You are on page 1of 125

Universitas 21 is an international network of twenty-three leading research-intensive

universities in fifteen countries. Collectively, its members enroll over 700,000 students, employ
over 145,000 staff, and have nearly 2.5 million alumni.  The network’s purpose is to facilitate
collaboration and cooperation between the member universities and to create opportunities
for them on a scale that none would be able to achieve operating independently or through
traditional bilateral alliances.

Each year, a member institution hosts the Universitas 21 Undergraduate Research Conference.
The University of Melbourne hosted the sixth annual conference, organized on the theme
“Faculty of Imagining,” from 1 to 7 July 2010. Fifty-eight students attended, representing
twelve countries and nineteen institutions. The University of Virginia’s student-run research
journal, The Oculus, has the privilege of publishing research papers presented at the annual U21
undergraduate research conference.

For more information regarding Universitas 21, visit www.universitas21.com.

The Oculus Co-Editors-in-Chief: Mitchell Leibowitz & Tudor Cisu


Design, Format, Compilation by David Wu

University of Virginia
Charlottesville, Virginia
United States of America
The Oculus: Proceedings of the U21 Undergraduate Research Conference 1

U ni ndergr
U
v eraduate
sita s 21
Research Conference: Melbourne

Table of Contents

(3) Subversive Imaginings: Narrative Strategies in Collette Khuri’s


Layla Wahida
Anandi Rao, University of Edinburgh

(8) Hinduism in Britain and its Direction for the Future


Amy Swanwick, University of Nottingham

(12) Re-imagining Missing and Murdered Aboriginal Women in


Canada
Corinne Jones, University of Birmingham

(18) I Think, Therefore I Reappraise: Exploring the Relationships


between Empathy and Emotion Regulation
Elizabeth A. Bendycki, University of Virginia

(23) Imagining the Circumcised Woman: A Critique of the Binary


Logic in Women’s Rights Discourse
Evelyn Wan, University of Hong Kong

(28) Binary Unities: Split Selves in Yves Bonnefoy and Michel Henry
Graham Riach, University of Glasgow

(30) Interpreting Nietzsche’s Perspectivism and What This Means


for our Conception of Knowledge
Jack Wright, University of Edinburgh

(36) Envisaging State Healthcare: A Visual Investigation into Irish


Public Health Campaigns 1945-1958
Jane Hand, University College Dublin

(43) Richard Flanagan’s Gould’s Book of Fish: Rewriting Tasmanian


Ecology
Jill Carman, University of Queensland

(46) A Chinese Verbal Inhibitory Control Task with Potential


Clinical Application
Ka-Man Chong and Sam-Po Law, University of Hong Kong
2
(52) Is Trust a Necessity? A Case Study of Group Lending Within
Microfinance in the Mbarara District, Uganda
Karin Göransson and Anna Östergren, Lund University

(60) Obesity in Scotland: A Quantile Regression Approach to


Studying the BMI Distribution
Kelly Gallacher, University of Glasgow

(66) Drug Discovery from Ardisia elliptica


Jun Feng Lee, National University of Singapore

(72) Continuous Flow, Multi-Phase Reaction Modeling of Biodiesel


Production using Cahn-Hilliard Approach
Lu Han, University of Connecticut

(76) Success Factors in Australian Public Sector Alliance Projects


Matthias Wobbe, University of Melbourne

(80) Genetic Basis for Sexual Dimorphism in the Lizard Anolis


sagrei
Megan Kobiela, University of Virginia

(84) Generating Automatic Abstractive Summaries of Product


Reviews: The ASSESS System
Nicholas FitzGerald, University of British Columbia

(88) Agricultural Credit in India: An Essay


Sourovi De, University of Delhi

(91) Bacterial Metallothionein, SmtA, as a Virulence Factor


Stephanie Davis, University of Connecticut

(97) Gender Differences in Imagination Among Indian Adolescents


Uma Ranganathan, University of Delhi

(102) Language Rights and the Security Dilemma: Education Policy at


the Margins of Contemporary China
Verity Robins, University of Nottingham

(108) From the Culture Industry Thesis to Deconstruction: H(a)unting


Issues of Representation
Veronika Fafienski, University of Birmingham

(114) The Role of Connexins in Adult Neurogenesis


Xien Lei Liversidge, University of Auckland

(118) Capacity Factors of a Point-to-point Network


Yuan Li, Yue Zhao and Haibin Kan, Fudan University
The Oculus: Proceedings of the U21 Undergraduate Research Conference 3

Subversive Imaginings: Narrative Strategies in


Collette Khuri’s Layla Wahida
Anandi Rao
University of Edinburgh

Abstract

For marginalised groups in society, the imagination and imaginative techniques are key to expressing
ideas and opinions that have hitherto been silenced. This is even more so in a country like Syria where
censorship of the written word has been prevalent in one form or another for over a century. In this paper
I will look at imaginative narrative techniques in Layla Wahida, a novel by Collette Khuri as an example of
this. Born in 1937 Collette Khuri is a Syrian novelist, poet and short story writer. When she began writing
in the late 1950’s and early 1960’s she was one of the first women to write about women’s desire and female
sexuality from a woman’s point of view. Since these themes were taboo to an extent, she used imaginative
techniques in a subversive manner in her writing. Of the numerous strategies that she uses this paper will
focus on her use of ellipsis points and ‘extraliterary genres’. The overall discussion in the paper is informed
by an understanding of the work of discourse theorist Mikhail Bakhtin, whose work on the narrative, the
word and the dialogue, has often been appropriated by feminist literary critics as a means to breakdown
traditionally held dichotomies like male/female, public/private, and objectivity/subjectivity to name a few.
Introduction the country4. There have, of course, been women
Literary canons have traditionally been writing in the country from the early decades of
dominated by men, and given this, women writers the century5, however the texts they have written
have often worked with and tried to subvert have often been seen as being more ‘personal’ or
techniques used by their male counterparts in ‘private’ in nature rather than being ‘literary’ and/
order to forge a literary tradition of their own1. In or ‘political’ like those of their male counterparts.
this paper I look at the ways in which Syrian author Collette Khuri’s work, too, can be seen as being
Collette Khuri does this in her second novel Layla more ‘personal’ and ‘confessional’ and not ‘political’
Wahida (A Single Night). Before moving onto the or even ‘literary’. However, in the rest of this paper
novel itself it is worth looking briefly at some aspects I will argue that it is precisely this characteristic
of the political and social climate in Syria in the first that makes her fiction(s) subversive and politically
half of the twentieth century. engaged.
Syria, in the early twentieth century, saw a Collette Khuri was born into an elite Christian
variety of regimes come and go, until 1963 when the family in 1937, in Damascus6. Her grandfather was
Ba‘ath party came to power (See Box 1 for details)2. Faris al-Khuri, a leader of the Syrian independence
It is perhaps ironic that despite all these upheavals movement who later became Prime Minister of
the only constant in Syria right from Ottoman rule Syria in the 1960s. Despite his early nationalist
up to and including the Ba‘athist regime is the tendencies, the government during his tenure as
country, Syria has been fraught with some form of Prime Minister was seen as being too pro-Western.
censorship3. Nonetheless several eminent figures This seemingly conflicting relationship between
of the Arab literary (male) canon including Nizar nationalist sentiments and ‘liberal’ western ideals
Qabbani and Zakariya Tamer have emerged from was experienced by not only nationalist leaders
educated in France but also by the women in their
households like Collette, who was educated at the
1  Feminists right from Virginia Woolf (A Room of One’s
Own) to Elaine Showalter (A Literature of Their Own)
Arab French Institute. Furthermore, despite the
and Sandra Gilbert and Susan Gubar (The Madwoman fact that Syria is a Muslim majority country it has
in the Attic), among others have looked at the dearth of always had a sizeable population of minorities, up
a female English literary tradition. In the case of Ara- 4  For my discussion I am using Syrian to describe au-
bic literature, Ashour et al. make a strong case for the thors who either, through their work, can be identified
existence of a female literary tradition. However, most as Syrian or write, live and work in Syria.
general introductions to Modern Arabic Literature 5  Subhi Hadidi and Iman al-Qadi, ‘Syria’, in Radwa
mention one or two women, if any. Ashour, Ferial J. Ghazoul and Hasna Reda-Mekdashi,
2  Timeline adapted from Samar Attar, Lina: A Portrait of eds., Arab Women Writers: A Critical Reference Guide
a Damascene Girl ,Colorado Springs: Three Continents 1873-1999, trans. Mandy McClure, Cairo: The Ameri-
Press, 1994, 214-217. can University in Cairo Press, 2008, 60.
3  Mohja Kahf, ‘The Silences of Contemporary Syrian 6  All Biographical details are from Ashour et al Arab
Literature’, World Literature Today 75.2 (2001) 230. Women Writers.
4

Box 1. Political Context: Early 20th Century Syria Box 2. Religious groups in Syria

until the present. Surprisingly enough, members of of voices, but these voices emanate from a ‘plurality
these minorities, like the Khuri family, have often of equal consciousnesses’8. The operative word in
occupied positions of power (see box 2). Collette this case is ‘equal’ because this multiplicity of voices
rose to fame with her first novel Ayyam Ma’ah (Days is not relegated to the periphery; rather each of them
with Him) which was published in 1959. It was is treated as being equally valid. It is this strategy
controversial in its depiction of female desire and an that makes a polyphonic text subversive and is one
affair between a young female poet and a musician of the reasons why Bakhtin is appropriated by critics
outwith the confines of marriage. At the same time, analysing literature by ‘minority’ groups.
speculation was also rife that the novel was based This dialogic interconnectedness between
on Collette’s affair with acclaimed Syrian poet Nizar and across various elements in the texts, as well as
Qabbani. She has since published several novels and the use of polyphony as a strategy forms the basis
collections of short stories and poetry. of my analysis of Syrian women’s fiction.  In recent
times Syrian fiction, especially women’s fiction,
Theoretical Framework has not been the subject of much literary analysis,
Feminist literary critics have often turned to perhaps due to relative lack of conflict in Syria when
discourse theorist Mikhail Bakhtin, and his work compared to the rest of the Levant (Lebanon and
on the narrative, the word and the dialogue, as a Palestine specifically).  In the texts, however, there
means to breakdown traditionally held dichotomies is conflict in the Bakhtinian sense of interaction
like male/female, public/private, and objectivity/ between various voices/positions. This conflict,
subjectivity to name a few. Bakhtin, with his in the case of women authors specifically, is often
emphasis on the dialogic interconnectedness within the female protagonist/narrator herself,
between the individuality of the speaker, and the rather than between different characters or contexts.
social factors that impact the meaning of what is For instance Reem, the protagonist of Collette Khuri’s
said, develops a fluid model of meaning creation Ayyam Ma‘ah, is a polyphonic character, voicing her
instead of a polarising one. It is however problematic identities as a woman, as a Syrian, as a young person,
to unequivocally appropriate his work to women’s as an educated person etc. These different identities
writing because, by and large, he did not mention are often in conflict with one another. This analysis
any writing by women in his literary criticism. of the subversive nature of some of the narrative
However, some of the concepts he uses in his strategies adopted by Collette Khuri is informed by
analysis of Dostoevsky’s work and the novel as a the Bakhtinian concepts outlined above.
genre are useful as starting points for the analysis
of various fictions. Of Voices and Silences: Stylistic
One such concept is that of ‘heteroglossia’, Strategies in the Novel
which is a web-like coming together of ‘a diversity Given that canonical literature has traditionally
of social speech types and a diversity of individual consisted of works by men, destabilisation of
voices.’7 The implication here is that a heteroglossic conventions is a particularly potent means to resist
text is one that challenges the dominant discourse by patriarchy and its confines for women writers, in this
giving voice to different points of view. For Bakhtin, case from Syria. However, this resistance is fraught
the novel was a prime example of such a text, because with complexities as is the notion of a ‘woman
there was often conflict between the voices of writer’- a category impossible to homogenise. This
different characters, or between that of the narrator makes strategies adopted for this end complex as
and the characters. As an extension of this, he goes well. They involve an interaction between and the
on to describe Dostoevsky’s particular style as being articulation of, perhaps paradoxically, various voices
‘polyphonic’ – one where not only is there a plurality and silences. This section will look at two such
strategies: the appropriation of ‘extraliterary genres,’
7  M. M. Bakhtin, The Dialogic Imagination: Four Essays,
trans. Caryl Emerson and Michael Holquist, Austin: 8  Mikhail Bakhtin, Problems of Dostoevsky’s Poetics, trans.
University of Texas Press, 1981, 263. R. W. Rostel, Ann Arbor, Michigan: Ardis, 1973, 4.
The Oculus: Proceedings of the U21 Undergraduate Research Conference 5
which allows different voices to be expressed, and morning when she was in Marseilles with her
the use of pauses, specifically ellipsis points, which husband, Rasha writes, ‘remember?’13in an attempt
focuses more on silences in Layla Wahida. to reach out to the implied reader and involve him
Layla Wahida is for the most part a letter written in the process of remembering. Such an invitation
by Rasha to her husband recounting the events of the is interesting for several reasons. First, it highlights
previous night, which she spent with another man. that the creation of memory and by extension
Rasha and her husband are in Marseilles because history, is a collaborative process. Second, by asking
he has work there. She has a doctor’s appointment her husband to remember and corroborate her story,
in Paris which she is forced to go to alone after her she is seeking a form of legitimacy. Third, and this
husband gets tied down with work. It is in Paris that is somewhat paradoxical to the second point, by
she meets the other man and writes the letter to her inviting her husband to participate in the creation of
husband from the hotel room the following morning. these memories, she is indicating his complicity in
The first strategy is the use of ‘extraliterary the societal elements that have made her complacent.
genres’ – ‘the genres of everyday life ’9. This At the same time, however, she often slips into her
includes, among other things, the incorporation of husband’s consciousness while trying to guess his
diaries, and letters. In doing so not only does the text reaction. For example, she says:
cross ‘the boundary of what we call strictly fictional
literature’10 but it also highlights issues of narrative ‘My words have astonished you... my
authority and subjectivity. Furthermore, it questions opinions have frightened you... and have
notions of grand narratives as well. made you wonder what has happened to
Collette Khuri does this in Layla Wahida by her to make her philosophise so... she, who
writing the novel in the form of a long letter from used to normally write to me about nothing
Rasha to her husband, written after she has spent the but the ordinary...
night with another man. By using this form, Khuri Yes, what’s happened to her?
challenges literary conventions in a vein similar to What’s happened to me...14’
that of her protagonist Rasha, who challenges the
linguistic conventions of daily life, and sees them This extract, is in fact in a Virginia Woolfesque
as originating in patriarchy. The novel begins with style of free indirect speech where a third person
such a challenge when Rasha questions the reasons narrative is combined with an individual character’s
why she usually begins letters to her husband with stream of consciousness. Until the ‘so’ the voice is
the phrase, ‘My Dear Husband’. She describes clearly that of Rasha, the narrator. However, from
this phrase as being one, which ‘her pen used to that point up until ‘her?’, it switches to her husband’s
write automatically’11. The interesting thing in this consciousness even if she remains the one voicing it.
sentence is that the subject of the verb ‘write’ isn’t As a woman, and perhaps especially as a wife this
Rasha, but is the pen, thereby implying not only serves to subvert the authority of the voice of the
that this sentence is written in a state of extreme husband by showing its predictability and the ease
unconsciousness but also, if the word ‘pen’ is being with which it is assumed by her.
used metonymically, that social factors condition This usage of the implied reader also
the individual woman in this manner. She goes on complicates the position of the actual reader. For
to speculate on the reasons why she unconsciously instance, it is easy for the actual reader to assume
uses this phrase. One of the reasons she comes up the role of the implied reader, even without
with has to do with being taught from a young age necessarily empathising with or taking on the role
that husbands were meant to be ‘dear’12. Both the of the husband. This can have a twofold implication.
act of questioning and the results it yields serve to Firstly, the actual reader, like the implied reader
unhinge conventions – in this case it is the ‘husband’ has an opportunity to actively engage with the
who is portrayed as always being ‘dear’ to the wife letter writer, given the predominance of rhetorical
– especially those implicitly created by patriarchy. questions posed in the letter. Secondly, even if the
Another convention that using the letter actual reader does not identify with the character of
undermines is the position or the role of the reader. the husband, her thought process may be guided by
As the novel is a letter, the implied reader is Rasha’s the thoughts that Rasha attributes to her husband.
husband, even if he doesn’t actually read the letter The way in which Khuri uses the rhetorical
during the course of the narrative. Furthermore, this question in Layla Wahida leads to another technique
letter engages with the implied reader extensively. employed in the text being discussed here, the use
For instance, while describing events of the previous of ellipsis points (‘...’). Khuri seems to repeatedly use
them to indicate pauses in the thought processes of
9  Bakhtin, Dialogic Imagination, 33. various characters, as well as to provide opportunities
10  Bakhtin, Dialogic Imagination, 33.
for the reader to interact with the text and play a
11  Collette Suhayl Khuri, Layla Wahida, Beirut: al-Maktab
al-Tijari, 1961, 13. 13  Khuri, Layla Wahida, 20.
12  Khuri, Layla Wahida, 14. 14  Khuri, Layla Wahida, 14-15.
6
part in the creation of meaning. For example, in the Conclusion
quote above, consider the uses of the ellipsis points Along with using ‘extraliterary’ genres, this
between the phrases ‘my opinions have frightened technique of having pauses/omissions and using
you’ and ‘and have made you wonder’. Instead of ellipsis points also makes the texts ‘heteroglossic’
explaining the reasons behind or the manifestations in that it marks the coming together of ‘literary’
of the fright, all the reader (whether actual or implied) and ‘everyday’ languages. Pauses, as signified
gets is a forced pause between thoughts. As with any by the ellipsis points in the written text, are a
reader-response based analysis15, the meaning that common feature of speech16, and by giving them a
this pause can carry is manifold and depends on the visual representation, the boundaries between oral
reader. This pause for instance, could evoke any, all, and written texts are blurred. Moreover, it is also
none or a combination of the responses given below indicative of the ‘struggle’ between what Bakhtin
(other responses are potentially plausible as well), calls ‘authoritative discourse’ and ‘internally-
depending in part on which word of the preceding persuasive discourse’17. For him the former is
phrase, the reader places the most emphasis on. If the ‘word of the fathers’ the authority of which
the emphasis in her mind were on ‘opinions’, she was ‘already acknowledged in the past’18 while the
may use the pause to consider the opinions Rasha latter is closer to ‘retelling a text in one’s own
has presented, and her response to them, whether words’19. This implies an intense dialogue between
of fright or of any other. If the emphasis were on narrative conventions and traditions and individual
‘frighten’, or if the opinions in question did frighten subjectivity. In the case of the texts looked at here
her just as they are assumed to frighten the implied this can be seen more in terms of resistance against
reader, the pause may be used to experience the the narrative traditions, conventions or as Bakhtin
physical sensation of being frightened, or its after- calls it the ‘word of fathers’20which for a woman
effects. If however the emphasis were on the use of writing, and especially the women considered here,
the pronoun ‘you’, the pause may evoke a fleeting takes on a highly gendered meaning.
moment of self-reflection on her personality. For
the implied reader and his (i.e. Rasha’s husband) References
relationship and interaction with Rasha, the pauses 1. Ashour, Radwa, Ferial J. Ghazoul and Hasna
could represent the implications of the statements Reda-Mekdashi (eds.), Arab Women Writers: A
presented, which might be quite radical if they were Critical Reference Guide 1873-1999, trans. Mandy
explicitly voiced by a woman. As an example of this McClure, Cairo: The American University in
it is worthwhile to look at the first few sentences Cairo Press, 2008.
from the quotation above: 2. Attar, Samar, Lina: A Portrait of a Damascene
‘My words have astonished you because you Girl, Colorado Springs: Three Continents Press,
are not used to me expressing myself, my opinions 1994.
have frightened you as they challenge your patriarchal 3. Bakhtin, Mikhail, Problems of Dostoevsky’s
authority over me and have made you wonder what Poetics, trans. R. W. Rostel, Ann Arbor, Michigan:
has happened to her to make her philosophise so’. Ardis, 1973.
This time however I have placed probable 4. Bakhtin, M. M., The Dialogic Imagination:
implications in italics in place of the ellipsis points Four Essays, trans. Caryl Emerson and Michael
used by the author. The meaning that the inserted Holquist, Austin: University of Texas Press, 1981.
words convey is however, implicit in the original. 5. Davis, Todd F. and Kenneth Womack, Formalist
Not explicitly saying it is perhaps a strategy Criticism and Reader-Response Theory,
adopted by the author to expose ingrained states Basingstoke: Palgrave, 2002.
of mind without being controversial, or at any rate 6. Gilbert, Sandra M., and Susan Gubar, The
more controversial than some of Khuri’s work was Madwoman in the Attic: The Woman Writer and
perceived to be. Moreover, in many ways, not stating the Nineteenth Century Literary Imagination,
it makes it all the more powerful both because it puts New Haven: Yale University Press, 1979.
some of the onus of the situation on the reader and
also because it mirrors the silences that are often 16  The link between ellipsis points and everyday speech
integral to women’s lives, and that Rasha has had to is discussed in Anne C. Henry, ‘The Re-mark-able
Rise of ‘...’: Reading Ellipsis Marks in Literary Texts’ in
endure before the events of that particular night.
Joe Bray, Miriam Handley, and Anne C. Henry (eds.),
15  The primary questions that reader-response criticism Ma(r)king the Text: The Presentation of Meaning on the
explores revolve around the existence of multiple Literary Page, Aldershot: Ashgate Publishing, 2000, 138.
readings and their relative plausibility as well as 17  Bakhtin, Dialogic Imagination, 424.
validity. Todd F. Davis and Kenneth Womack, Formal- 18  Bakhtin, Dialogic Imagination, 342.
ist Criticism and Reader-Response Theory, Basingstoke: 19  Bakhtin, Dialogic Imagination, 424.
Palgrave, 2002, 51. 20  Emphasis mine.
The Oculus: Proceedings of the U21 Undergraduate Research Conference 7
7. Hadidi, Subhi and Iman al-Qadi, ‘Syria’, pp. 60-97
in Radwa Ashour, Ferial J. Ghazoul and Hasna
Reda-Mekdashi (eds.), Arab Women Writers: A
Critical Reference Guide 1873-1999, trans. Mandy
McClure, Cairo: The American University in
Cairo Press, 2008.
8. Henry, Anne C., ‘The Re-mark-able Rise of
‘...’: Reading Ellipsis Marks in Literary Texts’
pp. 120-142 in Joe Bray, Miriam Handley, and
Anne C. Henry (eds.), Ma(r)king the Text: The
Presentation of Meaning on the Literary Page,
Aldershot: Ashgate Publishing, 2000.
9. Kahf, Mohja, ‘The Silences of Contemporary
Syrian Literature’, World Literature Today 75.2
(2001) 224-236.
10. Khuri, Collette Suhayl, Layla Wahida, Beirut: al-
Maktab al-Tijari, 1961.
11. Khuri, Collette, Days with him, trans. Farishta
G.de Sayess and A.de Sayess Abbasi, Damascus:
MAS, 2005.
12. Showalter, Elaine, A Literature of Their Own:
British Women Novelists from Brontë to Lessing,
London: Virago Press, 1982.
13. Woolf, Virginia, A Room of One’s Own, London:
Penguin Books, 2004.
8
Hinduism in Britain and its Direction for the Future
Amy Swanwick
University of Nottingham

Abstract

The future of Hinduism in Britain should be considered in light of its history and
current trends. Two distinct directions are acknowledged here, the dilution of the faith and
the search for more a more philosophical and scripture based understanding of the religion.
The faiths shift to the domestic realm is also explored and analysed as well as the possible reasons for this
change. Through previous research and interviews all these trends are isolated and discussed here in order
to make predictions about the future of Hinduism in Britain.

Introduction is less required as a source of community.


