Origin of Our Ideas of the Sublime and Beautiful, (New York: Oxford University Press, 1990), 79.

16Lovecraft, Howard P., “The Outsider,” (New York: Library of America, 2005), 13.

Earlier it was stated that The Outsider is a tale of an encounter with the feeling of the uncanny, and now, I have demonstrated that when this internal uncanny feeling becomes externalized, it incites a feeling of terror that constitutes an encounter with the sublime. The language commonly used to talk about this story, and most Lovecraftian fiction, are words associated with low culture, words like weird, grotesque, bizarre, or frightening. What I have shown today is that powerful emotion does not have to be positive, or high – quite the opposite – powerful and important emotions that fuel human self-preservation are oftentimes buried and terrifying. H.P Lovecraft wrote a body of fiction that contains feelings and ideas buried in unseen parts of the world that often make people uncomfortable, however, his misunderstood works still serve as a cultural container of human expression that ultimately define how we understand and preserve ourselves as people.

Bibliography

Burke, Edmund, A Philosophical Inquiry into the Origin of Our Ideas of the Sublime and Beautiful, (New York: Oxford University Press, 1990).

Freud, Sigmund, Civilization and Its Discontents, (New York: W.W. Norton & Company, 2022).

Freud, Sigmund, The Uncanny. (New York: Penguin Books, 2003). Harman, Graham, Weird Realism: Lovecraft and Philosophy, (Winchester, UK: Zero Books, 2012.

Lovecraft, Howard P., “The Outsider,” (New York: Library of America, 2005).

Critical Review of  Literature Surrounding 'Cultish' Evangelical Pastor Mark Driscoll

Phillip Cicero1,2,3

University of Dayton

300 College Park, Dayton, OH 45469

1. Department of English

2. Berry Summer Thesis Institute

3. University Honors Program

Thesis Mentor: Susan Trollinger, Ph.D.

Department of English

Abstract

This project focuses on the rhetoric utilized by Mark Driscoll in a series of blog posts that appeared on the Mars Hill Church website in late 2001 to early 2002. Using Amanda Montell’s theorization of the rhetorical characteristics of a discourse she calls “Cultish” in her book, Cultish: The Language of Fanaticism, this project identifies the various ways Driscoll’s rhetoric fits within her theorization of “Cultish.” The core of this project is a rhetorical analysis of Driscoll’s blog posts that seeks to demonstrate that his rhetoric mobilizes key characteristics of “Cultish.” Then, using Stuart Hall’s theorization of desire, identification, and investment in popular culture texts along with Judith Butler’s notion of subjectivation (the process by which we are always being constructed as subjects by the rhetoric within which we are immersed), this project will aim to explain how Driscoll’s “Cultish” rhetoric attracts and retains audiences one might expect would reject Driscoll. More specifically, this project will argue that Driscoll’s “Cultish” rhetoric has attracted white men who have felt emasculated and disempowered by neoliberal (and other dominant discourses) during late 20th and early 21st century American culture by constructing a “Cultish” form of “Christian” identity that aims to give these men a sense of masculine identity, power, and belonging. Driscoll’s rhetoric does this by constructing a homophobic and misogynistic form of “Christian” masculinity that he aggressively advances as the only form of “Christian” masculinity that is “good.” Thus, his rhetoric gives his reader two options: be actively and explicitly homophobic and misogynistic or admit that you have been “pussified” – that is, completely emasculated.

Introduction

Scandals involving white evangelical churches seem to appear daily in the news. Whether the scandals involve a male church leader engaging in bullying, sexual harassment, sexual abuse, financial fraud, or something else there seems to be no end in sight. The most recent news on the Southern Baptist Convention’s efforts to cover up the hundreds of sexual abuse cases committed by its leadership over the years provides one example of the systematic nature of this problem. One might imagine that in response to these scandals, white evangelicals would flee the churches where these leaders have or continue to serve through coverups or ignorance of the denomination. Only recently have the numbers began to dwindle at white evangelical churches. A notable example is Willow Creek, a white evangelical church with seven campuses and an attendance of more than 25,000 weekly members in 2017 (Smietana). Recently, however, the church has had to lay off thirty percent of their staff due to a 57 percent decrease in attendance following a major sex scandal among their top leadership (Smietana). That said, white evangelicals remain among the largest two religious groups in America (with mainline Protestantism as the other).

The apparent crisis within white evangelicalism invites us to ask why so many Americans remain

committed to churches (and other affiliated organizations) and especially to the leadership of those churches when those in charge have been proven to abuse their power in scandalous ways? For those who choose to stay, and many do, what continues to sustain their loyalty and keep them committed to these ministries that have failed them?

To answer this question, this project draws on the work of Amanda Montell whose book, Cultish: The Language of Fanaticism, explores what she argues are the distinctive characteristics of “Cultish” language and how that language attracts and retains adherents. Through the course of the book, she argues that the language of cult leaders is distinctive and that there are strong commonalities among the rhetoric of individual cult leaders. Her goal is to identify and describe those commonalities so that we can identify a “Cultish” discourse when we hear one and understand how it works. This paper explores the connections between “Cultish” and the rhetoric of white evangelical leadership and how it gains and retains adherents amidst scandals.

This project takes as its case study the rhetoric of Mark Driscoll, a pastor who was heavily criticized and removed from his now defunct megachurch, Mars Hill, for aggressive language and bullying. But to understand Driscoll, who he is, why he is important and worth studying, it is important to have some understanding of the discursive context his rhetoric emerged within. To understand that, a brief history of white evangelicalism is needed.

Evangelicalism all begins with the rise of fundamentalism, which came about in response to modernism and historical criticism critical readings of the Bible. Historical criticism is a reading strategy that emerged from modernism that treated the Bible like any other book- with a history, tensions, and contradictions, written by human beings in history instead of God.  A scientific theory of evolution also emerged during modernism called Darwinism, which challenges the creation story of the Bible through the process of evolution.   In response, Fundamentalists developed something called biblical inerrancy. Biblical inerrancy is the belief that the Bible is completely and truly inerrant, meaning that it is true in all that it says about both history and science. This all culminated in the popular Scopes trial where John Thomas Scopes was put under trial for teaching evolution in his high school science class which went against Tennessee state law. William Jennings Bryan, a popular fundamentalist and politician, joined the prosecution against Scopes, but the trial did not go as Bryan had hoped. The defense put Bryan and biblical inerrancy through a humiliating examination that culminated in public ridicule.   While Bryan and the Fundamentalists won the trial, they had been humiliated on a nationwide scale and moved out of the national spotlight to focus on building a network of organizations (like radio stations and private school) which assisted neo-evangelicals when they returned to the public sphere. Neo-evangelicals arose in the 1960s and 70s to change the public perception of fundamentalism after the shameful reputation they gained from the trial. Hoping to “soften” fundamentalism and make it more credible and relevant, neo-evangelicals offered what can essentially be described as a re-branding of fundamentalism that consisted of all the same beliefs of fundamentalism presented in a more appealing way. This is where the problem of masculinity comes from within the evangelical community. The biggest issue for evangelicals at the time was the connection between them and femininity.  Most people, when thinking about evangelicals, associated them with not being “manly” men or something that women should be associated with. Masculinity, therefore, has been a core principle for evangelicals and something that has been at the focus of their message for a long time.

Out of all the white evangelical leaders out there, this project chooses to focus on Mark Driscoll because of his overzealous and aggressive language that stood out among other white evangelical leaders. The other interesting thing about Driscoll was how he presented his arguments at Mars Hill. The services at Mars Hill consisted of rock bands playing religious songs, a young audience

consisting of 20–30-year-olds, and an unabashed pastor (Driscoll) not afraid to talk about topics like sex, porn, and other taboo topics. This project focuses specifically on Driscoll’s blog posts during a 2-month period in late 2000 to early 2001 because they appear to resonate heavily with “Cultish” and emphasize the offensive nature of Driscoll’s rhetoric.

The methodology used for this examination of Driscoll’s rhetoric and its connections with “Cultish” first began with a content analysis of his blog posts. The purpose of the content analysis was to organize each blog post into two categories: unprompted posts and responses. Those posts were then organized into subcategories of statements drawn from Montell’s work with the purpose of understanding how certain notable statements of Driscoll’s function in the context of his larger rhetoric. Based on the content analysis, the next methodological move was to conduct a close reading of Driscoll’s posts with respect to Judith Butler’s notion of subjectivation in mind to discern how Driscoll’s rhetoric was shaping white evangelical masculinity. This paper argues that Driscoll’s particular cultish rhetoric constructs a Christian identity that goes well beyond common arguments of complementarianism (the idea that men and women have different but equally valuable roles and that men should be in charge) to an intensely misogynist and homophobic identity for what he considers “good Christian men.” This literature review summarizes especially valuable secondary sources that have shaped and will continue to shape this project. It is organized into three sections representing two key terms for the project (evangelicalism and militant masculinity) and, of course, the subject of my project – Mark Driscoll. The sources summarized have helped me to better understand the direction of this project.

Evangelicalism

The core of this project is focused on Mark Driscoll, and, therefore, a more extensive understanding of evangelicalism is needed to understand Driscoll’s misogynist and homophobic rhetoric. Three sources have proven especially helpful in understanding the origins of evangelicalism at a deeper level. The first of those is Margaret Bendroth, who describes Fundamentalism as following five fundamentals: the virgin birth, substitutionary atonement, resurrection, miracles, and biblical inerrancy. She also describes fundamentalism as inherently anti-intellectual (Bendroth 4). Another source that is helpful in understanding evangelicalism is Molly Worthen who describes evangelicalism as a broad concept that cannot be easily defined but mentions that practices that emphasize fundamental doctrines and born-again experiences are indicators (Worthen 4). Kirsten Kobes DuMez, another source, describes evangelicals as people who believe in biblical inerrancy, born-again experiences, and evangelization. She also argues that, while evangelicals certainly identify with those doctrines, but she also argues conservative politics are central to their identity as well (DuMez 5). Both DuMez and Bendroth also help describe the neo-evangelical movement. The neo-evangelical movement, aka new evangelicals, was a period post WWII and heavily in the 1970s where evangelicals tried to broaden their appeal to the public while still maintaining the same beliefs (Bendroth 5). Bendroth and DuMez then discuss the types of strategies and rhetoric that emerged during the neo-evangelical period. Bendroth and Worthen’s work helps this project in its understanding of the overlap between fundamentalism and evangelicalism. Bendroth and DuMez are also helpful in explaining the neo-evangelical period, which is the period where Driscoll gained popularity. This project hopes to build upon these sources by focusing on what Driscoll contributed to the neo-evangelical period and how much he aligns with their definitions of evangelicalism.

Militant Masculinity

Bendroth writes in her book Fundamentalism and Gender that evangelicals used language akin to “militant masculinity” long before neo-evangelicals popularized it in the 70s. Bendroth describes

how in the 1920s, the masculine language utilized by evangelicals became more combative in hopes of making Christianity appear less effeminate and pastors depicted as more masculine (Bendroth 64). White evangelicals hoped to construct a Christianity that was less effeminate and connected more with masculinity. Going beyond just the leadership, white evangelicals wanted male members of churches to be looked at as “full-blooded” men. Bendroth describes that, to show their masculinity, pastors began to emphasize their fondness for outdoor sports, would always carry pistols on them, and were not afraid to walk the mean streets of New York’s red-light district. Bendroth’s work reveals that masculinity has been at the core of evangelicals message for decades. (Bendroth 65-66). DuMez writes about how the message from 1920s evangelicals was taken a step further in the 70s with the introduction of militant masculinity.

The term militant masculinity comes from DuMez’s book, Jesus and John Wayne, in which she describes how militant masculinity became ingrained in evangelical culture. DuMez describes in her book how Christian media and notable figureheads, such as James Dobson and Billy Graham, promoted a specific type of white evangelical masculinity, specifically one that highlights a heroic masculinity perhaps best exemplified by popular culture versions of cowboys– like John Wayne. Militant masculinity became part of evangelical culture as events like the Vietnam War, secondwave Feminist movement, and Civil Rights movements were threatening the evangelicals’ important values of family, sex, power, and race (DuMez 12). This period in the 70s during the Vietnam War and social movements is when white evangelicals began to discern what was good and bad in the world by pointing to the symbols of the past, like John Wayne’s cowboys and Mel Gibson’s warrior character, William Wallace, in Braveheart. Evangelicals pointed to the bravery, aggressiveness, and violence that these symbols from the past represented and argued that these were good characteristics for Christian men to have (DuMez 12). The defining of what is good and bad based on agressive symbols of the past is what DuMez describes as militant masculinity, and she argues that this militant masculinity is tied with a culture of fear that calls Christians to arms against the “forces of evil” in the world (with those forces of evil being feminists, other races, and anti-war protestors). Pastors like Tim LaHaye, Bill Gothard, and Mark Driscoll utilized militant masculinity to garner large audiences by generating fear in their audiences towards the “forces of evil” they would determine (DuMez 13).

The work Bendroth has done provides an important contribution in understanding how masculinity has been at the core of evangelical’s arguments for more than 100 years. This work helps understand the origins of Driscoll’s masculine rhetoric and the connections it has with evangelicals from decades before.  DuMez’s work on militant masculinity and how it has been used to generate fear within audiences puts the strategies that Driscoll uses to garner audiences in a brighter light. This project is going to focus specifically on how Driscoll was able to garner large audiences through the use of fear but also on what people are identifying with in Driscoll’s language.

Mark Driscoll

Given that this project is a case study of Mark Driscoll’s rhetoric, secondary sources on him as an important figure within white evangelicalism are essential. DuMez’s book, Jesus and John Wayne, provides helpful insights into the man and his rhetoric. The chapter titled “Holy Balls”is particularly helpful because it focuses on Driscoll and the language he used as a pastor at Mars Hill Church. DuMez describes how Driscoll would preach about a “manly-man” Jesus who was an aggressive warrior that rides into battle against the devil (DuMez 194). She talks about how Driscoll became known as “Mark the cussing pastor” who was not afraid to talk about sex in vulgar ways and did not tolerate any of the soft rhetoric, such as acting as your friend or personal enrichment,

that other pastors, like James Dobson, would use to talk about Christianity (DuMez 194). The most striking point DuMez makes is in reference to the series of blog posts posted in late 2001 under Driscoll’s pseudonym, William Wallace II, that provide further evidence of Driscoll’s hyper- militant masculinity rhetoric and, thereby, provides an opportunity to understand exactly what was going on in that rhetoric. These posts are what I analyze in this project, and she describes that these blog posts reveal the misogynistic, homophobic, and downright offensive language Driscoll used to preach his beliefs in a much harsher way than other evangelicals had done before (DuMez 195). DuMez provides helpful insight into Mark Driscoll’s career as a pastor and how he utilized hypermilitant masculinity rhetoric. I hope to build upon her work with Driscoll’s blogs by using Butler’s notion of subjectivation and Hall’s theory of identification to understand the ways in which Driscoll’s militantly masculine rhetoric mobilized the desires of emasculated white evangelical men on behalf of identification with his concept of the ideal man.

Jessica Johnson’s book, Biblical Porn, is the only book-length study of Driscoll’s career during his time at Mars Hill Church. Johnson’s book examines how Driscoll’s audiences were recruited into thinking of power through sexual and militaristic means (or Driscoll’s teachings) through a concept called “biblical porn”. “Biblical Porn” refers to the affective labor (something being done to shape someone’s emotions or desires) of branding Driscoll’s teachings on masculinity, femininity, and sexuality as a marketing strategy to bring in more members (Johnson 7).  Using Michel Foucault’s teachings on “knowledge of pleasure,” she describes how members of the Mars Hill church were essentially trained to embody Driscoll’s understandings of masculinity, femininity, and sexuality through the nature of his discourse (Johnson 8). Johnson explains this phenomenon as something like a multi-level marketing scheme (MLM) where the person at the top of the chain (Driscoll) recruits members who learn his teachings and then, either voluntarily or involuntarily, end up bringing in more members through the beliefs that are “theirs” but stem from Driscoll. Johnson’s insights provide a new understanding of how Mars Hill worked as an organization that brought in new members and retained current members with unique strategies. It also provides insight as to how Mars Hill functioned with Driscoll at its head and how integral Driscoll was to Mars Hill’s success. Since this project looks at blog posts written during his time at Mars hill but appeared after the fall of Mars Hill, it extends Johnson’s work by taking it further toward the present and enables comparisons among his rhetoric before and after his time at Mars Hill.

Conclusion

This literature review focuses on key secondary sources that shape this project. Bendroth, Worthen, and DuMez all show the importance the Bible, conservative politics, and the neo-evangelical movement are to understanding the ways Driscoll came to become so influential in the white evangelical world. Bendroth’s work in Fundamentalism and Gender reveals that masculinity has been at the core of white evangelicals’ identity for the past 100 years, and DuMez’s work in Jesus and John Wayne reveals that militant masculinity and the construction of “real men”as aggressive, brave, and violent became ingrained in evangelical culture following the many sociopolitical movements of the 70s. In addition, DuMez’s work with Driscoll’s blog posts argue that  Driscoll’s rhetoric takes militant masculinity further than other white evangelical leaders at the time provides a framework for this project to analyze the ways in which Driscoll’s militantly masculine rhetoric mobilized the desires of emasculated white evangelical men. Lastly, Jessica Johnson’s book-length work in Biblical Porn provides insight into the organization that Mars Hill was, the ways they gained and retained new members, and what Mars Hill was like under Driscoll’s leadership. This project aims to contribute a deeper understanding of Driscoll’s rhetoric through the theorization of Montell’s “Cultish” which makes it possible to understand the rhetorical processes by which Driscoll’s blog posts attracted and retained an audience in terms of identification and subjectification.

Acknowledgements

I would like to thank the Berry Summer Thesis Institute and the University of Dayton Honors Program for providing me the opportunity to conduct this undergraduate research opportunity, as well as my mentor, Dr. Susan Trollinger, for helping to guide me through my work this summer. I would also like to thank the English Department for its help with resources and the Berry family for its support. Lastly, I would like to thank my cohort for an amazing experience this summer.

References

Bendroth, Margaret Lamberts. Fundamentalism and Gender, 1875 to the Present. Yale University Press, 1993.

DuMez, Kristen Kobes. Jesus and John Wayne: How White Evangelicals Corrupted a Faith and Fractured a Nation. W.W Norton and Company, 2020.

Johnson, Jessica. Biblical Porn: Affect, Labor, and Pastor Mark Driscoll’s Evangelical Empire. Duke University Press, 2018.

Smietana, Bob. “Willow Creek Cuts Staff Budget by $6.5 Million.” Christianity Today, May 2022. Worthen, Molly. Apostles of Reason: The Crisis of Authority in American Evangelicalism. Oxford University Press, 2013.

Music Therapy Treatment Considerations for Adolescents with Attachment Challenges

Jaylee Sowders1,2,3

University of Dayton, 300 College Park, Dayton, OH 45469

1. Department of Music

2. Berry Summer Thesis Institute

3. University Honors Program

Thesis Mentor: Joy Willenbrink-Conte, MA, MT-BC

Department of Music

Abstract

Attachment theory, developed by John Bowlby and Mary Ainsworth, describes how our first relationships guide much of our social and emotional development throughout life (Bretherton, 1992). When attachment challenges occur, particularly during infancy, the maturation of adolescents as they transition into adulthood is severely impacted. However, the foundation of attachment assessment and treatment are rooted in classist, patriarchal, and white supremacist systems that do not equitably serve a diverse society. With a focus on equity and accessibility in mental healthcare, this study is focused on music therapy assessment and treatment with teenage clients facing attachment challenges and the role of music as a communicative tool and symbolic object for attachment. Through an interpretivist review of attachment theory and music therapy literature, combined with an analysis of relevant music therapy case studies, I will analyze the affordances, risks, and challenges of music therapy experiences in reforming and revising internal working models of attachment (Bowlby, 1969), using a dimensional perspective described by Raby et al. (2021). Music has the potential to address, validate, and promote further inquiry of the social and emotional complexities that often result from traumatic interpersonal relationships. The added musical relationships and music inherent to music therapy may provide new avenues for growth and healing by providing additional objects or secure bases for reconstructive attachment and relationship formation. This research will provide information for current and future music therapists facilitating music therapy with adolescents to address attachment challenges.

Introduction

Music therapy is constantly evolving to promote progressive, integrative, and equitable values in the practice. Individuals with attachment challenges represent a large, but minimally researched client group that has begun to strike therapists’ gaze as attachment and relationship challenges become more apparent in modern society. Although challenges often originate in infancy, attachment behaviors come to light during adolescence as individuation occurs and teenagers seek their own relationships. As music therapy emphasizes the relationships between the client, therapist, and music, it provides external objects and a therapeutic environment that may address and validate their potentially traumatic attachment experiences. Through the integration of attachment theory in current music therapy practice, adolescents with attachment challenges may be supported in reforming and revising internal working models through symbolic and musical methods of expression, reflection, and communication, ultimately fostering positive attachment orientations and behaviors. The following literature review begins with a survey of attachment theory literature, relates attachment theory to the context of adolescence, and finally, discusses music therapy literature pertaining to work with adolescents who are likely encountering attachment challenges.