Hinduism has always been a religion centred For the first British Hindus the temple fulfilled
on its geographical location. The Persians are known a number of religious and cultural needs. In most
to use the term ‘Hindu’ during the first millennium cases I have found that these needs were in direct
AD in reference to the people living in the region relation to the different geographical locations from
of the Indus valley, the country of India.1 The which its members came from in India, East Africa
name of this home is Bharat, meaning India, and or the Caribbean, or due to the complex web of
the connection between Hindus and the land is caste originating sects found in Britain. Along with
important spiritually.2 ‘Within the bounds of Bharat religious practice I would argue that the temple
the Hindu is ritually safe, beyond its boundaries lie organisation was a place for the Hindu, religious
all manner of impurities and pollutions.’3 Therefore and ethnic minorities to come together in shared
it is interesting to see what happens to this religion, experiences and goals. Some of the uses of the temple
so defined by its geography, when its location is were very different when compared to the practice
changed in a drastic migration, in this case its move established in India and some adaptations had to be
to Britain. While for some older generation Hindus made, Ursula King argues that ‘the temple helps to
maintaining Indian tradition has become very express and enforce a separate religious and cultural
important, the younger members of the community identity and it has thus acquired a new function for
who have grown up in Britain feel somewhat which there is little need in India.’4 R. Jackson agreed
differently. This article is built on a dissertation that this new situation which Hinduism was faced
which considers the Hindu faith within its new with in Britain meant, ‘the temple is no longer just a
context and its current form and trends. Based on centre for devotion, but is an oasis of Indian culture
previous research and insights obtained through in an alien environment.’5 Once Hindus initially
an interview process it attempts to make educated started settling in Britain more community based
predictions for the future of Hinduism in Britain. forms of worship began to take place, ‘the number of
Hindus in local areas grew, as they gained in wealth,
Discussion as their social networks extended and strengthened,
One of the main generational differences and as they grew in experience and confidence
which has been brought to light through this in organising themselves, making use of public
process is how the younger generations of Hindus facilities and services, and dealing with British rules,
in Britain appear to be taking their religion in two regulations and government bodies.’6 As Vertrovec
different directions. Firstly a more diluted version of states, ‘one temple after another was founded in rapid
Hinduism has arisen, much as a result of a British succession.’ Within 10 years there were 82 temples in
upbringing, which has brought about more private Britain and the numbers were still increasing.’7 One
and secularised faith. Hindus are increasingly 4  King, Ursula, A Report on Hinduism in Britain, Commu-
performing their rituals in their homes; the temple nity Religions Project Research Papers (New Series)
no 2, The University of Leeds, Department of Theol-
1  Vertovec, Stephen, The Hindu Diaspora: Comparative Pat-
ogy and Religious Studies, p6
terns, Routledge, London, 2000, p9
5  Jackson. R, ‘The Shree Krishna Temple and the Gujarati
2  Thomas, Terence, ‘Hindu Dharma In Dispersion’, in The
Hindu Community in Coventry’, in D.G. Bowen (ed),
Growth of Religious Diversity: Britain From 1945, Volume
Hinduism in England, Bradford College, Bradford, 1981,
1: Traditions, Edited by Gerald Parsons, The Open
p61-85
University, Routledge, New York, 1993, p175
6  Vertovec, Stephen, The Hindu Diaspora: Comparative Pat-
3  Thomas, Terence, ‘Hindu Dharma In Dispersion’, in The
terns, p128
Growth of Religious Diversity: Britain From 1945, Volume
7  King, Ursula, A Report on Hinduism in Britain, Commu-
1: Traditions, p175
nity Religions Project Research Papers (New Series)
The Oculus: Proceedings of the U21 Undergraduate Research Conference 9
interviewee explained that upon arriving in Britain integration and assimilation with Britain, this results
there was no temple for him to attend, instead he in less emphasis being placed on the importance
regularly went to a Christian church, he argued his of the temple and community temple worship.
faith could just as easily be practised there as in a There is also a lack of interest and appreciation of
purpose built Hindu building.8 Many other Hindus the languages used by the older generation and
also appeared comfortable to practise their religion the importance of language as a way of connecting
anywhere; it was the friendship and community the community with their historical and cultural
spirit among people of shared background that ties. It appears that many young Hindus are more
needed to be recreated in the British setting. attached to their British identity and language,
Therefore the temple was important in its role to the which given the majority of them were born here
community formation and the functions it provided seems understandable. This shows that Hindus
within that realm. Kim Knott argues that strong have been successful in their assimilation to the
social ties were needed and indeed found for British host country, but that some traditions and aspects of
Hindus, allowing them to form organizations, pass importance may have been lost or diluted along the
on traditions to younger generations and to continue way. Caste, language and religious ritual, while still
communal rituals.9 It is perhaps surprising then recognised, do appear less important to many young
to find that the young people interviewed for this Hindus, another sign that times have changed.
research admitted that they do not regularly attend This dilution of Hinduism in Britain seems
a temple, when they do it is for a special occasion troubling to some of the 1st generation Hindus. One
such as a festival. Without religion being a part of a father explained in an interview that he wished his
regular routine it has begun to have less of an impact daughters knew more about their religion, culture
on the believer’s life. One 18 year old girl explained and language. He showed disappointment in their
to me that her father performed regular rituals at a lack of interest and motivation to engage in culture
shrine in their home; she said she relied on his faith and religion focused learning. When they were
to bless the family as a whole.10 Her father however younger they had attended Guajarati language
explained that when he first came to Britain all he classes and attended more community events
had was his religion, he said he tried to practice however now they were approaching their early
Hinduism as much as possible and that his religion twenties their faith had taken more of a backseat.
was of huge importance to him.11 He admitted that as a family they did not attend
Through talking to the interviewees it seems the temple regularly and instead domestic worship
apparent that the extended family and the Hindu had become an important part of their lives. He
community have much less of a role now that explained that he felt it was vital for him to pass on
nuclear families are perhaps better formed. One of his history and culture to his daughters but also that
the reasons for this may just be that over time the they must take from Hinduism the understanding,
Hindu migrants have become more assimilated into respectfulness and tolerance of others.13 The values
the wider British community and no longer feel the that the religion prescribes appear more important in
need to cling to others who previously migrated this case than regular ritualistic practice of the faith.
from similar backgrounds as themselves. Initially The second direction of Hinduism which the young
the community was a huge comfort to migrants appear to favour is towards a more philosophical
moving to an alien and perhaps sometimes hostile scripture based faith. Those Hindus interviewed
country. A 22 year old man explained in interviews who showed more signs of a connection to their
that his father ‘bragged’ about how he had come to faith and heritage were involved less so in ritualistic
Britain, faced the challenges that went along with aspects and more so in understanding the sacred
that move and has now found his place in the wider Hindu scriptures and philosophising about issues
British community.12 This success and these feelings that arise from it. A 22 year old male interviewee
of acceptance show decreased levels of reliance described older generations of Hindus as having a
on Hindu community and increased levels of ‘blind faith,’ he argued that they followed Hinduism
no 2, The University of Leeds, Department of Theol-
because of tradition and cultural heritage ‘without
ogy and Religious Studies, p6 intellectualising things’.14 This is an important
8  Interviewee B, male Hindu aged 58, born in Uganda, change of direction to note, it seems that Hinduism
interviewed on 13/04/2010 in Britain is moving away from its ritual and
9  Knott, Kim, ‘Hindu Temple Rituals in Britain’, in cultural importance into a more scholarly scripture
Hinduism in Great Britain: The Perpetuation of Religion orientated religion. The interviewee supported
in an Alien Cultural Milieu, Ed. By Richard Burghart, his ideas by explaining that he himself and other
Tavistock publications, London, 1987, p158 Hindu friends attended twice weekly classes in
10  Interviewee A, female Hindu, aged 18, born in Eng- Leicester which sought to understand and discuss
land, interviewed on 12/04/2010
11  Interviewee B
12  Interviewee E, male Hindu aged 22, born in England, 13  Interviewee B
interviewed on 27/04/2010 14  Interviewee E
10
the Bhagavad Gita.15 Three of the interviewees also their community and charity projects, this type of
acknowledged involvement in Hindu societies at activity sees Hindu organisations performing more
their universities and the attendance of various of a mainstream role in the British and worldwide
educational lectures.16 Hinnells notes that this is a communities. Globalization looks set to continue
trend towards a ‘sanitized’ form of Hinduism; he to be an important development for Hinduism
exemplifies this with the move away from purity and its future in Britain, potentially replacing the
laws but towards the teachings of Gandhi and the smaller local communities which were originally
Gita.17 Hinduism is becoming a more scholarly formed with a larger and a more unified one. The
religion and for some British Hindus it is an effects of this could possibly mean a more defined
important change of direction to be involved with. Hinduism in Britain, hopefully overcoming the
The Swaminaryan School in London also includes in problem of confused self identity in some young
its curriculum this year lessons on Hindu philosophy British Hindus, an issue discussed further in the
and values taught by many of the popular Hindu complete dissertation. Due to the involvement of
scriptures, showing that the importance of this type British Hindu teachers in India21 and increased use
of Hindu academia is starting to be recognised.18 of the internet it can be argued that this new form
Hinnells in 2000 stated ‘increasingly younger Asians of Hinduism could potentially be developed there
are studying their heritage at western universities. as well, but only time will tell. Hinnells argues
What the long term impact will be, and how it will that ‘western leaders visit the old country where
effect relations between these western-educated they are often seen as important and successful
youth and leaders in the old countries has yet to people, with something to offer.’22 Therefore if this
be seen…what happens in the Diaspora, will, for prediction were to be realised in Britain we can
better or worse, have an influence on the religion in expect something similar to have potential in India.
the old country.’19 Today it can be argued that this
education has influenced the religion as discussed Conclusion
above, in the sense that the youth are enthusiastic In summary this research has brought to
to challenge scripture more and question the place light two trends which Hindu youth in Britain are
of cultural traditions and rituals. The effect of these favouring. Firstly a more diluted faith which is
pursuits on those Hindus back in India is yet to characterized by a detachment to the community
be researched. Hinnells argues however that ‘the and the temple though a more domesticated faith, a
importance of the diaspora groups, and their impact lack of connection to Indian language and culture,
back in the old country, seems almost certain to and a more private and personal version of the
grow.’20 This is due to globalization and increased religion. The second trend is exemplified through
access to modern technology. It has become common those young Hindus who, while still showing
for Hindu organisations, such as ISKCON, to reach a some of the previous characteristics, also strive to
larger Hindu audience through the internet. I think gain a more scholarly understanding of Hinduism.
that the practice of utilising this modern day tool We can expect these two trends to continue and
is only going to increase. As organisations reach combined with globalization I would predict that
out and receive new members it seems like a kind the scholarly direction will lead to the Hindu
of modern day missionary movement, this type of communities identity becoming more unified
recruitment is perhaps one of the ways in which and defined in Britain and in turn the world.
Hinduism has adopted Christian and western New academic discourse will hopefully bring a
processes in order to develop itself further in this fresh look at Hinduism which may reach out and
global world. ISKCON uses their website to promote connect with those Hindus in the diluted trend,
engaging them in modern, relevant discussions.
15  Interviewee E The practice of domestic worship shows no signs
16  Interviewee A,D,E and F
of changing soon and shouldn’t be affected by
17  Hinnells, John “South Asian Religions in Migration”
globalization and the more unified Hinduism. The
in The South Asian Religious Diaspora in Britain, Canada
The United States, edited by Harold Coward, John R. internet has been more of a resource for bringing
Hinnells and Raymond Brady Williams, p10 Hindus together in the involvement in the British
18  Accessed on 02/05/10 http://www.swaminarayan. and world community, there is no reason for this to
brent.sch.uk/images/policies/Curriculum%20 affect the personal practice of faith.
Guide%20Senior%20School.pdf p33
19  Hinnells, John “South Asian Religions in Migration” 21  Hinnells, John “South Asian Religions in Migration”
in The South Asian Religious Diaspora in Britain, Canada in The South Asian Religious Diaspora in Britain, Canada
The United States, edited by Harold Coward, John R. Hin- The United States, edited by Harold Coward, John R.
nells and Raymond Brady Williams, p7 Hinnells and Raymond Brady Williams, p10
20  Hinnells, John “South Asian Religions in Migration” 22  Hinnells, John “South Asian Religions in Migration”
in The South Asian Religious Diaspora in Britain, Canada in The South Asian Religious Diaspora in Britain, Canada
The United States, edited by Harold Coward, John R. Hin- The United States, edited by Harold Coward, John R. Hin-
nells and Raymond Brady Williams, p10 nells and Raymond Brady Williams, p10
The Oculus: Proceedings of the U21 Undergraduate Research Conference 11
While it is impossible to know the future,
this research has considered the past and the
present of Hinduism in Britain which has enabled
the future to be forecast. It has become clear that
there is a need for more scholarly thought in the
area of British Hinduism. The current trends
displayed in the young Hindu population definitely
provide fascinating and important insights worthy
of academic consideration. One thing is clear,
Hinduism has found a firm home in Britain and
continues to evolve with the times and respond to
the challenges it faces in its western context.
12
Re-imagining Missing and Murdered Aboriginal
Women in Canada
Corinne Jones
University of Birmingham

Abstract

A disproportionate amount of Aboriginal1 women have gone missing or been murdered in Canada since
the 1980s. It is only in the last five years, since the Native Women’s Association of Canada (NWAC)’s began
their activism through their Sisters in Spirit (SIS) initiative, that the mainstream media and majority of the
population have paid attention to this crisis. Historically, activism has been one method that marginalised
voices have used to make themselves heard. But does activism really have the potential to instigate change
in society? In this paper I explore why Aboriginal women need to be re-imagined in society and analyse how
the NWAC’s activism has attempted to reduce Aboriginal femicide.
Previous academic research on activism in North America has tended to ignore grassroots activism
in non-white communities. This paper thus fills a gap in the research by providing a critique of Aboriginal
feminist activist techniques. Indeed, as Amber Dean attests, critique of important socio-cultural practices
must occur, and occur in a thorough manner, in order to understand what exactly it is that makes forms of
activism most effective (2008, p.237).
This paper is an abridged version of my BA American and Canadian Studies dissertation. For more
information on the Native Women’s Association of Canada (NWAC)’s work, please visit www.nwac-hq.org.