Attachment Theory Foundations

Bowlby and Ainsworth Theory

Attachment theory is fundamental to an understanding of clinical engagement, such as music therapy, with adolescents with attachment challenges. Developed by John Bowlby and Mary Ainsworth, attachment theory articulates the psychological foundations for relationship formation (Ainsworth & Bowlby, 1991). Their theory, influenced by Freud and other prominent psychologists of the time, emphasizes the importance of infant-mother attachment and the role such relationships play upon an individuals’ development. Bowlby provided many of the key ideas and definitions that formulate our current understanding of attachment, whereas Ainsworth provided the methodology to study and support the theories (Bretherton, 1992). Bowlby and Ainsworth’s theory of attachment remains one of the most influential and referenced psychological theories in practice.

Dominant western values related to socialization and upbringing elevates the significance of the parent-child relationship during infancy, specifically identifying it as the most important attachment relationship during child development. Bowlby suggests that these parental attachment relationships are imperative for “ego and super-ego development” (Bowlby, 1951, p. 53). Therefore, attachment is a “biological imperative” (Sroufe, 2021, p. 18) and a “domain” within relationships “concerned with seeking and provision of comfort and feelings of safety” (Fearon & Schuengel, 2021, p. 25). It is not the only relationship domain, and not all significant relationships are attachments. Attachment is usually characterized by a “strong desire to share feelings [with the attachment figure], greater emotional reactions when encountering them, more distress or concern upon being separated from them, and more intense grief upon their loss” (Sroufe, 2021, p. 18). According to Fearon & Schuengel (2021), we know very little about how relationships acquire an attachment domain. However, in Bowlby and Ainsworth’s theory of attachment, “attachment relationships promote security,” or intimacy, over familiarity (Sroufe, 2021, p. 21), and the child often derives an understanding of security (or lack thereof) from parental relationships. The nature of one’s parental or primary attachment relationships over time affects the formation and quality of additional attachment figures, in addition to the consistency and reliability of those additional figures.

Early attachment theory research suggested that the primary attachment figure in the infantparent relationship was limited to mothers. However, since attachment theory’s beginnings, attachment relationships have “been extended to children’s relationships with fathers and child care providers, relationships between adult romantic partners, and even relationships with siblings, close friends, teachers, and coaches” (Thompson et al., 2021, p. 4). Nonetheless, especially in infancy for Western societies, primary attachment roles and responsibilities are typically placed upon members of the nuclear family. When the primary attachment figure(s) is not present in a time of need, this can lead to changes in the infant’s mental representation of themself and others (Thompson et al., 2021, p. 4). Thus, according to Bowlby, “family experiences” are the basic “cause for emotional disturbance”(Bretherton, 1992, p. 3). This research, however, is not presented to blame emotional disturbances or attachment challenges on the attachment figures or the upbringing of a child or adolescent. Instead, it is meant to provide knowledge and support for a growing generation of individuals with extraordinary responsibilities, unique pressures, and who face systemic barriers to healthy and productive engagement as a primary attachment figure. As Bowlby suggests, “if a community values its children it must cherish their parents” (Bowlby, 1951, p. 84).

Internal Working Models

One of John Bowlby’s greatest contributions to attachment theory is his discovery and description of internal working models (IWMs) (Bowlby, 1969). IWMs are adaptive and “active constructions” of mental representations regarding the self, others, and the world, meant to further protect individuals from subjective threat or harm (Cassidy, 2021, p. 104). More specifically related to attachment relationships, IWMs “anticipate the attachment figure’s likely behavior across contexts” to allow the child to discern its level of security and still maintain energy for other tasks (Cassidy, 2021, p. 104). According to researchers Ross Thompson, Jeffry Simpson, and Lisa Berlin, these “internalized mental representations of relationships” can affect the “behaviors, thoughts, and emotions” within an attachment relationship (2021, p. 4). Filtered through their IWMs, individuals constantly assess others for potential threats to their “social connections, resource and goal attainment, and self-regulation” (Cassidy, 2021, p. 104). IWMs have “predictive, interpretive, and selfregulatory functions owing, in part, to their influences on attention and memory,” and directly impact not only present attachment relationships, but future attachment formation (Thompson, 2021, p. 129).

Besides contributing to a constant assessment of others and the world, IWMs impact identity, esteem, and an individual’s sense of self. As IWMs develop, beginning in the first year of life, early attachment experiences are pertinent to an individual’s persistent model of self (Cassidy, 2021, p. 104). As their ego and super-ego [sic] is not fully developed, an infant’s  understanding of self is also often confined to a mirror of their attachment figure; meaning, their model of self is “closely intertwined with the IWMs of attachment figures” (Cassidy, 2021, p. 105). Similarly, two primary needs during infancy lead to a positive model of self: comfort and protection, and the ability for independent exploration. If an attachment figure provides both of these needs, the child is “likely to develop an internal working model of self as valued and reliable” (Bretherton, 1992, p. 23). If these needs are not met, infants, children, and adolescents alike often increase “bids for attention” by showing extreme dependence on the parent or attachment figure, often sacrificing their understanding and expression of self (Cassidy, 2021, p. 108). Ultimately, challenges in forming and maintaining attachments often originate within a negative IWM of self, others, or the world. Through therapeutic interventions involving the help of a therapist or an object serving as a reliable base for secure attachment, IWMs may transform and improve (Bretherton, 1992, p. 26).

Secure Base

To be attached is to explore with the protection of a secure base, according to Mary Ainsworth (1967). She coined the term “secure base” in her research with Ugandan infants and it was further developed in her study with the Strange Situation. With her foundations in security theory, one of the major principles that transferred to attachment theory is that “infants and young children need to develop a secure dependence on parents before launching out into unfamiliar situations” (Bretherton, 1992, p. 4). The secure base acts, not as a limitation for the child, but instead a central point or haven to return to intermittently while exploring or playing (Ainsworth, 1967). These specific attachment figures are expected to provide “protection, comfort, and relief” while “encouraging autonomous pursuit of non-attachment goals” and still remain readily available (Shaver & Mikulincer, 2021, p. 40). The attachment figures’ presence and support act as the “building blocks” for more complex IWMs to develop (Cassidy, 2021, p. 105).

Secure bases are often illustrated through examples of infant and toddler play. In a secure attachment, the child will often separate from the secure base to explore and play, but return periodically for reassurance. The accessibility of the attachment figure shapes the IWM. Besides

“sensitivity” and “promptness” of adult responses, the environment in which the attachment relationship forms plays a large role in sense of security (Ahnert, 2021, pp. 33). Shaver & Mikulincer propose that children may even have “context-specific” attachment figures (2021, p. 40), that, even for more insecure individuals, can act as “islands of security” in various contexts throughout socialization (2016, as cited in 2021, p. 42).

Furthermore, secure bases are not limited to guardians or care-providers. As an individual matures, a greater variety of “relationship partners” may become attachment figures and secure bases (Shaver & Mikulincer, 2021, p. 40). In adolescence and adulthood, even the recollection or thought of a real or imagined secure base offers the individual comfort and resources for approaching stressful situations. This sense of security is described as a phenomenon that is “partly ‘felt’ (emotionally), partly assumed and expected (cognitively), and partly unconscious” (Shaver & Mikulincer, 2021, p. 42). This security and maturity ultimately allows IWMs to also develop into a more stable mental representation and include the observed behaviors of others that was not possible in childhood (Ahnert, 2021). Therefore, security in childhood is optimal for development into adolescence and adulthood, where individuals have more choice and autonomy in their attachments. Challenges in attachment are often ignited from insecurity in a child's formative years, leading to a negative model of self or others. However, with appropriate intervention, adolescents can reform these IWMs to promote positive secure base formation and attachment security in future relationships.

Attachment Orientations

Attachment styles and orientations can reflect an individual’s model of self and others determined by their IWMs within attachment contexts. The Strange Situation Procedure (SSP) originally identified three primary classifications of attachment: insecure-avoidant, insecure-ambivalent, and secure (Jacobvitz & Hazen, 2021, p. 48). Since this experiment, fearful or disorganized attachment has been recognized as a fourth classification, and the original titles of each style have been refined and adjusted for adults and maturing individuals. Jacobvitz & Hazen explain that “the three types of insecure attachment classifications- dismissing, preoccupied, and unresolved- are based on the avoidant, ambivalent, and disorganized classifications of infant-caregiver attachment” (2021, p. 48).  Moreover, the dismissing and preoccupied classifications have become synonymous with avoidant and anxious attachment orientations. Throughout this research, the terms secure, anxious, avoidant, and fearful will be utilized to name and differentiate attachment styles.

Attachment orientations are characterized by external behaviors representing internal models of self and others. Thus, they are useful for therapeutic assessment and understanding the diverse and evolving spectrum of an individual’s behaviors within relationships that contributes to their general attachment style. Attachment style is a defined and evidence-based classification that is not merely based upon temperament; it is a “lifelong process influencing humans’ capacities to form and maintain our closest relationships” (Jacobvitz & Hazen, 2021, p. 46). Past relationships ultimately affect our attachment orientation, or behaviors, in future relationships, and future relationships can continue to impact our attachment trajectories and understanding of both past and future relationships. An individual’s attachment orientation is an actively evolving cognitive, social, and emotional process (Jacobvitz & Hazen, 2021).

Individuals with secure attachment styles often expect that the “awareness of, reflection on, and expression of feelings, desires, and thoughts will result in positive outcomes” (Shaver & Mikulincer, 2021, p. 43). Furthermore, Shaver and Mikulincer, key contributors to the study of attachment, thoroughly define secure and insecure styles of attachment in relation to IWMs:

"People with a secure attachment orientation or style habitually hold                   positive beliefs about self and others across different relational contexts,                   whereas people with a less secure style hold these positive beliefs only                   in contexts in which actual or imagined interactions with a responsive                   relationship partner arouses feelings of being loved and cared for."

(Shaver & Mikulincer, 2021, p. 43).

Ultimately, secure attachments in a western context are considered optimal. A sense of security can allow individuals to focus their mental resources on “pro-social and growth-oriented activities” instead of preparing “preventive, defensive maneuvers” (Shaver & Mikulincer, 2021, p. 44). Secure attachment enables confidence in a significant context of a person’s life, which allows them to focus on growing within the other contexts (Sroufe, 2021). For insecurely attached individuals, therapeutic interventions often promote the concept of “earned security,” which describes the process of reworking IWMs to achieve a secure state of mind within attachment relationships, despite previously insecure or fearful experiences with attachment (Jacobvitz & Hazen, 2021, p. 50).

This literature review centers the dimensional perspective of attachment, a modern and salutogenic approach to understanding attachment orientations, primarily described by Raby, Fraley, and Roisman (2021). The dimensional perspective employs continuua, rather than distinct categories, which allows for an understanding of attachment as characterized by fluidity over time and across situations. This also accounts for diversity of attachment behaviors within attachment orientations and behaviors, as researchers have begun to acknowledge that differences in attachment qualities tend to appear in a matter of “degree rather than kind” (Raby et al., 2021, p. 73). Another consideration for using this model to analyze attachment lies within the axes that this two-dimensional continuum describes (See Figure 1). Raby and colleagues describe the two axes of their model as the degrees to which external behaviors reflect internal mental representations:

The first dimension involves the degree to which individuals are                    comfortable engaging with versus defensively avoid attachment-related                    thoughts, feelings, and relationship partners, whereas the second                    dimension involves the degree to which individuals exhibit emotional                    distress versus are emotionally composed in attachment situations.                    (Raby et al., 2021, p. 73).

These axes, labeled “emotional distress” (or “composure”) and “relational avoidance” (or “engagement”), directly relate to the IWMs of self and others. Often, psychologists will rename these axes “model of self” for the y-axis, and “model of others” for the x-axis to specifically refer back to IWMs of attachment relationships. This correlation between IWMs and attachment orientations allows for a better assessment of the potential internal and external processes within the therapeutic relationship during intervention.

Dimensional Perspective of Attachment

Attachment Assessments

Attachment assessments are typically conducted as the first step in treatment. Since its creation in 1985, one of the primary attachment assessments utilized post-infancy is the Adult Attachment Interview (AAI) (George et al., 1985). Although originally created for adults, the content has been adapted to better fit the needs of adolescents. The AAI, according to psychologists, is designed to unveil the unconscious and reveal “defensive processes that may impair adults’ abilities to provide a secure base and safe haven” within their current and future attachment relationships (Jacobvitz & Hazen, 2021, p. 47). This assessment is designed to be objective and categorical to encourage communication about generalized attachment orientations and behaviors, similar to diagnostic assessments (Steele & Steele, 2021).  Through dialogue, the assessor notes and analyzes specific signs of stress when the assessee recalls attachment experiences, and uses this information to identify attachment behaviors.  However, attachment quality and behaviors are identified through

Note. From Raby, K. L., Fraley, R. C., & Roisman, G. I. (2021). Categorical or dimensional measures of attachment?: Insights from factor-analytic and taxometric research. In R. A. Thompson, J. A. Simpson, & L. J. Berlin (Eds.), Attachment: The fundamental questions (pp. 70-78).  The Guilford Press.

“coherent, organized language” (or lack thereof). More specifically, security is “scored” through observations of “language, organization, believability, and flexible transitioning between generalized and specific memories” (Crowell, 2021, p. 87).  A new wave of music therapy research suggests that attachment assessments may also be facilitated through music therapy techniques that combine music and verbal communication.

Attachment and Adolescents

Adolescence represents a period of immense change. The following literature primarily explores development through the lens of attachment theory, however, there are many more systems that contribute to an adolescent’s development within an attachment context than their level of security in relationships (Sroufe, 2021). Duboi-Comtois and colleagues suggest that adolescents' attachment behaviors are characterized by numerous changes:

Adolescent attachment is the result of both the adolescent and parent’s                   capacity to redefine their attachment relationship by taking into                   consideration the individuation process, that is, developmental changes                   at the social, cognitive, and emotional levels (Dubois-Comtois et al., 2013, p. 1)

To protect adolescents’ processes of individuation and growing independence, attachment becomes a “state of mind” or “symbolic” element rather than a physical presence. Attachment still guides much of the individual’s thoughts, behaviors, and coping mechanisms, but through a reformed relationship with attachment figures and secure bases (Dubois-Comtois et al., 2013, p. 2). This process of individuation changes the fundamental question surrounding mental representations within attachment from: how accessible is my attachment figure, to: “Can I get help when I need it in a way that doesn’t threaten my growing need for autonomy?” (Allen, 2021, p. 165). Adolescence is a period of development marked by the independence to shape their own new and changing relationships, which in turn affects their attachment patterns (Allen, 2021). With all of these new processes and transitions, an adolescent’s attachment security and the mental representations of self, others, and the world are constantly fluctuating. According to psychologist Allen, “stability is logically the wrong thing to be looking for” when working with adolescents and teenagers (2021, p. 163).

Coupled with the tumultuous process of individuation, adolescents’ brain development is not complete until adulthood, meaning adolescents are extremely responsive to attachment-related changes that occur during this period of development. Hughes, a psychologist with expertise in attachment focused treatment, suggests that attachment ruptures can significantly and directly impact cognitive functioning during this time (2014). Although inconsistent with Freudian theory, current research suggests that environmental changes, such as school or home location, can also significantly affect an individual‘s attachment system and processes (Allen, 2021).

Attachment behaviors established in infancy also begin their transition into an individual’s awareness during adolescence as these attachment bonds serve as the “roots” for other relationships the adolescent may pursue (Allen, 2021, p. 163). Individuals often recreate their past relationships with the hope of reworking their IWMs and expectations of attachment figures, especially those with insecure attachment in infancy. When considering new relationships, Allen adds:

Proximity, similarity of interests, sexual attraction, and compatibility, among                    other factors, all influence our choice of companions and will routinely leave                    us interacting with others who have far different attachment strategies than                    our own, adding new and powerful inputs to the development of attachment                    working models (2021, p. 166).

These new attachment discoveries within a more social context inevitably alters the nature of previous attachment relationships. And, although capacities for self-regulation and soothing are increased during this time (Allen, 2021), this expansion of one’s “attachment network” allows individuals to reinterpret childhood events through the lens of new relationships (Dubois-Comtois et al., 2013). This process of self-reflection often leads to a less stable state of attachment security in adolescence than in adulthood (Fraley & Dugan, 2021).

It is important to recognize that during this evolution of attachment processes, the externalization of IWMs can also differ from previous behaviors. Dubois-Comtois and colleagues identify these externalization behaviors as “flexible integration” and three systems of “defensive exclusion” (2013, p. 3). Flexible integration largely represents securely attached adolescents whose experiences of change during adolescence are more easily acceptable and adaptable, thus enabling more mental capacities to be devoted to personal development rather than defensive systems. Deactivation, the first defensive system, is described as the individual’s lack of attention to their “affective states or personal needs” (p. 3). This is often shown by bottling-up emotions or resisting vulnerability, as such acts of expression may have been punished in previous insecure relationships. Cognitive disconnection, however, is a defense process that specifically redirects attention away from people or events related to their emotional states or reactions, such as “changing the subject” to avoid emotional disclosure (p. 3). This behavior is most often seen among adolescents with anxious attachment orientations. Lastly, segregated systems are characteristics most often associated with disorganized or fearfully attached adolescents. Specifically in circumstances where attachment experiences may have been traumatic, the experience itself and emotional components are “segregated” or repressed from conscious awareness (p. 3).

When working in therapeutic contexts with adolescents, the primary objective should be to promote the “development of skills that normally emerge within an optimal relationship with the attachment figure” (Dubois-Comtois et al., 2013, p. 4). Attachments cannot be “fixed” but IWMs can be assessed and reworked to promote future healthy attachments. In most forms of therapy, the attachment relationship between the client and therapist will act as a key agent of change throughout treatment. However, these trusting relationships may be difficult to form, and the therapist must remain vigilant and reflexive when observing behaviors, affectional bonds, and moments of separation. Additionally preserving “optimal communication” should be at the forefront of the care provider’s mind, and it is important to allow the adolescent to explore and accomplish therapeutic objectives independently (Dubois-Comtois et al., 2013, p. 3).

Psychologist David Crenshaw, who specifically works with children and adolescents and pioneered the approach of play therapy, suggests that care providers, especially in creative arts therapies, should practice what he coins “stealth therapy” — promoting their time together as an opportunity to explore and discuss experiences and emotions, without labeling as therapy. The label therapy may activate stigmas related to mental healthcare rather than encourage the adolescent to prioritize their personal development (Crenshaw & Mellenthin, 2021).

Therapeutic intervention promotes increased attachment security for adolescents, especially in conjunction with additional treatment strategies and approaches. Reflecting on one’s challenges with relationships while integrating different perspectives (often offered by the therapist) can help adolescents to explore and reinterpret experiences with greater understanding and “integration of reality” (p. 5). Therapy can ultimately enable access to an “internal world” not previously explored, as well as safely identify and explore previously hidden emotions in an individualized environment (Dubois-Comtois et al., 2013, p. 5).

Music Therapy as Treatment Functions of Music

Creative arts therapies, such as music therapy, allow individuals to externalize their internal working models, often through more holistic and somatic experiences than in verbally mediated therapies. With numerous approaches for engagement and interaction, music often functions as a “symbol,” creating meaning from life experiences (Pasiali,  2013, p. 210). Additionally, music establishes and organizes a junction where emotional and corporal reactions are present and recognized, but not overwhelming to the psyche (Fruchard & Lecourt, 2003). Nirensztein suggests that the characteristics inherent to music allow the possibility to creatively revisit attachment experiences and conditions:

The nonverbal character of music, the complexity of its components (united in their primordial character), its unavoidable physical counterpart, its capacity to address itself simultaneously to various senses, makes it an ideal medium for re-creating conditions comparable to the constitutive experience of the self (2003, p. 228).

Through musical representation of attachment bonds, music therapy affords the opportunity for adolescents to understand and rework their IWMs. With teenagers especially, music has been culturally adopted as a mechanism of expression both within groups and individually (Fruchard & Lecourt, 2003), acting as a performance or mirror of their own identity (Ruud, 1997; Scheiby, 1991). Active or receptive engagement with music can help adolescents distinguish themselves from attachment figures, while also determining to which communities they may belong. According to Krüger (2020), at a societal level, music embodies a space for protest and change, which symbolically aligns with the therapeutic goal of refiguring IWMs while addressing adolescents’ need for autonomy amidst the process of individuation.

Music-based interventions offer different “pathways” (Pasiali,  2013, p. 203) for fostering secure attachment relationships through idiosyncratic responses in music engagement, based on internal, external, and musical factors (Hodges, 2009; Juslin, 2008). According to Juslin (2008), psychological mechanisms are involved in emotional responses to music. These include: reactions to acoustic properties, internalizing emotions perceived in music, the reminiscence or the association of memories with particular music, the validation (or lack thereof) of musical expectations, and the presence of sensations while engaging with music. With these complex and unique responses inherent to music, music therapy can provide a “container of intense emotions” that often illuminates unaddressed attachment challenges, contributing to an optimal therapeutic space for reflection and growth (Pasiali, 2013, p. 211).