Introduction Amnesty International and the Native


Women’s Association of Canada (NWAC) compiled
O Canada!1 a seminal report in 2004 entitled Stolen Sisters:
Our home and native land! Discrimination and Violence Against Indigenous Women
[...]The True North strong and free! in Canada which urged the Canadian government
- Excerpt from the Canadian National Anthem to take action. The report noted a 1996 Canadian
(Canadian Heritage 2009). government finding that Aboriginal women are
five times more likely than other Canadian women
Oh, Canada. A developed nation of the between the ages of 25 and 44 to die as a result of
Western world and key player on the world stage. A violence (p.2). Amnesty International stated that
nation perceived as polite, liberal, and multicultural. “Canadian authorities could and should have done
A nation ranked fourth internationally for its high more to ensure the safety of these women and girls”
standard of living by the UN (UNDP 2009). A nation (ibid). A year later, in 2005, the NWAC was granted
whose Prime Minister hailed as “the one country... $5million by Status of Women Canada to deliver a
everybody would like to be” at the G20 summit five-year research, education and policy initiative
in 2009 (cited in Ljunggren 2009). A nation that, surrounding the epidemic of missing and murdered
ostensibly, is strong and unified. Aboriginal women in Canada. This initiative was
Yet the reality faced by Canada’s Aboriginal called Sisters in Spirit.
population is somewhat incongruent with the The bulk of this paper examines the ways
nation’s portrayals of harmony. In the last three in which Aboriginal women have been targets of
decades alone, more than 520 Aboriginal women violence. I am particularly interested in the way
and girls have gone missing or been murdered that Aboriginal women have been perceived in the
in Canada (Amnesty International 2009, p.1). Canadian imagination up until the present day, and
Considering Aboriginal women represent only how these stereotypes are remnants of colonisation
3% of the Canadian population (NWAC, Raising which have allowed for the violence to continue and
Awareness toolkit 2007, p.3), this is the equivalent of be ignored by non-Aboriginal society. I will also
approximately 18,000 women from all ethnic groups examine how Sisters in Spirit’s activism has been
in Canada being murdered or disappearing (Boswell a way to re-imagine Aboriginal women in order to
2009). In 2008, 56% of the cases remained unsolved reduce the violence perpetrated against them.
(NWAC, SIS National Statistics 2008, p.1). I became interested in how the intersection
of Aboriginal women’s race and gender operated
1  The term “Aboriginal” or “Indigenous” in a Cana-
dian context refers to First Nations, Métis, and Inuit
differently pre- and post-European contact when
peoples. In the interest of consistency, I will use the attending a talk in 2009 in Montreal, Canada. The
term “Aboriginal” throughout this paper, except when talk was entitled “Justice for Missing & Murdered
quoting other sources. Indigenous Women” and was hosted by then
The Oculus: Proceedings of the U21 Undergraduate Research Conference 13
President of the NWAC, Beverley Jacobs. As bereaved America pre-contact were built upon egalitarian
family members faced the audience holding up and co-operative principles. The construction and
images of their loved ones, I realised the extent to understanding of gender roles in these societies
which missing and murdered Aboriginal women in were infused with values of collectivity rather than
Canada is a national, current crisis. I left the event promoting a gender-based hierarchy (Anderson
pondering whether or not Canada could ever live 1996, p.11), and colonisers imposed their patriarchal
up to its ideals of post-colonial unity, strength, and beliefs upon the Aboriginal communities by
freedom, if members of the Aboriginal population disqualifying the powers of Aboriginal women as
continue to battle with the aftermath of colonisation. the decision-makers.
SIS’s activism seemed one way to attain the Sexual violence proliferated during the colonial
enormous changes that are required to achieve such era to subjugate Aboriginal women. As Smith states,
claims. I thus came to form the basis of my thesis “it is precisely through sexism and gender violence
for this paper: How has Sisters in Spirit’s activism that colonialism and white supremacy have been
attempted to re-imagine Aboriginal women in order successful” (2005, p.127). Stereotypes negating
to reduce the racialised, sexualised violence against Aboriginal (particularly First Nations) femininity
Aboriginal women in Canada? and exoticising their sexuality were continually
As a white female student of British and French reinforced by colonisers in order to “eas[e] the
heritage, ‘studying’ the Aboriginal people of Canada conscience of those who wished to abuse without
is intrinsically problematic. Studying Aboriginal consequence,” (Anderson 2000, p.100). A view that
issues from a non-Aboriginal perspective replicates First Nations women “had the power to seduce any
the colonial process, as Aboriginal people become man into promiscuity” (Jaimes*Guerrero 2003, p.67)
the subject of white Western study and critique. To was promoted to excuse their abuse at the hands of
minimise my inherently Eurocentric perspective, I European settlers. Some First Nations women were
will refer to as many sources written by Aboriginal sexualised as “Indian Princesses” and their bodies
academics as possible. I will begin by contextualising equated to the land they lived on as virgin territory
the history of Aboriginal women in Canada to to be conquered (ibid, p.101). In order to justify the
outline how and why their victimisation has become “civilising” paternalism behind colonial takeover,
so embedded in the Canadian mindset, causing their women who refused to comply with the colonisers’
deaths or disappearances to have gone unnoticed in demands were depicted as dirty, lazy, uncivilized,
dominant society until only recently. This context and “morally reprehensible”, traits summed up
will allow me to analyse how SIS’s activism to reduce by the label of “squaw”, similar to a modern-day
violence against Aboriginal women interrogates the understanding of “whore” (ibid, p.100, 103).
racist and sexist attitudes which continue to pervade As Smith points out, “In patriarchal thinking,
in Canada. only a body that is ‘pure’ can be violated. The rape
of bodies considered inherently impure or dirty
Aboriginal Women as Subjects of simply does not count” (2003, p.73). Consequently,
Conquest “Indian princess” or “squaw” stereotypes tainted
M. Annette Jaimes*Guerrero has described the female Aboriginal bodies as “sexually violable
imperial rhetoric behind the conception of North and ‘rapable’” (ibid), simply because they did not
America as “patriarchal colonialism” (2003, p.65). conform to European standards of femininity. As
Many scholars2 have commented that Aboriginal Aboriginal scholars Emma LaRocque (1996, p.12)
women have suffered considerably more than and Kim Anderson (2000, p.101) indicate, such
Aboriginal men in post-contact Canadian society imagery continued throughout “North American
precisely because of the patriarchal mindset his-story” (ibid), with Disney’s overtly sexualised
propelling the conquest of Canada. In order for portrayal of Pocahontas in 1995 as a prime example.
colonisation of the Americas to occur, the Aboriginal LaRocque believes:
cultures had to be eliminated. Disqualifying the
power balance held between men and women in there is a direct relationship between racist/
Aboriginal societies was one method colonialists sexist stereotypes and violence against
used to disrupt the pre-contact communities. As women and girls. The dehumanizing
several Aboriginal critics and academics attest,3 portrayal of the ‘squaw’ and the over-
many Aboriginal communities living in North sexualization of Native females such as in
Walt Disney’s Pocahontas surely render all
2  See Jeanette Armstrong (1996 p.ix); Yvonne Jermaine Native female persons vulnerable (1996,
Dufault (2003, p.46); Beverley Jacobs (2008); Emma p.12).4
LaRocque (1996, p.11); Stephanie A. Sellers (2008, p.83);
and M. A. Jaimes*Guerrero (2003). 4  Another example of how pervasive colonial Aboriginal
3  See Kim Anderson (2000); Kathlena Allyson An- female stereotypes have been in the North American
derson (1996); Jeanette Armstrong (1996); Bever- imagination is 1982 video game entitled “Custer’s
ley Jacobs (2009); Cora Voyageur (2008); and M.A, Revenge”, in which players earn points for raping Ab-
Jaimes*Guerrero (2003). original women in North America (Smith 2003, p.80).
14
Reiterating LaRocque’s statement above, a responsible for the violence against them and
study compiled in 1998 on how race features in sexual implicitly blame the victim. Additionally, such
abuse trials in Canada concluded that assumptions one-sided reporting perpetuates the colonial and
made about female Aboriginal promiscuity have patriarchal belief that men (especially white men)
resulted in Aboriginal women being regarded as can commit violence against an Aboriginal woman
“inherently rapable” (Razack, cited in Anderson, or girl and generally be immune to punishment
2000, p.111). This outcome demonstrates how because female Aboriginal bodies are expendable to
colonial discrimination against Aboriginal women the nation. The media’s propensity to decontextualise
continues to marginalise them today, and reveals violence against Aboriginal women is especially
how entrenched negative perceptions of Aboriginal dangerous as it has the power to influence society
women have become in the Canadian imagination. and cause myths to proliferate. When portraying
The disproportionate amount of Aboriginal women women or girls as “culpable for their victimisation”
who have disappeared or been murdered in the last (p.68), the media overlook the fact that the violence
three decades is testament to the extent to which missing or murdered Aboriginal women have
they are discriminated against in Canada. faced is a result of inequalities remaining from
Interviews with families of missing or colonisation. Acknowledging colonisation and
murdered Aboriginal women have prompted Jacobs ignorance as the root causes of the violence “elicits
and Williams to confirm that “systemic inequalities profound discomfort in a nation state like Canada,
and Canada’s genocidal policies [such as the Indian evidencing as it does the continuing effects of
Act and residential schooling] have played a key role” settler colonialism... and its ongoing reproduction”
in the lives of missing and murdered Aboriginal (Culhane 2003, p.595).
women and girls (2008, p.129-131) due to the multi-
generational effects of colonisation. Indeed, the belief Aboriginal Activism Against Racialized,
that Aboriginal women are inherent victims or easy Sexualized Violence
targets is a continuation of colonial perceptions of Aboriginal Activism has been key in disrupting
Aboriginal women as “racially inferior and sexually Canada’s status quo on the ongoing violence against
licentious” (Jiwani 2009, p.65), and causes their Aboriginal women by forcing a re-imagining of
death or disappearance to be unsurprising and thus the women who have been victims of murder
unworthy of media sympathy or police attention. or abduction. Through the Sisters in Spirit (SIS)
Families of missing or murdered Aboriginal women initiative, the Native Women’s Association of Canada
frequently experience these unhelpful attitudes. (NWAC) has collaborated with “other Aboriginal
For example, the grandmother of Felicia Solomon, a women’s organizations and the federal government”
16 year old girl originating from a Cree Nation in to address “racialized and/or sexualized violence,
northern Manitoba, has said that the media labelled that is, violence perpetrated against Aboriginal
Felicia a prostitute when she went missing in 2003 women because of their gender and Aboriginal
because of the poor area where the family lived. The identity” (NWAC SIS Background, 2009). By raising
family say that the police did not help to search for public awareness and understanding of the extent to
Felicia or to publicise that she was missing, causing which the ongoing violence is the result of racism
the grandmother to believe that the police were and sexism, SIS aims to dispel common myths held
influenced by the media’s negative assumptions by the public surrounding missing and murdered
of Felicia. Her remains were found later that year, Aboriginal women and girls and thus re-imagine
yet her murder still remained unsolved in 2009 how Aboriginal women have been viewed in the
(Amnesty 2009, p.17). Indeed, as Sarah Carter media and in the collective public imagination. I will
(1997) and Yasmin Jiwani (2009) attest, poverty and now outline how SIS has used consciousness-raising
colonisation have combined to establish a conflation and public memorialisation techniques to attain this
of “Aboriginal woman” with “prostitute” in the re-imagining.
Canadian mindset, even in the twenty-first century.
Dara Culhane has described how mainstream Consciousness-Raising
media coverage has a tendency to sensationalise
the “drugs, sex, violence, and crime, rather than “Part of trying to come out of this [colonial]
the ordinary and mundane brutality of everyday system is...to learn about the oppressiveness of
poverty” that many of the missing or murdered the colonisers... and the dishonour of our people
women faced (2003, p.595). Media coverage of in general, but of our women specifically”
violence perpetrated against Aboriginal women by Beverley Jacobs, (2009).
white men, as Jiwani discovered, often gives more
background information about the offender whilst As an activist technique, consciousness-
consistently describing the victim as nothing more raising has the capacity to dispel derogatory myths
than a “drug-addicted prostitute” (2009, p.69). Such the general public may harbour and can instil a
representations make Aboriginal women seem widespread recognition of the need for change.
The Oculus: Proceedings of the U21 Undergraduate Research Conference 15
Haugaard (2003) has understood consciousness- aftermath of a traumatic loss removes the traditional
raising as “a process of bringing tacit knowledge barriers which render grief and mourning private
into discursive consciousness, which enables experiences and can implicate a witness to engage
individuals to examine how structures, which they with the sorrow. Public memorialisation has been
had previously accepted, not only work to their employed in the twentieth century to commemorate
disadvantage but are possible to reject” (cited in and provide consolation for large-scale losses, such
Hunter 2006, p.61). SIS has used consciousness- as the Holocaust, or soldiers lost in the World Wars.
raising techniques to increase awareness of the Yet memorialisation does not function solely to
correlation between colonisation and violence remember the past, as Andreas Huyssen has argued:
against Aboriginal women. “We need both past and future to articulate our
One of SIS’s most successful forms of political, social, and cultural dissatisfactions with
consciousness-raising has been their educational the present state of the world… Memory discourses
toolkits, which are presented as PowerPoints at are absolutely essential to imagine the future” (2003,
workshops in Aboriginal and non-Aboriginal p.6).
communities. SIS toolkits take social, cultural, SIS has employed public memorialisation as
and historical context into account when dealing an activist strategy through SIS vigils which are
with racialised, sexualised violence by attributing held annually across various towns and cities in
racialised, sexualised violence to Canada’s colonial Canada. These vigils dismantle the racist belief
past. In the toolkit entitled Raising Awareness, that Aboriginal women are unworthy of mourning,
SIS attests that the legacies of the Indian Status, remembering, or protecting by calling attention
residential schooling, and the “sixties sweep” have to the trauma and loss the bereaved families
contributed to the “current status of Aboriginal are undergoing, and underlining the normality
women” (NWAC 2007, p.3). Placing racialised, of the missing or murdered women’s lives. By
sexualised violence in its colonial context is remembering and humanising these women in the
integral to positioning Aboriginal femicide not public eye as sisters, mothers, or daughters who are
as an unjustifiable, unfounded epidemic, but as a sorely missed, SIS have used public memorialisation
result of twentieth century colonial policies which to generate empathy and appeal for future change
specifically intended to oppress Aboriginal women. through a re-imagining of missing and murdered
These “historical realities” in Raising Awareness Aboriginal women.
(ibid) validate the victimisation of Aboriginal
women by illustrating that the women are neither Conclusion
inherently vulnerable, nor to blame. M. Annette As I explored in my introduction, when the
Jaimes*Guerrero has attested that implicating media presents Aboriginal femicide as a natural and
colonial heritage in feminist Aboriginal activism inescapable occurrence, it reinforces the colonial
is a form of “historical agency” which empowers perception that Aboriginal women are inherent
Aboriginal women by allowing them to comprehend victims. Although the SIS vigils are successful in
how their race and gender has been constructed as raising awareness of the issue across Canada and
vulnerable, which in turn allows them to reclaim humanising the victims, they do not interact enough
their identity. I would also argue that employing with the non-Aboriginal public about the colonial
historical agency in activism counteracts negative causes of Aboriginal femicide to affect a re-imagining.
media coverage which imagines violence against The SIS toolkits, on the other hand, illustrate a more
Aboriginal women as a natural and inescapable productive way of deconstructing colonial attitudes,
occurrence, and has the potential to break the cycle as they deploy “historical agency” (Jaimes*Guerrero
of ignorance which has allowed the violence to 2003, p.67) to contextualise the discrimination
continue. against Aboriginal women. In shedding light on
the realities of the causes of missing and murdered
Public Memorialisation Aboriginal women, SIS’s toolkits help to shift the
dominant discourse and perceptions surrounding
“Mourning [is] not simply... a process of the dead or disappeared to promote a nationwide
remembering the dead and marking the... value reimagining of Aboriginal women. Consciousness-
of their lives but [is] also... an attempt to create raising is thus the most successful technique that SIS
something out of that loss” Marita Sturken have employed in their activism as it enables both
(1997, p.199). Aboriginal and non-Aboriginal people to question
white privilege in Canada, and can change how the
Grief and mourning remain traditionally women who have died or disappeared are imagined
personal experiences. With the practice of public in the nation’s collective cultural memory.
memorialisation, these private responses are SIS’s activism with the wider public via
brought into a communal sphere. Observing their annual vigils would be more effective in re-
the bereaved experience the intensely personal imagining women and reducing violence if they
16
framed Aboriginal femicide in their understandings 9. Amnesty International (2004). Stolen Sisters:
of the root causes of racialised, sexualised violence. Discrimination and Violence against Indigenous
Such contextualisation needs to be shared in the Women in Canada. A Summary of Amnesty
public domain more explicitly if colonial myths International’s Concerns. Ottawa: Amnesty
harboured against Aboriginal women are to be International Canada.
dispelled. Ideally, over time, public understanding 10. Jaimes*Guerrero, M.A. (2003). “‘Patriarchal
could cause a widespread review and critique of white Colonialism’ and Indigenism: Implications
privilege in Canada, causing discrimination against for Native Feminist Spirituality and Native
Aboriginal women to diminish, and decreasing the Womanism.” Hypatia 18(2): 58-69.
amount of murders and disappearances. 11. Anderson, Allyson Kathlena (1996). The Heart
Nevertheless, SIS’s work has undoubtedly been of a Woman: Leading First Nations on the Road to
valuable in highlighting discrepancies in Canada’s Recovery. MA Sociology Thesis. University of
portrayals of harmony and “generating political will British Columbia.
to address [violence]” (WHO 2007 p.5), but there is 12. Smith, Andrea (2005). “Native American
undoubtedly still a long way to go before Aboriginal Feminism, Sovereignty, and Social Change”
women are equal in society. Beverley Jacobs declared Feminist Studies 31(1): 116-132.
in 2009 that Sisters in Spirit had “just begun. We’re 13. Anderson, Kim (2000). A Recognition of Being:
just at the tip of the iceberg on this” (2009). Let’s hope Reconstructing Native Womanhood. Toronto:
this iceberg doesn’t melt. Sumach Press.
14. Jaimes*Guerrero, M.A. (2003). “‘Patriarchal
References Colonialism’ and Indigenism: Implications
1. Dean, Amber (2008). Representing and for Native Feminist Spirituality and Native
Remembering Murdered Women: Thoughts on Womanism.” Hypatia 18(2): 58-69.
the Ethics of Critique. English Studies in Canada, 15. Smith, Andrea (2003). “Not an Indian Tradition:
34:2-3, 229-241. The Sexual Colonization of Native Peoples.”
2. UNDP [United Nations Human Development] Hypatia 18(2): 70-85.
(2009). “Human Development Report 2009, 16. LaRocque, Emma (1996). “The Colonization
Canada HDI Rank: 4” [online] http://hdrstats. of a Native Woman Scholar.” In Women of
undp.org/en/countries/data_sheets/cty_ds_ the First Nations: Power, Wisdom, and Strength.
CAN.html Accessed 22 March 2010. Miller, Christine, and Patricia Chuchryk (eds).
3. Canadian Heritage (2009). “National Anthem: O Winnipeg: University of Manitoba Press, pp.11-
Canada” 11 December. [Online] www.pch.gc.ca/ 18.
pgm/ceem-cced/symbl/anthem-eng.cfm#a0 17. Anderson, Kim (2000). A Recognition of Being:
[Accessed 1 March 2010]. Reconstructing Native Womanhood. Toronto:
4. Ljunggren, David (2009). “Every G20 nation wants Sumach Press.
to be Canada, insists PM.” 25 September. [Online]. 18. LaRocque, Emma (1996). “The Colonization
www.reuters.com/article/GCA-G20Pittsburgh/ of a Native Woman Scholar.” In Women of
idUSTRE58P05Z20090926 [Accessed October 15 the First Nations: Power, Wisdom, and Strength.
2009]. Miller, Christine, and Patricia Chuchryk (eds).
5. Amnesty International (2009). No More Stolen Winnipeg: University of Manitoba Press, pp.11-
Sisters: The Need for a Comprehensive Response 18.
to Discrimination and Violence against Indigenous 19. Razack, Sherene (1998). Looking White People in
Women in Canada. Ottawa: Amnesty International the Eye: Gender, Race and Culture in Courtrooms and
Canada. Classrooms. Toronto: University of Toronto Press.
6. Native Women’s Association of Canada (2007- 20. Jacobs, Beverley and Andrea J. Williams (2008).
2009). “Sisters in Spirit – Raising Awareness” “Legacy of Residential Schools: Missing and
[o n l i n e] . h t t p ://w w w. n w a c - h q . o r g /e n / Murdered Aboriginal Women,” in Brant
awareness.html [Accessed November 22nd 2009). Castellano, Marlene, Linda Archibald and Mike
7. Boswell, Randy (2009). “Part II: Sisters of Spirit [sic] DeGagné (eds.) From Truth to Reconciliation:
Shines a Light on Missing Aboriginal Women.” Transforming the Legacy of Residential Schools.
The Montreal Gazette, 6 November. [Online] www. Ottawa: Aboriginal Healing Foundation, pp.119-
montrealgazette.com/news/Part+spirit+sisters/ 143.
2124621/story.html [Accessed 6 February 2010]. 21. Jiwani, Yasmin (2009). “Symbolic and Discursive
8. Native Women’s Association of Canada (2008). Violence in Media Representations of Aboriginal
Sisters in Spirit Backgrounder: National Statistics, 1 Missing and Murdered Women” in Guggisberg,
October. Ottawa: NWAC. Marika and David Weird (eds.) Understanding
Violence: Contexts and Portrayals. Oxford: Inter-
Disciplinary Press, pp.63-74.
The Oculus: Proceedings of the U21 Undergraduate Research Conference 17
22. Amnesty International (2009). No More Stolen 35. Jaimes*Guerrero, M.A. (2003). “‘Patriarchal
Sisters: The Need for a Comprehensive Response Colonialism’ and Indigenism: Implications
to Discrimination and Violence against Indigenous for Native Feminist Spirituality and Native
Women in Canada. Ottawa: Amnesty International Womanism.” Hypatia 18(2): 58-69.
Canada. 36. World Health Organisation [WHO] (2007).
23. Carter, Sarah (1997). Capturing Women: The Primary Prevention of Intimate-Partner Violence and
Manipulation of Cultural Imagery in Canada’s Prairie Sexual Violence: Background Paper for WHO Expert
West. McGill-Queens University Press: Montreal Meeting May 2–3, 2007. Geneva, World Health
and Kingston. Organisation.
24. Jiwani, Yasmin (2009). “Symbolic and Discursive 37. Jacobs, Beverley (2009). “Justice for Missing
Violence in Media Representations of Aboriginal and Murdered Indigenous Women” A Talk at
Missing and Murdered Women” in Guggisberg, McCord Museum, Montreal, Canada. March
Marika and David Weird (eds.) Understanding 16. [Online] www.mediacoop.ca/audio/1267
Violence: Contexts and Portrayals. Oxford: Inter- [Accessed December 5th 2009].
Disciplinary Press, pp.63-74.
25. Culhane, Dara (2003). “Their Spirits Live within
Us: Aboriginal Women in Downtown Eastside
Vancouver Emerging into Visibility.” American
Indian Quarterly 27(3/4): 593-606.
26. Jiwani, Yasmin (2009). “Symbolic and Discursive
Violence in Media Representations of Aboriginal
Missing and Murdered Women” in Guggisberg,
Marika and David Weird (eds.) Understanding
Violence: Contexts and Portrayals. Oxford: Inter-
Disciplinary Press, pp.63-74.
27. Culhane, Dara (2003). “Their Spirits Live within
Us: Aboriginal Women in Downtown Eastside
Vancouver Emerging into Visibility.” American
Indian Quarterly 27(3/4): 593-606.
28. Native Women’s Association of Canada (2009).
“Sisters in Spirit – Background” [Online].
http://www.nwac-hq.org/en/background.html
[Accessed November 22nd 2009).
29. Jacobs, Beverley (2009). “Justice for Missing
and Murdered Indigenous Women” A Talk at
McCord Museum, Montreal, Canada. March
16. [Online] www.mediacoop.ca/audio/1267
[Accessed December 5th 2009].
30. Hunter, Chris (2006). “The Master’s Tools
Revisited: Can Law Contribute to Ending
Violence Against Women?” IDS Bulletin 37(6): 57-
68.
31. Native Women’s Association of Canada (2007-
2009). “Sisters in Spirit – Raising Awareness”
[o n l i n e] . h t t p ://w w w. n w a c - h q . o r g /e n /
awareness.html [Accessed November 22nd 2009).
32. Jaimes*Guerrero, M.A. (2003). “‘Patriarchal
Colonialism’ and Indigenism: Implications
for Native Feminist Spirituality and Native
Womanism.” Hypatia 18(2): 58-69.
33. Sturken, Marita (1997). Tangled Memories: the
Vietnam War, the AIDS Epidemic, and the Politics
of Remembering. London: University of California
Press.
34. Huyseen, Andresas (2003). Present Pasts: Urban
Palimpsests and the Politics of Memory. Palo Alto,
CA: Stanford University Press.
18
I Think, Therefore I Reappraise:
Exploring the Relationships between Empathy and
Emotion Regulation
Elizabeth A. Bendycki
University of Virginia

Abstract

Empathy and emotion regulation have been implicated as critical to socio-emotional functioning,
though examination of possible cognitive mechanisms common to both has largely remained unexplored.
We examined the relationship between empathy and emotion regulation through self-report questionnaires
and a behavioral task where participants regulated their emotions to salient film clips. Participant reports
of tendencies to use reappraisal as a regulatory strategy correlated positively with cognitive empathy
assessments. Alternatively, negative correlations were found between cognitive empathy measures and self-
reports of tendencies to use suppression as a regulatory strategy. These results support the hypothesis that
cognitive skills critical to empathy are likewise paramount to regulation strategies like reappraisal.

Introduction “projecting or imagining how another would feel


The ability to reason about others’ mental and or think” and “feeling for another who is suffering”
emotional states while simultaneously regulating (similar to sympathy). However, Simone Shamay-
one’s own is critical to socio-emotional functioning. Tsoory (2009) takes a more dichotomous approach
Previous studies have sought to understand the by defining “cognitive empathy” and “affective
theoretical and practical implications of empathy empathy” as separate constructs. Theory of mind,
and emotion regulation in their separate domains; a “detached analysis” through which people reason
the present study seeks to investigate possible about another’s thoughts and intentions, facilitates
cognitive mechanisms common to both. Empathy cognitive empathy, while simulation processing, or
and emotion regulation require both cognitive and attempting to match another person’s mental states,
emotional skills devoted to understanding one’s characterizes affective empathy.
own and another’s experiences. The Interpersonal Reactivity Index (IRI)
developed by Davis (1980; 1983) captures both
Perspectives on Empathy cognitive and emotional empathy constructs
While there are disputes as to what empathy through a multidimensional assessment with four
fully entails, there is general consensus that subscales: perspective-taking, fantasy, empathic
empathy is the “vicarious experience of another’s concern and personal distress. The “perspective-
emotions” (Spinella 2003). This definition captures taking” component prompts participants to reflect
how empathy involves an attempt to think and on their ability to adopt the viewpoint of others.
feel as someone else does. However, maintaining The “fantasy” subset questions prompt respondents
some “cognitive distance” between self and other to consider how much they become emotionally
is imperative lest one become too overly involved in involved with fictional characters and cognitively
another’s emotional affairs (Decety & Jackson, 2004). project themselves into stories through imagination.
Balancing the distinction between self and other and On the other hand, the “empathic concern” and
avoiding the merging of self-other representations “personal distress” domains inquire into the extent
(Jackson et al., 2006) is a self-regulatory process. to which participants can sympathize with and
Much of why empathy has been so difficult are affected by others in an emotionally moving or
to fully characterize stems from the emotion- distressing way (Davis, 1983).
cognition interplay empathy requires. The skills of
perspective-taking and imagining what another Emotion Regulation
is experiencing qualify empathy as cognitive, but Emotion regulation involves changing one’s
the aspect of “feeling as another may feel” renders own response to an emotional stimulus in a similar
empathy as emotional (Spinella, 2003). Theorists way that empathy requires changing one’s thoughts
are sensitive to incorporating both cognitive and or feelings to match someone else’s. Many studies
emotional aspects of empathy in their definitions, suggest emotion regulation is facilitated by cognitive
either as simultaneous or dichotomous processes. strategies such as rethinking a situation through
Batson (2009) combines cognitive and emotional reappraisal (Goldin et al., 2008; Gross, 2002). Gross
components in his outline of eight possible uses of & John (2003) designed the Emotion Regulation
empathy, including “feeling as another may feel,” Questionnaire to assess individual differences in
The Oculus: Proceedings of the U21 Undergraduate Research Conference 19
two emotion regulatory processes: reappraisal and taking, we hypothesized that participants who
suppression. Reappraisal, which comes early in the reported being skilled at the cognitive empathy
“emotion-generative process”, requires rethinking a will also endorse emotion regulation tendencies
situation or stimulus to mitigate emotional intensity. favoring reappraisal. In contrast, we expect that
By contrast, suppression, which comes later in the participants who endorse regulation strategies
emotion-generative process, involves inhibiting favoring suppression will tend to score lower on the
emotional expressions and behaviors (Gross, 2002). Perspective-taking and Fantasy subscales of the IRI,
Gross further characterizes this distinction by due to their tendencies to keep emotional thoughts
contrasting how reappraisal dampens “emotional to themselves. We also hypothesize that there will
experience” while suppression inhibits “behavioral not be a strong relationship between the emotional
expression”. empathy measures, Empathetic Concern and
Beyond their conceptual differences, research Personal Distress, and reappraisal and suppression
supports how the emotional trajectories prescribed tendencies, as emotional empathy does not require
by adopting reappraisal or suppression strategies the same cognitive flexibility as do Perspective-
differentially affect emotional and social well- taking and Fantasy.
being. Using self-report and peer assessment
questionnaires to gauge emotion experiences, level Method
of social support and endorsement of depression, Participants and Recruitment
Gross & John (2003) found that reappraisers tended Our sample was comprised of 60 college
to have closer relationships, more extensive support students from the University of Virginia. The sample
systems and more positive well-being compared included 18 men (30%) and 42 women (70%) between
to suppressors, who tended to have less support the ages of 18-22 (Mage= 18.85; SDage= 0.97). However,
and were more likely to endorse depression. These due to changes in the questionnaire battery during
findings suggest there are socio-emotional benefits the course of data collection, several participants
to actively utilizing reappraisal and potential had incomplete data sets; thus, in some cases,
pitfalls of relying on suppression to regulate one’s 47 participants were used in the analysis rather
emotions. Although there are divergent correlations than the full set of 60 participants. The majority
between regulatory strategies and well-being, it of participants (n=59, 98%) indicated their race as
is important to remember that the reappraisal and White. Participants were recruited through the
suppression subscales are independent of each other, Psychology department’s participant pool. This
representing two separate factors (Gross & John, study was part of a larger investigation on emotion
2003). As such, individuals could theoretically score regulation across the lifespan that included an
high on both factors; indicating a tendency to use additional sample of older adult participants not
one strategy does not preclude strongly endorsing reported here.
the other.
Questionnaires
Perspective-taking and Reappraisal: Common The following self-report questionnaires were
Cognitive Mechanisms included in the assessment battery:
Both empathy and emotion regulation thus
involve a shift in one’s perspective. We believe the Interpersonal Reactivity Index (IRI):
“cognitive flexibility” required to exercise empathic The Interpersonality Reactivity Index (Davis
perspective-taking strategies and imagine oneself 1980; 1983) consists of four subscales that assess
in another’s position is similar to the flexibility individual differences in empathic responding.
utilized in reappraising an emotional stimulus. In The IRI is a “multidimensional” questionnaire
this sense, empathy can be construed as “reappraisal that taps both cognitive and emotional constructs.
of position”- rethinking one’s perspective in relation Accordingly, the “Perspective-Taking” (PT) and
to another person’s experiences, as opposed to “Fantasy” (FS) subscales measure skills critical to
rethinking one’s own emotional experiences as in cognitive empathy, including the ability to adopt
reappraisal. another person’s viewpoint and identify with
In order to study reappraisal strategies and fictitious characters, respectively. On the other
create opportunities for participants to empathize, hand, the “Empathic Concern” (EC) and “Personal
we presented participants with several short video Distress” (PD) subscales assess emotional empathy
clips and encouraged them to either decrease or through questions regarding individual differences
increase their “natural emotional response,” or to in sympathy, concern for others, and reactivity
simply attend to the film as normal. The results of to stressful situations (Davis 1980; 1983). The
the behavioral film task are not reported here. questionnaire includes 28 statements, or 7 questions
Because the cognitive flexibility required to per subscale, which participants rated on a 5 point
regularly use reappraisal is likely to be related to the Likert scale.
cognitive empathy skills underlying perspective-
20

Table 1. Correlations between Interpersonality Reactivity Index (IRI) and Emotion Regulation Question subscales

Emotion Regulation Questionnaire (ERQ): Emotion Regulation Questionnaire (ERQ), r= .56,