Musical co-creation with a therapist or group can further encourage the process of reworking IWMs through external support or “togetherness” (Pasiali, 2013, p. 206) during the arduous process of understanding one’s own responses to music within the framework of connection and

relationships (Pasiali, 2013). In this way, musical communication may encourage the beginning of new social relationships (Schönfield, 2003) and allow for closeness and more emotionally intimate connections than strictly verbal communication (Nirensztein, 2003). In musical experiences with an adolescent, the therapist or group enters their psychological space through a process of symbolization, which ultimately leads to the creation of an interpersonal or intermusical space (Pellitteri, 2008). This method of co-creation and the formation of new interpersonal spaces encourages the client to better understand their life situations, shifting from a strictly individual and survivalist approach to taking the perspective of others and the individual’s connections with them into consideration (Pasiali, 2013). Music is integral to young people’s constructions of reality by themselves and with others (Krüger, 2020). Especially for adolescents who have lived in stressful environments, learning to transform feelings into active or receptive musical engagement is an incredibly healthy form of expression (Uhlig, 2011). Music experiences, coupled with positive and co-created environments, afford a process of learning, expressing, regulating, and healing that can extend beyond the treatment process, promoting security and wholeness amidst the adolescent’s integration into society.

Role of the Therapist

Music therapists are primarily responsible for establishing and managing the supportive cocreated environment necessary for client growth in treatment. However, this task often requires the therapist to inherit many diverse roles and responsibilities. In the context of music therapy treatment, therapists can assume the role of a participant, facilitator, supervisor, advocate, educator, and stakeholder for the client at any point in the treatment process (Krüger, 2020). With adolescents, it is important for therapists to promote a consistent, collaborative space where the client has a choice in their treatment and future, as they often are placed in various settings or situations with little choice in their life circumstances. Thus, in conversations with the treatment team, family members, or other agencies, it is important for the therapist to advocate for the client as a “vehicle” for the adolescent’s voice to be heard in larger discussions pertaining to their future (Rogers, 2003, p. 132). Through detailed observations, listening, and reflexivity, the music therapist can create a therapeutic space that “allows the energy of negative emotions to manifest and change,” promoting a space conducive for positive relationship formation (Pasiali, 2014, p. 207).

In client-therapist relationships, the client’s behaviors and interactions with the therapist can often serve as a model for their own social relationships at large (Schönfield, 2003, p. 208). Thus, it is important for the therapist to reflect on how their own identities and responses, salient to the experiences in treatment, can be perceived by the client, especially when addressing attachment challenges. Identities of the therapist, such as gender, can play a large role in the therapist-client relationship, especially if the client has experienced trauma with an attachment figure of the same gender. Gender, and other identities such as race, socioeconomic class, and age can impact the power dynamics within the therapist-client relationship. It is necessary for adolescents with attachment challenges to experience relationships in which they do not feel inferior or “powerless,” so they can begin reflecting upon and reforming their internal understanding of themselves in relation to the world and others around them (Rogers, 2003, p. 136).

Similarly, it is vital for the therapist to reflect upon their own countertransference and responses when interacting with a client through effective supervision and reflexivity (Winnicott, 1965). Therapists themselves may experience moments of powerlessness and frustration, as many clients with attachment challenges have experienced some injustice or trauma with attachment figures. Therapists may even contribute to court cases in situations where the client has become victim to  trauma or committed an offense themselves (Rogers, 2003). Often, when working alongside clients

in such situations, the therapist is asked to help the client cope with heavy events and topics, without resolution or closure. When working with adolescents amidst these concurrent challenges, the therapist may need to deviate from their typical therapeutic techniques, as music, or a particular music experience, may not always be the most beneficial creative outlet (Schönfield, 2003). Sometimes, when dictated by the client, teenagers may just need adults who “will hear what they are trying to say,” so the therapist must trust the teenager and their goals in the therapeutic process, even if that minimizes the relevance of music (Lefebvre. 1991, p. 229). Connections between emotionally charged or symbolic (music related) expression and a client’s reality should only be addressed if or when the client chooses. Such relevant, but “difficult topics” and problem-oriented approaches should not be the immediate focus of the therapist in order to grant the teenager autonomy in determining when they have acquired the resources necessary to approach such topics (Erkkilä, 2011, p. 199). Thus, according to Rogers, by offering “careful, empathic listening, a nonjudgemental attitude, respect, a sense of safety of time and space, and a collaborative approach,” the therapist can provide an empowering space for the client which can act as a “secure base from which the client can begin to explore” their attachment experiences and other therapeutic objectives (Rogers, 2003, p. 127).

Lastly, when working with adolescents with attachment challenges, it is important for the therapist to consider and implement different treatment strategies when necessary. Krüger (2020) suggests that adolescents’ treatment and development should be perceived from both an individual and community level through the implementation of person-oriented, group-oriented, and citizenparticipation strategies which include phased interactions that foster connections, beginning with the therapist-client relationship, moving into contact with the community, towards engaging with various networks and institutions. This can account for a more holistic approach to treatment that takes culture, faith, identity, and community into consideration, which can assist the client in their integration into society as an emerging adult after treatment termination (Henderson, 1991).

Clinical Applications

Although adolescents with attachment challenges can be identified as a specific clinical group, therapeutic interactions with such adolescents often emerge in clinical settings where more specific diagnoses or reasons for referral are relevant. Working through attachment challenges can potentially be a primary treatment objective with any client or group, particularly teenagers transitioning into adulthood, and therefore may be especially relevant with adolescents engaged with music therapy through in psychiatric treatment settings, foster care programs, private practices, housing shelters, schools, hospitals, forensic settings, residential care facilities, and various child welfare programs (Eyre, 2013; Krüger, 2020).

Because music is a phenomenon situated in biological, cultural, historical, and global contexts, music therapy in these settings can give the right to play and actively participate in cultural activities back to adolescents who may have previously had these rights stripped from them. Music therapy can therefore help bridge the gap between human rights (as established by the United Nations Convention on the Rights of the Child) and a child’s reality (Krüger, 2020). In these settings, despite a country’s stance on the UN Convention on the Rights of the Child (UNCRC), it is important for the therapist to maintain a human rights-based practice to effectively advocate for the clients as human beings, capable of making large decisions, while simultaneously using music therapy as a method for protecting the adolescents’ right to a childhood.

Music Therapy Treatment Methods

Music therapy treatment involves music experiences to inspire health-oriented change. The

methods of music therapy, receptive, re-creative, improvisation, and composition, categorize more specific ways of engaging with music for assessment, treatment, and evaluation. The receptive method involves listening and responding to music, re-creation involves the act of reproducing precomposed music, improvisation involves spontaneous music making, and composition involves the various ways a client may create an original musical product (Bruscia, 2014). In music therapy, multiple methods and method-variations can be combined throughout treatment to address the needs of the client. For adolescents with attachment challenges in particular, each method may afford different opportunities for understanding and reworking IWMs throughout the treatment process.

Receptive

In using receptive music therapy method variations, the client is able to use the music as a transitional object for mirroring and validating their own emotions and experiences. Often in receptive experiences, the music is central to the treatment process, symbolically acting as a baby’s blanket for support, while the therapist guides the client through verbal or somatic exploration into their mental representations of themselves, others, and the world (Dvorkin, 1991). In current treatment contexts, song listening, song discussion, song communication, and movement-to-music experiences are especially helpful in the assessment process for both the client and therapist to take a deeper look into the adolescent’s cultures, identities, and IWMs through verbal or symbolic responses to the music (Henderson, 1991; Dvorkin, 1991; Nirensztein, 2003).

Receptive music therapy experiences also assist in the early formation of a therapist-client relationship, especially for clients with attachment challenges. According to Fruchard and Lecourt (2003), “the fact that the piece of music proposed is exterior to both the therapist and the client, and is offered as a support that mediates the relationship” helps the client demonstrate vulnerability in forming a therapeutic relationship, while still maintaining boundaries and a feeling of safety and control in the space (p. 242). This can set a positive tone for the client to further invest in positive relationship formation and the music therapy treatment process.

Other music listening experiences, such as music relaxation can be useful for grounding at the conclusion of a session or for anxiety management (Lefebvre, 1991). Relaxation or Guided Imagery and Music (GIM) experiences have relatively limited applications for this client group, proving most effective for older or more mature adolescents and young adults, as music relaxation and GIM affords a more introspective and reflective approach to treatment, which can be too abstract for younger clients (Scheiby, 1991; Lefebvre, 1991). However, the "Klangbad", or sound bath, is similar to music relaxation and has been effectively implemented into music therapy sessions for younger clients. The “Klangbad,” generally includes pitched percussion instruments that emit overtones when played to provide a somatic and aesthetically pleasing listening experience (Schönfield, 2003, p. 214). This variation is often used sparingly, typically at the end of sessions to  provide a brief grounding experience for the client. This experience can afford similar benefits to a traditional music relaxation experience, but can be adapted to only last a few seconds, accounting for the shorter attention span and challenge with introspective or abstract thinking.

When facilitating receptive music therapy experiences, the therapist must carefully consider the properties of any music they bring to the session. For instance, instrumental and vocal music can elicit different emotional responses for adolescents. Adolescents tend to show more direct emotional responses toward vocal music (Fruchard & Lecourt, 2003), particularly within the hiphop and rap genres (Krüger, 2020; Uhlig, 2011). The focus on lyrics and rhythms within these genres of music can be extremely supportive to the client, psychologically holding and mirroring their behaviors or emotions, essentially acting as that metaphoric baby blanket for comfort and

validation (Scheiby, 1991). However, it is important for the therapist to consider and set clear expectations for music that is brought into the therapeutic space, as much of the lyrical content of songs that resonate with teenagers can include heavy, potentially violent themes and explicit language (Uhlig, 2011). If music is not permitted by the therapist or treatment setting, it is vital that the music therapist still validates the musical choices of the client and collaborates with the teenager to find another piece of music that validates their emotions and behaviors in a similar way while upholding expectations.

Receptive experiences in music therapy are a very useful and relationship-fostering method for the assessment process and start of treatment because they offer something external and familiar for clients who may be hesitant toward creating an intimate relationship or engaging in unfamiliar musical experiences. However, as the therapist-client relationship develops, adolescent clients’ desires for treatment often evolves into a inclination to “create something” instead of continuing with passive listening and verbal processing (Erkkilä, 2011, p. 203). Often, adolescents in music therapy have already met with other various health professionals and “may be tired of talking about [their] problems” (Erkkilä, 2011, p. 199). Thus, after the initial stages of the treatment process, more active methods of musical engagement may afford new opportunities for health and development for the client.

Re-creative

In music therapy with adolescents with attachment challenges, re-creative method variations are typically limited to experiences implemented in adapted music lessons and music performances to showcase their musical growth. Teenage clients often gravitate towards product-oriented approaches to music therapy, particularly experiences that encourage a more original creation or performance. Piano and guitar lessons are often popular with this client group, and teenage clients tend to enjoy learning the instrument through re-creating familiar songs (Lefebvre, 1991). Similarly, as clients become more skilled in their vocal or instrumental technique, often recording or performing covers of familiar songs results in a product and accomplishment that the client can hold onto and share both inside and outside of the therapy session, ultimately encouraging positive change in their internal model of self. These re-creative experiences with precomposed music often lead to an interest in the client creating their own original music, either spontaneously within sessions or through a composition process.

Improvisation

Spontaneous music making can allow both the therapist and adolescent to discover, communicate, and reflect upon their IWMs and attachment experiences. Often, overwhelming emotions and thoughts can be better expressed and understood through more abstract and somatic forms of communication. Scheiby (1991) suggests that improvisation originates from a “natural impulse,”  and organically engages the whole self; mind, body, and spirit, which can encourage the truest form of self to emerge (pp. 294-295). Especially in cases where the client was not encouraged to communicate freely through language in their previous relationships, improvisation can act as another method of communication in new relationships or attachments (Oldfield, 2011).

Improvisation experiences afford new possibilities for interpersonal and intrapersonal dialogues that can provide a foundation for self-transformation throughout treatment (Scheiby, 1991).

Non-referential instrumental improvisation can be an accessible and symbolic way of learning more about a client’s mental state (Schönfield, 2003). Through free improvisation, the adolescent is able to externalize feelings that they may perceive as forbidden or dangerous (Bruscia, 1987);

therefore enabling venting through an emotionally-charged experience that could be seen as behavioral dysregulation or “acting-out” in other contexts by other care providers in the adolescent’s life. In improvisation experiences, it is the therapist’s responsibility to safely guide the client through the experience by providing support as needed, and cautiously interpret the client’s music.

While the therapist observes and guides the client through a free improvisation, they should specifically take note of the client’s implementation of leitmotifs, as they can play a large role in the externalization of IWMs (Nirensztein, 2003). In the assessment process, Jenny, a child victim of sexual abuse, often improvised musical “ditties” on a xylophone that resembled nursery rhymes (p. 129). Rogers (2003) interpreted these ditties or leitmotifs as a demonstration of her anxiety and an attempt to please the therapist (acting as the only adult in the room). Similarly, the repetition of these familiar ditties also demonstrated Jenny’s challenge to find her own voice, as her individuation process was stunted by the trauma she experienced (Rogers, 2003).

Non-melodic musical qualities of improvisations, such as rhythm and tempo, can also provide useful insight into the client’s IWMs. In an instrumental improvisation, Patricia, a teenage client from the Xhosa Tribe in South Africa, chose 6/8 as the desired meter for the improvisation. Henderson (1991) interpreted that musical choice and quality as an expression of Patricia’s need for comfort, as 6/8 often provides a rocking feel, resembling a caregiver rocking a baby. Ultimately, a client’s spontaneous musical choices can illustrate their current mental state, resources, and needs throughout the treatment process.

For many adolescents with attachment challenges, there is often a history of trauma in their relationships with attachment figures. Such trauma experiences can lead to the experience of overwhelming emotions amidst improvisations. In order to ground and support the client during such experiences, the therapist can provide or encourage the use of secure bases through musical elements. In Rogers’ work with Jenny, the use of a repeated musical “cell,” containing three pulsed chords, acted as a secure base that was external to the therapist and client (2003, p. 133). Similarly, with Linda, a teenager with a history of attachment challenges, the client was encouraged to improvise on piano, but through a technique of dividing the keys. Linda then was able to improvise using a singular key or range of keys to act as a secure base, the other pitches merely acting as her attempt towards musical exploration, and symbolically, exploration of her IWMs. Having a secure and predictable home base consistently available afforded Linda the opportunity to take her time exploring the instrument and creatively coming up with her own improvised melodies (Dvorkin, 1991). The musical secure base can come from the client or the therapist’s music, but it must include a consistent, reliable, and replicable musical structure that can simultaneously act as a musical space for comfort and a launchpad for further exploration. To best support the client in the arduous task of reworking IWMs, the therapist should facilitate and encourage the use of musical secure bases amidst improvisation experiences, as such predictability and security directly counters early experiences of instability and therefore provides previously unavailable resources for freer and more confident exploration and relationship formation.

Often, proposing a prompt or title for a referential improvisation experience can guide the client towards more focused creative expression, with less risk of overwhelming the client through more directed emotional exploration (Scheiby, 1991). Similarly, implementing play therapy approaches with improvisation experiences can provide a focused goal or familiar experience that can be less daunting to a new music therapy client. The act of play contributes to personality development and  eventually, individuation. Thus, especially for adolescents who may have experienced delays in the individuation process due to trauma, utilizing props, toys, or puppets in the musical space to

contribute to projective musical stories can help clients displace significant emotions and events, while still working through them in the musical space (Henderson, 1991).

For adolescents less receptive to play therapy techniques, song story experiences can still be facilitated through vocal improvisation, omitting the props entirely. This can occur through a musical dialogue, where the client and therapist engage in free associative verbal processing but with a melodic and metric component that supports the musical phrase (Dvorkin, 1991), or through a production-like monologue or song, which can often contain a metaphorical account of the client’s experiences with attachment figures. By verbalizing with a musical setting, clients are often able to better comprehend and reflect upon their experiences and behaviors, as the musical elements afford greater emotional expressivity and connection.

Once again, it is important for the music therapist to assess the musical components of the client’s improvised song story as well as the lyrical content they deliver. For this client group, improvised song stories can lead to the disclosure of traumatic experiences, so it is important to consider how the therapist’s support in the experience (musical or otherwise) may be linked to transference and countertransference anxieties (Rogers, 2003). Nonetheless, improvised song stories can afford transferable skills of boosted healthy expression and improved emotional awareness, as the client begins to bridge connections between their internal symbolic representations and external verbal expressions.

Composition

Similar to improvisation method variations, composition experiences can provide a reflection of the client’s psyche. Composition can enable symbolic and verbal expression processes and allow the teenager to create a tangible product. While improvisation primarily supports externalization of IWMs, composition can help to reflect and rework them. Composition can occur through recording original music, writing music, creating a method of notation, or transforming a pre-composed song by composing original lyrics. This process ultimately unlocks the adolescent’s emotional world, but more importantly, affords the opportunity for learning and adaptation (Uhlig, 2011). In composition experiences, the client is granted the autonomy to change their lyrics, harmonies, melodies, or any musical component at any time. For clients that often do not have much of a voice in controlling their life circumstances or making choices to impact their future, this experience can be extremely empowering.

The songs a client creates can act as transitional objects to absorb and reflect their thoughts, emotions, and behaviors. From the therapist’s perspective, Dvorkin explains:

"While the therapist is the transitional object in verbal therapy based on object relations theory, the use of the song in this manner freed my role in the therapy process and the way in which I could relate to Linda during the various stages of therapy." (1991, p. 259).

While the active composition process affords an abundance of transitional experiences and knowledge, the completed composition itself is often valued by the client because it is something that they can continue to hold onto as a product, even after treatment termination. Through modern technology, clients can potentially listen to and view their composition at will, and even employ the skills they learned or honed in music therapy to continue composing outside of therapy as a method of expression.

Like song stories, compositions can encourage the client to symbolically and verbally reflect upon their mental representations of themselves in relation to others and the world around them. While improvisation involves a spontaneous process of musical creation, without intentional reworking or adjustments after the process unfolds, composition experiences are characterized by a process of development, decision making, and adjustments. With such aspects inherent to the composition process, composition experiences with adolescents often take multiple sessions to complete, which may not be realistic in all treatment settings with this client group. In individual music therapy sessions with an adolescent with attachment challenges, composition experiences were primarily utilized with clients who participated in treatment for months or years (Dvorkin, 1991; Scheiby, 1991; Uhlig, 2011). The composition itself served as a product representing their growth and development through treatment, which often contributed to positive change in their model of self. Therefore, in treatment environments where the length of treatment is more limited, it may be beneficial to introduce tools and resources for the client to engage in their own composition processes after treatment termination. Similarly, combining different method-variations to turn improvisations into product-oriented experiences or compositions can help support the client’s growth despite time limitations. As previously mentioned, therapists working with this particular client group will often be tasked to creatively think beyond their typical music therapy procedures to best support the adolescent and their goals.

Criticisms

Although psychological research and healthcare applications pertaining to adolescents with attachment challenges are rapidly growing, clear guidance for music therapy practices with this particular client group is still lacking as a result of limitations in the applicability of attachment theory to diverse clients, lack of regard for barriers to treatment access, and often in limited music therapy approaches to treatment.

Attachment Theory Criticisms

Attachment theory origination dates back to the 1950’s, and like many psychological foundations, is rooted in white supremacist values and biases surrounding health. Beginning with the pathogenic perspective on attachment classifications, Bowlby and Ainsworth’s theory proposes a level of universality of their four classifications, secure attachment being the most optimal or “healthy.” However, current research debates the functions of universal versus culture-specific approaches towards attachment (Bretherton, 1992, p. 30). Using similar attachment assessments, psychologists found different attachment styles to be dominant in different cultures and locations. For instance, avoidant attachment was over represented in north Germany (Grossmann, Grossmann, Spangler, Seuss, & Unzner, 1985), while anxious attachment appeared more frequently in Japan (Miyake, Chen, & Campus, 1985) and Israeli kibbutzim (Sagi et al., 1985). Knowledge of socialization strategies in cultures other than the Western middle-class are largely unexplored in academic literature, but much of the difference in attachment classification dominance pertains to cultural emphasis on collectivist versus individualistic values (Keller, 2021). With Bowlby’s theory focusing on the effects of familial relationships, the cultural variations on the definition of a ‘family’ can play a large role in attachment styles. Thus, identifying attachment classifications rooted in individualistic values as more healthy or optimal can perpetuate white supremacy.

Furthermore, popular attachment assessments, such as the AAI, are limited by their strictly English language and narrative-based evaluations of the client that generalize mental representations of

attachment, typically through the discussion of one particular relationship. Although there is value in utilizing narrative to assess IWMs and attachment orientations, this categorical and verbal assessment can also provide inconclusive and biased results for various clinical groups including, but not limited to: neurodiverse individuals, non-speaking individuals, client groups with various dialects or levels of education that differ from the psychologist assessing, and clients who may not speak English as their primary language. However, I believe the use of music as a communicative device and object for attachment can supplement these limitations to support a more holistic and equitable approach to mental health assessment and treatment, especially when working with adolescents in this context.

Lastly, many of the foundational assumptions in attachment theory are ambiguous and don’t account for the diversity of adolescent and adult relationships and the factors that may affect attachment orientation (Keller, 2021; Aviles & Zeifman, 2021). Most attachment theory research focuses on maternal and marital relationships. Yet, attachment figures can include other close relationship partners such as siblings, friends, teachers, or any relationship figure that acts as a stable point of reassurance, protection, and advocacy for the individual (Aviles & Zeifman, 2021). Attachment research would often criticize independent adults, identifying their relationship choices as “personal deficiencies” (Aviles & Zeifman, 2021, p. 56). Similarly, reigning attachment assessments assume adult (and adolescent) attachment patterns directly parallel individual differences established in infancy, without taking temperaments and personality into account (Crowell, 2021). There are numerous factors across the lifespan that may contribute to an individual’s attachment orientation. Specifically, systemic oppression and marginalization lead to less secure attachment experiences for victimized groups (Bretherton, 1992). Furthermore, there is a significant lack of information on adolescent attachment patterns and orientations as compared to other age groups (Ruby et al., 2021). Ultimately, there are significant and relevant components of attachment, which are largely unknown to psychologists, thus making attachment challenges difficult to define and treat in therapeutic contexts.

Sociopolitical Limitations

Just as the field of psychology is rooted in white supremacist values, mental healthcare is also rooted in oppressive systems that continue to harm marginalized communities. Access to outpatient and individual treatment, especially music therapy, is extremely limited for many client groups. Adolescents with attachment challenges are an extremely large clinical population, yet they are often underserved due to systemic limitations and stigmas concerning mental healthcare. This contributes to a lack of research for this clinical group.

Adolescent access to healthcare and treatment is also influenced by legislative and societal systems of provision and protection. For many countries, this includes the UNCRC, which advocates and protects the rights of children and adolescents. It focuses on a sustainability and human-rights based approach towards welfare and safety, taking culture, community, and values into account. The UNCRC protects children’s right to engage culturally with the community, play as a formative activity in childhood, and participate in active citizenship, all rights that could be upheld and supported by music therapy practices. Furthermore, the UNCRC protects child access to healthcare and educational resources (Krüger, 2020). Through protective and provisional systems such as the UNCRC, children and adolescents are considered rights holders and rights bearers, which leads to more supervision and delegation of the process of upbringing to ensure such rights are honored. Although most countries have adopted and ratified the UNCRC, much psychological and healthcare innovation derives from the United States of America, which is one of two remaining UN countries  to not ratify the UNCRC. Skeptics in the U.S. suggest that the convention undermines parental

authority, and current systems and limitations of child welfare and healthcare resources often reflect the prioritization of adult rights and citizenship (Krüger, 2020).

Although the rejection of the UNCRC in the United States challenges adequate provision of support for adolescent clients with attachment relationships, music therapists and organizations may still reflect the values of the UNCRC in their practice through attempts to provide more treatment accessibility to adolescents, clearly communicate the rights and options a client may carry, and promote active citizenship and cultural engagement through music therapy. The values framework of the UNCRC is extremely relevant to music therapy with adolescents with attachment challenges, but has often been neglected in research, theory, and practice. Thus, it is therapists’ responsibility to implement this human-rights based perspective on child welfare into their own practices as healthcare professionals (Krüger, 2020).

Music Therapy Practice

Although music therapy as a discipline aims to be innovative, progressive, and an equity-based practice, treatment and research is quite limited and often unrealistic or inaccessible to communities that may benefit from culturally-responsive music therapy services. Most case studies and research surrounding adolescents with attachment challenges favor individual music therapy sessions with private institutions or practices that exclude clients of a lower socioeconomic status. In reality, many adolescent clients with attachment challenges are referred for music therapy in welfare programs or public institutions that likely do not have a large enough budget for individual music therapy sessions to be offered to every client (Krüger, 2020).   Group music therapy sessions are more practical and accessible for adolescents with attachment challenges, yet there is limited research on treatment best practices and considerations for addressing attachment-related concerns and challenges in a group setting with teenagers. Potential integration of Community Music Therapy (CMT) practices, which would provide a more accessible, equitable, and culturally driven approaches to treatment that largely defy capitalist systems in healthcare, could help to minimize gaps in theory and practice. Nonetheless, adolescents with attachment challenges make up a large clinical population that many music therapists will encounter in their careers, so it is important to consider the demographics of clients and reflect upon how our practices can better promote an integrated and equitable approach to healthcare that serves the whole community.

Conclusion

As extensive and detailed the current psychology and music therapy research related to treating attachment challenges among adolescents aims to be, there are still many treatment approaches and considerations that are only beginning to be explored and examined. More research in group music therapy is especially necessary to fully consider equitable treatment practices when working with adolescents with attachment challenges. Similarly, current music therapy research promotes the relevance of music as a communicative device and attachment object that can be supplemental to traditional narrative-based therapies. However, music is also a cultural tool for building relationships and community, providing an opportunity for external relationships to take place within musical engagement. Community Music Therapy could afford a more collectivist approach to fostering positive attachment relationships, and gradually integrating adolescents into more central and respected roles in society through musical engagement that encourages solidarity. An integrative perspective towards treatment that supports clients in their natural environment may produce more transferable skills related to the reworking of IWMs.

Music therapists must continue to advocate and support their teenage clients with attachment challenges through the innovative and creative intersection of diverse theories, therapeutic approaches, and evolving research. No single theory or treatment consideration will be universal to all adolescents with attachment challenges. As therapists encourage growth and holistic development within clients, it is crucial for the therapist to persistently think reflexively and strive for similar goals in their practice.

Acknowledgements

I want to sincerely thank the Berry Family and Foundation for their financial support as well as the University of Dayton Honors Program for supporting my development as an undergraduate researcher in the Berry Summer Thesis Institute 2022. Furthermore, I would like to express my utmost appreciation to Dr. Samuel Dorf and my research mentor, Professor Joy Willenbrink-Conte for guiding me through each and every step as I emerge into academic conversations within the music profession. This program gave me the incredible opportunity to not only learn more about research and my future career as a music therapist, but also the chance to interact with a wonderful group of brilliant, determined, and kind individuals through our exploration of the intersectionality between research, ethics, and service.

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The Snuffed Critique of Modernity: Adapting Brideshead Revisited for the Twenty-First Century

Caitlin G. Spicer1,2,3

University of Dayton

300 College Park, Dayton, OH 45469

1. Department of English

2. Berry Summer Thesis Institute

3. University Honors Program

Thesis

Mentor: David J. Fine, Ph.D.

Department of English

Abstract

This thesis is an effort to understand the operation of divine grace in Evelyn Waugh’s famous queer and Catholic novel, Brideshead Revisited. I focus on the final pages and scenes of the original novel and the 2008 film adaptation, and I argue that they take different approaches to the final moments. I examine how each portrays divine grace in the lives of the characters in connection to Catholicism and the contrast of romance and religion at the center of each work. I argue that the novel holds the flame of faith at its center while the film ignites the spark of romance at the core: this difference matters because the film loses Waugh’s essential critique of the movement toward secularism in the modern world. This research fits into the critical conversation surrounding Brideshead Revisited and its 2008 film adaptation in that my argument takes on the sentiment of Gallagher and Colebatch in their criticism of the film—particularly of the treatment of God as the villain and the overarching theme of guilt that is not prevalent in the novel—while considering the question of conversion that Mooneyham presents. I claim that the 2008 film deviates significantly from the original novel, becoming a representation of the modern and secular world which is exactly what Waugh was afraid of.

Overview

Evelyn Waugh is an English author who created Catholic, queer, journalistic, and satirical works during his lifetime, eventually becoming one of the best authors of his time. In 1930, Waugh converted to Roman Catholicism, which influenced his work and made faith a strong theme in what he wrote. Waugh lived during World War I and World War II, so much of his work reflects the nostalgia he harbors for the past in light of the changing world. This is particularly evident in one of his most famous works, Brideshead Revisited, in which Waugh holds a candle burning for the past while acknowledging and critiquing secularization through his writing.

Waugh had struggles in his life including rocky relationships with most of his family members. In particular, he did not like his father and was often rude to him even when company was present: “friends Evelyn took home were often horrified by the way he spoke to his father. One of them shuddered to recall Arthur asking Evelyn how he could be so charming to his friends and yet so unkind to his father. ‘Because I can choose my friends,’ says Evelyn, ‘but I cannot choose my father’” (Eade 80). When he did have children with his second wife, Laura, he only really showed that he cared about his wife and one of his daughters, Meg, while his other children seemed unimportant to him. In Eade’s Evelyn Waugh A Life Revisited, when writing about Laura and Evelyn, “Their son Bron later recalled his mother as having scarcely featured in his early life at Pixton and being unaware that motherhood involved ‘any particular emotional proximity’. His father he remembered ‘featured not at all’” (254). Waugh also did have an unhealthy relationship with alcohol; his first wife, “Shevelyn knew he was an alcoholic, but ‘in my immature way I imagined I could cure him’”

(Eade 116). This unhealthy dependency on alcohol seemed to begin in his days at Oxford University and continued through the remainder of his years.

In Brideshead Revisited, the novel written in 1945, the distinct critique of modernity and its encroachment upon Waugh’s so-loved world is weaved into his work. Waugh believes the modern world is distancing itself from religion, ultimately becoming shallow and less concerned with the moral implications of the way the inhabitants live their lives. Against this backdrop, the novel follows Charles Ryder and the Flyte family, both intertwined together by faith, love, and addiction. Charles, as the narrator, guides the reader through the story of his life and the trials and difficulties with the Flyte family. The structure of the novel is unique in that the novel starts with Charles during his years in the army which occur after he has met and left the Flyte family. The novel begins the prologue with Charles as an officer in the Second World War, where his company is posted at the Brideshead Homestead, the home of the Flytes. By revisiting their home, he is taken back in memory to all the interactions with the family.

The reader is drawn through Charles’ years at Oxford College where he first meets one of the sons of the family, Sebastian. After they have known each other for some time, Sebastian takes Charles to where his family—Lady Marchmain, Brideshead, Julia, and Cordelia—lives at Brideshead. Charles over time then becomes very familiar and acquainted with the rest of the family, which begins to sever his relationship with Sebastian. The reader also learns that Sebastian has problems with alcohol that are getting progressively worse as the novel goes on. With this, Sebastian and Charles have a falling out because Sebastian believes that Charles is acting as a spy for his mother regarding his drinking. Charles then leaves Brideshead, and years later sees Julia Flyte, Sebastian’s sister, on a trip where they begin an affair together, taking them back to Brideshead again. During their time together, there is another fallout between Julia and Charles regarding religion and the final wishes of Julia’s father, causing Charles to flee Brideshead once again. The novel ends where it began, with Charles during the war and alone.

Within Brideshead Revisited and its 2008 film adaptation, each takes a varied approach as to what the audience connects to and walks away with after experiencing the art. In the novel, there is a palpable sense of faith and the divine throughout the book, and it is structured in a way that the climactic events that take place are tied to faith. This is in direct contrast to the film in which the climactic events are romantic rather than religious. In light of these concentrations, the film and the novel leave different impressions and change what the audience thinks is important about the work. Because of the way that Waugh writes in Brideshead Revisited, the reader pays greater attention to the faith with the structure of the story aiding greatly in that effort; impactful moments in the novel include the deathbed conversion of Lord Marchmain, and Charles praying in the chapel. In opposition, looking at the way that Julian Jarrold directs the film, viewers are left with the impression that love had the greatest impact on Charles, as the climactic events are Charles and Julia kissing in Italy, and Charles reminiscing about his past loves in the chapel.

Analysis

In the novel, approximately one page and, in the film, about two minutes are spent with Charles inside the Brideshead chapel during the epilogue scenes. Although such a small amount of time is spent in this moment and this place, it is one of the most influential pieces of Brideshead Revisited the film and the novel because of the material and the adaptation. In the novel, there is a clear focus on Catholicism in connection with Charles. Waugh writes that Charles walks into the chapel and begins to pray, something that the reader might not expect based on Charles’ hesitancy and, in some cases, downright anger and dislike in regards to religion in the past. The moments in the chapel are described as,

There was one part of the house I had not yet visited, and I went there now. The chapel showed no ill-effects of its long neglect; the art-nouveau paint was as fresh and bright as ever, the art-nouveau lamp burned once more before the altar. I said a prayer, an ancient, newly-learned form of words, and left, turning towards the camp;  and as I walked back, and the cook-house bugle sounded ahead of me.

(Waugh 401-402)

Charles stops and prays in the chapel, and, as written, it is a prayer he recently learned. Based on these words alone, the reader can conclude that Charles has become religious, but that can still be clouded with doubt based on his past behavior. No matter what the reader believes in regards to the conversion or, as Mooneyham examines, the possible non-conversion of Charles, there is no question that religion is what permeates the epilogue of the novel.

When looking at this paragraph there are a few key lines to pay attention to. First, the line “The chapel showed no ill-effects of its long neglect” is particularly important because it reflects that, even though the chapel has been out of service for years, there are no remaining effects from that and it is like no time has passed, possibly meaning that Charles’ connection to Catholicism is still very tangible. The next important piece is in this connection to the scene from the film. In the novel, the lamp near the altar is barely mentioned, but a light is of significance in the film. The last line of note in this paragraph is from Charles saying, “I said a prayer, an ancient, newly-learned form of words, and left” (Waugh 402). This line shares with the reader that Charles is praying, meaning that there is a possibility of his conversion to Catholicism. The word newly-learned is also of interest because it shows how recent the connection to religion is. The way that Waugh draws the story to a close, religion and divine grace are the lasting impressions the reader walks away with. Every single moment that led Charles to pray in the Brideshead Chapel during the epilogue was divine grace. The string of how Charles was pulled repeatedly back to Brideshead no matter what had happened on his previous visits and the affair with Julia was all timed perfectly and orchestrated by something greater than the human beings in this narrative.

In comparison with the 2008 film adaptation of Brideshead Revisited, there are a few differences worthy of note. In the film, Charles walks into the chapel, dips his fingers in the holy water font, and begins to walk to the front of the room near the altar where a singular candle is lit. While Charles is looking at the candle the camera cuts to a shot of Sebastian at the hospital in Morocco, back to Charles’ face, then to Julia in the mirror at Brideshead, and finally back to Charles’ face once again. Charles then hovers his fingers over the flame of the candle as if he is going to snuff the flame, then he finally lowers his hand and walks out of the chapel and into the light of the day. In the way that this epilogue is filmed and structured, it is vastly different from the epilogue written by Waugh himself.

To interpret this scene, there were a few pieces that stuck out to me. First, Charles uses holy water. Technically he does dip his fingers in the holy water, but then he does not bless himself or genuflect, meaning that he does not kneel and bless himself when entering the chapel, which is normal for a Catholic person entering a chapel. But also, if the viewer is going off of what Cordelia, the youngest sister, said earlier in the novel (Waugh 253), then there would be no need to genuflect since the blessed sacrament is gone and it is no longer a functioning chapel. This is important because I feel it emphasizes the fact that Charles does not pray at all which is quite different from the Charles we are presented with in Waugh’s epilogue. Next, I looked at the flame that Charles walks up to in conjunction with the frame placement of Charles before, after, and in-between frames of Sebastian and Julia. I believe the flame represents the unextinguished flame of love between Charles and Sebastian and between Charles and Julia. After all, Charles thinks about them

before he is about to extinguish the flame but instead walks away. This leaves the possibility open that he still loves them both. Lastly, I would like to mention that, from analyzing this scene, it could have happened in any other room in the house instead of the chapel, and the chapel does not necessarily matter in the traditional way. That does not mean that the chapel adds nothing; rather, it could imply that human relationships are divine elements rather than any religion. There is barely any religious connection in this scene because the romance and relationships are what are being pushed to the forefront.

Evelyn Waugh brings up the concept of divine grace in the preface of the novel, “Its theme — the operation of divine grace on a group of diverse but closely connected characters” (Waugh iv). Divine grace is essentially a bigger force, and, in the case of Waugh, God is acting on these characters and guiding them through their lives. Throughout the novel, the reader will be able to pick up on a force greater than the characters working. Every single interaction between characters is guided by something other than fate and guides Charles, pulling him repeatedly back to Brideshead. Charles is brought back to Brideshead by different characters, whether it be Sebastian or Julia. Brideshead has caused Charles so many feelings: longing, or pain, it is difficult to distinguish, that even the mention of the name stirs something in him.

It was not till I reached the door that I asked the second-in-command, ‘What’s                this place called?’ He told me and, on the instant, it was as though someone had                switched off the wireless, and a voice that had been bawling in my ears,                      incessantly, fatuously, for days beyond number, had been suddenly cut short;                an immense silence followed, empty at first, but gradually, as my outraged sense                regained authority, full of a multitude of sweet and natural and long forgotten                sounds: for he had spoken a name that was so familiar to me, a conjuror’s name                of such ancient power, that, at its mere sound, the phantoms of those haunted late                years began to take flight. (Waugh 17)

Charles has been brought back to Brideshead multiple times, and the thread that ties him to the Flyte family is pulling him. Since the same person is not calling him back to Brideshead every time, something greater than humanity is pulling Charles, as the section title– “A Twitch Upon the Thread”–suggests. (Waugh 257). In this case, that thing is divine grace. Faith is what permeates the novel, and the relationships between characters, and, frankly, it is the only piece that survives until the end of the novel or immediately preceding the epilogue.

It is evident that even if Charles is skeptical of faith—and its effects on the lives of the faithful, specifically Sebastian—he is still curious as to how it constantly comes up in the lives of the Flytes even if it seems to be hurting them, as shown in this conversation between Brideshead and Charles,

“I believe God prefers drunkards to a lot of respectable people.”

“For God’s sake,” I said, for I was near to tears that morning, “why bring God into everything?”

“I’m sorry. I forgot. But you know that’s an extremely funny question.”

“Is it?”

“To me. Not to you.”

“No, not to me. It seems to me that without your religion Sebastian would have the chance to                 be a happy and healthy man.”

“It’s arguable,” said Brideshead. (Waugh 164)

With Sebastian and Charles being tangled together in their relationship, they are being pulled apart by religion, and Charles is beginning to feel that God is brought into everything and that religion is affecting the way Sebastian lives through his addiction. With this documentation of Charles’

hesitancy and even anger towards religion, Mooneyham’s question of Charles’ conversion comes to light. There are doubts surrounding the fact that Charles converts to Catholicism given his cautious and reluctant attitude towards religion for the majority of the novel, but, with the concept of Waugh’s divine grace, anything is possible, even the deathbed conversion of Lord Marchmain and the conversion of the reluctant Charles, but is that what occurs? Divine grace fuels every action and event that takes place in the novel, and Waugh beautifully crafts the story in a way that it feels as if the events are all orchestrated by something bigger than the author himself. For Waugh, God is the author of everyone’s lives, and Waugh effortlessly weaves the presence of God and divine grace into the novel while the 2008 film adaptation lacks the presence of a loving God.

In reading criticisms of the 2008 film adaptation of Brideshead Revisited, the authors Gallagher and Colebatch had strong opinions on how the film twists the pure form of the novel. In particular, Gallagher writes about the villainization of God and how the directors of the film still follow Waugh’s wishes of having God and religion be the center of the adaptation: they simply change the way that they are presented. Colebatch has similar sentiments to Gallagher but appears to have a stronger opinion, critiquing the fact that there is too much material from the novel to be condensed into a film. There was also a reference to a new theme of guilt that was brought into the film that wasn’t as prevalent in the novel. It is important to examine the criticism of the film in comparison to the novel to see how reviewers have reacted to the changes made by the director.

Conclusion

By analyzing the film and the novel in parallel, one can begin to connect the dots as to why these analyses matter. Viewers can see that, through the emphasis on relationships and romance, the film loses the connection to Catholicism. With this, Waugh’s Catholic critique of modernity is lost. In the novel, the different relationships act as stepping stones or paving stones for Charles, with Sebastian and Julia acting as forerunners (Waugh 295, 348) to get to a relationship with God, but, when the film treats God as the villain (Gallagher 102), there is no end for Charles to achieve. Instead, there are broken relationships following him with no end goal leaving him feeling empty. Therefore, the film is becoming secular in exactly the way that Waugh was afraid of. The secularity of the film comes to mean living in the here and now, that this world is the only one that matters, meaning that there is no eternity for the characters to work for, creating shallow people with superficial meaning in their lives.