The Emotion Regulation Questionnaire p < .001. A strong positive association between the
(Gross & John, 2003) assesses the extent to which Fantasy subscale of the IRI and the Reappraisal scale
participants rely on reappraisal or suppression to of the ERQ was also found, r= .34, p= .02, (see Figure
regulate their emotional response. Participants 1).
answer ten Likert items (7-point scale), six of which Conversely, and also as hypothesized, negative
correspond to the reappraisal factor, and four of correlations were found between cognitive empathy
which correspond to the suppression factor. An strategies and the “Suppression” subscale of the
example of a reappraisal item is: “When I want to feel ERQ, r= -.36, p=.01 for Perspective-taking and r=
more positive emotion (such as joy or amusement), I -.46, p=.001, for Fantasy (see Figure 2). Interestingly,
change what I’m thinking about.” An example of a although the IRI measure of “Empathetic Concern”
suppression item is “I keep my emotions to myself.” did not significantly correlate with Reappraisal, r=
Participants receive both a reappraisal subscore and .07, p= .64, it did predict Suppression scores, r= -.38,
a suppression subscore from their responses; the two p= .008. Table 1 illustrates the correlations between
subscores are uncorrelated. High scores on either all four IRI subscales and both the Reappraisal and
scale indicate a strong tendency to use that strategy, Suppression subscales of the ERQ.
and low scores indicate an aversion to that strategy.
Discussion
Procedure These results indicate there is a relationship
After arriving at the lab and providing between self-reports of empathic abilities and
informed consent, participants completed a battery emotion regulation tendencies. Consistent with
of questionnaires on a computer assessing their our hypothesis, we found that cognitive empathy
interpersonal abilities. The Interpersonal Reactivity skills were positively associated with reappraisal
Index and Emotion Regulation Questionnaire were tendencies and negatively associated with
administered during this time. suppression tendencies. Inconsistent with our
Following the experiment, participants hypotheses, we found a significant correlation
were debriefed and given the opportunity to ask between Empathetic Concern and suppression
questions of the research assistants. Upon successful tendencies, suggesting a possible connection
completion of the study, participants were awarded between emotion regulation and emotional empathy,
credit through the UVA participant pool system. in addition to cognitive empathy.
While significant correlations were found
Results between the IRI and ERQ, the results of this
Consistent with our hypotheses, significant experiment are limited to what can be interpreted
positive correlations were found between cognitive from participant’s self reports. It is possible that
empathy strategies and emotion regulation the study may suffer from demand characteristics,
tendencies favoring reappraisal. Scores on the wherein some participants either inflate or
“Perspective-taking” subscale of the Interpersonal misrepresent their abilities in order to “look good” to
Reactivity Index (IRI) were positively correlated the experimenter. Alternatively, not all participants
with scores on the “Reappraisal” subscale of the are equally self-aware; some participants may have
The Oculus: Proceedings of the U21 Undergraduate Research Conference 21

Figure 1. Relationships between cognitive empathy IRI scales and self-reports of reappraisal tendencies

Figure 2. Relationship between cognitive empathy IRI scales and self-reports of suppression tendencies
22
greater insights into their emotional tendencies than 4. Davis, M.H. (1980). A multidimensional approach
others and thus be more accurate in their reporting. to individual differences in empathy. JSAS
Future studies could benefit from third-person Catalog of Selected Documents in Psychology, 10, 85.
observations or friend ratings of participants to 5. Davis, M.H. (1983). Measuring individual
verify the accuracy of reports. differences in empathy: Evidence for a
Although we found a relationship between multidimensional approach. Journal of Personality
cognitive empathy measures and emotion regulation and Social Psychology, 44 (1), 113-126.
styles, it is possible that a third variable is mediating 6. Goldin, P.R., McRae, K., Ramel, W., & Gross, J.J.
this relationship. The ability to change one’s thinking (2008). The neural bases of emotion regulation:
and figuratively step outside of one’s thoughts is reappraisal and suppression of negative emotion.
a cognitive skill required to both empathize with Biological Psychiatry
others and to regulate one’s emotions. Future 7. Gross, J.J. (2002). Emotion regulation:
studies should further explore the roles of cognitive Affective, cognitive and social consequences.
flexibility and imagination, as these phenomena Psychophysiology, 39, 281-291.
could be the bridge between empathy and emotion 8. Gross, J.J. & John, O.P. (2003). Individual
regulation. differences in two emotion regulation processes:
Another concern with this study is the implications for affect, relationships and well-
relatively small sample size (n=47). While this sample being. Journal of Personality and Social Psychology,
had enough power to draw conclusions regarding 85(2), 348-362.
overall trends, it would be helpful to verify these 9. Gross, J.J & Levenson, R.W. (1995). Emotion
results with a larger sample. Repeating the study elicitation using films. Cognition and Emotion, 9
with populations other than college students would (1), 87-108.
likewise validate the scope of these results. 10. Jackson, P.L., Brunet, E., Meltzoff, A.N., & Decety,
Beyond incorporating a larger sample size, J. (2006). Empathy examined through the neural
future studies should aim to extend the findings mechanisms involved in imagining how I feel
of the present study through experimental designs versus how you feel pain. Neuropsychologia 44,
that assess individual differences in empathy and 752-761.
emotion regulation skills. A movie watching task 11. Preston, S., Bechara, A., Damasio, H., Grabowski,
in which participants are instructed to change their T.J., Stansfield, R.B., Mehta, S. & Damasio,
thoughts to a film stimulus is a good online measure A.R. (2007). The neural substrates of cognitive
of reappraisal abilities (see Gross & Levenson, 1995) empathy. Social Neuroscience, 2, 254-275.
that also mimics real-world emotion processing 12. Shamay-Tsoory, S.G. (2009). Empathic processing:
because it requires engaging with dynamic stimuli. Its cognitive and affective dimensions and
Tasks that that require empathic reasoning such as neuroanatomical basis. In J. Decety and W. Ickes
the Mind in the Eyes test (Baron-Cohen et al., 2001; (Eds.), The Social Neuroscience of Empathy (3-15).
2004) could help tap into individual differences in Cambridge, MA: MIT Press.
social cognition and are relatively easy to administer 13. Spinella, M. (2005). Prefrontal substrates of
by hand or on a computer. Overall, investigating empathy: Psychometric evidence in a community
individual differences in the use and application of sample. Biological Psychology 70, 175-181.
both empathy and emotion regulatory skills would
validate the strength of the relationship between
these two domains of socio-cognitive functioning.

References
1. Baron-Cohen, S., Wheelwright, S., Hill, J., Raste,
Y., & Plumb, I. (2001). The “Reading the Mind
in the Eyes” test revised version: A study with
normal adults with asperger syndrome or high-
functioning autism. Journal of Child Psychology
and Psychiatry, 42 (2), 241-251.
2. Baron-Cohen, S. & Wheelwright, S. (2004). The
empathy quotient: an investigation of adults with
asperger syndrome or high functioning autism,
and normal sex differences. Journal of Autism and
Developmental Disorders, 34 (2), 163-175.
3. Batson, C.D. (2009). These things called empathy:
Eight related but distinct phenomena. In J.
Decety and W. Ickes (Eds.), The Social Neuroscience
of Empathy (3-15). Cambridge, MA: MIT Press.
The Oculus: Proceedings of the U21 Undergraduate Research Conference 23

Imagining the Circumcised Woman:


A Critique of the Binary Logic in Women’s Rights Discourse

Evelyn Wan
University of Hong Kong

Abstract

While the international human rights framework is used to outlaw practices which are viewed as
human rights violations in the form of culture-based violence against women, supporting feminist legal
rights would possibly undermine women’s right to cultural uniqueness. Using female genital cutting as an
example, the paper addresses the question of whether the complete elimination of the practice constitutes an
infringement of women’s right to choose culture.
I argue that the human rights framework perpetuates the process of oppression and discrimination
against Other cultures through constructing the stereotypical image of the circumcised woman and
assigning fixed features to her—she is downtrodden, oppressed, she blindly follows cultural norms and is
incapable of deciding what is best for her body. The construction of such a victim image is premised upon
the problematic binary opposition of the First World Self vs the Third World Other. A deconstruction of
the binary logic would shed light on why it is problematic and discriminatory to fall on the side of feminist
rights and disregard claims of culture.

Introduction In 2008, 10 international organisations3


Female genital cutting (“FGC” thereafter)
1 including the United Nations and the World
(also known as female circumcision or female Health Organisation published an interagency
genital mutilation) is a traditional practice which statement to urge governments worldwide to take
is prevalent in specific African cultures and in up an active role in eliminating FGC completely.
Islamic religions, with origins dating back over It was recommended that governments should
2500 years. FGC usually involves the partial or enact legislations to criminalise the act and set up
total removal of the clitoris and/or the prepuce. mechanisms for civil remedies such that women
Parts of the labia majora and minora may also who have undergone the operation can seek redress
be scraped away, and the vaginal opening sewn from the practitioners. In the international arena,
together. The FGC operation usually takes place the call for elimination of the practice has not only
between the ages of three to twelve years old2, but targeted children, but has also banned adult women
some women opt for the operation in adulthood. from undergoing the operation.
In recent decades, countries like the United States With the emphasis on feminist rights,
and France criminalised the act, and international international law precludes the notion of choice
human rights documents, in particular those which for the women involved to opt for undergoing the
protect women’s and children’s rights, were used to cultural practice. As a result, a woman’s associated
eliminate the continuation of the ritual (WHO 2008, right to culture may be undermined. This paper thus
4). sets out to address the question: does the complete
elimination of the cultural practice constitute an
1  In the official documents of the United Nations, the infringement of women’s right to choose culture?
term “female genital mutilation” is used to emphasise
the symbolic violence embedded within the practice. 3  The international agencies included are the Office of the
See Annex 1 of the Interagency Statement (2008) for a fur- United Nations High Commissioner for Human Rights,
ther discussion of the use of terminology. For the sake United Nations Population Fund, Joint United Nations
of neutrality and to avoid judgment, the term “female Programme on HIV/AIDS, United Nations High Com-
genital cutting” is used here instead to characterise the missioner for Refugees, United Nations Development
practice. Programme, United Nations Children’s Fund, United
2  This figure varies across different communities. For Nations Economic Commission for Africa, United Na-
instance, in Mandinga in Guinea-Bissau, the FGC cere- tions Development Fund for Women, United Nations
mony traditionally takes place between eight to twelve Educational, Scientific and Cultural Organization and
years old (Johnson 2000, 224). In parts of Mauritania, the World Health Organization.
Nigeria, and Ethiopia, however, the operation may be
performed early—within the first few weeks following
birth. In Kenya and Tanzania, young women are cut on
their wedding night. In Mali, the operation may be per-
formed on married women after they have had their
first child (Slack 1988, 443).
24
Contrasting Views on FGC context of initiation into everyday life” (ibid., 223)—
The international community’s response to the pain associated with the operation signifies
FGC differs from the African perspectives. To the inevitability of the pain a person will suffer in
the international community, FGC is considered her life. The personal aspect of FGC’s meaning is
problematic on two levels—in terms of physical stressed here—instead of consistently tying FGC’s
health issues and of the symbolic meanings meaning to sexual oppression, the procedure may
embedded within the practice. Potential long-term hold strong personal meanings for individuals
health risks associated with FGC include scarring, as a means to ascertain one’s identity and mark
infertility, urinary tract infections, and increased the entrance to adulthood. The ritual serves as an
blood loss and intensified pain during labour. Short- important marker in the development of the girls
term health risks such as infections and gangrene involved.
may occur, as the operations are often carried out
under unsanitary conditions in the rural villages The Ban as a Proposed Solution
(Platt 2007, 322). At first sight, the complete ban on FGC
The symbolic meanings of the practice were protects women from physical bodily harm and
recognised as indicators of women’s inferior position. symbolic violence. It recognises women’s right to
FGC is regarded as a “discrimination based on sex bodily integrity, and women are liberated from the
because it is rooted in gender inequalities and power structure of male dominance and degradation of
imbalances between men and women and inhibits their status through the operation. However, the
women’s full and equal enjoyment of their human perceived importance of the practice to the Third
rights” (WHO 2008, 10). As maintained by First World women is disregarded in the process. Here
World feminists, the perpetuation of FGC points I emphasise that the discussion below is focused on
to the patriarchal norms of the cultures in question adult women, instead of young girls who may be
and specifically highlights the male desire to exert forced by their parents into the procedure4. Indeed,
control over the sexual desires of the women. By in some communities FGC is “freely undergone by
removing the clitoris which is the central site of adult, sane, and educated women after the birth of
sexual pleasure for women, the procedure can “help their last child as a way of regulating their sexuality,
insure a girl’s virginity before marriage and fidelity or reminding themselves that they are from now
afterwards by reducing sex to a marital obligation” onward primarily mothers rather than wives, or as a
(Okin 1999, 14). Opponents of the practice also assert religious sacrifice of what they greatly value for the
that FGC is performed to “prove a man’s masculinity sake of their children and family, or as a symbolic
and virility by achieving the difficult act of break with one phase of life” (Parekh 1999, 71). By
penetrating a circumcised woman” and that “this placing a blanket ban on the practice, women who
type of sexual control renders women vulnerable to wish to undergo circumcision would not be allowed
male domination” (Platt 2007, 325). The operation of to choose the procedure.
FGC then results in a degradation of women’s status Moreover, what is significant is the image of
as inferior to men and as subjected to male control. the circumcised woman created vis-à-vis the ban.
Given these derogatory symbolic meanings, FGC The discourse turns the women into subjects and
is seen by the Western world as a violation of her imposes a fixed identity onto them. I propose that
bodily integrity. the consequence of characterising FGC as oppressive
The African view suggests that there are constructs the stereotyped image of the circumcised
other reasons to practise FGC. According to Ellen Third World woman as a victim of culture and assigns
Gruenbaum’s ethnographic research on female fixed features to the figure—she is downtrodden,
circumcision in Sudan, FGC serves as “a key oppressed, she blindly follows cultural norms and
mechanism for ensuring that girls arrive at their is incapable of deciding what is best for her body,
marriage beds untouched, thereby preserving which is placed in opposition to the First World
family honour” (2001, 78). Women also “emphasised Women’s self-perception as agents capable of choice.
the clean, smooth, and pure body that results from This is because ‘culture’ is seen as the culprit which
circumcision as being a prerequisite and preparation harms the women in question, forming the basis for
for marriage and reproduction, preparing a girl’s the discourse’s bias to the side of feminist rights,
body for womanhood and thereby conferring the accorded at the expense of women’s cultural rights
right to bear children” (ibid., 79). Women themselves within the international human rights literature. As
may not see the purpose of FGC as a preservation of
virginity, but rather they wish to assert their identity 4  The idea is that a paternalistic ban on the procedure
may be justified because of the potential harm and
as reproducers, who are ready to become mothers.
bodily invasion done to children as they do not pos-
FGC may also be performed in relation to the sess the capacity to account for their actions. The
“cultural construction of personhood” (Johnson same, however, cannot be said for adult women who
2000, 222). As a coming-of-age initiation, FGC serves one would generally assume to possess the autonomy
a “transformative role that extends beyond the ritual to make decisions for themselves.
The Oculus: Proceedings of the U21 Undergraduate Research Conference 25
a result, the human rights framework discriminates accounts of the women’s lives to the core image of
against Other cultures. the downtrodden circumcised woman, shredding
I will situate this claim within the context of away other characteristics and concerns raised
the practice to explain that the construction of such through the issue of the genital surgeries.
a victim image is premised upon the problematic Sander L. Gilman points out that
binary opposition of the First World Self vs the Third characterisation of FGC as oppressive and barbaric
World Other. A deconstruction of this would shed “mirrors [the writer’s] own beliefs and background”.
light on why it is problematic and discriminatory He argues that the negative perception towards the
to fall on the side of feminist rights and disregard practice is simply because “these rituals create (in
claims of culture. the mind of the external observer) physical images
of difference” (1999, 54) and signals the failure in
The First World Self vs the Third World forging understanding of the nature and substance
Other of FGC. This interpretation demonstrates that the
The Self is the subject who actively gives point of the view of the Self is privileged, whereas
interpretations to the Other, which is an object to be the voice of the Other is silenced through the Self’s
looked at and observed and the identity of the Other hegemonic reading of the practice. The Other is the
is imposed by the interpretation of the Self. It would passive object to be looked at and to have meaning(s)
appear that the ban against FGC is premised upon a imposed by the Self.
conventional outsider view, i.e. the First World Self This Self/Other binary is problematic precisely
observing the Third World Other, and such is the because the Self fails to acknowledge the perspective
imposition of the image of the circumcised woman of the Other. One can expect that in the eyes of
from the First World onto the Third World—“the Third World women, (cultural) practices in the
observer is the one who seeks to comprehend and to First World may also be foreign and unimaginable6.
control, to classify and to represent the culture to the Examples would be the use of plastic surgery,
other(s) [… which] leads to the silencing of dissenting breast augmentation, liposuction and other bodily
opinions and contradictory perspectives, and yields modifications for the purpose of beautification. Just
dominant master narratives of what the cultural as an American white woman has never imagined
tradition is” (Benhabib 2002, 102). Deconstructing undergoing FGC, a rural Kenyan woman possibly
this process of signifying difference between the has never imagined the use of plastic surgery for
women from the First World and the Third World slimming down and for removing body fat, nor
would likely reveal the possible biases of the First has she imagined breast augmentation or perhaps
World. even the need for it. While FGC is consistently
In Is Multiculturalism Bad for Women?, Azizah associated with violence with the use of terminology
Y. al-Hibri uses the phrase “Western patriarchal like ‘genital mutilation’, the breast augmentation
feminism” to assert that feminist rights as operation itself is also inevitably linked with a
institutionalised through human rights law stems sense of ‘mutilation’ and ‘physical invasion’ as the
from “the perspective of the dominant cultural ‘I’, a breasts are cut open to accommodate the implants.
Western point of view” (1999, 41), which forms the However, as argued by Isabelle Gunning, the
Self. In the eyes of the West, FGC is foreign and operation is never characterised as such (1992, 215).
unimaginable. Thus, when encountering the foreign Gunning attributes the differential treatment
practice of FGC, First World women are able to both to how a person is familiar with his/her own
distinguish and distance themselves from the Third culture as opposed to feeling foreign towards other
World by concentrating on the obvious cultural cultures—“How bizarre and barbaric must a practice
differences. In the process, they Otherise Third like implanting polyurethane covered silicone into
World women and essentialise their position of one’s breasts be perceived by one not accustomed
authority as Self. Leti Volpp encapsulates the above to the practice” (ibid., 213). Western feminists do
in this way—“Western discourse on [FGC] directs not immediately recognise a surgery like breast
a ‘horrified gaze’ towards [Third World Women], augmentation as problematic because when one
rather than looking at the complexities5 surrounding deals with one’s own culture and custom, it is
the issue” (1996, 1579). The complexities are wiped relatively easier to identify the larger social context
away and ignored, and the discourse reduces the and the agendas involved and one is more aware
and appreciative of the complexities involved in the
5  Volpp explains that the complexities facing the women
6  Martha Minow suggests that stories about foreign and
may include “the way that poor women face limited
unfamiliar cultural practices are exoticised such that
health care and educational opportunities, and suffer
they can illuminate the “otherness” of women dif-
from the denial of economic and political agency due
ferent from the “dominant Western nations” (Minow
to global inequalities, rearticulations of patriarchies in
2000, 128). See her essay “About Women, About Cul-
specific regions and the legacies of colonisation” (1996,
ture: About Them, About Us” for her discussion of the
1579).
cross-cultural examination of women’s concerns.
26
consideration7. However, a person from outside of up of mainly Westerners) does in according these
the culture, a person who has never encountered rights is to protect these Third World women from
breast augmentation before, may be oblivious to harm and to educate them about what is the ‘right’
the context and simply view the practice as “a to do. As Gilman puts it, “‘she’ (i.e. the Other woman
single horror” (ibid., 215). The cultural specificity of practising FGC) must be rescued from the ignorance
different practices and rituals results in the difficulty of superstition by ‘Western women’” (1999, 55).
for ‘outsiders’ to understand and appreciate what Agreeing to the outright banning of the practice
these people from another culture do. could in fact mean that one is ascribing to the image
One can then draw a parallel between the of the Third World woman as weak and incapable of
curiously enigmatic nature of FGC from the First having their own independent decisions free from
World’s point of view and the equally enigmatic the interference.
nature of other bodily modifications from the Third It would appear that by distinguishing
World’s point of view. By taking up the perspective between First World and Third World women,
of the Other, the hegemonic reading of FGC from the what the women’s right discourse ends up doing is
First World perspective is destabilised. discriminating against Other women by denigrating
The binary logic is also evident in constructing them to an inferior position, by imposing on them
the image of the circumcised woman as a victim, a victim image, and by characterising them as
as opposed to First World Women who are agents oppressed individuals whose choice or consent
and possess the autonomy to make sensible to FGC must be disregarded due to their lack of
and voluntary choices for deciding on bodily autonomy. Juxtaposition of FGC with cosmetic and
modifications. By assigning them the victim image, genital surgeries in the West reveals the biases of
Third World women are immediately thought of as the First World as they impose their views upon
not autonomous, their agency being bracketed by Other cultures, failing to address the nuances and
their culture and they fail to recognise that their complexities within FGC as a cultural practice.
bodily integrity has been invaded by undergoing To decide on what to do with a cultural practice
FGC. They are also unable to stand up for their own which appears to be problematic at first blush,
rights and fight against the symbolic oppression by one must avoid a binary logic in thinking about
abandoning the practice. other women. In the case of FGC, if one is more
This can be illustrated by juxtaposing appreciative towards the meanings of the practice to
vulvovaginal rejuvenation and labia trimming the women, one may be able to avoid the oppositional
practised in the West with FGC. Vulvovaginal construction of the Self/ Other binary between
rejuvenation and labia trimming refer to procedures the First World and the Third World, including its
where the vagina is tightened and the labia majora is hierarchical configuration which promotes the First
reduced, and the physical appearance of the genitals World perspective.
after FGPS and the appearance after traditional FGC
can be rather similar. A 2009 study conducted on Concluding Remarks
female genital plastic surgery (FGPS) in the United What I have illustrated above is how the
States published by the International Society for West has imagined and constructed the image of
Sexual Medicine found that 32.7% of the respondents the circumcised woman. The assignation of such
found that the procedure could help them boost an image is not unlike what Edward Said termed
self-esteem and improve self-image (Goodman and as Orientalism, the imaginary of the East (loosely
Placik et al. 2009, 7). Looking at this function of referring here to the Third World) through the eyes
FGPS, when women from the First World undergo of the West/ First World.
the surgery, one would suggest that they are doing The idea of protecting women’s rights through
it for themselves, and have autonomous choice eliminating FGC may not be the best solution. If
over their bodies. Yet when a Third World women one had allowed for the grown women to decide for
undergo FGC, the derogatory symbolic meanings are themselves what to do with their bodies, the women
immediately highlighted and the women’s personal may be empowered through self-determination and
positive perceptions towards FGC are disregarded. self-expression of identity—they could find a sense
The call for a complete elimination of the of empowerment through ritual, and by embracing
practice undermines Third World women’s agency. their ethnic and cultural identity, they feel that
What the international community (in effect made they are part of the community they belong to. An
example is Fuambai Ahmadu, an anthropologist
7  Although a Western feminist may view breast implants from Sierra Leone, who chose to be circumcised at
as problematic, she would be much less inclined to age 22. She reported that she did not experience
jump to the conclusion that women deciding to under-
the negative effects of FGC on sexuality which were
go the operation must suffer from impaired autonomy
often claimed in the literature, and said that she
or that her decision is overtly due to cultural pressure,
as is the case with FGC. and other members of her community found the
The Oculus: Proceedings of the U21 Undergraduate Research Conference 27
initiation ceremony empowering8. On the contrary, 7. Goodman, Michael P., Placik, Otto J., Benson,
if the Third World women were to opt for another Royal H., Miklos, John R., Moore, Robert D.,
standard (one that the First World advocates for) Jason, Robert A., Matlock, David L., Simopoulos,
and take a stand for their own bodily integrity, Alex F., Stern, Bernard H., Stanton, Ryan A.,
they could find another form of empowerment Kolb, Susan E. and Gonzalez, Federico. “A Large
through liberating themselves from what they Multicenter Outcome Study of Female Genital
view as dominance and oppression. In any case, Plastic Surgery.” Journal of Sexual Medicine 7, no.
to remove the Orientalist slant from the women’s 4 (2009): 1565-77.
rights discourse, one must give women from FGC- 8. Gruenbaum, Ellen. The Female Circumcision
practising communities the opportunity to shape Controversy: An Anthropological Perspective.
their own identities and to stop viewing them as Philadelphia: University of Pennsylvania Press,
victims who are incapable of making decisions for 2001.
their bodies. 9. Gunning, Isabelle R. “Arrogant Perception,
Gender, after all, only forms one aspect of a World-Travelling and Multicultural Feminism:
person’s identity—ethnicity is an important factor The Case of Female Genital Surgeries.” Columbia
too. However foreign it may appear, a cultural Human Rights Law Review 23 (1992): 189-248.
practice such as FGC may indeed give women a 10. Johnson, Michelle C. “Becoming a Muslim,
sense of empowerment as symbolic of their entrance Becoming a Person: Female “Circumcision”,
into the community and as a facet of their identity Religious Identity, and Personhood in Guinea-
formation—and it is not up to the Western feminists Bissau.” In Female “Circumcision” In Africa: Culture,
to only read the practice as symbolic of oppression Controversy, and Change, edited by Bettina Shell-
and patriarchy and blatantly disregard any positive Duncan and Ylva Hernlund. Colorado: Lynne
meaning FGC may have for the women living within Rienner Publishers, Inc., 2000.
those cultures. Recognising a woman’s right to 11. Minow, Martha. “About Women, About Culture:
culture could potentially empower the women to About Them, About Us.” Daedalus 129, no. 4
exercise autonomous choice over the options open (2000): 125-45.
to them. 12. Okin, Susan Moller. Is Multiculturalism Bad for
Women? Edited by Matthew Howard, Joshua
References Cohen, and Martha C. Nussbaum. Princeton:
1. “Eliminating Female Genital Mutilation: An Princeton University Press, 1999.
Interagency Statement.” edited by World Health 13. Parekh, Bhikhu. “A Varied Moral World.” In
Organisation. Geneva: WHO Press, 2008. Is Multiculturalism Bad for Women?, edited by
2. al-Hibri, Azizah Y. “Is Western Patriarchal Matthew Howard, Joshua Cohen, and Martha
Feminism Good for Third World/ Minority C. Nussbaum. Princeton: Princeton University
Women?” In Is Multiculturalism Bad for Women?, Press, 1999.
edited by Matthew Howard, Joshua Cohen, and 14. Platt, Jessica. “Female Circumcision: Religious
Martha C. Nussbaum. Princeton: Princeton Practice V. Human Rights Violation.” In Law
University Press, 1999. and Religion, edited by Gad Barzilai. Aldershot,
3. Banda, Fareda. “Female Genital Cutting, Human England; Burlington, VT.: Ashgate Publishing,
Rights and National Legislation.” In Women, Law 2007.
and Human Rights: An African Perspective, edited 15. Said, Edward. Orientalism. New York: Pantheon,
by Fareda Banda. Oxford: Hart Publishing, 2005. 1978.
4. Benhabib, Seyla. The Claims of Culture: Equality and 16. Shell-Duncan, Bettina and Hernlund, Ylva,
Diversity in the Global Era. Princeton: Princeton ed. Female “Circumcision” In Africa: Culture,
University Press, 2002. Controversy and Change. Colorado: Lynne Rienner
5. Essén, Birgitta, and Johnsdotter, Sara. “Female Publishers, Inc., 2000.
Genital Mutilation in the West: Traditional 17. Shweder, Richard. “What About “Female Genital
Circumcision Versus Genital Cosmetic Surgery.” Mutilation”? And Why Understanding Culture
Acta Obstetricia et Gynecologica Scandinavica 83 Matters in the First Place.” Daedalus 129, no. 4
(2004): 611-13. (2000)
6. Gilman, Sander L. “”Barbaric” Rituals?” In 18. Slack, Alison T. “Female Circumcision: A Critical
Is Multiculturalism Bad for Women?, edited by Appraisal.” Human Rights Quarterly 10, no. 4
Matthew Howard, Joshua Cohen, and Martha (1988): 437-86.
C. Nussbaum. Princeton: Princeton University 19. Volpp, Leti. “Talking “Culture”: Gender, Race,
Press, 1999. Nation, and the Politics of Multiculturalism.”
Columbia Law Review 96 (1996): 1573-617.
8  See Shweder, Richard. “What About “Female Genital
20. Young, Iris Marion. On Female Body Experience:
Mutilation”? And Why Understanding Culture Mat-
“Throwing Like a Girl” And Other Essays. New
ters in the First Place.” Daedalus 129, no. 4 (2000) at 213.
York: Oxford University Press, 2005.
28
Binary Unities:
Split Selves in Yves Bonnefoy and Michel Henry