In my research process this summer, I have done a great deal of reading and annotating. I reread Brideshead Revisited, and I also read additional works by Waugh including The Loved One, and Helena which were written after Brideshead Revisited, and A Little Order which is a collection of essays written by Waugh that concern his thoughts, especially on critiques of Hollywood and journalism. Additionally, I read some biography-centered books with details about Waugh’s life and a book on Catholicism in literature. I read secondary articles, historical background, and film criticism, and I screened the 2008 version of Brideshead Revisited and the 1981 miniseries of Brideshead Revisited. I then focused on writing, and I wrote an annotated bibliography, cataloging all of my sources and why they are useful. I also wrote the abstract and created this paper. In the future, I hope to continue to work on this thesis, further developing my argument and bringing in new materials to read and annotate. I hope to explore additional reading material such as queer theory from Eve Kosofsky Sedgwick, specifically “The Beast in the Closet”, Father Brown stories that inspired titles inside of Brideshead Revisited, and more work concerning Catholic theology of Grace, historical background, and non-academic film criticism. Also, I will read Charles Taylor’s “A Catholic Modernity?” and Simone Weil’s Gravity and Grace. Lastly, I hope to explore additional works by Waugh to further my research–including Vile Bodies and A Handful of Dust–and read various essays in A Little Order

Acknowledgments

Thank you to the Berry Summer Thesis Institute, The Berry Family, and The Berry Foundation for making this opportunity possible for me. I would like to thank my mentor, Dr. David Fine, for his constant support, encouragement, and guidance throughout this process. I would also like to thank the University of Dayton Honors Program and Staff, particularly Dr. Samuel Dorf, whose unwavering kindness, positivity, and advice carried us through the summer. Thank you to the University of Dayton English Department for allowing me to represent them. I would like to thank the members of my cohort for an amazing summer. Lastly, thank you to my friends and family for their love and for listening to my constant rambles about research.

Works Cited

1. Brideshead Revisited. Directed by Charles Sturridge and Michael Lindsay-Hogg, ITV Granada, 1981.

2. Brideshead Revisited. Directed by Julian Jarrold, Ecosse Films, 2008.

3. Colebatch, Hal G. P. “Waugh Turned Upside-Down: The New Movie of Brideshead Revisited.” Quadrant, vol. 52, no. 12, Dec. 2008, pp. 100–01. EBSCOhost, https://search-ebscohost-com.libproxy.udayton.edu/login.aspx?direct=true&db=mzh&AN =201915938039&login.asp&site=ehost-live.

4. Eade, Philip. Evelyn Waugh A Life Revisited. Henry Holt and Company, 2016.

5. Gallagher, Donat. “Telling It like It Wasn’t.” Quadrant, vol. 52, no. 12, Dec. 2008, pp. 101–05. EBSCOhost, https://search-ebscohost-com.libproxy.udayton.edu/login.aspx? direct=true&db=mzh&AN=201915938045&login.asp&site=ehost-live.

6. Mooneyham, Laura. “The Triple Conversions of Brideshead Revisited.” Renascence: Essays on Values in Literature, vol. 45, no. 4, 1993, pp. 225–36. EBSCOhost, https://doi-org.libproxy.udayton.edu/10.5840/renascence19934547.

7. Waugh, Evelyn. Brideshead Revisited. Back Bay Books, 1945.

Business Berry Summer Thesis Institute

Where Do Female Athletes Get Their Role Models?  Exploring Women's Basketball In the U.S. From Inception to NIL

Tierra Freeman1,2,3

University of Dayton

300 College Park, Dayton, OH 45469

1. Department of Management and Marketing

2. Berry Summer Thesis Institute

3. University Honors Program

Thesis Mentor: Elizabeth Eichler

Department of Management and Marketing

Rationale

The original research goal was to explore the influences of role models young female basketball players and how having a female role model can influence future careers in basketball.  This topic was chosen because I was heavily involved in the sports world but had little to no female influence available via media or in person, as a coach or mentor. Instead, I found role models elsewhere and applied their teachings and influence in the other areas of my life. However, I wondered if I had stronger female coaches, for example, would I have continued to play a game I love? While I was fortunate and able to find role models whose teachings applied to other aspects of my life, not every young girl has that advantage. My question is, as female athletics become more visible, how will that influence the next generation of female athletes?

Definition

The definition of a role model according to the Miriam Webster Dictionary is a person whose behavior in a particular role is imitated by others. Examples of role models can be coaches, teachers, and parents, and also athletes, actors, musicians, and celebrities. However, an idol according to the same source, is a representation or symbol of an object of worship or broadly, a false god. Idols are praised for their individual acts while role models motivate, support others in their growth and development, show great leadership, and encourage others to participate positively in teamwork and cooperation.

Background

Basketball was invented in 1891 by James Naismith, an instructor at Springfield College in Massachusetts. Basketball joined the pantheon of organized men’s sports, which have been sanctioned and socially encouraged, joining baseball which was founded in 1857, (Mary Bellis, 2019), men’s soccer--whose first organized league in the U.S. was in 1862 according to the U.S. Soccer website, https://www.ussoccer.com/history/timeline, men’s wrestling which goes back to antiquity, and more.

The first recorded women’s basketball game was played in 1892, one year after men's basketball, at Smith College in Massachusetts, and spread across colleges in the United States. The WNBA’s History of Women’s Basketball states that in 1936, the women’s team called The Red Heads toured the country playing exhibitions against men’s teams. “Team members were required to wear makeup, look beautiful and play well.”  It was only in 1976 that women’s basketball was allowed in the Olympics.

A few important athletic organizations are the Association for Intercollegiate Athletics for Women (AIAW) founded in 1971, the National Collegiate Athletic Association (NCAA) which formed in 1906, and Title IX which was founded in 1972. The purpose of Title IX was to prohibit sex discrimination by colleges that receive federal funds. In 1971, the AIAW was founded to govern women’s collegiate athletics in the United States. This association evolved out of the Commission on Intercollegiate Athletics for Women (1917) and was one of the biggest advancements for women athletics on the collegiate level (Mattheesen, 2016). The AIAW had been the sole governing body of women’s athletic programs up until the 1980s.

In 1981 the NCAA ruled in favor of bringing women’s athletics into their governing body which prompted Title IX. William Rhoden says that while the two organizations had previously been in competition from 1981-1982, the NCAA eventually took the lead in 1983 and in the end, the AIAW discontinued their operations, and most member schools continued their women's athletics programs under the governance of the NCAA (W.C. Rhoden, 2022).

Research

In addition to secondary research, guided by University of Dayton librarian Bridget Retzloff,  I also conducted primary research through interviews and observation. Interviews included in this research are Corinne Daprano, Chair, Department of Health & Sport Science and Araion Bradshaw graduate and former University of Dayton women’s basketball player, and current Surrey Sevenoak Suns player (Women’s British Basketball League) were interviewed. My goal is to interview more WNBA players to identify their role models (older Generation Z) and survey current middle school or high school players (younger Generation Z).

Observations include live WNBA games and streamed WNBA and NBA games.  I collected observational data regarding total attendance, gender, age, ethnicity, on-site signage and other marketing and merchandise. I observed the discrepancies between the ESPN and ESPN-W websites regarding sportscasters, content, advertisement, quality of game and media, fan attire, pre-game, half time, post-game activities, attendance, and the overall look of the stadium or venue. I have also explored and tracked leading player’s social media.

Findings

1)      While Title IX created many opportunities for women, it also created setbacks for women in leadership positions, while allowing men to profit.

Because of Title IX legislation, female athletes can now be coached by men. From 1998 to 2000, over 80 percent of coaching positions were filled by men (Marisa Greenburg, 2008). This means that 80% of those positions were assigned to men and caters to the problem of female participation in athletics continuously rising while the job opportunities for these ladies falls drastically behind. As men fill these coaching positions, opportunities for women fall drastically behind.

Historically, collegiate athletes have not been able to benefit from their NIL rights when in contract with the NCAA up until 2021. This has negatively affected the earning potential of women’s intercollegiate athletes. These athletes have had to pass on securing sponsorship dollars to compete in NCAA athletics or they have had to sacrifice their college education to pursue endorsement revenue.

However, coaches freely profit off of NIL rights as they are not subject to the same rules as the athletes and head male coaches have the highest paid positions in over 40 states (Dean Golembeski,

2022). Male coaches have the highest paid jobs across 40 states. This leaves researchers to question why women are not allotted the same opportunities and pay wage? After all, women candidates for these positions show greater intercollegiate playing experience than men and have longer playing careers than their competitors according to (E. J. Staurowsky, 2020).

2)      There is a lack of awareness of the inequities faced by females in sports in transportation, facilities, marketing, scholarships, and human resources.

Men’s professional basketball teams use private or chartered transportation. Women use commercial planes and often travel by bus. The WNBA president Nneka Ogwumike recently submitted a statement regarding travel that proclaims that commercial travel remains a “significant burden on our players and their bodies.” (Jelani Scott, 2022) Not only is it an issue, but it is a serious health and safety concern that must be remedied. Professional basketball player Brittany Griner has been the most recent example of some of the discrepancies that commercial travel can have on players. Had female athletes had the same opportunity for travel as men, Griner may not be in her current situation.

There are also inequities in practice facilities on some college campuses. For example, University of Oregon basketball star Sedona Prince created a viral Tik Tok video that showcased the major differences between weight rooms and gyms that her male counterparts had versus her own female teams. Where her team had a few weights stacked in the corner of the practice gym, the men’s weight room was equipped with a full gym in a completely different building that was well lit and greatly decorated. She then stated that once the NCAA got evidence of the differences, they flipped the narrative and said that it wasn’t due to a lack of funding but instead a lack of space. (SportCenter, 2022).

3)      For men’s sports, players are only expected to be the best, whereas for women’s you have to look the best, be the best, have the most followers, and be the most marketable just for a seat at the table.

Being a female in sports is no easy feat. Women in athletics have been marketed significantly less and are marketed on completely different platforms than men. For these females, a lot of their marketing occurs throughout social media whether that be through their own channels and devices or their team’s. Female basketball stars like Candace Parker, Jonquel Jones, Courtney Williams and more have recently taken to social media to express their thoughts on what it takes to be a superstar in the WNBA. They mainly speak on the lack of opportunity’s present for women due not only to gender but also race and sexuality.

When interviewed by Katie Barnes, Jonquel Jones states that, “There should be more room, more seats at the table, to be able to bring more diversity, more authenticity when we kind of talk about the representation of the league and the people that should be promoted and shown.”(Katie Barnes, 2022) Many media outlets even offer separate pages for women such as “ESPNW” that are catered to female highlights rather than just including them on the main website page. This gives off the impression that these media outlets are for men but have female options on the side just in case. For men by men. Women also compete with other women, based on looks, gender preferences. “Black WNBA players won postseason awards. White women won coverage.” (Risa Isard, 2022). It was found by Risa Isard, a research fellow at the Laboratory for Inclusion and Diversity at the University of Massachusetts Amherst, that black players with more masculine gender expressions received the least amount of coverage. According to Jonquel, in women’s basketball and many women’s sports, “everything has become a popularity contest.”

4)       NIL legislation may benefit or hinder women athletes.

In January 2021, the Supreme Court ruled 9-0 against the NCAA in NCAA versus Alston (Alicia Jessop and Joe Sabin, 2021). This case centered on what value NCAA athletes can receive from a university in exchange for access to their athleticism. The NCAA spent 18 months prior working to defeat legislative NIL attempts and due to this ruling, the NCAA hurriedly drafted an interim NIL policy on the first of July in 2021. Despite their policy being published, the NCAA showed they had given very little thought or care to how to carry out this policy as it provided little guidance other than stating that NCAA athletes across all three divisions of competition could benefit from their NIL. AP Writer on sports and higher education Dean Golembeski states that due to the lack of care from the NCAA, experts have begun to wonder whether allowing intercollegiate athletes to benefit from their NIL will lead to Title IX violations.

Moving Forward

Moving forward, I would like to explore the attitudes of older and younger Generation Z female athletes (specifically basketball players) through surveys and interviews. I am seeking to find if my hypothesis is correct, that most older Gen Z players had a lack of exposure to female role models, yet many younger Gen Z players can identify more players and female influences, possibly due to increased social media usage and/or NIL. I would also explore specifically how University of Dayton’s male versus female athletes and athletic programs use social media and athletics marketing differently, if that differs from other local colleges, explore the ways of how name image and likeness (NIL) differs among players, and better understand player’s infrastructure--both their coaching, training, facilities and their individual support teams when it comes to managing social media, fashion, and more.

Closing

I would like to thank Dr. Sam Dorf, Elizabeth Eichler, Michele McDonald, and Laura Howell for all their help and guidance throughout the conducting of this research. I’d also like to thank my fellow BSTI cohorts as well as the Berry Family for making this experience possible and more than worthwhile. Lastly, I’d like to thank my family and those that supported me as well as Mission of Mary for allowing me to work alongside them to give back to the community and give me a growing sense of what community is and can be.

References

Barnes, K. (2022, June 22). Jonquel Jones and the untold story of the WNBA's reigning MVP ESPN. Retrieved August 18, 2022, from https://www.espn.com/wnba/story/_/id/34109460/jonquel-jones-untold-story-wnbareigning-mvp

Bellis, M. Timeline. US Soccer. Sponsored by Volkswagen. (n.d.). Retrieved August 19, 2022, from https://www.ussoccer.com/history/timeline

Bradshaw, Araion. Personal Interview. July 6, 2022

Daprano, Corinne. Personal Interview. May 25, 2022

Golembeski, D. (2022, April 4). NIL Enriches, Empowers Women College Athletes. BestColleges.com. Retrieved July 21, 2022, from https://www.bestcolleges.com/news/2022/03/31/ncaa-nil-womens-college-sports-sedonaprince/

Jenkins, S. (2020, January 28). History of women's basketball. WNBA.com - Official Site of the WNBA. Retrieved August 18, 2022, from https://www.wnba.com/news/history-of-womensbasketball/

Jones, Jonquel. Instagram Post. Jul 7, 2022

Library exhibits. Omeka RSS. (n.d.). Retrieved August 19, 2022, from https://exhibits.library.gsu.edu/current/exhibits/show/equal-playing-fields/history-ofwomens-sports

A brief overview of the Association for Intercollegiate Athletics ... - EIU. (n.d.). Retrieved August 19, 2022, from

https://www.eiu.edu/historia/Clara%20Mattheessen%20historia%202016.pdf

Rhoden, W. C. (2022, April 15). Forty years later, the NCAA's takeover from the AIAW still isn't perfect. Andscape. Retrieved July 21, 2022, from https://andscape.com/features/forty-years-later-the-ncaas-takeover-from-the-aiaw-stillisnt-perfect/

Scott, J. (2022, August 9). Nneka Ogwumike releases statement after sparks players sleep in airport. Sports Illustrated. Retrieved August 19, 2022, from

https://www.si.com/wnba/2022/08/09/wnbpa-pres-nneka-ogwumike-releases-statementafter-sparks-players-sleep-in-airport

Sedona prince shares difference between women's and men's weight rooms and NCAA Tournaments: Oregon Women's Basketball's Sedona Prince shared a video comparing the women's and men's weight rooms at their respective NCAA tournament bubbles. (via...: By SportsCenter. Facebook. (n.d.). Retrieved August 18, 2022, from https://www.facebook.com/SportsCenter/videos/sedona-prince-shares-difference-betweenwomens-and-mens-weight-rooms-and-ncaa-to/261437175609243/

Staurowsky, E. J., Watanabe, N., Cooper, J., Cooky, C., Lough, N., Paule-Koba, A., Pharr, J., Williams, S., Cummings, S., Issokson-Silver, K., Snyder, M., & Women’s Sports Foundation. (2020). Chasing Equity: The Triumphs, Challenges, and Opportunities in Sports for Girls and Women. Women’s Sports Foundation.

Women's basketball. Olympics. (n.d.). Retrieved August 18, 2022, from https://olympics.sporting99.com/track-field/womens-basketball.html

Health and Sport Science

Berry Summer Thesis Institute

Overview of Cardiovascular Benefits and Mechanical Demands of the Kettlebell Swing Exercise: Implications for Work Economy

Daniel E. Vencel1,2,3 University of

Dayton

300 College Park, Dayton, OH 45469

1. Department of Health and Sport Science

2. Berry Summer Thesis Institute

3. University Honors Program

Thesis Mentors: Anne R. Crecelius, Ph.D. and Matthew Beerse,

Department of Health and Sport Science

Abstract:

Ph.D.

The kettlebell is a small piece of exercise equipment which originated from Russia and was popularized in the United States in the 20th century. Arguably the kettlebell swing is the most popular exercise within kettlebell training programs. Proponents of the kettlebell swing argue the exercise has multiple benefits including improving strength and cardiovascular health. This review will focus on articles specifically investigating the kettlebell swing to confirm the validity of these claims. These articles include topics such as motion analysis of the kettlebell swing, cardiovascular benefits of the swing, and lastly a combination of work and oxygen consumption known as work economy. Work economy is how much oxygen is consumed by the body to perform a given amount of external work. While work and VO₂ have each been investigated independently, they have yet to be combined in a kettlebell swing study.

History of the Kettlebell

The kettlebell is a spherical weight with a handle on top. It originated in Eastern Europe with sources dating as far back as the 16th century, particularly having an emphasis in the former Soviet Union (Tikhonov et al., 2009). In Russia, it was very popular among strongmen who displayed their feats of strength using a kettlebell. A strongman was often referred to as a girevik or “kettlebell man (Tsatsouline, 2006).” According to Tsatsouline, kettlebell training was and still is a relevant form of training for the Russian military and police. He even goes on to say that almost every Russian military unit has a “courage corner” where kettlebells are commonly found (Tsatsouline, 2006). With these considerations in mind, it is clear to see the popularity of kettlebell training in Russia.

Kettlebell training expanded and eventually became its own sport in 1948, called kettlebell sport also known as Girevoy sport (Ross et al., 2017). In kettlebell sport, participants do a variety of exercises such as the snatch while completing as many reps as possible in a 10 minute timeframe (Ross et al., 2017). The snatch in kettlebell sport is similar to that seen in olympic lifting, however, a barbell is used for olympic weightlifting instead of a kettlebell. Even though Eastern European countries frequently exercised with the kettlebell in the past, it would take much longer for it to become popular in the West, particularly the United States.

Pavel Tsatsouline is one of several people credited with popularizing the kettlebell in the United States in the late 20th century between his several publications of the kettlebell and introduction of his Russian Kettlebell Certification program (Meigh et al., 2019). Exercises most commonly found in the hardstyle program include the swing, snatch, squat, turkish get-up, and press (Meigh et al., 2019). According to Tsatsouline, the average man should begin exercising with a 16 kilogram

kettlebell, and the average woman with an 8 kilogram kettlebell, with clients progressing in weight as needed (Tsatsouline, 2006). Even though all of these exercises can be beneficial and each have their own specific uses, this literature review will focus specifically on the kettlebell swing. Proponents of the kettlebell swing such as Tsatsouline praise the exercise for improving strength, cardiovascular health, injury prevention, and body composition (Tsatsouline, 2006). This review will focus on articles specifically investigating the kettlebell swing to confirm the validity of these claims. These articles include topics such as motion analysis of the kettlebell swing, cardiovascular benefits of the swing, and lastly a combination of work and volume of oxygen consumption (VO₂) known as work economy.

Motion Analysis and Mechanical Demand of the Kettlebell Swing

In the context of physics, work, measured in joules (J), is simply a change in energy because it is assumed that as energy changes, work has to be performed to cause those changes. This is also known as the work-energy theorem. Work is performed all the time in our daily lives. Whether someone is walking to class or exercising in the gym, work is completed at differing amounts and intensities. In this case, work for the kettlebell swing is energy required to successfully lift the kettlebell and perform the movement. Even though there are few studies that have calculated total work of the kettlebell swing, several studies (Back, 2016; Bullock et al., 2017; Oikarinen, 2016; Ross et al., 2017) have investigated kinematics which is the study and analysis of motion for variables such as joint angles and power of the kettlebell swing. Power is simply the rate at which a given amount of work is performed. Power is an important variable to investigate as power and strength are two performance variables which are trained extensively in many athletes including powerlifters and weightlifters.

A few studies have investigated the strength and power produced during kettlebell swings. Maximal strength is defined as producing a force to overcome the highest possible mass during a lift. Power is the ability to generate a force as quickly as possible. One study compared a 6 week kettlebell swing protocol to the same length jump squat protocol (Lake and Lauder, 2012a). The researchers found similar increases in strength as measured by a one-rep max half-squat, however, power increases as measured by jump squat height were greater in the jump squat training protocol compared to the kettlebell swing protocol (Lake and Lauder, 2012a). Jump squat height is a popular measure of power since it allows a subject to quickly contract muscles in an explosive movement since the subject’s body weight is not a relatively heavy load. Given the same body mass, a higher generated amount of power would increase the upward velocity of the jump leading to a higher jump squat height. Results from (Lake and Lauder, 2012a) likely favor the jump squat protocol due to training specificity since one training group was exercising using jump squats for several weeks which is the exact metric used to assess power. This makes sense why jump squat height would improve with that protocol and why it may give an unfair advantage over the kettlebell swing. In a future study, it would be interesting to see a power assessment that is not specifically used during the intervention. For example, a jump squat protocol could be compared to a kettlebell swing protocol, but a different movement such as a sprint could be utilized to measure increases in power.