Graham Riach
University of Glasgow

Abstract

This paper focuses on the role of imagination in the work of the great twentieth-century French poet
and theoretician Yves Bonnefoy, and the similarities it has with the thought of Michel Henry, a wrongly-
overlooked French philosopher. Both Bonnefoy and Henry express the need to seek out a sense of the
givenness of our experience, the ‘real’ which is concealed behind a veil of abstraction and conceptualisation.
In juxtaposing the works of these thinkers, I hope to demonstrate the need for synthesis between imagination
and practice. I examine the similarities between their conceptions of what constitutes the ‘real’, their reasons
for striving towards it, and the means by which they feel it should be attained. In particular, I will examine
the roles of embodiment, language, and, by derivation, conceptuality.
The imagination can be ephemeral and liberating, but brings with it notable absences, namely the
need for practice, and concrete realisation of the abstract. Faced with the discrepancy between imaginary
worlds and reality, Bonnefoy and Henry turn inward, seeking universality in that which seems to them the
most personal, and the most immediate: subjectivity, flesh, and lived experience. Given the richness of their
thought, the work of these two thinkers has been hugely underrepresented in recent study, a trend which I
hope to rectify in this research.
In the search for the Real, our frantic clawing at always indicates an absence. In Bonnefoy’s words:
the doors of science or the heaped rubble of history
reveals little, save an ever-receding ontological floor ‘[The word horse] contains a quiddity,
and the inadequacy of our method. Faced with the nothing else, and as such it is destined
exterior, intentional world’s seeming incapacity to never to evoke, like a proper noun cried out
grant access to the Real, Yves Bonnefoy and Michel could, the actual existence here, before me,
Henry turned inward, seeking universality in that of ‘a horse’…what is ‘horse’ if not a concept?
which seems to them the most personal, and the A horse, yes, before me, and ‘horse’, the
most immediate: subjectivity. Where one strand notion of it, no matter how this notion is
of phenomenology set out from Husserl towards determined.’2
textuality, virtuality, and shifting systems of signs,
Henry and Bonnefoy took the road less travelled, The central paradox in Bonnefoy’s thought is
towards the flesh and the immediacy of lived that he considers language to be both the cause of
experience. our separation from essential reality, and a means
Through the incorporation of language, in to find access to presence, the place where reality is
other words by reading poetry aloud, Bonnefoy experienced at its most immediate. This may seem
hopes to find ways to access presence, a term he uses to impossible, but Bonnefoy argues for a distinction
describe ‘[an] impression of participating in a reality between poetic language and other forms, claiming
suddenly more immediate, more unified, and more for poetry a capacity to overcome the pitfalls faced
interior to our being.’1 This state of grace has been by non-poetic language. Before examining this in
lost, he would have it, through our use of language, more detail, a brief description of Michel Henry’s
which has left our subjectivity estranged through position will help put this in perspective.
language’s conceptualisation of the world. One While Bonnefoy holds language to be at the
means of regaining access to the realm of presence root of our alienation from the real,3 Henry feels that
is through direct contact with nature, when chance a distancing from our own corporeal immediacy
smiles upon us, and we temporarily feel ourselves clouds our awareness of what he calls life, ‘the pure
to be in communion with all things. In poetry, ontological element’ that is ‘anterior to every act of
Bonnefoy seeks a less aleatoric means to reach understanding directed toward it.’4 According to
presence. However, he believes that by its very nature
language substitutes a conceptual replacement for 2  Yves Bonnefoy, ‘La poesie francaise et le principe
the object itself; a letter, be it alphabetical or postal, d’identite’, in Un rêve fait à Mantoue (Mercure de
France, 1967) trans. Graham Riach pp 91-2, trans.
1  Yves Bonnefoy, ‘Poésie et liberté (1989)’ in Entretiens sur Graham Riach
la poésie (1972-1990) (Mercure de France, 1990) p310, 3  ‘Poésie et liberté’, p310
trans. Graham Riach 4  Michel Henry, The Essence of Manifestation, Trans. Gi-
rard Etzkorn (The Hague: Martinus Nijhoff, 1973) p153
The Oculus: Proceedings of the U21 Undergraduate Research Conference 29
Henry, life is an immediate subjective experience of Poetic language, then, when it is spoken, has not
the world, a kind of gut instinct which occurs before only the abstract qualities of the linguistic signs it
our intentional interaction with it. Life is experienced incorporates, but also a physical element in sound.
thanks to auto-affectivity, a self-awareness of one’s Crucially, words become physically palpable in the
own participation in life, coupled with a sense of breath which produces them, and the ear which
one’s individuality and pathos, which consists of discerns them. Here, language is no longer merely a
feeling both joy and suffering. This auto-affection system of empty signifiers, but a ‘substance…which
is closely tied to his concepts of praxis, and flesh. was breath.’7 Through its incorporation, language is
With regards to flesh, it is important to bear in transubstantiated from the ethereal to the physical,
mind here that Henry distinguishes between the and this allows us access to presence.
flesh of our organic body, which would participate However, these claims come fraught with
in the world, and a more fundamental, subjective a number of problems. In Henry’s work, as in
fleshliness, constituted of auto-affectivity, which Bonneofy’s, it is conceptualisation which constitutes
participates in life. As James Williams points out the major stumbling block to direct involvement
in an enlightening article comparing some aspects in presence, or as Henry calls it, life. Despite this,
of Henry with other philosophers, unlike Maurice both positions rely on complicated theory, which is
Merleau-Ponty’s intertwining of the body and hardly the easiest thing to grasp non-conceptually.
consciousness, which links the two, but on a basis In addition, both Bonnefoy and Henry have no
of difference, Henry claims their indivisibility.5 This choice but to turn to language in order to express
distinction is useful, as it foregrounds the necessity their thoughts, tying them both to a conceptual
for Henry of dismantling the binary between body linguistic system. Moreover, Bonnefoy gives no
and self. Where Descartes states Cogito ergo sum, clear guidelines as to how we should distinguish
I think therefore I am, Henry might be thought to poetic language from non-poetic, save that we will
claim Facio ergo sum, I do therefore I am. just know. Similarly, Henry is vague as to exactly
For Henry, if objective intentionality, a kind what types of physical activity constitute praxis. The
of conscious perception of the world, is put first, it passage in which he comes closest to addressing the
causes an abstraction from immediate subjectivity issue directly describes praxis as something which
similar to the estrangement from reality Bonnefoy occurs when the body’s physicality, grafted onto its
claims is caused by language. In other words, subjective core, is exploited through movement as
both theorists feel that we are living in a world of an instancing of auto-affection.8 This does not seem
concepts which keeps us at a distance from our to provide a particularly rigorous model from which
immediate experience of being. One of the key to work.
means Henry advocates for accessing a state of unity
with the exterior world of objects is through praxis, a Despite these problems, I feel that the picture
physical interaction with the world which bypasses Bonnefoy and Henry paint of our relationship with
the objectification caused by conscious perception. the world in which we live to be a vivid one, and
This concept of praxis helps in understanding it is one which is often in accord with what I have
Bonnefoy’s conception that poetry can allow us to experienced personally. Yes, the imagination can
experience reality directly. In his essay ‘Poetry and grant us relief from the burdens of the world. Yes, it
Freedom’, he clarifies why poetry can accomplish provides us with the fuel to persist in our endeavours,
what other language cannot: but whatever it offers us, it can only be thought
valuable in that it benefits us in our physical lived
Words, yes, but active in a sentence in a experience, our most immediate point of contact
way I have not yet spoken of…Words, and with the world. This idea is eloquently summed up
with them signification, but this time also by Bonnefoy in one of his later poems, and it seems
sounds, rhythms which are formed from fitting that the last words be his:
one vocable to others in a different type of
language, a new scheme of association… Passer by, these are words. But instead of reading
before any thought.6 I want you to listen... 9

7  ‘Poésie et vérité’ p262


The similarities here with Henry’s concept
8  Michel Henry, La Barbarie (Paris : P.U.F., 2001) p98
of an experience of reality ‘anterior to every act of
9  Yves Bonnefoy, ‘Passer-by, these are words...’ trans.
understanding directed toward it’ are striking. Hoyt Rogers, The Partisan Review, Vol. LXVII, No. 2,
Spring 2001
5  James Williams, ‘Gilles Deleuze and Michel Henry:
Critical Contrasts in the Deduction of Life as Tran-
scendental’ accessed on http://www.springerlink.
com/contentv/61122382002p7814/ on the 27/09/09
pp7-8
6  ‘Poésie et liberté’, p320
30
Interpreting Nietzsche’s Perspectivism and What
This Means for our Conception of Knowledge
Jack Wright
University of Edinburgh

Abstract

In On the Genealogy of Morality1 Nietzsche claims that “there is only a perspectival seeing, only a
perspectival ‘knowing’”. The interpretation of this idea goes far beyond a simple textual debate, and signals
a dividing line between sceptical relativistic approaches and analytic positivistic approaches to the ideas
of truth, knowledge, and science. This short paper will be mainly concerned with looking at readings of
Nietzsche’s later works2 to compare three different approaches to this perspectivism: a relativistic sceptical
understanding popular amongst some post-structualists, a more positivistic analytic approach advocated
by Brian Leiter, and a third way that tries to combine the sceptical aspect of the first while avoiding the
slide into relativism. I will analyse each interpretation based on its how well they fit with the texts, but also
mention what I see as the pros and cons of the positions more generally3. I will argue that the relativistic
component of the post-structualist’s sceptical approach is an undesirable conclusion that is incompatible
with other aspects of Nietzsche’s work, and entails nihilism. I will also argue that the opposing positivistic
interpretation fails because it misses the context of Nietzsche’s work, relies too heavily on an optical analogy,
and generally it misses the inescapable necessity of interpretation in everything. I will then argue that the
correct reading of perspectivism is our third way, which manages to simultaneously combine aspects of
both and shift the question from the domain of knowledge to that of value.

Perspectivism in On the Genealogy of of the world; the dissolution of myths and the
Morality1,2,3 substitution of knowledge for fancy” (1997, p. 3), the
Before we dive into our discussion of Enlightenment revolutionised ideas and attitudes
perspectivism it is important to think about the about religion, morality and knowledge. Nietzsche
context of Nietzsche’s work; this draws in a vast had great respect for the general myth-busting
array of considerations, but there are two that are attitude of the Enlightenment; his (and later Adorno
particularly important for our present purposes. and Horkheimer’s) problem with many ideas
We must first note that Nietzsche is a philosopher during and post it was that he felt they failed to
who’s work is a continuation of a lineage that runs recognize that in many areas they simply replaced
through Schopenhauer, and many other European old myths with new. In brief Nietzsche’s ideas were
philosophers of the time, but that ultimately begins influenced by, a reaction against (the situation it
with Kant; we can trace many of the methodological left western philosophy), and a continuation of the
aspects (i.e. continuing the critical project), questions Enlightenment all at the same time.
and ideas of Nietzsche (Smith, 2010) right back to The texts that this paper focuses on (GM, TI,
Kant4. One central issue of this lineage was how to and BGE) are the ones that are most concerned with
formulate metaphysics to make it possible to have critiques of Kantian and Enlightenment ideas. GM
knowledge of things in themselves (things as they itself is a text that Nietzsche calls his “thoughts on
are absent of us as opposed to knowledge of things the descent of our moral prejudices” (GM Pref. 2);
as they are merely apparent to us). Kant, Hegel and where these “thoughts” are the basis of a critique
in a more negative way Schopenhauer had differing on the prevailing Christian morality of his (and to
ideas of how to do it, but they were all obsessed with a large extent our) age. We will focus particularly
this issue; Nietzsche was also influenced by this, on the third and final Essay of GM where Nietzsche
but in a rather different way. The second contextual goes beyond morality and embarks on a wider
consideration is the Enlightenment; characterised by critique on the whole of western society; he attacks
Adorno and Horkheimer as “the disenchantment aspects of art, science, religion and philosophy and
concludes that there is one ideal/value system that
1  Henceforth: Beyond Good and Evil – BGE, On the Geneal- underlies all of the problems that he addresses: the
ogy of Morality – GM, and Twilight of the Idols – TI.
ascetic ideal. For Nietzsche this ascetic ideal is the
2  Specially BGE (1-23), TI (IV), and mainly Essay 3 of GM
3  Both of these aspects, but particularly the later, are
intentional object behind judgements of the world
greatly expanded on in the larger project of which this in terms of transcendental values (Smith, 2010); it
paper is a part is the mistake of confusing one’s interpretations of
4  This is not necessarily a positive lineage, more that Ni- the world (i.e. one’s ideals) to be some metaphysical
etzsche’s ideas follow on from and react against those evaluative standard of the world. Asceticism for
of Kant and Schopenhauer Nietzsche is a disaster:
The Oculus: Proceedings of the U21 Undergraduate Research Conference 31
“I can think of hardly anything that has The core idea of perspectivism is the inescapable
sapped the health and radical strength of fact that we always know from a perspective; the
precisely the Europeans so destructively as interpretation of this idea, why it is an antidote to
this ideal; without any exaggeration we are asceticism, and the consequences of it on our picture
entitled to call it the real catastrophe in the of knowledge is what will be discussed in the rest of
history of European man.” (GM III 21) this paper.