There are two main reasons which drive strength increases when lifting weights: neural adaptations and increased muscle size (Reggiani and Schiaffino, 2020). Increased muscle size would occur in the targeted muscle group, but neural adaptations can be less specific as the central nervous system can improve motor unit recruitment and lessen antagonist muscle activation leading to whole body strength increases (Reggiani and Schiaffino, 2020). A study from (Manocchia et al., 2010) supports the idea that kettlebell swings improve neural adaptations as the researchers found significant increases in traditional lifts which have very different movement patterns from the swing. Strength significantly improved for the bench press, while almost reaching statistical

significance for the back extension and clean and jerk during a kettlebell swing training protocol (Manocchia et al., 2010). However, those researchers found no statistically significant increase in vertical jump height which contradicts the results found by (Lake and Lauder, 2012a). Perhaps either the swing is insufficient for building power or other metrics for assessing power could be implemented. Furthermore, another study (Otto et al., 2012) found the kettlebell swing can improve back squat one rep max, however, not to the extent of a traditional weightlifting protocol. Since the load for the swing was lower than what was used in the weightlifting group, this could explain the differences in strength improvements.

However, the swing has been shown to have very different forces on the spine when compared to the deadlift. Deadlifts are very high in compressive forces which are forces that press on the spine in opposite directions, while kettlebell swings are high in shear forces which are opposing forces occurring when the vertebrae of the spinal column rub together (McGill and Marshall, 2012). The high shear forces can be explained by an arc-like trajectory with directions of forces constantly changing. This would have to be researched further but this may mean kettlebell swings could supplement a deadlift program so the spine is not overtrained by only one type of force.

Correct Form of the KB Swing

The kettlebell swing is characterized as a hip-hinge exercise in which the hamstrings are stretched at the bottom of the movement, and the pelvis, hamstrings, and gluteal muscles contract explosively to move the kettlebell in an arc-shaped motion. According to (Jay et al., 2011), the swing has an explosive concentric motion which is followed by a coasting phase in which the kettlebell reaches about shoulder height until momentum slows (occurring from picture B and C), and then lastly an eccentric muscular phase in which the kettlebell begins to return to its lowest point (occurring from picture A to B). One study (Back, 2016) further explains that experts perform the swing by first extending the hip joint explosively in the anterior direction, followed by the pelvis in a similar direction, and lastly at the shoulder which carries the momentum generated by the hips and pelvis, with the reverse order occurring in the eccentric direction. Since the hips are strongly involved throughout the movement, this takes possible strain away from the lower back with the lower back mostly acting as a stabilizer against shear forces as previously mentioned.

In Figure 1 presented by (Lake and Lauder, 2012b), the correct form of the swing is shown with only slight knee flexion, however, those who are unfamiliar with the exercise may perform the exercise with less hip flexion and compensate by having greater knee flexion (Back, 2016). Back also found that coordinating explosiveness of hamstring and gluteal muscles was found in experts, while novices tended to “lift” the kettlebell using their shoulders which contradicts the correct form previously described. In addition, another less common form of the kettlebell swing exists. It is known as the “American” style or overhead kettlebell swing and has some popularity in crossfit (Oikarinen, 2016). Overall, this style seems to be less popular and since most of the literature focuses on the shoulder height swing, this is the only form that will be discussed.

Methods Used to Calculate Work

As previously described, work is the transformation of one form of energy to another. The three types of energy most relevant to the kettlebell swing are gravitational potential energy, translational kinetic energy, and rotational kinetic energy. Firstly, gravitational potential energy changes as the body performs work against gravity to raise the kettlebell and center of mass of the body further from the ground. Secondly, translational kinetic energy changes as the kettlebell velocity increases or decreases. This can easily be seen during the exercise as the kettlebell follows a parabolic motion of a ballistic nature (Lake and Lauder, 2012b). For example, the kettlebell has a velocity of zero at the top and bottom positions of the swing, and as the kettlebell moves between those positions, either moving forward and upward or backward and downward, velocity constantly changes. Thirdly, rotational kinetic energy has a small contribution to total work performed as joint segments rotate about their axes during the swing. The amount of work performed during various exercises has been studied for over a century yielding methods such as point mass, segmental analysis and inverse dynamics.

The oldest and least accurate method of calculating work is the point-mass method. For the pointmass method, the body is collapsed into a single center of gravity, and the change in energy of that “point” is analyzed to determine the amount of work performed (Robertson et al, 2014). As shown in equations 1 and 2 above, point mass analysis calculates mechanical energy using the sum of change in potential energy (Eq. 1) and change in translational kinetic energy (Eq. 2) (Robertson et al, 2014). For Equation 1, m is the mass of the body, g is the acceleration due to gravity, and y is the height above the ground. To calculate change in translational kinetic energy for Equation 2, m is the mass of the body, vx is velocity in the x-plane, and vy is velocity in the y-plane.

As stated above, this is the simplest and most crude form of motion analysis and has been heavily criticized for not being accurate as it neglects change in energy of the body segments (Winter, 1978). Winter further explained how the point-mass method could potentially have an error of 70% since only change in energy of the trunk is captured. Thankfully, more accurate methods exist and are much more commonly used.

Segmental Analysis: Segmental Analysis is a second type of motion analysis used to calculate work which has been found to be more accurate than point mass analysis (Williams and Cavanagh, 1983; Winter, 1978). Segmental analysis adds on to point mass by calculating the amount of work performed for the trunk and every major body segment. In addition, segmental analysis includes rotational energy as seen in Equation 3, so more work is captured for a more accurate estimation. Rotational kinetic energy is solved by multiplying by the object’s resistance to angular acceleration or the moment of inertia (I), by the square of the angular velocity () multiplied by onehalf. Even though this method is more accurate than using point mass and can be sufficient, it is still not the most accurate method.

Inverse Dynamics: According to (Robertson et al., 2014), inverse dynamics is the gold-standard for analyzing motion capture data. The main addition to this type of analysis is that inverse dynamics allows for researchers to compute joint moments, or the resistance of a joint to rotate about its axis. Aside from being defined as a change in energy, work can also be described as force times displacement. So to find work at each joint, the joint moment is multiplied by the angular displacement. This is done for all of the joints to calculate total work. This is a more direct way to calculate work than segmental analysis as inverse dynamics attempts to directly estimate the forces and thus work done at the joint, while segmental analysis indirectly estimates work by looking at motion analysis which is a byproduct of the forces produced at the joints. Inverse dynamics involves using several dozen markers on the body, which are captured using many cameras, and ground reaction forces are collected using a force plate. At least one study (Bullock et al., 2017) has used inverse dynamics for the kettlebell swing in which it compared peak joint angles between the Russian kettlebell swing and the Indian Club swing which uses two clubs and a different movement pattern. This study found no significant differences between peak joint angles. Even though this approach used inverse dynamics, they only used it to analyze joint angles and not to calculate absolute total work performed during the kettlebell swing. This is an area that could possibly be studied in the future.

Kettlebell Swing Cardiovascular Overview

Kettlebell swings have also been studied on their ability to improve cardiovascular health and conditioning. A popular exercise prescription for kettlebell swings involves interval training of roughly a 1:1 work-rest ratio of alternating 30 seconds of swinging and rest for a total length of 10-12 minutes (Budnar et al., 2014; Lake and Lauder, 2012a; Raymond et al., 2021). According to Tsatsouline's recommendations, several studies involve female subjects swinging an 8-kg kettlebell and male subjects swinging a 16-kg kettlebell (Hulsey et al., 2012), with some studies lowering the weight to 4-kg and 8-kg respectively (Duncan et al., 2015). Several previous researchers have used this exercise protocol and compared it to the American College of Sports Medicine (ACSM) guidelines for cardiorespiratory exercise.

According to the ACSM, the optimal amount of cardiovascular exercise for most adults to improve health and longevity is at least 75 minutes of vigorous intensity cardiovascular exercise or at least 150 minutes of moderate intensity (American College of Sports Medicine, 2021). The authors also outline a few common metrics used to measure exercise intensity such as a percentage of maximum VO₂ or percentage of maximum heart rate (%HRmax). %HRmax is often recorded using a heart rate monitor, and a relatively higher heart rate indicates a greater stimulus for aerobic/

anaerobic performance (ACSM, 2021).

Another way to quantify intensity of an exercise for cardiovascular health and performance is %VO₂max, and similar to %HRmax, it shows the relative intensity of the exercise by looking at how much oxygen is being consumed compared to the individual’s maximum value. This is commonly measured using indirect calorimetry via a metabolic cart which is attached to a subject through a face mask. Air is drawn in as the subject breathes, and the expired air is captured by the gas analyzer which calculates changes of volume and flow rate of oxygen and carbon dioxide from the subject’s resting state to calculate VO₂. The extent to which oxygen is used to fuel metabolism during exercise is what defines aerobic metabolism, compared to anaerobic metabolism which occurs using low or no amounts of oxygen. These metrics as commonly used throughout the literature will be used as a reference to assess the capability of the kettlebell swing to reach a sufficient intensity which has previously been shown to improve aerobic health in other modalities.

Kettlebell Swing Cardiometabolic Studies

The majority of studies have concluded that kettlebell swings improve cardiovascular health (Farrar et al., 2010; Fortner et al., 2014; and Hulsey et al., 2012). Given the various metrics used to assess cardiovascular intensity and differing methods used for kettlebell swings, it is difficult to generalize the kettlebell swing as an exercise. For example, (Hulsey et al., 2012) argued kettlebell swings may improve aerobic capacity since the subjects’ heart rate exceeded 85% HRmax, and (Farrar et al., 2010) found the same to be true since subjects exceeded 65% of VO₂max. In addition, Hulsey et al. used a more traditional protocol of 35 seconds of swinging alternated with 25 seconds of rest for 10 minutes, while Farrar et al. used a very different set of instructing subjects to complete as many reps as possible in 12 minutes. Interestingly, Farrar et al. claimed to have studied the “man-maker: drill outlined by Tsatsouline, however, (Tsatsouline, 2006) mentioned the “manmaker” including intervals of swings followed by jogging, not 12 minutes of only KB swings. (Fortner et al., 2014) compared a Tabata (Tabata et al,. 1996) interval set, which is a four minute set with 20 second work intervals separated by 10 seconds of rest, to a more traditional weightlifting protocol and found both protocols exceeded the minimal aerobic threshold.

However, one study produced conflicting results compared to the others mentioned and found that kettlebell swings are not sufficient in producing gains in aerobic capacity (Jay et al., 2011). Unlike the previous studies mentioned (Farrar et al., 2010; Fortner et al., 2014; and Hulsey et al., 2012), this was an 8 week interventional study which compared estimations of VO₂max at the beginning and end of the study. Unfortunately, relative aerobic intensity was not measured during the actual exercise. Jay et al. also relied on using a submaximal ergometry test measured at the beginning and end of the study to estimate VO₂max which may not be sensitive enough to detect changes (Hulsey et al., 2012). Another limitation as described by Jay et al. could be the fact that there was not enough time to induce enough of an aerobic stimulus. However, most kettlebell swing studies have matched or exceeded the aerobic intensity needed to improve VO₂max according to other exercise modalities. A longitudinal study that records metabolic data during the kettlebell swing exercise may be needed to compare the exact intensity of the workout against the established values outlined by the ACSM.

Work Economy

Work economy is calculated by taking the amount of work performed and dividing it by the volume of oxygen consumed (Wilmore and Costill, 2004; Winter 1978). If an athlete is trying to improve aerobic capacity as much as possible, estimations of work economy can be useful to allow the

athlete to choose a training style that maximizes the amount of oxygen consumed while minimizing the amount of external work performed. Also, work economy can show insight if a subject is consistently performing or showing signs of fatigue and form breakdown which may not be optimal to continue exercise as those two factors can increase risk of injury.

Conclusion

Given the increasing popularity of the kettlebell swing, particularly in the United States, kettlebells are becoming more common in gyms across the nation. Even though many useful studies have been published about the swing including topics of strength, motion analysis, and cardiovascular health, there is still a large gap in the literature. As of the author’s knowledge, no study has been published attempting to identify the relationship between the two main ideas mentioned throughout this article: work (Joules) and oxygen consumption (VO₂). These two variables have been studied independently, however, combining the two to find the ideal set from a work economy standpoint can either prove or disprove the effectiveness of the intervals outlined by Tsatsouline and those commonly studied in the literature.

Acknowledgments

I am very grateful for having been a member of the 2022 Berry Summer Thesis Institute cohort. I am so thankful for funding from the Berry Family and Berry Foundation which were so helpful in purchasing lab equipment for my study. Also, I would like to thank all of the faculty in the Honors Program who were dedicated to making this summer as inclusive and educational as possible during the program. Lastly, I am so thankful for my mentors Dr. Crecelius and Dr. Beerse who were both indispensable in helping create and continue with my current project.

References

1.  Tikhonov V, Suhovey A, Leonov D. Fundamentals of Kettlebell Sport: Teaching Motor Actions and Methods of Training: A Manual. Moscow: Soviet Sport. Published online 2009.

2.  Tsatsouline P. Enter the Kettlebell!: Strength Secret of the Soviet Supermen. Dragon Door Publications; 2006. https://books.google.com/books?id=9_h1AAAACAAJ

3.  Ross JA, Keogh JWL, Wilson CJ, Lorenzen C. External kinetics of the kettlebell snatch in amateur lifters. PeerJ. 2017;5:e3111. doi:10.7717/peerj.3111

4.  Meigh NJ, Keogh JWL, Schram B, Hing WA. Kettlebell training in clinical practice: a scoping review. BMC Sports Sci Med Rehabil. 2019;11(1):19. doi:10.1186/s13102-019-0130-z

5.  Back CY. Kinematic comparisons of kettlebell two-arm swings by skill level.

6.  Bullock GS, Schmitt AC, Shutt JM, Cook G, Butler RJ. KINEMATIC AND KINETIC VARIABLES

DIFFER BETWEEN KETTLEBELL SWING STYLES. Int J Sports Phys Ther. 2017;12(3):324-332.

7.  Oikarinen S. American Kettlebell Swing and the Risk of Lumbar Spine Injury. Published online 2016.

8.  Lake JP, Lauder MA. Kettlebell swing training improves maximal and explosive strength. J Strength Cond Res. 2012;26(8):2228-2233. doi:10.1519/JSC.0b013e31825c2c9b

9.  Reggiani C, Schiaffino S. Muscle hypertrophy and muscle strength: dependent or independent variables? A provocative review. Eur J Transl Myol. 2020;30(3):9311. doi:10.4081/ejtm.2020.9311

10. Manocchia P, Spierer DK, Minichiello J, Braut S, Castro J, Markowitz R. Transference of kettlebell training to traditional Olympic weight lifting and muscular endurance. The Journal of Strength & Conditioning Research. 2010;24:1.

11. Otto WH, Coburn JW, Brown LE, Spiering BA. Effects of Weightlifting vs. Kettlebell Training on Vertical Jump, Strength, and Body Composition. Journal of Strength and Conditioning Research. 2012;26(5):1199-1202. doi:10.1519/JSC.0b013e31824f233e

12. McGill SM, Marshall LW. Kettlebell Swing, Snatch, and Bottoms-Up Carry: Back and Hip Muscle Activation, Motion, and Low Back Loads. Journal of Strength and Conditioning Research 2012;26(1):16-27. doi:10.1519/JSC.0b013e31823a4063

13. Lake JP, Lauder MA. Mechanical demands of kettlebell swing exercise. J Strength Cond Res. 2012;26(12):3209-3216. doi:10.1519/JSC.0b013e3182474280

14. Jay K, Frisch D, Hansen K, et al. Kettlebell training for musculoskeletal and cardiovascular health: a randomized controlled trial. Scand J Work Environ Health. 2011;37(3):196-203.

doi:10.5271/sjweh.3136

15. Robertson DGE, Caldwell GE, Hamill J, Kamen G, Whittlesey SN. Research Methods in Biomechanics. Second edition. Human Kinetics; 2014.

16. Winter DA. Calculation and interpretation of mechanical energy of movement. Exerc Sport Sci Rev. 1978;6:183-201.

17. Williams KR, Cavanagh PR. A model for the calculation of mechanical power during distance running. J Biomech. 1983;16(2):115-128. doi:10.1016/0021-9290(83)90035-0

18. Budnar RG, Duplanty AA, Hill DW, McFarlin BK, Vingren JL. The acute hormonal response to the kettlebell swing exercise. J Strength Cond Res. 2014;28(10):2793-2800.

doi:10.1519/JSC.0000000000000474

19. Raymond LM, Renshaw D, Duncan MJ. Acute Hormonal Response to Kettlebell Swing Exercise Differs Depending on Load, Even When Total Work Is Normalized. Journal of Strength and Conditioning Research. 2021;35(4):997-1005. doi:10.1519/JSC.0000000000002862

20. Hulsey CR, Soto DT, Koch AJ, Mayhew JL. Comparison of Kettlebell Swings and Treadmill Running at Equivalent Rating of Perceived Exertion Values. Journal of Strength and Conditioning Research. 2012;26(5):1203-1207. doi:10.1519/JSC.0b013e3182510629

21. Duncan M, Gibbard R, Raymond L, Mundy P. The Effect of Kettlebell Swing Load and Cadence on Physiological, Perceptual and Mechanical Variables. Sports. 2015;3(3):202-208. doi:10.3390/sports3030202

22. American College of Sports Medicine, Liguori G, Feito Y, Fountaine C, Roy B, eds. ACSM's Guidelines for Exercise Testing and Prescription. Eleventh edition. Wolters Kluwer; 2021.

23. Farrar RE, Mayhew JL, Koch AJ. Oxygen Cost of Kettlebell Swings. Journal of Strength and Conditioning Research. 2010;24(4):1034-1036. doi:10.1519/JSC.0b013e3181d15516

24. Fortner HA, Salgado JM, Holmstrup AM, Holmstrup ME. Cardiovascular and metabolic demads of the kettlebell swing using Tabata interval versus a traditional resistance protocol. International journal of exercise science. 2014;7(3):179.

25. Tabata I, Nishimura K, Kouzaki M, et al. Effects of moderate-intensity endurance and highintensity intermittent training on anaerobic capacity and??VO2max: Medicine &amp Science in Sports &amp Exercise. 1996;28(10):1327-1330. doi:10.1097/00005768-199610000-00018

26. Wilmore JH, Costill DL. Physiology of Sport and Exercise. 3. ed. Human Kinetics; 2004.

27. Figure 1 credit: Lake and Lauder, 2012b Lake JP, Lauder MA. Mechanical demands of kettlebell swing exercise. J Strength Cond Res. 2012;26(12):3209-3216. doi:10.1519/JSC.0b013e3182474280

Life and Physical Sciences

Berry Summer Thesis Institute

Identifying the Effects of Low Temperatures and Propionate on L. monocytogenes Growth and Pathogenesis: A Review

Lizzy Herr1,2,3

University of Dayton

300 College Park, Dayton, OH 45469

1.      Department of Biology

2.      Berry Summer Thesis Institute

3.      University Honors Program

Thesis Mentor: Yvonne Sun, Ph.D.

Department of Biology

Corresponding Author: Yvonne Sun, Ph.D.

Abstract

Listeria monocytogenes is a pathogen with the capability of causing severe illness in individuals who consume contaminated foods. Many foods have been found to harbor the bacterium, but dairy products, produce, and other prepackaged foods are particularly susceptible. These foods and others are commonly stored in cold temperatures to limit most bacterial growth. However, previous research has shown that L.monocytogenes has unique adaptations that promote its growth in low temperatures. To counter the negative effects of cold temperatures, L. monocytogenes alters its membrane composition to maintain its integrity. Alterations to the cell membrane of L.monocytogenes are also an effect of propionate, a common food additive and short chain fatty acid found in the human intestinal tract. In past research, propionate has been proven to reduce L. monocytogenes growth and pathogenesis by decreasing membrane fluidity. However, the effects of both cold and propionate on L. monocytogenes pathogenesis are not known. To address this knowledge gap, my research investigates and analyzes how cold temperature and propionate affect the ability of L. monocytogenes to infect and grow within eukaryotic cells. I have found that propionate has no significant influence on the optical density of L. monocytogenes cultures grown between 4°C and 10°C in both aerobic and anaerobic conditions measured over four days. To further examine the effects of cold temperatures and propionate on L. monocytogenes, I will use cell culture-based infection models to measure L. monocytogenes pathogenesis and cell-cell spread in macrophage and fibroblast cells.