It is so damaging because transcendental The Received View


values declare that the world that is is not as it ought The first way we can look at perspectivism is as
to be, and that the ideal world, the world as it ought a radical sceptical attack on all knowledge; this way
to be, does not (and often cannot) exist. This entails of interpreting it was popular amongst many post-
nihilism - an abhorrent conclusion to Nietzsche structualist readers of Nietzsche (Deleuze, 2006;
because he believes it to be incompatible with the Derrida, 1979), and Leiter (1994, 2003) and Janaway
flourishing of life (GM III 4-6). This is precisely what (2007) call readings of these kinds the Received View
Nietzsche thinks the obsession with the real/mere (RV). Janaway characterises RV as:
apparent world does because it assumes we must
have knowledge of things in themselves, and that the “[T]he radical doctrine that there can be no
mere apparent interpretations that we are capable of human knowledge that is not a falsification
need to some how be increased (by applying some of reality, that all of our beliefs are ‘mere
metaphysical standard/move) to be of value. The interpretation’, and that no one set of beliefs
dichotomy is ascetic because it devalues the only enjoys epistemic privilege over others.”
kind of interpretations/knowledge we can have. (Janaway, 2007, p. 203)
In fact it is not only that this dichotomy is ascetic,
it is also a key cornerstone of asceticism because Leiter attributes its origin in the English-
for ascetic ideals to be transcendental they must be speaking world to Danto, who claims that:
above mere interpretations, they must be truths of
things in themselves; thus, the whole ascetic game “There is no real world structure… no way
of forcing interpretations on others and claiming the world really is in contrast with our
that they are more than interpretations requires the modes of interpreting it. There are only
dichotomy. rival interpretations” (1965, p. 76)
It is in Nietzsche’s attack on the other products
of asceticism that we find the most significant The different versions of RV are more complex
passage on what he sees as the antidote to it: and vary more than Leiter and Janaway seem to
perspectivism: recognize, but they are generally right in saying
that at the centre of them all is the idea that the
“From now on, my philosophical colleagues, world itself contains no facts and that every truth
let us be more wary of the dangerous old or piece of knowledge is just one interpretation of a
conceptual fairy-tale which has been set world that has no determinate features. This means
up a ‘pure, will-less, painless, timeless, there is no epistemically privileged mode of access
subject of knowledge’, let us be wary of the to the world, and so, no particular perspective
tentacles of such contradictory concepts or interpretation is better than any others. These
as ‘pure reason’, ‘absolute spirituality’, readings of perspectivism, thus, lead to a relativistic
‘knowledge as such’: - here we are asked conclusion about knowledge.
to think an eye which cannot be thought The problem is that such a relativistic
at all, an eye turned in no direction at all, conclusion seems to be inconsistent with the rest
an eye where the active and interpretive of Nietzsche’s work; elsewhere Nietzsche argues
powers are to be suppressed, absent, but for many ideas and assertions that necessitate the
through which seeing still becomes a possibility of epistemic privilege. For example, in
seeing-something, so it is an absurdity BGE 134 Nietzsche claims that “from the senses
and non-concept of eye that is demanded. originate all trustworthiness, all good conscience,
There is only perspectival seeing, only a all evidence of truth”; this is just one place where
perspectival ‘knowing’; the more affects Nietzsche affirms a kind of empiricism, an approach
we are able to use for the same thing, the that:
more complete will out ‘concept’ of the
thing, our ‘objectivity’. But to eliminate the “Depends precisely on the existence of an
will completely and turn off all the affects epistemologically privileged class of claims
without exception, assuming we could: about the world (the claims based on sense
well? would that not mean to castrate the experience).” (Leiter, 1994, p. 337)
intellect?…” (GM III 12)
32
If it is held that all claims/ideas/theories and to declare some interpretations to be false.
are equally valid interpretations then we cannot His perspectivism, therefore, avoids the relativistic
have such an epistemic privilege; thus, RV cannot conclusions of RV.
support Nietzsche’s empiricism. This shows that it The first problem with Leiter’s interpretation
is unlikely that Nietzsche meant perspectivism this of the situation is one of context. He seems to
way. In fact, outside of the textual discussion, this is miss the fact that the discussion of perspectivism
also a reason to reject RV more generally because it comes in the middle of a larger more wide-ranging
shows why relativistic conclusions are undesirable. critique on western ideas and methodologies, and in
If there is to be any intellectual discussion/debate particular western attitudes (and arrogance) towards
about anything ever it cannot be every theory or knowledge. Scientific positivism (a picture that
idea is of equal worth; the relativistic position leads Leiter’s interpretation alludes to) is a large part of the
to an end of any possible discussion and it ultimately attitudes towards knowledge that Nietzsche attacks.
amounts to nihilism (which is the deeper underlying In GM III where Nietzsche is critiquing the products
reason that Nietzsche would have rejected it). Note, of the ascetic ideal in society he asks whether science
however, that these points alone do not refute it RV5. can save us from asceticism, but concludes that “it
It is still up to those that reject RV to come up with is not the opposite of the ascetic ideal but rather
an alternate interpretation of perspectivism that fits the latter’s own most recent and noble manifestation”
better. (GM III 23). This is because the positivistic scientific
attitude assumes and espouses two things without
Non-sceptical Perspectivism question6: (1) that a progression towards (without
In order to dislodge RV Leiter (1994) argues necessarily arriving at) ultimate truth is possible,
that the core of perspectivism is based on two ideas: and (2) that such a drive towards truth is valuable;
(i) Doctrine of Epistemic Affectivity - all knowledge together (1) and (2) form an “unconditional will to
necessarily presupposes “affects”; which implies (ii) truth, [that] is faith in the ascetic ideal itself” (GM III
Doctrine of Perspectives - knowledge is analogous to 24). Leiter claims that this is simply an attack on the
vision in the sense that both are dependant upon valuation of truth within society, and that it does not
perspectives that presuppose “affects” (interests and necessarily imply a sceptical component. But, this
values in knowledge, particular physical conditions muddles the issue up; Nietzsche does indeed attack
in seeing). Leiter claims that if we can work out the valuation of truth within society, but does so
an idea of perspectivism in terms of vision, then because he thinks the question of value is the only
utilizing this optical analogy we can find Nietzsche’s one we can ask; nothing has an epistemic standing
analogous idea of perspectivism about knowledge. absent of value (GM III 25), everything is interpreted
Leiter (1994, 2003) gives four claims about with relation to some values.
seeing that he hopes are widely accepted: (a) we More generally, the major problem with RV was
necessarily see an object from a particular (physical) that it failed to provide a measurement for epistemic
perspective; (b) the more perspectives we have the privilege (which as we saw amounted to relativism).
better our conception of the object; (c) we will never Leiter (1994) claims that his schema allows for this by
exhaust all possible perspectives; (d) the are many rejecting interpretations that are from perspectives
indefinable things that may distort our perspectives that are in some way distorted (using property
of an object. He thinks that these four features of (d’)); this is presumably possible by taking alternate
seeing form the core of perspectivism about vision, perspectives which cumulatively show that the
and gives us what he sees as the following analogous disputed perspective was wrong. Yet it is not clear
picture of knowledge: despite (a’) the necessity of that this cumulative version of objectivity is what
knowledge being from the perspective of certain Nietzsche would have wanted, or is even possible.
affects, we can cumulatively build knowledge of the Throughout GM Nietzsche attacks the commonly
actual world by the fact that (b’) the more affects we held interpretations of his society; the products of
see the world from the better our conception of it the ascetic ideal (Christian morality, philosophy, etc.)
will be, but at the same time we will never come to a are all common cumulative interpretations, and yet
complete picture of the world because (c’) there are Nietzsche is clearly opposed to the idea that they are
an infinite number of interpretive interests (affects); right or ‘true’. This is also a more general problem; in
finally, some perspectives are not ‘true’ because (d’) the terms of Leiter’s argument all perspectives are
there are many interpretive interests and needs that influenced by some affects, but just because many
will distort them. So, from the optical analogy Leiter affects point towards one interpretation that does
gives us a theory of perspectivism about knowledge not mean that that interpretation is correct, rather
(a’)-(d’) that allows us to accumulate knowledge, that many people hold the same affective values.
The underlying issue here is that Leiter seems
5  The general discussion on the validity of relativism
is a much larger task than this paper, I merely want 6  This is how Nietzsche saw the issue in science in his
to show why it des not fit with Nietzsche’s work and time, these assumptions are less prevalent and un-
why it is generally an undesirable conclusion questioned now
The Oculus: Proceedings of the U21 Undergraduate Research Conference 33
to assume that the optical analogy is a central and perspective – the fundamental condition – of life”
key point of Nietzsche perspectivism rather than (BGE Pref.) because it blocks opportunities for
seeing it for what it really is: a heuristic devise with further pluralistic, interpretive, imaginative play7;
an added bit irony. Throughout history knowledge an antidote to this is a perspectivism that contains
has been linked with light and seeing (think of some scepticism of ‘truth’. Nehamas agrees and
“seeing the light”, Plato’s philosopher coming out thinks that not only must the accepted version
of his cave to see the forms), Nietzsche’s use of of perspectivism not allow for absolute truths it
the optical analogy is an attempt to turn this idea must discriminate against them; there are bad
on its head (TI IV) by showing that even in vision interpretations, and they are precisely those that
absolute truth doesn’t exist. Thus, even if we allow assume themselves to be absolutely true, because
Leiter to assume that by showing vision to have they block the subject off from further interpretation
some cumulative progression towards ‘reality’ he (1985, p. 49).
can say that perspectivism about knowledge allows Nehamas and Schrift’s ideas highlight a
for the same, he misses the point. As we have seen crucial point for us: in line with our discussion of
Nietzsche’s attack on the possibilities of knowledge context, and because of the constraining nature
is not confined to the optical analogy it just takes its interpretations that claim absolute truth Nietzsche’s
most explicit form through it; the fact that all around perspectivism must contain some sceptical
GM III 12 Nietzsche insinuates towards the rejection component. Even if Nietzsche does sometimes
of the standard idea and valuation of truth suggests want to affirm or deny certain interpretations, he
that his perspectivism is meant to be doing the same never claims to do so absolutely, but instead in line
thing. with some goal, some set of values that underlie his
interpretation. This leads us into the central point of
Another Way this essay, one that is made by both Foucault (1990a)
The overly sceptical version of perspectivism and Deleuze (2006) (and elsewhere by Schrift (1988,
is undesirable because it’s too relativistic, but Leiter’s 1995)): because it is unreliable, Nietzsche regards the
positivistic version seems to miss the point of the question of truth irrelevant; it should be forgotten,
whole idea. As a way into our solution we must look instead we must always ask ourselves: for whom is
in more detail at some of the reasons accepting RV. this interpretation? Who does it benefit and what
Schrift (1990) argues that for Nietzsche the values does it affirm?
whole concept of truth is misleading, pointless, and
potentially life negating. “It is high time to replace the Kantian
question, “How are synthetic judgments
“The objective apprehension of truth is a priori possible?” with another question,
not only a myth, however; it is a “bad” “Why is belief in such judgments
myth, for one forgets that the moment necessary?”” (BGE 11)
of apprehension is a creative moment.”
(Schrift, 1990, p. 158) It is this switch of question that our formulation
of perspectivism must support.
And so, according to Schrift, Nietzsche adopts RV claims that there are no facts, that we see
the idea of perspectivism as a sceptical framework nothing but our perspective, and so, everything is
that allows for the denial truth. He claims that arbitrarily interchangeable. But it is unclear that such
perspectivism must be pluralistic, in that it allows resignation is required to support pluralism and the
for a multiplicity of ‘correct’ interpretations, and that critical transvaluation of values in the way Schrift
it needs a sceptical component that plays two crucial thinks perspectivism must. The view I argue for,
roles in the critical transvaluation of values: (i) it acts Pluralistic Perspectivism (PP), turns the resignation of
as a criterion from which we can critique and reject RV around: all we ever see is our perspective, but
views that deny space for further interpretation by this is not because there are no facts about the world,
claiming that they are members of some privileged it is because there are too many facts and we must
epistemic class; (ii) by rejecting dogmatic theories it necessarily select some and ignore others.
allows a space for constant, creative, interpretative In agreement with Leiter, White (1990) points
play. In this sense perspectivism reinvigorates out that for Nietzsche there must be some kinds
life by “stimulating [the] enigma and ambiguity of facts8, but that these facts alone are entirely
of existence”(Schrift, 1990, p. 155); it prevents the 7  This point is a lot more complex and important than
closing off of life’s rich ambiguity, and perspectives I have just put it, it goes right into the heart of why
that reach out to differing affects are judged by Nietzsche critics asceticism and towards his idea of
how much “they creatively enhance or impoverish what it is for life to flourish see Nehamas (1985) for
this ambiguity which is life” (Schrift, 1990, p. 156). more detail
His overriding point is that a dogmatic adherence 8  For example, Nietzsche claims “that ‘sinfulness’ in man
to the idea of truth “[amounts to] the denial of the is not a fact, but rather the interpretation of a fact,
namely a physiological upset” (GM III 16).
34
expands the bounds of our knowledge beyond our
senses (GM III 25) whatever we present will always
be our interpretation. But, he does not think that this
inescapable bounding means our knowledge and
thoughts on the world are mere interpretations, each
one as valid as the next; he wants us to forget this
false dichotomy altogether:

“The ‘real world’ – an idea no longer of any


use… let us abolish it… We have abolished
the real world: what is left? the apparent
world perhaps? … But no! with the real world
Figure 1. Duck-Rabbit originally presented by Jastrow (1899)
we have also abolished the apparent world!” (TI
IV)

insignificant. In recognizing particular phenomena The dichotomy of real/apparent world is an


as significant and calling them facts we are error because the idea that any truth can be absent
already interpreting them where multiple other of interpretation is an error; everything is always
interpretations where possible (like ignoring them). and forever an interpretation, and because of this
A very simplistic optical example of this can be knowledge bounded by sense is not mere it is valid/
found in famous duck-rabbit illusion (see figure 1); invalid (based loosely on representation of facts)
there are many facts about the picture: it is a bunch and then good/bad (based on one’s value schema).
of lines, it is a collection of dark patches on a white We should forget about knowledge of things in
space, or, more famously, it is a duck and/or a rabbit. themselves and instead ask the question of value.
Notice that when you see the picture as a duck you Because everything is in some way an interpretation,
cannot see the rabbit and vice versa; this highlights everything (including Nietzsche’s ideas and those of
nicely that every explanation/interpretation of what asceticism) is interpreted the way it is for a reason.
it is necessarily includes or excludes many facts; even Nietzsche wants us to accept this, stop pretending
the explanation that lists all the facts of the picture we can have any kind of methodology or theory that
(were it possible) would still only be one of many allows us to eliminate interpretation and replace it
possible interpretations, it would have interpreted with ‘hard fact’9, and instead start being more critical
all the facts as relevant and as ‘facts’. about what interpretations are really of value.
This “too many facts” idea is the point of PP Our understanding of perspectivism as PP
it implies that everything is an interpretation and allows this; it is the antidote to the asceticism of
never the interpretation, and because there are an dogmatism, and the nihilism of relativism precisely
infinite number of facts that we may assign to things because it commands that we make this switch in
we may always question the significance of the facts focus: from truth, to the critical transvaluation
given. This means that PP retains some scepticism of values10. So, from what has been discussed we
about claims to truth. At the same time PP also can conclude that Nietzsche’s understanding of
allows for the rejection of interpretations - since perspectivism must be something in-between Leiter’s
there are facts, an interpretation that lies about them interpretation and RV; maybe something like RV.
is one that is incorrect (for example: that Nietzsche The more general picture has been alluded to but not
was German is True; that he was Ghanaian is not) sufficiently discussed in this paper, but from what
– and for the comparison (in terms of epistemic has been said it seems that because perspectivism
value) between them (where an interpretation that is inescapable and because PP seems like the best
represents many facts incorrectly is worse than one way we can interpret it our understanding and
that is generally right). In this way PP is able to avoid discussion of knowledge and truth in society should
relativism. But, these points alone do not do justice move towards a more pluralistic paradigm, one
to the important shift PP allows us to make. In PP in which we accept that critical interpretation is a
the sceptical component allows us to rid ourselves valuable as ‘hard fact’ because the concept of ‘hard
of dogmatism, and the factual component allows us fact’ is a myth.
to see differences between interpretations; coupling
9  This is not only because it is impossible but also
these two points together we can compare the facts
because it is damaging since it prevents people from
people choose to interpret as relevant, and ask the being constantly critical and interpretive
crucial question: Why? 10  There is obviously the crucial point here that the
relativism can be simply moved into the domain of
Forget About it values; thus, entailing Nihilism after all. I would ar-
Nietzsche’s general argument is for the gue, however, that this is not the case as it is not clear
rejection of ideas like ‘absolute truth’ or ‘hard facts’; that morality must be relative or that if it is it entails
without some impossible metaphysical jump that Nihilism in the same way, but this is a discussion that
will have to wait for another time.
The Oculus: Proceedings of the U21 Undergraduate Research Conference 35
References 22. Schrift, A. D. (1988). Foucault and Derrida on
1. Adorno, T., & Horkheimer, M. (1997). Dialectic of nietzsche and the end(s) of ‘man’. In D. F. Krell &
enlightenment: Verso Books. D. C. Wood (Eds.), Exceedingly Nietzsche: aspects of
2. Ansell-Pearson, K. (1995). The significance of contemporary Nietzsche-interpretation (pp. 131-149):
Michel Foucault’s reading of Nietzsche: Power, Routledge.
the subject, and political theory. In P. Sedgwick 23. Schrift, A. D. (1990). Nietzsche and the question
(Ed.), Nietzsche: a Critical Reader. Oxford: of interpretation: between hermeneutics and
Blackwell. deconstruction: Other.
3. Danto, A. C. (1965). Nietzsche as philosopher: 24. Schrift, A. D. (1995). Nietzsche’s French legacy: a
Columbia Univ Pr. genealogy of poststructuralism: Burns & Oates.
4. Deleuze, G. (2006). Nietzsche and philosophy: 25. Sedgwick, P. R. (1995). Nietzsche: a critical reader:
Continuum International Publishing Group. Blackwell.
5. Derrida, J. (1979). Spurs: Nietzsche’s styles (B. 26. Smith, D. (2010). Lectures on Nietzsche Course
Harlow, Trans.): University of Chicago Press. on Early Continental Philosophy. University of
6. Foucault, M. (1980a). The History of Sexuality Edinburgh.
Power/knowledge: Selected interviews and other 27. Tomlinson, H. (1988). Nietzsche on the Edge of
writings (Vol. 1977, pp. 183-193). Town: Deleuze and Reflexivity. In D. F. Krell &
7. Foucault, M. (1980b). Two lectures Power/ D. C. Wood (Eds.), Exceedingly Nietzsche: aspects of
knowledge: Selected interviews and other writings contemporary Nietzsche-interpretation (pp. 150-163):
(pp. 78-108). Routledge.
8. Foucault, M. (1984). Nietzsche, genealogy, history. 28. White, A. (1990). Within Nietzsche’s labyrinth:
In P. Rainbow (Ed.), The Foucault Reader (pp. 76- Routledge.
100).
9. Foucault, M. (1990a). Nietzshce, Freud, Marx. In
G. L. Ormiston & A. D. Schrift (Eds.), Transforming
the hermeneutic context: from Nietzsche to Nancy:
State Univ of New York Pr.
10. Foucault, M. (1990b). The will to knowledge: the
history of sexuality (R. Hurley, Trans.): Penguin.
11. Janaway, C. (2007). Beyond selflessness: reading
Nietzsche’s Genealogy: Oxford University Press,
USA.
12. Jastrow, J. (1899). The Mind’s Eye. Popular Science
Monthly(54), 299-312.
13. Krell, D. F., & Wood, D. C. (1988). Exceedingly
Nietzsche: aspects of contemporary Nietzsche-
interpretation: Routledge.
14. Leiter, B. (1994). Perspectivism in Nietzsche’s
Genealogy of Morals. In R. Schacht (Ed.),
Nietzsche, Genealogy, Morality (pp. 334-357): Univ
of California Pr.
15. Leiter, B. (2003). Routledge philosophy guidebook to
Nietzsche on morality: Routledge.
16. Nehamas, A. (1983). Immanent and Transcendent
Perspectivism in Nietzsche. Nietzsche-Studien
Berlin, 12, 473-490.
17. Nehamas, A. (1985). Nietzsche: Life as literature:
Harvard Univ Pr.
18. Nietzsche, F. (1990). Twilight of the Idols (R. J.
Hollingdale (1968), Trans.): Penguin Classics.
19. Nietzsche, F. (1997). Beyond Good and Evil (H.
Zimmern, Trans.): Dover.
20. Nietzsche, F. (2007). On the Genealogy of
Morality (C. D. C. 1994), Trans. Rev. student ed.).
Cambridge: Cambridge University Press.
21. Schacht, R. (1994). Nietzsche, Genealogy, Morality:
Essays on Nietzsche’s Genealogy of Morals: Univ of
California Pr.
36
Envisaging State Healthcare:
A Visual Investigation into Irish Public Health Campaigns
1945-1958
Jane Hand
University College Dublin

Abstract

Government involvement in health provision became increasingly central to national agendas in the
post-World War II world. The recognition of the need for such provision in the wake of the losses attributable
to war ensured that public health would become an issue of increasing importance throughout Europe. This
article analyses the general trend towards governmental involvement in Irish health provision by engaging
in an examination of the role of the visual in the public health campaigns of 1945-1958. This increasing
emphasis on the visual in society will be assessed through the prism of health posters and pamphlets.
By examining the many and varied visual representations of illness, the depiction of those at risk from
disease can be understood as an aestheticised one. Symbolic imagery and metaphors, which articulate
particular beliefs about illness and its victims, were employed as an advertising tool adopted by the Irish
state. The analysis of health announcements in terms of iconography regarding disease, child welfare and
the perception of women indicates that such media, despite appearing nationally all-inclusive, were in
reality, aimed at specific groups or genders in society. Such announcements promoted a conceptualised and
imagined view of society under the auspices of health promotion.

Introduction works on the development of maternal and welfare


A culture of public health advertising emerged health policies in the Irish state, concentrated on the
in the post-World War II years throughout Europe. political and religious controversies such proposals
In an Irish context visual advertising techniques provoked. Ruth Barrington, in her extensive work
were utilised in a concerted effort to publicise and Health, Medicine and Politics in Ireland 1900-1970 also
consequently combat an array of health, hygiene affords only minimal attention to the advertising
and national welfare issues. Historical discourse has campaigns conducted throughout the 1940s and
traditionally omitted any substantial investigation of 1950s, concentrating instead on the political
the visual within the narrative of public health care. conflicts and compromises increased governmental
Only recently has the visual within history gained involvement in healthcare generated.4 Whilst the
prominence having previously tended to be almost visual has often only been utilised for illustrative
exclusively aligned with the study of art. In an Irish rather than discursive purposes that is not to say
context, academic research has often focused on that contemporary academic work has wholly
the political or religious debates that public health ignored the propagandist campaigns of the mid-
schemes engendered. Greta Jones in her work on twentieth century. On the contrary, Barrington and
tuberculosis in nineteenth and twentieth century Jones both make reference to the use of pamphlet
Ireland concentrates on the campaign to combat material and state propaganda in order to publicise
tuberculosis, not so much from a visual standpoint, various campaigns.5 However they fall short of any
but rather as an analysis of the political ramifications thorough investigation of the public health notices
of the work of the Anti-Tuberculosis League and themselves.
later the Anti-Tuberculosis Section of the Irish Red Such an absence of any effective evaluation
Cross during the 1940s.1 Similarly, Eamonn McKee2 of the public health notice, thus far, is therefore
and Lindsey Earner-Byrne3, in their respective noteworthy considering their alleged importance
in effectively transferring information regarding
1  Greta Jones, ‘Captain of All These Men of Death’ The
disease and hygiene to the general populous.
History of Tuberculosis in Nineteenth and Twentieth
Century Ireland (New York, 2001). Health posters and pamphlets can be perceived as
2  Eamonn McKee, Church-State Relations and the essentially ephemeral objects and their intended
Development of Irish Health Policy: The Mother-and- function has been to make an initial and temporary
Child Scheme, 1944-53’, Irish Historical Studies, Vol. 25, impression and then essentially disappear.6
No. 98 (1986), pp. 159-194.
4  Barrington, Health, Medicine and Society.
3  Lindsey Earner-Byrne, ‘Managing Motherhood:
5  Jones, The History of Tuberculosis in the Nineteenth and
Negotiating a Maternity Service for Catholic Mothers
Twentieth Century, p. 196-198.
in Dublin, 1930-1954’, Social History of Medicine 19, no. 2
Barrington, Health, Medicine and Society, p. 199.
(2006), pp261-277.
6  Cooter and Stein, ‘Coming into Focus’, p. 183.
The Oculus: Proceedings of the U21 Undergraduate Research Conference 37

Figure 1. TB poster issued by the Anti-Tuberculosis Section of Figure 2. Department of Health pamphlet providing advice and
the Irish Red Cross (NAI, HLTH D102/8) tips on dealing with coughs in children (NAI 2002/74)

Pamphlets and posters dealing with maternal and Whilst the actions of successive Ministers for
child welfare services, the combat of tuberculosis Health were indicative of a new and somewhat
and the importance of home hygiene will be radical agenda for disease control and treatment,
analysed in relation to their intended function and the social and cultural climate of the period was
their inherent symbolism. still predominately influenced by the machinations
The Health Hints in the Home series, introduced of the Catholic Church under the auspices of the
at the behest of central government in the late 1950s, Archbishop of Dublin, John Charles McQuaid. 8
aimed to highlight the continuing efforts to combat This was reflected in an increase in the popularity
various health and hygiene issues. It specifically of Irish Catholic social instruction and the efforts
addressed ‘Diphtheria Immunisation’, ‘Mumps’, of the Catholic Church in applying the teachings of
‘Flies – The Assassins of the Home’, ‘Sore Throat’, papal encyclicals to contemporary social problems.9
‘Cough in Children’, ‘Whooping Cough’, ‘Your A more thorough commitment to Catholic social
Children’s Teeth’, ‘Worms in Children’ and ‘Measles’. teaching, to Catholic concepts of the moral law and
The Anti-Tuberculosis section of the Irish Red Cross a more explicit recognition of the special position of
Society distributed an array of poster and pamphlet the church within both Irish political and social life
material relating to tuberculosis in a concerted was expounded.10
attempt to educate and inform the public on the Whilst it appeared that Irish social conditions
spread of the disease and the importance of early were improving in the post-Emergency period,
detection. This article investigates the importance Ireland still had the highest rates of infant and
of such public health images in transferring an maternal mortality in Europe by 1949.11 Central
imagined construction of independent Ireland to the Statistics Office data imparts a clear and candid
nation. This specific conceived perception of society picture of the high level of death rates from infectious
will be examined within three distinct areas of study diseases amongst children aged 1 to 4 in 1949.12
namely, the perception of the mother in Irish public Tuberculosis accounted for 14.8% of deaths amongst
health campaigns, the use of the Irish language in infants, diarrhoea and enteritis 6.6% and whooping
health information, and disease representation cough at 4.7%.13 Tuberculosis also affected large
within the sphere of public health. numbers of young adults, and was accountable for
half of all deaths of those aged 25 to 34 in 1949. The
The P erception of the Mother in Irish incidence of the disease in 1952 was 230 new cases
P ublic Health Campaigns 8  John Horgan, Nöel Browne: Passionate Outsider (Dublin,
During the period 1945-1960 a general re- 2000), p. 72.
appraisal of the role of State and local government 9  Barrington, Health, Medicine and Politics, p. 143.
in relation to public health was undertaken.7 A 10  Whyte, Church and State in Modern Ireland, p. 158.
need for interventionist and preventative policies 11  Ferriter, The Transformation of Ireland, p. 497.
rather than curative practices was championed. 12  Central Statistics Office, That was then, This is now:
Change in Ireland, 1949-1999, ed. Adrian Redmond
7  Diarmaid Ferriter, The Transformation of Ireland 1900- (Dublin, 2000), p. 37.
2000 (London, 2004), p. 497. 13  CSO, That was then, This is now, p. 37.
38

Figure 3. Department of Health pamphlet to explain the principles


Figure 4. Madonna and Child, Sassaferrato 1609-1685
of the Mother and Child Scheme (NAI, Dept. Taoiseach, S14997A)

per 100,000 of the population.14 Such stark figures women more acutely responsible for the health
ensured that some form of government intervention and welfare of their families.17 It was through the
would be necessary to combat these extreme levels ideology of scientific motherhood that the nurture
of infectious disease and the corresponding high of children could be elevated to the status of a
mortality rates. profession.18 Motherhood was identified as a site
Familial and maternal obligations consequently from which women were to locate their identity and
became central to State-led health campaigns lifetime happiness.19
throughout the post-Emergency period. The mother The Health Hints in the Home campaign
was repeatedly broadcast as the chief provider for centred on specific maternal instruction and health
the child within the home. The protection afforded guidelines. Such pamphlets functioned to prevent
the family in the Irish Constitution and the treatment and reduce the high rates of infant mortality in the
accorded women in Article 41 was deeply influenced State. The importance of early detection in ensuring
by Pope Leo XIII’s Encyclical Rerum Novarum of 1891, recovery rates is highlighted both textually and
which asserted that only in extreme cases was it illustratively. In Fig. 2 the Mother is depicted
acceptable for the State to interfere with the family.15 undertaking what is portrayed as her maternal
The clause relating to mothers concluded that “a duty by seeking the judgement and guidance of the
woman is by nature fitted for homework, and it is medical profession. Whilst this is a highly stylised
that which is best adapted at once to preserve her representation, its purpose is to establish a particular
modesty and promote the good bringing-up (sic) mode of behaviour and correct health conduct.
of children and the well being of the family”.16 As This pamphlet is specifically aimed at the female
illustrated by the central positioning of the mother in society and more particularly the mother as the
and child in Fig. 1 it is this perception of the role primary care-giver to the child. The male figure, the
of women in society which recurs throughout the professional and skilled doctor, although working
published propaganda material of the period. in the domestic environment clearly represents
Furthermore the influence of scientific the gender divide within Irish life. Concurrently it
advances had a potent impact on the provision of endorses the doctor as the mother’s guide. Therefore
infant welfare from the early 1950s. The principle the pamphlet is intended to assist the mother in
that women required scientific and medical advice carrying out her maternal responsibilities astutely.20
to raise their children properly gained increasing 17  Rima D. Apple, ‘Constructing Mothers: Scientific
prominence in the twentieth century. The need Motherhood in the Nineteenth and Twentieth
to follow explicitly the direction of experts made Centuries’, Social History of Medicine, no. 8 (1995), pp.
161-178
14  CSO, That was then, This is now, p. 36. 18  Apple, ‘Constructing Mothers: Scientific Motherhood
15  Dermot Keogh and Andrew J. McCarthy, The Making in the Nineteenth and Twentieth Centuries’, p. 165.
of the Irish Constitution 1937 Bunreacht na hÉireann 19  Apple, ‘Constructing Mothers: Scientific Motherhood
(Cork, 2007), p. 113. in the Nineteenth and Twentieth Centuries’, p. 164.
16  McQuaid extract from Rerum Novarum, UCDA 20  Apple, ‘Constructing Mothers: Scientific Motherhood
P150/2411, deValera Papers. in the Nineteenth and Twentieth Centuries’, p. 168.
The Oculus: Proceedings of the U21 Undergraduate Research Conference 39

Figures 5 and 6. Department of Health pamphlets promoting Diphtheria Immunisation (NAI 2002/74)

The family is enshrined in the Constitution of perception of women which was repeatedly
the state as the “natural primary and fundamental illustrated in a variety of health notices, namely that
unit group of Society”21 By extension the mother of homemaker.
within the home is established as the essential
and imperative care-giver of the family unit. It is The Irish Language
this perception of the role of women, particularly The adoption of the Irish language in the
mothers, that serves as a recurring visual publication of a variety of health notices characterises
representation in many of the State produced public a distinct depiction of an imagined Independent
health notices concerning infant welfare throughout nation. In a society which was increasingly
the post-Emergency era. operating in the English language the continued use
The iconography utilised throughout the of Irish in the political and administrative function
public campaign to promote the “Mother and Child of the state represented its importance as a symbol
Scheme” employed specific symbols and metaphors of Irish identity. Cultural nationalism assumed the
which were presented as representative of the moral role of official state ideology.22 Conradhna Gaeilge, a
code prevalent in contemporary society. The Brigid’s non-governmental organisation responsible for the
Cross held a prominent position in the official promotion of the Irish language, had actively and
publication of the “Mother and Child Scheme”. As successfully founded it as an emblem of national
depicted in Fig. 3 the central composition of the identity since the early years of the twentieth century.
mother and baby is juxtaposed with the religious The Irish language had been established as the first
symbol of a Brigid’s Cross. This cross was believed language of the state in Bunreacht na hÉireann, the
to protect the home from evil, hunger and fire. The Irish Constitution, 1937. The centrality of the Irish
pictorial representation of the Mother and Child language, as seen in Fig. 5 and Fig. 6, ensured that
proves reminiscent of traditional depictions of the health notices would now be published in both
Madonna and Child. Consequently the informal and the Irish and English language. The production of
maternal arrangement and the juxtaposition of the equal numbers of health notices in both the Irish
two central figures with the St. Brigid’s Cross alludes and English languages serves to somewhat over
to Madonna and Child symbolism. By utilising such emphasise the number of Irish speakers operating
powerful and easily recognisable iconography the outside that of Gaeltacht areas. All those pamphlets
poster achieved a high-level of comprehensibility. produced for the Health Hints in the Home campaign
This constitutional image of the role of women in were available in both an Irish and English language
society disregarded the continuously increasing version. The production of such health notices
numbers of women engaged in gainful employment represents the maintenance of governmental
outside the home during the 1950s. Indeed such cultural policy as opposed to a true reflection of
proliferation did little to alter the traditional language usage amongst the general population.
21  Bunreacht na hÉireann, 1937, Article 41; available 22  Caoimhghin Ó Croidheáin, Language from Below: The
from http://www.taoiseach.gov.ie/upload/static/256. Irish Language, ideology and power in 20th Century Ireland
htm; accessed on 24 February 2010. (Oxford, 2006), p. 170.
40
idealised view of society in relation to disease
representation was circulated for precise reasons,
particularly the control of fear, the creation of
alternative historical truth and to affirm the social
and religious tenets of the Irish Constitution and the
society in which it operated. It has been suggested
that the depiction of those at risk from certain
diseases can be understood as an aestheticised
one.28 Such images attempted to simplify the actual
complexities of disease and the society in which they
functioned through the use of highly formulated
images. Therefore symbolic imagery and metaphors,
which reveal particular beliefs about both illness
and its victims, were employed as a successful
advertising tool adopted by the State.
The employment of images in a highly
constructed manner can be primarily perceived as
governmental efforts to combat fear. Formal rigidity
and expectation in visual images allows a certain
Figure 7. Department of Health Pamphlet dealing with Measles level of normalcy to remain within the field of
(NAI 2002/74)
disease and illness.29 S.L Gilman and Mary Douglas
argue that those rigid forms of art that often reveal
Whilst the number of school children speaking themselves within the confines of the public health
Irish had increased since Independence in 1922 the poster represent an attempt at controlling disease
use of the language rarely transferred to the home within civil society worldwide.30 Despite the
environment. Education was the chief means of significant infant death rate from measles, which
restoring the language to prominence in Irish stood at 3.3% of all deaths in the one to four age
society. However the payment of fees restricted entry group in 1949, the visual projection of the disease
to secondary schools and universities.23 Certainly highlighted preventative and curative measures as a
language restoration could not be achieved by a means to combat both concern and anxiety.31 In Fig. 7
mainly primary education.24 The ethnic definition of the depiction of the child with the arm raised and fist
‘Irishness’ shifted slowly from the Irish language to clenched alludes to recovery and inherent strength
Catholicism.25 From the late 1930s the views of the against the ravages of infectious disease. The control
church came to dominate the ideology of the state. of fear by national governments through their
During the period ending with the Second World public health advertising schemes coincided with
War support for the Irish language peaked and yet a wish to promote the prevention of disease within
the spoken language went into a gradual decline.26 society rather than introducing heightened curative
This decline continued throughout the post-war measures. It is therefore within a specific aesthetic
years, a reality which is noticeably absent in the tradition, that of imagining and presenting disease,
numerous Irish language health notices produced that a sense of ultimate loss is projected.32 Images are
throughout these same years. Certainly the harsh placed within culturally accepted boundaries and
reality of poverty and emigration fractured the categories of representation. Within “art”, they are
popular perception of the Irish language idyll that presented as a social reality, a controlled image of
had been promoted since the 1930s.27 The contrast the world.33
between government rhetoric and practice marked It is imperative that a positive focus
the declining role of the state. Bilingualism rather regarding the state health service is constantly
than restoration became the more viable aspiration maintained. As Gilman indicates, one function of
of the state. the health poster is to enable a general attempt by
society to “localize and therefore limit the source of
Disease Representation within the sphere pollution”.34 By portraying preventative measures,
of Public Health both visually and textually, society preserves a
The representation of disease and illness in a level of hope and optimism within public medical
highly controlled style signified the portrayal of a
28  Gilman, Picturing Health and Illness, p. 115.
particular ‘imagined’ view of society. A specifically
29  Gilman, Disease and Representation: Images of Illness
23  Ó Croidheáin, Language from Below, p. 173. from Madness to AIDS (New York, 1988), p. 2.
24  Ó Croidheáin, Language from Below, p. 171. 30  Gilman, Disease and Representation, p. 2.
25  Ó Croidheáin, Language from Below, p. 178. 31  CSO, That was then, This is now, p. 37.
26  Ó Croidheáin, Language from Below, p. 196. 32  Gilman, Disease and Representation, p. 2.
27  Ó Croidheáin, Language from Below, p. 207. 33  Gilman, Disease and Representation, p. 2.
34  Gilman, Disease and Representation, p. 5.
The Oculus: Proceedings of the U21 Undergraduate Research Conference 41

Figure 8. Beware of Diphtheria: Protect Your Child by Figure 9. Department of Health Pamphlet dealing with Worms
Immunisation! (NLI OPIE K / 57/4) in Children (NAI 2002/74)

discourse. Furthermore, the nationwide campaigns simplify the actual complexities of disease, the use
introduced in the post-Emergency period, genuinely of highly constructed images renders the portrait of
improved early detection rates and consequently the sufferer inconsequential to the actualities of the
led to the successful treatment of disease.35 From illness. The person at risk is shown to be ‘healthy’
the introduction of national immunisation schemes and therefore beautiful, thereby more receptive to
the number of cases gradually declined as increased positive action from a visual viewpoint. As depicted
numbers availed of the service. As expressed in Fig. in Fig. 9 the two potential sufferers are displayed
8, the use of a direct-address style “ PROTECT Your as healthy and happy, the successes of a pro-active
CHILD by IMMUNISATION” the accompanying preventative health policy. Whilst the mortality
text to pamphlet material relating to diphtheria statistics for many of the infectious diseases during
immunisation only serves to further foster the this period are distressingly high, the depiction of
conception that confidence in curative measures the prospective victim omits any reference to death
were continually maintained within the visual or the act of dying. It is thus, argues Gilman that
expression of disease and illness. “these images are both dying and not really dying.
It is perhaps the image itself which makes the The anxiety about death can thus be bonded.”40
historical narrative appear complete rather than
partial.36 The health poster, illustrated pamphlet and Conclusion
more generally the public health notice can often The production of a range of aestheticised
serve as tools of state propaganda for national health. images represented the visualisation of a specifically
The image, when combined with the associated Irish culture. Health campaigns launched by
caption effectively forms a narrative closure with successive Irish governments throughout the 1940s
each acting as verification for the other in the public and 1950s targeted particular groups in society
eye.37 The visual representation acts to erase any through specific forms of representation. The
ambivalence within the historical discourse and visual and verbal language employed in public
leaves more limited space for contestation in any notices correlate with the prevailing beliefs of the
historical interpretation.38 era. Religious symbolism remained intertwined in
In an Irish context neither the poster nor the idealised representations of both mothers and
the pamphlet depicts the end result of disease. children, serving to illustrate the significant position
Rather there is a deliberate focus on the healthy in of the Catholic Church within the State system. The
society, those who have followed health instruction inherent weakness of the social feminist movement
and education, the preventative rather than the within Irish society facilitated the production of
palliative cure. Certainly, as argued by Gilman, the particular images which upheld traditional gender
representation of those at risk from certain infectious roles.41 In a society largely dominated by Catholic
diseases is an aestheticized one.39 In an attempt to social teaching the maintenance of long-established
35  Horgan, Nöel Browne, p. 72.
40  Gilman, Disease and Representation, p. 117.
36  Cooter and Stein, ‘Coming into focus’, p. 186.
41  Earner-Byrne, ‘Managing Motherhood: Negotiating
37  Cooter and Stein, ‘Coming into focus’, p. 186.
a Maternity Service for Catholic Mothers in Dublin,
38  Cooter and Stein, ‘Coming into focus’, p. 186.
1930-1954’, p. 274.
39  Gilman, Picturing Health and Illness, p. 115.
42
societal positions remained largely unchallenged. 14. Ferriter, Dermot. The Transformation of Ireland
The centrality of the mother and child was clearly 1900-2000. London, 2004.
advanced in a variety of poster and pamphlet 15. Gilman, Sander L. Picturing Health and Illness:
material. Images of Identity and Difference. Baltimore, 1995.
Certainly disease control and prevention 16. Gilman, Sander L. Disease and Representation:
became somewhat central to State policy. By Images of Illness from Madness to AIDS. New York,
producing a series of health notices, the State 1988.
attempted to overcome the clash between assistance 17. Horgan, John. Nöel Browne: Passionate Outsider.
and intervention. The motivating factor was left to Dublin, 2000.
the individual but concepts of maternal duty and 18. Jones, Greta. ‘Captain of all these Men of Death’: the
health prevention for the good of society generally History of Tuberculosis in Nineteenth and Twentieth
were repeatedly accentuated. Moreover it was the Century Ireland. Amsterdam, 2001.
cultural and social character of the country which 19. Keogh, Dermot, McCarthy, Andrew J. The Making
influenced the representative framework of the of the Irish Constitution 1937 Bunreacht na hÉireann.
numerous propagandist images and films of the Cork, 2007.
period. Health issues provided the necessary means 20. McKee, Eamonn. ‘Church-State Relations and the
for signifying a specific conceptualised image of Development of Irish Health Policy: The Mother-
society to the nation. Ultimately, the administrative and-Child Scheme, 1944-53’. Irish Historical
fervour of successive governments in advancing Studies, Vol. 25, No. 98 (Nov., 1986), pp. 159-194.
health promotion campaigns would prove invaluable 21. Ó Croidheáin, Caoimhghin. Language from Below:
in the diminution of endemic infectious diseases. The Irish Language, ideology and power in 20th
Century Ireland. Oxford, 2006.
References 22. Redmond, Adrian. Central Statistics Office, That
Primary Sources was then, This is now: Change in Ireland, 1949-1999.
1. Bunreacht na hÉireann, 1937. Article 8, Article 41. Dublin, 2000.
2. Dáil Éireann Debates (Parliamentary Debates)
1947-1958.
3. Department of Health Files, National Archives of
Ireland, Dublin.
4. Department of Justice Files, National Archives of
Ireland, Dublin.
5. Department of the Taoiseach Files, National
Archives of Ireland, Dublin.
6. Éamon de Valera Papers, University College
Dublin Archives.
7. James A. Deeny Papers, Royal College of
Surgeons in Ireland, Dublin.
8. Official Health Periodicals, National Library of
Ireland, Dublin.

Secondary Sources
9. Apple, Rima D. ‘Constructing Mothers: Scientific
Motherhood in the Nineteenth and Twentieth
Centuries’. Social History of Medicine, No. 8 (1995),
pp. 161-178.
10. Barrington, Ruth. Health, Medicine and Politics in
Ireland 1900-1970. Dublin, 1987.
11. Clear, Caitriona. Women of the House: Women’s
household work in Ireland 1926-1961: Discourses,
Experiences, Memories. Dublin, 2000.
12. Cooter Roger, and Stein, Claudia. ‘Coming into
focus: Posters, power, and visual culture in the
history of medicine’. Medizinhistorisches, No.42
(2007), pp181-209.
13. Earner-Byrne, Lindsey. ‘Managing Motherhood:
Negotiating a Maternity Service for Catholic
Mothers in Dublin, 1930-1954’. Social History of
Medicine, Vol 19, No. 2 (Mar., 2006), pp. 261-277.
The Oculus: Proceedings of the U21 Undergraduate Research Conference 43

Richard Flanagan’s Gould’s Book of Fish:


Rewriting Tasmanian Ecology

Jill Carman
University of Queensland

Abstract

Richard Flanagan, the contemporary Australian novelist, has for decades been a passionate advocate
for environmental conservation, particularly in his home state of Tasmania. He has built up a strong
political profile on Tasmanian environmental issues, leading protest rallies, giving speeches, and writing
in newspapers the world over. In his novels, however, he takes a very different approach, opening the
Tasmanian environment up into a playful and disturbing new world. Flanagan’s 2000 novel, Gould’s Book of
Fish, exemplifies this tendency. It is a work that must be understood within the long history of Tasmanian
environmentalist art, which has traditionally depicted the environment within a highly aestheticised
wilderness discourse. In Gould’s Book of Fish, Flanagan resists this trend, choosing instead to represent the
local environment as a surreal and violent space. The text’s fixation with physical experience allows for an
understanding of environment in a broader sense, which makes clear the connections between the humans
and the surrounding world. It is precisely Gould’s Book of Fish’s refusal to depict nature in any kind of a
natural way at all that makes it such an ecologically important novel.

Tasmania. Home to the world’s cleanest air, environmental campaigns, fought to save various
and some of the world’s clearest water. This island wilderness areas, have become issues of national
off the southern end of Australia’s mainland holds importance. The Tamar Valley pulp-mill, the
the world’s last great temperate wilderness. A Franklin River, Lake Pedder—these Tasmanian
remarkable more than 40% of the state is given over campaigns are household names for most
to national parks, reserves, and World Heritage sites. Australians, and have been instrumental in raising
In its rugged mountain ranges, dense rainforests, public support for environmental issues more
wild rivers and glaciated peaks there is wildlife, generally.
scenery and vegetation unlike anywhere else on Tasmanian artists have played a crucial role in
earth. these conservation campaigns from the beginning,
You could be forgiven for thinking that this working to publicise and popularise key campaign
introduction reads like a tourist advertisement issues. The first major conservation campaign
for Tasmania’s natural attractions. A reasonable fought was to prevent the damming of Lake Pedder,
assumption—most of that material came straight and local Tasmanian artists were a critical part of the
from the official Tourism Tasmania website movement. The Pedder campaign mounted a case
(“Wilderness Areas”). I do this to emphasise that this for wilderness that was, in a large part, aesthetic.
image of Tasmania as a land of ancient wilderness The important role played by local artists within
is a crucial element of its construction today. this campaign was such that the Commonwealth
Here, the Australian environmental movement is Inquiry into Lake Pedder admitted the testimony
at its strongest. The focus of this paper is on the of artists— “professionals in aesthetics”—affirming
contemporary Tasmanian novelist Richard Flanagan, the natural beauty of the lake, which was considered
and his 2000 novel, Gould’s Book of Fish, a novel which to be expert evidence on a par with evidence on the
contributes to the environmental movement in some lake’s scientific and recreational value (Bonyhady
unexpected ways. Flanagan’s novel arises out of a 34). Future environmental campaigns waged in
rich tradition of Tasmanian environmentalism, an Tasmania have continued to rely heavily on art to
understanding of which is crucial to my reading of politicise the importance of wilderness areas. In
his work. Before I consider Flanagan’s work further, the fight to save the Franklin River, wilderness
it is necessary to briefly contextualise it within a photography remained a central campaigning tool.
consideration of Tasmanian environmentalism, and Peter Dombrovskis’s photograph of “Rock Island
Tasmanian environmentalist art. Bend” on the Franklin River became the campaign’s
Tasmania has been at the heart of the central image, symbolising the mystical wilderness
environmental movement in Australia for the last quality of the river. The photograph was used to
forty-odd years. Indeed, it is in Tasmania that great political effect in the lead-up to the 1983 federal
the world’s first-ever Green Party was formed, in election, when it appeared as a full-colour insert in
1972 (Hutton and Connors 121). Major Tasmanian one million copies of newspapers on the mainland in
44
a bid to make the dam an election issue. The leader are no lush evocations of peat and moss and ancient
of the Australian Greens political party, Bob Brown, trees. Rather, through the eyes of Gould, the reader
has commented that fellow politicians still tell him is granted quite a different take on the concept of
that the lift-out was the most effective political environment. Environment, in this novel, is best
advertisement they have ever seen (Wildness). considered in terms of its more general meaning
Richard Flanagan, a fifth-generation as simply, surroundings. It is not some lush, green
Tasmanian, is a contemporary novelist writing realm at a remove from human activity, but a very
out of this landscape. He has a strong political tangible thing in this book, an omnipresent, often
profile, and has been a consistently strong voice claustrophobic space that interacts with the novel’s
within the Tasmanian environmental movement. characters. The scene is set for this understanding
He has led protest rallies, delivered speeches, and of environment very early in the novel.
written in newspapers the world over on Tasmanian In one of the opening episodes, Gould,
environmental issues. His novels, however, present imprisoned within his cell, narrates his surroundings.
a strikingly different conceptualisation of the He describes in particular his cellmate, who he
environment. Gould’s Book of Fish, in particular, is a affectionately refers to as the King. Gould and the
text that refuses to depict the natural world with any King share what Gould calls a “fish cell,” built at the
representational stability. Instead the Tasmanian base of the cliffs ringing the island, so that it fills
environment is portrayed in surreal forms that almost entirely with seawater every high tide. In
entirely erase all traces of the wilderness discourse this claustrophobic environment, Gould describes
so important to the environmentalist movement. his cell-mate. The King, Gould tells us, is a silent,
This is an interesting contradiction between majestic figure. The King is, writes Gould:
Flanagan’s political work and his fictional work, one
that I argue leads to a much richer understanding of ...a most remarkable man.... His presence
the environment. is large, inescapable. You can feel him all
Gould’s Book of Fish is a difficult book to over you. Sometimes I think of him only
summarise, but essentially, it’s the story of the as a creeping slime rising up the walls... He
Tasmanian convict William Buelow Gould, a real grows daily not only in my estimation, but
historical figure, who painted a series of paintings of also, it has to be admitted, in his very being,
Tasmanian fish. These paintings still exist today, and becoming more & more corpulent.... (49-50)
Flanagan reproduces the images at the start of each
new chapter. This, however, is where the similarities Slowly, it becomes apparent to the reader that
between the historical record and Flanagan’s novel Gould’s majestic cellmate is in fact, a corpse. This
end. William Buelow Gould narrates the action of grotesque body bobs around the waterfilled cell
this novel. He is a melodramatic, foul-mouthed every high tide, slowly becoming more bloated, and
petty criminal with artistic leanings. In the story more recently, notes Gould, developing a greenish
as he tells it, locked within his prison cell, he is tinge. In this vignette, the scene is effectively set
commissioned to paint a series of watercolours for what will be the ongoing fixation on physical
of fish, but as these paintings progress, he finds environment throughout the novel. This is not
himself becoming progressively more attached to a conventionally picturesque understanding of
these creatures. By the story’s end, Gould, with a environment but one that’s much more immediately
sense of inevitability, metamorphoses into a fish—a tangible, in say, the slime of a decomposing,
weedy seadragon, to be precise. Gould’s records waterlogged corpse.
of these events, replete with his fish paintings, are It is this fascination with the physical that I
preserved as the Book of Fish, which is discovered think makes Gould’s Book of Fish such an interesting
some 200 years later by a local petty criminal, who text to read in an ecological light. This is a very
finds himself getting sucked into the story as well. earthy novel, full of often hyperbolic references to
This is a surreal and playful novel with a physical experience—by turns bawdy, scatological,
decidedly political agenda. The novel addresses the and violent. . Characters are eaten by giant pigs
shameful treatment of the Tasmanian Aborigines, and digested as giant pig turds, they are gruesomely
contemporary Tasmanian tourism, the literary disembowelled, they engage in sex acts with bottles
marketplace, the brutality of convictism, and much of cologne. In this attention to the physical lies the
more besides. Interestingly, however, there are not ecological insight of the novel. As an embodied
many mentions of the Tasmanian environment, the subject, Gould is all too aware of his environment.
pristine wilderness of rainforest and river in which Through their shared physicality, the natural world
this story is set. In the face of this, I wish to argue and the realm of the human are shown to be, in this
that this is a deeply environmental novel. Like text, inextricable. This is an ecological message of
many Tasmanian artists before him, Flanagan is the most basic order: Gould is materially constituted,
working to engage environmental consciousness, and as such has an affinity with the whole of the
but he’s doing it in quite an unusual way. Here, there material world. The focus on the disgusting and
The Oculus: Proceedings of the U21 Undergraduate Research Conference 45
the bawdy elements of Gould’s physical experience, clearfelling might. What it does do is inspire the
which pervade the novel, sets this out in striking imagination, provide another means of thinking
terms. through the question of human’s relationship to the
Gould becomes more aware of this world around them. In the history of the Tasmanian
connectedness to the whole physical world through environmental movement, the imaginative role
the fish paintings that he creates. This act of art played by art has been an important one. In the
involves him sitting for hours at a time with each surreal and playful world of Gould’s Book of Fish,
expiring fishy subject, studying them up close as as I have argued, Richard Flanagan continues this
he commits them to paper. It is a process by which tradition.
he reaches what might be called the novel’s ethic of
connectedness, which Gould records as a rapturous References
epiphany: 1. Bonyhady, Tim. “Lake Pedder: 1971.” Island 56
(1993): 29-34. Print.
Because of my newfound proximity to what 2. Flanagan, Richard, Gould’s Book of Fish: A Novel in
hitherto had been little more than stench Twelve Fish. Sydney: Picador, 2001. Print.
wrapped in slime & scale, I began to dream 3. Hutton, Drew, and Libby Connors. A History of
that there was nothing in the extraordinary the Australian Environment Movement. Cambridge:
universe opening up in front of me, not a Cambridge UP, 1999. Print.
man or woman, not a plant or tree, not a 4. “Wilderness Areas.” DiscoverTasmania.com.
bird or fish, to which I might be allowed to Tourism Tasmania, 2010. Web. 7 Aug 2010.
continue remaining indifferent. (258) 5. Wildness. Dir. Scott Millward. Australian
Broadcasting Corporation, 2003. Videocassette.
And indeed, Gould does not remain indifferent
to these fish. His felt affinity for them is not abstract
but bodily. In one of the novel’s many surreal
moments, Gould metamorphoses into a weedy
seadragon. The “whole extraordinary universe” is
so radically connected in Gould’s Book of Fish that
such boundaries between beings constantly shift.
As I see it, Flanagan’s novel is ecologically
important precisely for its surreality, for its focus
on the bawdy and disgusting elements of the
physical world at the expense of depicting the
ancient rainforests. This is a text which challenges
the distinction between the realm of the human
and the realm of nature. Humans are always
already involved in the world around them, and
this is the powerful ecological message of the
book. Historically, it has been artforms such
as nature photography, which idealise what is
beautiful and pristine in nature, that have been
aligned with Tasmanian environmentalism. While
such artforms have an important place within
the environmental movement, Flanagan’s novel
offers an important difference of perspective.
There is no idyllic, untouched wilderness space in
this text and yet the environment, more broadly
conceived, is everywhere, interacting with human
development and even merging the two together
in surreal metamorphoses. This novel emphasises
the connections between the human and the
surrounding world, in a way that shows us to be
inextricably tied to the fate of this world.
When all’s said and done, Gould’s Book of
Fish is just a book—a wildly imaginative, moving,
unsummarisable story about convicts who turn into
fish, among many other things. It’s not going to
change the world in the same way as, say, emissions
reductions targets or campaigns against rainforest
46
A Chinese Verbal Inhibitory Control Task with
Potential Clinical Application