L. monocytogenes outbreaks and recalls

Listeria monocytogenes is a Gram-positive, rod shaped, facultative anaerobe that functions as an intracellular pathogen. L. monocytogenes is a food-borne pathogen that is transmitted through contaminated foods. Outbreaks of L. monocytogenes are commonly seen in foods such as meats and cheeses, other dairy products, and pre-packaged produce items5.  Recent outbreaks have been caused by ice cream (2022), packaged salads (2021), and queso fresco (2021)5. Additionally, one of the largest outbreaks of L. monocytogenes (2012) was linked to cantaloupe5. These outbreaks were investigated by the Centers for Disease Control and Prevention and recalls for the contaminated foods were issued by the FDA. Because of the pathogen’s unique ability to survive in a variety of harsh environments, outbreaks of L. monocytogenes contribute to a leading proportion of recalls by the federal government. In 2021, possible and confirmed contamination with L. monocytogenes was the second leading cause of food recalls, making up 18.9% of all food recalls7

Instances of L. monocytogenes are taken seriously by the federal agencies because L. monocytogenes is a dangerous bacterium that is implicated in the potentially fatal disease listeriosis.

Listeriosis

L. monocytogenes surveillance and infection incidences are taken seriously by the federal agencies because consumption of foods contaminated with L. monocytogenes can lead to the potentially fatal disease, listeriosis—with a mortality rate of 20-30%5. There are an estimated 1,600 cases of listeriosis each year, of which about 260 results in death5. In comparison to listeriosis cases, other enteric infections cause significantly more cases per year. For example, norovirus infections make up 58% of all foodborne infection cases per year in the United States, and the CDC reports about 2,500 reported outbreaks per year4. Similarly, infections by Salmonella are one of the most common foodborne illnesses in the United States, with 1.35 million cases per year, of which 420 are fatal16 . Finally, E. coli infections number around 265,000 per year with around 100 fatal cases13 While the yearly number of cases of listeriosis is lower than other illnesses caused by food-borne pathogens, its steep mortality rate heightens the danger of the disease.

Groups at high risk for listeriosis include pregnant, elderly, and immunocompromised individuals. Symptoms of listeriosis in most individuals present as flu-like symptoms including fever, headache, or confusion. However, severe symptoms of listeriosis can include infections of the brain, causing meningitis, and bloodstream infections, causing sepsis5.  Listeriosis in pregnant people can cause great harm to the fetus, including severe fetal infection, miscarriage, or stillbirth. The high mortality rate of listeriosis makes it a serious threat to the health and safety of the public.

Listeria monocytogenes resilience under stress conditions

One reason that the threat of L. monocytogenes is so high is the ability of the bacterium to survive in environments designed to inhibit microbial survival.  L. monocytogenes can survive and grow under a variety of different environmental stressors including acidic stress, osmotic stress, and cold stress3.  In acidic environments, typically achieved by fermentation to preserve dairy, meat, and vegetable products, L. monocytogenes can maintain its internal pH even when the extracellular pH is low3. Existing research has demonstrated that pre-exposure of L. monocytogenes to mild acidic conditions, defined as a pH of 5.5, for two hours induces the acid tolerance response, which increases the resistance of the bacteria to acidic, thermal, alcoholic, and osmotic shocks15 L. monocytogenes will often experience acidic conditions at multiple timepoints and in various conditions throughout its lifespan, from its natural habitats of manure or fermented products to foods preserved using fermentation and finally in the gastric secretions of an infected host’s digestive system. Thus, understanding L. monocytogenes resistance to acidic conditions is essential to combating this pathogen.

In addition to acidic conditions, osmotic stress conditions created by high concentrations of salt, sugar, or other solutes are mainly used to improve the sensory experience and increase the shelf life of foods including seafood, cheeses, and meats. Specifically, high concentrations of sodium chloride suppress bacterial growth by decreasing the water activity in the extracellular environment forcing the cells to lose water, which subsequently enhances plasmolysis, drops turgor pressure, and inhibits bacterial amplification14. Under these conditions, L. monocytogenes will maintain its turgor pressure and prevent water loss by increasing its uptake of potassium ions into the cytoplasm and replacing some K+ ions with compatible osmolytes3 .

Food processing facilities take strict measures including acidification, chemical preservation, and cold storage to prevent L. monocytogenes outbreaks, but the pathogen’s high resilience to such conditions make it an especially dangerous threat to food safety. Therefore, understanding how L. monocytogenes responds to preventative measures helps us keep our food and the people who buy it safe.

Listeria monocytogenes cold adaptations

In addition to surviving under acidic and osmotic stress conditions, L. monocytogenes can survive and thrive under cold stress. L. monocytogenes possesses a unique set of adaptations that it enacts in cold temperatures (defined as between 4°C and 10°C). These adaptations allow the pathogen to survive and multiply in temperatures as low as -4°C 20. Many of these adaptations involve changes to the cell membrane of L. monocytogenes to preserve the structure and function of the membrane. The cell membrane is the innermost and final line of defense for a bacterium and preservation of its integrity is integral to bacterial viability. A key component of maintaining membrane integrity involves the retention of fluidity across the membrane. However, environmental stress conditions can disrupt this fluidity and cause damage to the internal workings of the bacterium. The bacterial cell membrane, like all prokaryotic cell membranes, is made up of a lipid bilayer and associated proteins21.   Fatty acids are implicated in the cell membrane as acyl constituents of phospholipids or neutral lipids in the cell membrane, and the composition of fatty acids in a bacterial cell membrane is modulated by environmental growth factors14.   In instances of environmental stress conditions, membrane stress responses can resolve the loss of fluidity through modifications of the cell membrane including altering the length, branching, or saturation of the fatty acids; changing membrane lipid composition; or synthesizing proteins to modify or protect the cell membrane21

Under cold stress, several components of a bacterial cell experience profound effects. Reaction rates of cellular processes are generally slowed down, RNA and DNA secondary structures are stabilized, and cell membrane fluidity is decreased19.  Of significant importance to my research are the adverse effects of decreased cell membrane fluidity and the specific adaptations that L. monocytogenes uses to combat these effects. Major effects of decreased fluidity include: an inability to pump ions across the membrane, a gel-like membrane that inhibits normal protein functioning, and leakage of cytoplasmic content2. To combat these negative effects of cold stress, L. monocytogenes enacts a series of alterations to its cell membrane by regulating gene expression. Existing research typically agrees on three major changes that L. monocytogenes makes to its cell membrane. The molecular adaptations are as follows: (i) a shortening of the membrane fatty acids, (ii) an alteration in the degree of unsaturated fatty acids in the membrane, and (iii) a change in the branching of the methyl end of the fatty acid19. These alterations re-establish membrane fluidity and lower the gel-to-crystalline transition state temperature by lowering fatty acid melting points.

To further expand on the membrane adaptations instituted by L. monocytogenes in cold temperatures, it is important to reiterate that the adaptations are made with the intent of reestablishing membrane fluidity and breaking up the close-packed membrane fatty acids that persist at low temperatures. The first adaptation of L. monocytogenes is a shortening of the membrane fatty acids (i), meaning the fatty acid chains are composed of fewer carbons. Past research on this adaptation identifies a progressive decrease in the levels of anteiso-C17:0 fatty acids and subsequent increase in the levels of anteiso-C15:0 fatty acids at temperatures below 30°C11 Likewise, Julotok et. al found that “the major change in the fatty acid composition of cells grown in unsupplemented BHI medium at 10°C from that of cells grown at 37°C was fatty acid shortening . . . so that the proportion of anteiso-C15:0 increased to 66.7% of the total fatty acids at the

expense of anteiso-C17:0”12. Fewer carbons in a fatty acid chain contributes to increased membrane fluidity by reducing the carbon-carbon interactions between chains2.   The second adaptation of L. monocytogenes is an alteration in the branching patterns of the membrane fatty acids (ii). Under cold stress, the bacterium will increase the ratio of anteiso to iso branched membrane fatty acids. Existing research has demonstrated that in L. monocytogenes grown under 20°C, the percentage of i-C15:0 decreased slightly and the percentage of a-C15:0 increased significantly1. Anteiso fatty acids have a higher cross-sectional area than iso fatty acids and more efficiently break up the close packing of fatty acyl chains that develops in cold temperatures1 Further, anteiso fatty acids have been proven to have a lower phase transition temperature (-13.9°C) than iso fatty acids (-7°C) in phosphatidylcholine1. A lower phase transition temperature will slow or prevent the formation of a gel-like membrane in low temperatures. The final alteration (iii) to the cell membrane of L. monocytogenes in cold temperatures is an increase in the concentration of unsaturated membrane fatty acids3. Unsaturated fatty acids contain carbons that are lacking in hydrogens, meaning that double bonds form within the chain. These double bonds create kinks and bends in the chain which further disrupt the close-packed structure of the membrane in cold temperatures and restore fluidity.

Effects of propionate on L. monocytogenes

Propionate is a food additive and a metabolite byproduct of our gut microbes. It is Generally Recognized as Safe by the Food and Drug Administration as an antimicrobial and flavoring agent6 The effects of propionate on L. monocytogenes growth are dependent on a variety of factors, and existing research presents conflicting results regarding the effectiveness of propionate against L. monocytogenes. The chemical has been proven to both have no inhibitory effect18 and a significant inhibitory effect8 on L. monocytogenes growth in lettuce and deli meats, respectively.

In defense of the inhibitory growth effects of propionate is existing research introducing L. monocytogenes cell membranes as a site of action of propionate. Past research has demonstrated that propionate is effective as an antilisterial agent because it lowers the proportion of anteiso fatty acids in the membrane. At 37°C, 100mM of propionate proved to lower the total proportion of anteiso acyl chains from 84.3% to 70% 12. Further, unbranched-C13:0 fatty acids appeared at a proportion of 10.6% after cells were exposed to propionate12. This new shortening of the acyl chains might be aimed at restoring membrane fluidity in response to the decrease in anteiso branching.

Like the effects of propionate on L. monocytogenes growth, a variety of factors might influence the effects of propionate on L. monocytogenes pathogenesis. Oxygen is of particular importance when investigating said effects. Prior research has proven that the presence or absence of oxygen during L. monocytogenes growth prior to treatment with propionate will influence subsequent infectionsof macrophage cells. Our lab has found that pretreatment with propionate in anaerobically grown L. monocytogenes significantly enhanced subsequent infections in macrophage cells9. However, in L. monocytogenes grown under aerobic conditions, pretreatment with propionate notably decreased infections in macrophage cells9

Perspectives

Currently, the effects of exposure to cold and propionate on L. monocytogenes pathogenesis is unknown. While the effects of low temperatures and propionate individually are well understood, we do not know how exposure to propionate in cold conditions influences L. monocytogenes fitness and ability to cause infections in individuals who consume contaminated foods. The variables of low temperatures and propionate mimic conditions experienced by L. monocytogenes in prepacked, cold-stored foods that are common sites of L. monocytogenes outbreaks. Further,

understanding the role of oxygen and how it might affect L. monocytogenes pathogenesis in cold temperatures when propionate is present is key to the practical applications of this research. The implications of this research extend to protecting populations at high risk for listeriosis. Understanding how the conditions of low temperatures, propionate, and oxygen modulate the growth and pathogenesis of L. monocytogenes will enhance current protective measures against the pathogen and may give rise to new ones.

Acknowledgements

I would like to offer many thanks to the various people that made this summer so successful and enjoyable. I want to thank the Berry family and the Berry Family Foundation for their generous support of the Berry Summer Thesis Institute. I would also like to thank the University of Dayton Honors Program making this program possible. Further, I want to thank to the University of Dayton Biology Department for granting me access to the supplies, equipment, and facilities I needed to complete my research this summer. Finally, I want to express gratitude to my mentor, Dr. Yvonne Sun, for her unending guidance and support this summer and beyond, and to the entire Sun lab for their assistance and encouragement.

Bibliography

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14. Osek, J., Lachtara, B., & Wieczorek, K. (2022). Listeria monocytogenes – How This Pathogen Survives in Food-Production Environments? Frontiers in Microbiology, 13 https://www.frontiersin.org/articles/10.3389/fmicb.2022.866462

15. Phan-Thanh, L., Mahouin, F., & Aligé, S. (2000). Acid responses of Listeria monocytogenes. International Journal of Food Microbiology, 55(1), 121–126. https://doi.org/10.1016/S01681605(00)00167-7

16. Questions and Answers | Salmonella | CDC. (2019, December 5). https://www.cdc.gov/salmonella/general/index.html

17. Rinehart, E., Newton, E., Marasco, M. A., Beemiller, K., Zani, A., Muratore, M. K., Weis, J., Steinbicker, N., Wallace, N., & Sun, Y. (2018). Listeria monocytogenes Response to Propionate Is Differentially Modulated by Anaerobicity. Pathogens, 7(3), 60. https://doi.org/10.3390/pathogens7030060

18. Samara, A., & Koutsoumanis, K. P. (2009). Effect of treating lettuce surfaces with acidulants on the behaviour of Listeria monocytogenes during storage at 5 and 20 degrees C and subsequent exposure to simulated gastric fluid. International Journal of Food Microbiology, 129(1), 1–7. doi.org/10.1016/j.ijfoodmicro.2008.10.023

19. Tasara, T., & Stephan, R. (2006). Cold Stress Tolerance of Listeria monocytogenes: A Review of Molecular Adaptive Mechanisms and Food Safety Implications. Journal of Food Protection, 69(6), 1473–1484. https://doi.org/10.4315/0362-028X-69.6.1473

20. Walker, S. j., Archer, P., & Banks, J. g. (1990). Growth of Listeria monocytogenes at refrigeration temperatures. Journal of Applied Bacteriology, 68(2), 157–162. https://doi.org/10.1111/j.13652672.1990.tb02561.x

21. Willdigg, J. R., & Helmann, J. D. (2021). Mini Review: Bacterial Membrane Composition and Its Modulation in Response to Stress. Frontiers in Molecular Biosciences, 8. doi-org.libproxy.udayton.edu/10.3389/fmolb.2021.634438

Determining the Effects of Propionate on Listeria Monocytogenes Susceptibility to Lysozyme Degradation

Jeanne Paula E. Sering1,2,3 University of Dayton

300 College Park, Dayton, OH 45469

1.      Department of Biology

2.     Berry Summer Thesis Institute

3.     University Honors Program

Thesis Mentor: Yvonne Sun, Ph.D.

Department of Biology

Abstract

Listeria monocytogenes is a harmful pathogen transmitted through contaminated food. Listeriosis, the infection associated with L. monocytogenes, is rare but potentially fatal, with a twenty to thirty percent mortality rate. For that reason, the lack of safe strategies to prevent infections can be detrimental. Current infection preventative strategies rely on stringent food surveillance and recalls, but we want to determine alternative tactics to further protect the public from L. monocytogenes. More specifically, we want to identify environmental factors that can compromise the ability of L. monocytogenes to cause infections before the pathogen reaches the intestines. For example, propionate is generally recognized as safe by the FDA and is used as an additive in various food products. Our lab has previously demonstrated that propionate exposure in L. monocytogenes can lead to changes in growth and pathogenesis. To determine how propionate exposure affects L. monocytogenes survival and fitness in the gastrointestinal tract, my thesis project therefore studies the effects of propionate on L. monocytogenes resistance to the lysozyme found in our saliva. If propionate enhances L. monocytogenes lysozyme resistance, the use of propionate in food products might contribute to L. monocytogenes survival during transmission between food and our gastrointestinal tract. However, if propionate decreases L. monocytogenes resistance to lysozyme, it could be beneficial to use propionate as an efficient infection preventative strategy. To better understand the functions of propionate in L. monocytogenes lysozyme resistance, I performed a literature review in the following areas: the importance of oral health, antimicrobial mechanisms in the oral cavity, lysozyme, and Listeria monocytogenes

The Importance of Oral Health

Oral health is often placed on a different plane of existence by the general public in comparison to physical health. When people commit to a lifestyle change, they often start by eating healthier and exercising while overlooking oral hygiene. The importance of oral health is therefore taken less seriously. The reality remains that oral health is an essential component of an individual's overall wellbeing. For example, according to the CDC, oral diseases may lead to issues regarding impairments of speaking, eating, and learning (Oral Health Fast Facts, 2022). Quality of life can be significantly impacted by cavities, severe gum disease, and severe tooth loss (Oral Health Fast Facts, 2022). Moreover, multiple health conditions are connected to oral health in some manner that people are unaware about.

For example, improper care of one’s oral health may lead to health problems elsewhere in the body. Propionibacterium acnes is a bacterium that is a part of the normal microbiota of the skin, oral

cavity, gastrointestinal tract, and genitourinary tract (Achermann et al., 2014). Moreover, the bacterium operates as an opportunistic pathogen that causes invasive infections; these include implant-associated infections which turn heads to dental implants in the oral cavity (Achermann et al., 2014). Implants are a common option that dental patients resort to in order to increase the longevity of the image of their teeth. Dental infections associated with these implants have the possibility to develop into a more serious concern affecting an individual’s overall health. An individual’s overall health is also impacted by the state of one’s oral microbiome, and having an infection located in the oral cavity indicates an unbalanced microbiome. Despite the oral cavity containing one of the most diverse and unique microbiomes, it is also found to be relatively understudied in the field of microbiology today.

A popular topic of study, being the microbiome of the gut, is explored heavily in comparison to the microbiome of the oral cavity (Willis & Gabaldón, 2020). Food that is consumed by individuals enters the oral cavity prior to entering the gut. For the second destination of food to be perceived as more important than the gatekeeper of the human body seems almost retrogressive. Studies have found associations between multiple diseases with increases or decreases of the abundances of organisms in the oral cavity (Willis & Gabaldón, 2020). Along with these findings, particular microbiomes within habitats of the oral cavity have a direct implication with disease and infection. For example, individuals with worse dental health had tongue microbiomes enriched in pneumonia-associated bacteria (Willis & Gabaldón, 2020). Such research reinforces the idea that oral health plays a detrimental part in one’s overall health.

While health problems can originate in the oral cavity, there are instances in which health problems lead to poor oral health. For example, diabetes is a health condition where one has irregular blood glucose levels and results in the individual having less resistance to infection. Individuals diagnosed with this condition are more susceptible to dental issues and gum disease (Diabetes and Oral Health - Better Health Channel, n.d.). This finding further implies that oral health and medical health are constantly intertwined with one another. While these two disciplines constantly intersect, dental health and general health are still disconnected physically.

More often than not, hospitals and dental offices are their own separate entity. At one point in time, dentistry wasn’t a profession but a trade, and the field was reliant on medicine to build a strong foundation (Simon, 2016). The tie between oral health and medical health was severed with the development of health insurance (Simon, 2016). In fact, dental insurance and medical insurance serve two entirely different purposes; medical insurance is intended to cover unpredictable, highcost expenses, and dental insurance is intended to cover predictable, low-cost preventative care (Simon, 2016). This method implicates low-income populations by placing them at a higher risk for being unable to afford needed, high-cost dental care. The historical separation of dentistry and medicine remains prevalent today, and now, people are becoming more aware of the strong correlation between oral and medical health. More and more people are advocating for the need to change and reunite the two fields to make healthcare more accessible to everyone.

Antimicrobial Mechanisms in the Oral Cavity - Oral Microbiome

Numerous antimicrobial mechanisms in our mouth are constantly at work. Over 700 bacterial species reside in the oral cavity and play a pivotal role in regard to human health and the immune system (Fan et al., 2018). Major oral bacteria phylum containing 96 percent of the oral taxa in the human oral microbiome are Firmicutes, Bacteroidetes, Proteobacteria, Actinobacteria, Spirochaetes, and Fusobacteria (Dewhirst et al., 2010). Within the various habitats in the oral cavity, the composition of such species is subject to change. For instance, studies have shown that alcohol consumption can affect the overall composition of the oral microbiome (Fan et al., 2018). If a

commonly consumed beverage by adults can alter the oral microbiota, there is cause for concern about what other substances can affect the oral microbiome.

The microbiome is often responsible for fighting off disease and infections. If thrown off balance, the oral microbiome may encounter disease that can potentially escalate to a systemic disease, not only affecting the mouth. To counter this, saliva and gingival crevicular fluid provide nutrients to maintain a balanced microbiota. For example, hypothiocyanite production is catalyzed by lactoperoxidase reinforcing antimicrobial activities such as inhibiting bacterial glycolysis (Kilian et al., 2016). To add on, proteins form a protective coating that protects the tooth surfaces from acid attacks (Kilian et al., 2016). At the same time, our microbiome can be perturbed by diseases in other parts of the body. For example, obesity, metabolic syndrome, multiple sclerosis, among other chronic health conditions are associated with perturbations of the gut microbiome (Durack & Lynch, 2019). A more diverse microbiome is an indicator of a healthy one, and the previously listed diseases are directly associated with a less diverse microbiome. To further explain, a less diverse microbiome indicates the lack of defenses against infection and disease. Since multiple reactions are occurring in the oral microbiome, the use of more defense mechanisms is essential in the protection of a healthy microbiome.

As a result of the metabolic activities of the oral microbiome, acid, which was previously discussed, is potentially yielded. Acid, the product of the chemical reaction catalyzed by the introduction of sugar to the microbiome in our mouth, is what breaks down our tooth enamel eventually resulting in decay (Understanding the Chemistry of Your Oral Health, n.d.). Our oral microbiome can cause both oral and systemic diseases when not properly protected from pathogens (Deo & Deshmukh, 2019). Therefore, maintaining a healthy microbiome, in which the “good” bacteria outnumber the “bad” bacteria, is essential for living a healthy life without disease.

In relation to oral health and the mechanisms prevalent in our mouth, there are billions of chemical interactions that occur in our mouth. With that being said, there are both advantageous and disadvantageous chemical occurrences that impact our oral health as a whole. An important course of action to note is that there are numerous strategies to maintain excellent oral health, such as eating a healthy diet with limited sugar and balanced acidity.

Antimicrobial Mechanisms in the Oral Cavity - Lysozyme

A specific antimicrobial mechanism found in the saliva is lysozyme, which is an enzyme that catalyzes the degradation of bacterial cell walls. This enzyme is produced and secreted through bodily discharge such as tears, saliva, human milk, and mucus; lysozyme can also be found in egg white, macrophages, and polynuclear neutrophils (Joel et al., 2016). The process in which lysozyme breaks down bacterial cell walls involves the cleavage of peptidoglycan by catalyzing the hydrolysis of β-(1,4) linkages between the NAM and NAG saccharides (Primo et al., 2018). Lysozyme works alongside other molecules in the mouth to maintain the equilibrium of the oral microbiota.

In the oral cavity, lysozyme acts as a defense mechanism against pathogens from spreading infection. Previous studies have shown that lysozyme has the ability to constrain the growth of invasive bacteria, such as L. monocytogenes, in culture broth as well as milk and cheese food products (Ramos & Malcata, 2017). Such findings prove lysozyme a notable factor to consider in antimicrobial studies.

The Foodborne Pathogen Listeria monocytogenes

L. monocytogenes is a gram-positive bacteria that is responsible for causing the infection called

listeriosis. One can contract the disease by consuming contaminated food or by handling contaminated food and transferring the bacteria from their hands to their mouth. Foods that are particularly susceptible to contamination include produce, dairy products, and pre-packaged foods. Listeriosis is a rare but potentially fatal infection with a mortality rate of twenty to thirty percent (Medicine, 2021). Several groups of people are more at risk of contracting the disease; these groups include the elderly, the pregnant, and the immunocompromised (Commissioner, 2020). We want to find ways to further protect these individuals from anything we consume. While there are infection preventative strategies in place, we want to discover ways to weaken L. monocytogenes ability to infect before the bacteria reaches the gastrointestinal tract.

L. monocytogenes is unique as a bacterium since it has developed ways to persevere even in extreme conditions. To explain further, L. monocytogenes  has a tolerance for both acidic and salty conditions, high and low temperatures, and low moisture content (Medicine, 2021). Such adaptations enable the bacteria to survive in prepackaged food products and processing plants. Essentially, the bacteria is adopting different mechanisms to persist in different environmental conditions using its own structure and resources. Results of a previous study found that L. monocytogenes is able to utilize three enzymes (PgdA, PbpX, and OatA) and two regulators of gene expression (DegU and Rli31) in order to resist lysozyme (Burke et al., 2014). Furthermore, my project focuses on lowering this lysozyme resistance of L. monocytogenes

Final Perspectives

Studying how to compromise L. monocytogenes lysozyme resistance benefits the food industry in terms of making food safer for consumption. The use of food additives has mainly been for extending shelf life and increasing flavors. There might be an opportunity to explore food additives that can help render foodborne pathogens more susceptible to antimicrobial strategies already in place. More research is needed to examine how environmental factors, alternative food additives, and food storage tactics influence pathogen fitness and pathogenesis. I personally would like to further investigate the connection between oral hygiene and L. monocytogenes lysozyme resistance. While the connection between oral and general health has been professionally separated, I am aspired to look at one’s health in a holistic manner. After all, oral hygiene is eminently important to our health.

This research experience has contributed to my personal growth in many ways that I am still continuously discovering. I learned how to design survival experiments tailored to my project and analyze scientific literature that allowed me to broaden my perspective on microbiology studies. To add on, I was introduced to the research process and the tediousness of repeating experiments. Something that Dr. Sun has taught me this summer that finding no significant differences within your results is still a finding. I’ve learned to be proud of what I have accomplished in the time I had and to look at problems I faced from different angles. All the while, I fostered friendships within the lab and with my peers doing research in other disciplines. I’m extremely grateful for the opportunity to begin my research project with insurmountable support from the university.

Acknowledgements

Firstly, I would like to thank my mentor, Dr. Yvonne Sun, for her intellect and guidance in my project. I would also like to thank the University Honors Program, the Berry Family, the Berry Family Foundation, and the Berry Summer Thesis 2022 cohort. Finally, I would like to thank my family and friends for their unending love and support.

References

Achermann, Y., Goldstein, E. J. C., Coenye, T., & Shirtliff, M. E. (2014). Propionibacterium acnes: From Commensal to Opportunistic Biofilm-Associated Implant Pathogen | Clinical Microbiology Reviews. https://journals.asm.org/doi/10.1128/CMR.00092-13

Burke, T. P., Loukitcheva, A., Zemansky, J., Wheeler, R., Boneca, I. G., & Portnoy, D. A. (2014). Listeria monocytogenes Is Resistant to Lysozyme through the Regulation, Not the Acquisition, of Cell Wall-Modifying Enzymes. Journal of Bacteriology, 196(21), 3756–3767.

https://doi.org/10.1128/JB.02053-14

Commissioner, O. of the. (2020). Keep Listeria Out of Your Kitchen. FDA

https://www.fda.gov/consumers/consumer-updates/keep-listeria-out-your-kitchen

Deo, P. N., & Deshmukh, R. (2019). Oral microbiome: Unveiling the fundamentals. Journal of Oral and Maxillofacial Pathology : JOMFP, 23(1), 122–128. https://doi.org/10.4103/jomfp.JOMFP_304_18

Dewhirst, F. E., Chen, T., Izard, J., Paster, B. J., Tanner, A. C. R., Yu, W.-H., Lakshmanan, A., & Wade, W. G. (2010). The Human Oral Microbiome. Journal of Bacteriology, 192(19), 5002–5017.

https://doi.org/10.1128/JB.00542-10

Diabetes and oral health Better Health Channel. (n.d.). Retrieved August 10, 2022, from

https://www.betterhealth.vic.gov.au/health/conditionsandtreatments/diabetes-and-oralhealth

Durack, J., & Lynch, S. V. (2019). The gut microbiome: Relationships with disease and opportunities for therapy. The Journal of Experimental Medicine, 216(1), 20–40.

https://doi.org/10.1084/jem.20180448

Fan, X., Peters, B. A., Jacobs, E. J., Gapstur, S. M., Purdue, M. P., Freedman, N. D., Alekseyenko, A. V., Wu, J., Yang, L., Pei, Z., Hayes, R. B., & Ahn, J. (2018). Drinking alcohol is associated with variation in the human oral microbiome in a large study of American adults. Microbiome, 6(1), 59. https://doi.org/10.1186/s40168-018-0448-x

Joel, T. J., Suguna, S., & Steffi, S. R. (2016). Antimicrobial Activity of Lysozyme against Oral Pathogens. Asian Journal of Pharmaceutical Research and Health Care, 8(2), 42–46.

https://doi.org/10.18311/ajprhc/2016/662

Kilian, M., Chapple, I. L. C., Hannig, M., Marsh, P. D., Meuric, V., Pedersen, A. M. L., Tonetti, M. S., Wade, W. G., & Zaura, E. (2016). The oral microbiome—An update for oral healthcare professionals. British Dental Journal, 221(10), 657–666. https://doi.org/10.1038/sj.bdj.2016.865 Medicine, C. for V. (2021). Get the Facts about Listeria. FDA. https://www.fda.gov/animalveterinary/animal-health-literacy/get-facts-about-listeria

Oral Health Fast Facts. (2022, April 1). https://www.cdc.gov/oralhealth/fast-facts/index.html

Primo, E. D., Otero, L. H., Ruiz, F., Klinke, S., & Giordano, W. (2018). The disruptive effect of lysozyme on the bacterial cell wall explored by an in-silico structural outlook. Biochemistry and Molecular Biology Education, 46(1), 83–90. https://doi.org/10.1002/bmb.21092

Ramos, O. L., & Malcata, F. X. (2017). 3.48—Food-Grade Enzymes☆. In M. Moo-Young (Ed.), Comprehensive Biotechnology (Third Edition) (pp. 587–603). Pergamon.

https://doi.org/10.1016/B978-0-12-809633-8.09173-1

Simon, L. (2016). Overcoming Historical Separation between Oral and General Health Care: Interprofessional Collaboration for Promoting Health Equity. AMA Journal of Ethics, 18(9), 941–949. https://doi.org/10.1001/journalofethics.2016.18.9.pfor1-1609

Understanding the Chemistry of Your Oral Health. (n.d.). Retrieved August 11, 2022, from https://blog.edentalsolutions.com/understanding-the-chemistry-of-your-oral-health

Willis, J. R., & Gabaldón, T. (2020). The Human Oral Microbiome in Health and Disease: From Sequences to Ecosystems. Microorganisms, 8(2), 308.

https://doi.org/10.3390/microorganisms8020308

Anti-Predation Behavior in Response to Conspecific Visual, Olfactory, and Damage Cues in the Three-Spined Stickleback

Claire VanMeter1,2,3

University of Dayton

300 College Park, Dayton, OH 45469

1. Department of Biology

2. Berry Summer Thesis Institute

3. University Honors Program

Thesis Mentor: Jennifer Hellmann, Ph.D.

Department of Biology

Abstract

Predation is a source of mortality for prey, which creates a selective pressure for being able to avoid predators whenever possible. By using alarm cues produced by conspecifics, organisms can be alerted of nearby predators without coming in direct contact with them.  However, we do not know whether individuals can distinguish between different kinds of conspecific cues and if some types of cues may indicate a more severe predation threat compared to others. Three-spined stickleback (Gasterosteus aculeatus) are used as a model for behavioral studies because their defense responses have been well studied and identified, and they are known to respond to both predatory and conspecific visual and olfactory cues. I studied the ability of the three-spined stickleback to distinguish between environmental cues by exposing conspecifics to four different types of conspecific alarm cues: cues of predator-naïve conspecifics (control water with unexposed demonstrator), visual cues of predator-exposed  conspecifics (control water with predator-exposed demonstrator), visual and conspecific olfactory cues (stress cues and predator-exposed demonstrator), and visual, conspecific olfactory, and conspecific damage cues (stress cues, damage cues, and predator-exposed demonstrator).  For 5 minutes before and after exposure to the cues, I watched for four key defensive behaviors: hiding in plants, hiding in the gravel at the bottom of the tank, swimming into the walls of the tank, and shoaling. I assayed 40 conspecifics over 8 weeks, for a total of 160 trials. Directly after each assay, I placed the focal subject in 200ml of RO water in a 600ml beaker for 1 hour to collect waterborne cortisol. I will run this water through ELISA assays to measure the cortisol concentration in the sample. I hypothesize that the conspecifics will be able to distinguish between the severity of the cues, causing an increase in anti-predator behavior response in exposure to all the combined cues in comparison to a few, or none of the cues. I anticipate that through this research, we will gain a better understanding of the influence of conspecific communication, specifically regarding how conspecifics interpret olfactory and visual conspecific cues. Anti-predator behavior is often costly, so being able to determine when such behavior is necessary based on conspecific communication could be a key factor in the survival and success of species.

Introduction

Predation acts as a major source of mortality for prey, so it is evolutionarily advantageous for prey to develop means of avoiding predators without having to come into direct contact with them. This has selected for the evolution of different types of conspecific communication where groups of conspecifics can communicate about their experiences without having to directly contact the stressor. Visual communication is the ability for animals to observe the actions of conspecifics and react accordingly. For example, zebrafish will behave as if a predator is present when a conspecific  (a demonstrator fish) behaves defensively, even without direct visual confirmation of a 82 predator

being present (Silva et al. 2019). Olfactory communication is the sensing or smelling of chemicals in the environment that convey information. For aquatic organisms, this mechanism is key for successfully navigating, finding a mate, avoiding predation, and finding food. For example, the Iowa darter is able to voluntarily release disturbance pheromones when exposed to a stressor to alert conspecifics of danger (Wisenden, Chivers &  Smith, 1995). Brown et al., (2000) also found that fathead minnows show increased antipredator behavior when exposed to the chemicals that are released from conspecific skin when damaged, as it is a sign that there may be a predator in the area. Most animals use a combination of these kinds of cues to communicate both with conspecifics and other organisms in their environment.

Conspecifics use these cues as a means of communicating about the risk of coming in contact with predators, yet it is unknown as to how conspecifics respond according to the severity of these cues. Performing antipredator behaviors are costly, both because they are energetically intensive and reduce time for other activities. It is evolutionarily favorable to be able to determine the minimum level of defensive behaviors needed to maintain safety so an organism's time and energy can be spent on forging and reproduction rather than defense (Tollrian et al. 2015). If individuals can distinguish between the severity of a conspecific cue, they can alter their behavior accordingly, and spend less time performing defensive mechanisms when they do not need to be. By exposing conspecifics to varying degrees of severity of cues, their ability to respond according to the severity of the cues can be measured.

Here, we used the three-spined stickleback, Gasterosteus aculeatus, to understand how individuals alter their anti-predator behavior in response to visual and olfactory conspecific cues. Sticklebacks display a variety of well studied anti-predator behaviors (Landeira-Dabarca et al. 2019), making them an ideal subject for analyzing how conspecifics respond to varying degrees of conspecific cues. A demonstrator was used to create visual conspecific danger cues in combination with stress and damage olfactory cues to create differing levels of perceived danger for the focal subject. The focal subject was then observed both before and after the addition of the cues for defensive behaviors, and waterborne cortisol was collected after the assay. I hypothesize the stickleback will be able to distinguish between the severity of conspecific cues, causing an increase in antipredation behavior and waterborne cortisol in exposure to a combination of visual, olfactory stress, and olfactory damage cues in comparison to a few, or none of the cues.

Methods

Generating Conspecific Visual Cues

I used 40 adult sticklebacks as the focal subjects, with each stickleback going through 4 assays for a total of 160 assays over 8 weeks. The focal subjects were caught in the wild during the summer of 2021, and raised in the lab for the next year in the absence of predators. I assayed each conspecific through 4 different treatments: Control - control olfactory cues with an unexposed demonstrator, Visual Only - control olfactory cues with an exposed demonstrator, Visual and Stress - stress cues with an exposed demonstrator, and Visual, Stress, and Damage - stress and damage cues with an exposed demonstrator. The treatment groups increase in severity of risk of predation for the focal fish, creating different levels of potentially perceived danger. The demonstrator is another adult conspecific in the line of sight of the focal subject to provide conspecific visual cues to the focal subject. The demonstrator was either left predator-naïve or exposed to a predator through three kinds of cues: 1) visual predator cues (a model predator in the line of sight of only the demonstrator and not the focal subject), 2) olfactory predator cues (water from a tank containing a trout that was fed sticklebacks for 4 days; methodology slightly modified from Crane & Ferrari (2014)), and 3) conspecific damage cues. In a trial with a non-predator exposed demonstrator, there is no model

predator used in the center tank, and the demonstrator is only given 105 ml of RO water.  In a trial with a predator exposed demonstrator, the model trout is in the center tank and the demonstrator  is given 100 ml of trout water and 5 ml of conspecific damage cues.

Generating Conspecific Olfactory Cues

Along with the visual cues of the predator exposed or unexposed demonstrator, I gave the focal subjects two different conspecific olfactory cues depending on the trial. For the control conspecific stress cues, I placed 5 sticklebacks in a clean 10-gallon tank, where they sat for one hour, undisturbed. I then removed them, and froze the water until the date of the assay when it was needed. This exposed the focal fish to the scent of unstressed conspecifics, indicating that conspecifics are present but not in danger (Brown & Godin, 1997). 400 ml of these cues were used during the assays for the Control and Visual Only treatment groups. For the conspecific stress cues, the same procedure occurs, except prior to the one hour waiting period, I chased the fish with a 6 in model of a trout for 90 seconds. This caused the conspecifics to excrete stress hormones, which collected in the water (Brown & Godin, 1997). 400 ml of these cues were used for the Visual and Stress, and Visual, Stress, and Damage groups.

I generated the conspecific damage cues by removing the head and organs of adult sticklebacks, grinding the body into fine particles, and allowing the paste to sit in 75ml of water per 1 stickleback for 5 minutes. Once the 5-minute period was over, I removed the large particles through a fine strainer and the liquid was frozen until the date of the assay. This procedure is a modified version of the procedures done by Brown & Godin (1997), and Mathis & Smith (1993). I added these cues to the Visual, Stress, and Damage treatment group, as well as to the demonstrator tank when the demonstrator was predator exposed.

Procedure

I placed both the focal subject and demonstrator into a divided, ten-gallon tank for 20 minutes prior to the assay for acclimation. The tank was divided into two, uneven sections, with the focal section being three times the size of the demonstrator section. A clear, plastic barrier was between the sections, which allowed the conspecifics to see each other but not smell each other. A five-gallon tank was placed perpendicular to the ten-gallon, which contained the removable clay model trout. The ten-gallon tank had blackout paper on select walls to ensure only the demonstrator can see the model trout, and not the focal subject (Figure 1). After the 20-minute acclimation, I observed the actions of both the demonstrator and the focal subject for five minutes prior to the addition of any cues. I observed four key behaviors which demonstrate stress in three-spined sticklebacks: sitting at the bottom in the gravel, hiding in the plants, scototaxis, and shoaling along the barrier (Landeira-Dabarca et al. 2019). Directly after the baseline observation, the cues were added based on the treatment type, and the barrier between the demonstrator and the model trout tank was removed. The demonstrator was exposed to the visual and olfactory cues of the trout predator, or to the control, while the focal fish was exposed to the conspecific visual cues from the demonstrator and the added conspecific olfactory cues. Then, I did another 5-minute observation for the same four key behaviors. After the second observation period, the barrier is put back and the fish are removed. Then, the tank is cleaned and reset with new water for the following assay. Two tanks were set up at once so while one group acclimated another was being observed.

Waterborne Cortisol

This study investigates two different stress responses in the three-spined stickleback: antipredator behavior and waterborne cortisol levels. The observed and recorded anti-predator behavior measures the immediate physical response to the stimuli, while waterborne cortisol records the chemical stress response experienced post-assay. Increased cortisol levels indicate increased stress even when stress-induced behavior is not observed. Cortisol performs an important function in the stress response of organisms and allows for a better chance of survival in high-pressure scenarios by increasing the availability of sugars and promoting the fight or flight response (Ellis et al. 2012). The stress hormone is excreted through the gills, urine, and feces, which accumulates in the water. I collected the cortisol immediately after each assay by placing the focal subject in a clean, 600 ml beaker with 200 ml of RO water, which was left to sit in a dark environment for one hour. After the one-hour period, I removed the conspecific, and collected and froze the water. The week prior to the week of the assays, I acclimated the focal subjects to the cortisol collection process by placing them in 600 ml beakers with 200 ml of RO water in a dark environment for one hour for five days. This acclimates the fish to the stress of being an enclosed space to ensure the stress hormones that collect in the water are from the stress due to the assay and not because they are in an enclosed environment. The collected samples will be thawed and run through the ELISA (Enzo Life Sciences, Farmingdale, NY, U.S.A.) kit by vacuuming the collected water through columns. For detailed methodology reference Dellinger et al. (2018).

Timeline

Moving forward, I will run the frozen cortisol samples through the ELISA assays to measure their cortisol concentrations. Once this is completed, I will organize the raw data and analyze it for significance. Through this analysis, I will get a better understanding of how sticklebacks react,

both chemically and physically, to varying degrees of perceived threat. If my hypothesis is correct, I should see an increase in defensive behaviors and waterborne cortisol as the severity of the treatment increases.

Acknowledgments

I would like to thank the University of Dayton Honors Program for allowing me to participate in the Berry Summer Thesis Institute, and for their constant support through the research process, as well as the Berry Family for their generosity in funding this program. I would also like to give special thanks to my mentor, Dr. Jenn Hellmann, for making this research possible through all her help and expertise.

References

1.   Brown, G. E., Adrian, J. C., Smyth, E., Leet, H., and Brennan, S. (2000). Ostariophysan alarm pheromones: Laboratory and field tests of the functional significance of nitrogen oxides. J. Chem. Ecol. 26, 139–154

2.   Brown, G. E., Godin, J. J. (1997). Anti-predator responses to conspecific and heterspecific skin extracts by threespine sticklebacks: alarm pheromones revisited. Behavior. doi: 10.1163/156853997X00098

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