Ka-Man Chong and Sam-Po Law


University of Hong Kong

Abstract

Recent findings suggested a relationship between inhibitory control and language production in the
aspect of language treatment outcomes (Yeung, Law, & Yau, 2009). The present study aimed at developing
a modified version of the classic Stroop task, a verbal inhibitory control task without the requirement of
verbal output, applicable to those with language and speech production problem i.e. aphasic individuals.
Normative data were collected from 50 Cantonese-speaking Chinese in the classic and modified Stroop
tasks and interference effects were found. The interference effects in the modified Stroop task confirmed
an element of inhibition which could be considered as related to “resistance to distractor interference”, and
highlighted the potential clinical application of the task. In addition, the absence of a significant correlation
in the interference effect size between the current modified Stroop task and the classic Stroop task was
consistent with and indeed predicted by the account of different inhibitions-related functions.
Introduction Therefore, the development of verbal inhibitory
Executive functions can be defined as control tasks is of great clinical significance.
mental functions which organize, regulate and The Stroop task (Stroop, 1935) has been
execute purposive behaviors enabling humans to widely used in research on working memory and
solve problem for successful living (Hamilton & attention (MacLeod, 1991). In the classic Stroop task,
Martin, 2007). One of the critical components of participants have to name the ink color of a written
executive processes is inhibition, a term defined color word. Typically, naming the ink color of the
by the ability to suppress interfering or irrelevant color word in the incongruent condition (e.g. saying
information (Friedman & Miyake, 2004; MacLeod, ‘green’ in response to the written word “RED”
2005). Inhibitory control process has long been an presented in green) is less accurate and slower than
essential explanatory element in mental functions naming the ink color of a series of Xs or a neutral
like attention and working memory (Macleod, 1991). word in the control condition. This is known as the
Recently, Hamilton and Martin (2007) showed Stroop interference. In contrast, color naming is faster
that the inhibitory control deficits might underlie in the congruent condition (e.g. saying ‘green’ to the
short-term memory impairment. Disruption to written word “GREEN” presented in green) than in
inhibition might account for language production the control condition. This is known as the Stroop
deficits. The findings of Yeung, Law, and Yau facilitation.
(2009) converged on the close relationship between Since 1965, more than 2,000 studies have
inhibitory control and language production in the examined the Stroop task and different theoretical
aspect of language treatment outcomes. Yeung et approaches have tried to explain Stroop interference
al. showed an adverse effect of inhibitory control (MacLeod, 1991). Cohen, Dunbar, and McClelland
deficits on the efficacy of a word retrieval treatment (1990) proposed the relative-pathway-strength
for anomic individuals based on their performance account in the framework of parallel distributed
on a nonverbal inhibitory control task, i.e. the processing (PDP), which introduced inhibition as
Attention Network Test (ANT). the explanatory element. In their model, the process
Meanwhile, Hamilton and Martin (2005a) in the reading pathway contributes inhibitory
reported a dissociation between the performance input to the response unit which increases the time
in verbal and non-verbal inhibitory control tasks in required to accumulate enough activation from the
a stroke patient with semantic short-term memory color naming pathway to exceed a threshold for a
deficits. This indicated the differentiation of response, resulting in interference.
components of inhibition into verbal and non-verbal On the contrary, Macleod, Dodd, Sheard,
modalities. As the findings in Yeung et al. was Wilson, and Bibi (2003) argued that inhibition was
based only on the results of a nonverbal inhibitory unnecessary in the Stroop task and they suggested
control task, further investigation in aphasic that inhibitory links in the Cohen et al.’s (1990)
individuals’ verbal inhibitory control abilities, and PDP model might not be necessary to explain the
the relationship between these abilities and the Stroop effect. They instead argued for Roelofs’s
language treatment outcome should be addressed. (2003) account based on the WEAVER ++ model
The Oculus: Proceedings of the U21 Undergraduate Research Conference 47
of word production. Although Macleod et al. Method
(2003) suggested that Roelofs’s account was free Participants
of inhibition, according to Hamilton and Martin Fifty undergraduates (25 males and 25 females)
(2005b), the production rule -- “If the goal is to say the aged from 19 to 25 from local universities in Hong
name of the color, and input is received from a word, Kong participated in the study. All participants
THEN block out the word input” (Roelofs, 2003, p. were native speakers of Cantonese without a
101), could reasonably be regarded as inhibition. history of color blindness, brain injury and hearing
Since then, inhibition has been the core impairment.
element in different accounts for the Stroop effect;
as such, the Stroop task is considered a verbal Materials and Design
inhibitory control task. The task is available in Classic Stroop task. The stimuli used in
Cantonese (Lee, Yuen & Chan, 2002) and is the the present computerized version were Chinese
only verbal inhibitory control task used in Hong characters related to the colors 紅 red, 黃 yellow, 藍
Kong. However, the task may not be administered blue and 綠 green, and unrelated characters including
to those with language and speech production 問 ask, 英 outstanding, 走 go and 生 birth, appearing in
problems, i.e. aphasic and dysarthic speakers. The red, yellow, blue or green. The unrelated characters
speech and language deficits restrict one’s ability in acted as the neutral words and were chosen from
participating in task requiring oral responses. The a database of high frequency Chinese words at a
lack of suitable assessment of verbal inhibitory for primary two reading level. The whole task consisted
this population has motivated the current study. It of 104 trials in three conditions (36 congruent, 36
involved a modification of the response modality of incongruent and 32 neutral trials). The example
the classic Stroop task from oral to covert responses. trials of each condition were illustrated in figure 1.
Given the potential significance of inhibitory control Modified Stroop task. The auditory stimuli, /
in language rehabilitation (Yeung et al., 2009), it is huŋ4/ red, /wɔŋ4/ yellow, /lam4/ blue, and /luk9/
desirable to include a verbal inhibitory control green, were spoken by a native Cantonese female
task as part of language assessment, and its score speaker. The written word stimuli were the same as
may provide valuable information for designing the classic Stroop task except for the neutral Chinese
language rehabilitation programmes for aphasic characters. Only 問 ask and 英 outstanding were
individuals. included chosen randomly from the neutral words
For any modified version of the classic Stroop used in the classic Stroop task. The modified task
task, a significant correlation between the conflict consisted of 144 trials in six conditions with 24 trials
effects in response time in the classic Stroop task each. The example trials of each condition were
and those of the modified test can be taken as illustrated in figure 2.
an indicator of external validity. In the present
modified Stroop task, a spoken color name is Procedure
presented simultaneously with a written word in The classic and modified Stroop tasks were
each trial, and the participant has to decide if the completed in a single session. All participants were
former matches the color of the written word by individually tested in a sound-attenuated room.
pressing a button. Different from the classic Stroop In both tasks, an E-prime programme presented
task, an auditory signal is involved and a spoken the written stimuli on a Fujitsu-brand laptop color
word-color matching is required. Compared to the screen.
classic Stroop task, both tasks involved inhibition of Classic Stroop task. The participant was
distraction from the written word. On this basis, it seated in front of the screen and a microphone was
was predicted that the conflict effect in the modified connected to a voice key to collect vocal latency
Stroop task would be correlated with that in the between stimulus onset and response onset. The
classic Stroop task. participants were asked to verbally name the color of
In summary, the purpose of this study was the word as accurately and quickly as possible. The
to develop a version of the Stroop task without 104 trials were presented in different randomized
requiring oral responses for Chinese speakers. orders across participants. Each participant’s
Normative data were collected to investigate if the response was charted by the experimenter for
Stroop interference effect was present. The validity accuracy.
of the modified Stroop task was also investigated Modified Stroop task. The participant was
by correlating the size of the conflict effect in the seated in front of the screen and earphones were
modified Stroop task with the classic Stroop task. worn for receiving the auditory stimuli. A response
box was connected to the laptop to collect latency and
accuracy data. On each trial, a spoken color name
was presented simultaneously with a written color
word. The participants were asked to decide if the
auditory stimulus matched the color of the written
48

Figure 1. Example trials of experimental conditions in the classic Stroop task

word stimulus and respond by pressing either the Interference effects: The mean difference between
“Yes” or “No” key on the response box as accurately incongruent and neutral trials was statistically
and quickly as possible. Two experimental blocks significant both by-subject, p <.001, and by-item, p
were executed. In each blocks, 12 trials of each <.001, indicating that responses in incongruent trials
conditions were included with a total of 72 trials. were slower with an interference of 124 msec.
The trials in each block were presented in different Facilitation effects: The mean difference
randomized orders across participants. between congruent and neutral trials was statistically
significant both by-subject, p <.001, and by-item, p
Data Analysis <.001, showing that responses in congruent trials
Response latencies and error rates of both the were faster with a facilitation of 48 msec.
classic and modified Stroop tasks were submitted Error rate. Participants’ mean error rates in the
to a by-subject and by-item analysis of variance three conditions are given in Table 1. The error rate
(ANOVA) with experimental conditions as the main averaged 3%. A significant main effect of congruency
factor. The one-way repeated ANOVA test with was revealed, F1 (1.466, 71.827) = 41.59, ηp2 = .459, p
the Geisser-Greenhouse correction and one-way < .001 by-subject, and F2 (2,101) = 39.71, ηp2 = .440, p
ANOVA test were used in by-subject and by-item < .001 by-item. Only the mean difference between
analyses, respectively. Post hoc tests with adjustment incongruent and neutral trials was statistically
for multiple comparisons using the Bonferroni significant both by-subject, p <.001, and by-item, p
method were done between conditions in the two <.001, demonstrating that responses in incongruent
tasks to test for the interference and facilitation trials were less accurate than on neutral trials.
effects.
Modified Stroop Task
Results Response latency. Incorrect responses were
Classic Stroop Task excluded from data analysis. Group means of the
Response latency. Incorrect responses response latency were calculated in the same way
including wrong response words, trigger of the as the classic Stroop task. As a result, 1.25% of data
voice key by a non-speech sound, and failures to were removed.
respond within the designated 3000 msec interval The mean response times by the six
after the target presentation were excluded from experimental conditions are presented in Table 2. A
data analysis. Group means of the response latency significant main effect was revealed in by-subject, F1
were calculated across the trimmed-mean latencies (3.329, 156.442) = 97.722, ηp2 = .675, p < .001, and by-
of each participant in each condition. Any trial that item analyses, F2 (5, 138) = 81.487, ηp2 = .747, p < .001.
deviated from the participant’s mean response time Interference effects: Significant interference
in a particular condition by more than three standard effects were assessed using relevant neutral trials
deviations was also eliminated; as a consequence, as the baselines. Responses in the positive different
1.5% of data were removed. character condition were significantly slower than
Participants’ mean response times in the three positive neutral character trials with an interference of
experimental conditions are presented in Table 1. A 81 msec both by-subject, p < .001, and by-item, p <
significant main effect of congruency was revealed .001. Responses in negative same character trials were
in by-subject, F1 (1.479, 72.485) = 200.16, ηp2 = .803, p < significantly slower than negative neutral character
.001, and by-item analyses, F2 (2, 101) = 293.97, ηp2 = trials with an interference of 57 msec in by-subject,
.853, p < .001, respectively. p <.001, and by-item, p <.001. Responses in negative
The Oculus: Proceedings of the U21 Undergraduate Research Conference 49

Figure 2. Example trials of experimental conditions in the modified Stroop task

different character trials were significantly slower than Summary of Findings


negative neutral character trials with an interference of Significant interference and facilitation effects
21 msec in the by-subject analysis, p = .048, but not were found in the classic Stroop task. In the modified
by-item, p = .377. Stroop task, interference effects on response latency
Facilitation effects: The mean difference between were found for the positive different, negative-same
positive same character trials and positive neutral character and negative-different character conditions, and a
trials was significant in the by-subject analysis, p < facilitation effect was found for the positive same
.001 but not by-item, p = .054, indicating responses in character condition, in comparison with the control
positive same character trials were significantly faster conditions. The interference effects found in the
with a facilitation of 31 msec. (See Appendix A for modified Stroop task confirmed an element of
detailed post hoc results for all comparisons.) inhibition in the task. Nevertheless, there was an
Error rate. Participants’ mean error rates are absence of a relationship in interference effect size
presented in Table 2. The error rate averaged 4% for between the two tasks.
participants. A significant main effect was revealed
in the by-subject, F1 (2.41, 118.088) = 68.922, ηp2 = .584, Discussion
p < .001, and by-item analyses, F2 (5,138) = 42.427, ηp2 Stroop Interference in the Classic Stroop Task
= .606, p < .001. For the three contrasts that yielded A significant Stroop interference was found in
significant interferences in response latency, except the incongruent condition as in previous studies of
the contrast between negative different character and the Stroop task (e.g. Glaser and Glaser, 1982; Kane
negative neutral character trials, showed significant & Engle, 2003). In the task, the robust habitual word
mean differences in error rate. (See Appendix B for reading process must be suppressed with the goal
detailed post hoc results in all comparisons.) maintenance of color naming. Considering different
stages of information processing, the task involves
Validation of the Modified Stroop Task inhibition at the output level. The phonological
Pearson correlation coefficients were calculated representations derived from color naming and
between the significant interference effects in the word reading, respectively, compete with each
modified Stroop task using neutral trials as the other. The resolution of competition is reflected in
baselines and the Stroop interference in the classic the longer latency in the incongruent condition.
one, i.e. difference in mean response time between
the incongruent and neutral conditions. None of the
correlations were significant, all p > .05.
50
Interference Effects in the Modified Stroop Task processing where the relevant response must be
Significant interference effects were found in selected vis-a-vis suppression of irrelevant response
the positive different, negative same and negative different (Friedman & Miyake, 2004). The modified Stroop
character conditions using relevant neutral conditions task taps the suppression of distraction during
as baselines. In these conditions, suppression of matching process between the auditory signal and
both semantic and phonological information of the color of the written word at the input processing
written stimuli is of prerequisite to give correct stage. On the other hand, in the classic Stroop task
judgment on the compatibility of the spoken color the response competition between the phonological
name and the color of the written stimulus. For representations of the color name and written
instance, in a positive different character trial with the word is at the output stage. Therefore, the different
spoken color name /huŋ4/ red presented with the processing stages that the two tasks tap may also
written word 綠 green appearing in red color, one account for the insignificant relationship between
is required to ignore both the phonological form / their interference effects.
luk9/ green and the semantic information “green
color” of the written word 綠. Similar suppression Clinical Implications
is proposed in the negative same character and negative Although a lack of relationship was found
different character trials. The process of compatibility between the classic and modified Stroop tasks, this
judgment occurs once the information has entered did not diminish the significance and the potential
the working memory and it is proposed to take place clinical application of the present modified Stroop
in the intermediate perceptual stage, as opposed to task. This task is believed to tap one’s verbal
the final verbal output stage. inhibitory ability to suppress phonological and
semantic interference from a written word. To
Insignificant Correlation between the Classic and evaluate the clinical applicability of the present
Modified Stroop Tasks modified Stroop task, future recruitment of anomic
Although interference effects were found in individuals as participants is necessary. Besides, to
both the classic and modified Stroop tasks, there further support its clinical application, similar to
was an absence of correlation in interference effect the study of Yeung et al. (2009), the present modified
sizes between the two. task may be involved in the initial assessment of an
One explanation for the finding is based on anomic treatment. This aims to investigate if there
the taxonomy of conceptually distinct inhibition- is a unique correspondence between the anomic
related processes suggested by Friedman and individuals’ performance on the present modified
Miyake (2004). The insignificant correlation may Stroop task and the treatment outcome.
be taken to indicate that the inhibitory components
underlying the classic and modified Stroop tasks are Limitations of Present Study and Further Research
different and separable. As mentioned before, the While the insignificant correlation of the
classic Stroop task involves the suppression of the present finding may be taken to support the
robust habitual word reading process that makes the account of separable inhibition-related functions,
inhibitory-related process reasonably be regarded it is incompatible with the results and conclusions
as the Prepotent Response Inhibition, which is defined in Friedman and Miyake (2004). In that study, a
as “the ability to deliberately suppress dominant, significant correlation between resistance to distractor
automatic, or prepotent responses” (Friedman & interference and prepotent response inhibition was
Miyake, 2004, p.104). While the present modified task found using Pearson correlation (.18). However, it
does not involve any habitual or well-trained ability is noted that the correlation coefficient was low
such as word reading, but rather the suppression and was based on a rather large sample size (220
of the phonological and semantic information of participants). One may question whether the present
the written word, namely resistance to distractor study would obtain the same significant finding
interference, defined as “the ability to resist or resolve with a larger sample size.
interference from information in the external
environment that is irrelevant to the task at hand” Conclusion
(Friedman & Miyake, p.104). Seen in this light, the Significant interference effects were found
present insignificant correlation is consistent with in the modified Stroop task. It is argued that the
the view of separable inhibition-related processes. task involves the inhibitory function of resistance
The conceptual distinctions of inhibition- to distractor interference. Hence, it has potentially
related functions correspond roughly to different important clinical application for assessing verbal
stages of information processing. The resistance to inhibitory control functions of individuals with
distractor interference seems to be referring to the speech and language disorders. Future studies
initial perceptual input stage of processing that following the suggestions outlined above will
distractor information must be suppressed in order provide a more comprehensive understanding of
to select target information while the prepotent verbal inhibitory control and its implications for
response inhibition refers to a later output stage of language rehabilitation.
The Oculus: Proceedings of the U21 Undergraduate Research Conference 51
References Acknowledgments
1. Cohen, J., Dunbar, K., & McClelland, J. (1990). The first author would like to express her
On the control of automatic processes: A parallel sincere thanks to her family, friends and fellow
distributed processing account of the Stroop colleagues, especially Carole, Sabrina, Cynthia and
effect. Psychological Review, 97, 332-361 Moria for their inspiration and endless support
2. Friedman, N. P., & Miyake, A. (2004). The relations during subject recruitment and data collection.
among inhibition and interference control Thanks also extend to all participants for their help
functions: A latent-variable analysis. Journal of and co-operation during data collection.
Experimental Psychology: General, 133, 101-135
3. Glaser, M. O., & Glaser, W. R. (1982). Time
course analysis of Stroop phenomenon. Journal
of Experimental Psychology: Human Perception and
Performance, 8, 875-894
4. Hamilton, A. C. & Martin, R. C. (2005a).
Dissociations among tasks involving inhibition:
A single-case study. Cognitive, Affective and
Behavioral Neuroscience, 5, 1-13
5. Hamilton, A. C. & Martin, R. C. (2007). Proactive
interference in a semantic short-term memory
deficit: role of semantic and phonological
relatedness. Cortex, 43, 112-123
6. Kane, M. J. & Engle, R. W. (2003). Working-
memory capacity and the control of attention:
The contributions of goal neglect, response
competition and task set to Stroop interference.
Journal of Experimental Psychology: General, 132, 47-
70
7. Law, S.-P. (2008). Development of verbal and
nonverbal inhibitory control tasks for Chinese
adult speakers. CRCG Seed Funding for Basic
Research, University of Hong Kong.
8. Lee, T. M. C., Yuen, K. S. L., & Chan, C. C. H.
(2002). Normative data for neuropsychological
measures of fluency, attention, and memory
measures for Hong Kong Chinese. Journal of
Clinical and Experimental Neuropsychology, 24, 615-
632
9. MacLeod, C. M. (1991). Half a century of research
on the Stroop effect: An integrative review.
Psychological Bulletin, 109, 163-203
10. MacLeod, C. M., Dodd, M. D., Sheard, E. D.,
Wilson, D. E., & Bibi, U. (2003). In opposition to
inhibition. In B. H. Ross (Ed.), The Psychology of
Learning and Motivation (vol. 43, pp. 163-214). San
Diego, CA: Academic Press.
11. MacLeod, C. M. (2005). The concept of
inhibition in cognition. In D.S. Gorfein & C.
M. MacLeod (Eds.), Inhibition in Cognition (pp.
3-23). Washington, DC: American Psychological
Association
12. Roelofs, A. (2003). Goal-referenced selection of
verbal action: Modeling attentional control in the
Stroop task. Psychological Review, 110, 88-125
13. Stroop, J. R. (1935). Studies of interference in
serial verbal reactions. Journal of Experimental
Psychology, 18, 643-662
14. Yeung, O., Law, S.-P., & Yau, M. (2009). Treatment
generalization and executive control processes:
Preliminart data from Chinese anomic
individuals. International Journal of Language and
communication Disorders, iFirst Article, 1-11
52
Is Trust a Necessity?
A Case Study of Group Lending Within Microfinance in
the Mbarara District, Uganda
Karin Göransson and Anna Östergren
Lund University

Abstract

One reason for poverty is that many people are denied access to financial markets. A new alternative
way of providing credit to people living in a vulnerable economic situation is microfinance. Microfinance
has often been a success story and one explanation has often been the impact of social capital.
This thesis investigates the relationship between social capital and microfinance. Do individuals and
groups with a higher social capital perform better in the context of microfinance; do they receive more
loans as implied in theory? The aim is to review the impact of the different dimensions and types of social
capital on the success of microfinance. To evaluate this, our study was conducted in the Mbarara district in
the southern part of Uganda, in cooperation with The Foundation for International Community Assistance
(FINCA). To gather the information we attended 34 group meetings where three members in each group
answered our questionnaire. To be able to use the information we use econometric methods.
The results of this study make it hard to draw any general conclusions about the impact of social
capital. They indicate that individuals with relatively lower trust are better off in terms of received loans.
Higher education and collective action also have a positive impact on the number of loans a participant
receives. In terms of number of received loans, it is better to be a man.

Introduction of microfinance.1 The presence of social capital


The reality that many of the world´s peoples facilitates cooperation among individuals to achieve
face today is that they are trapped in a vicious socially optimal goals and could therefore explain
circle of poverty. Poverty is characterized by the why microfinance works.
failure of people, households or entire societies We find the connection between microfinance
to have sufficient resources to assure their basic and social capital very interesting, partly due to
requirement. Of course this is not a desirable state the fact that social capital is very complex and has
and people wish to escape from their vulnerable different dimensions. The purpose of our research
living situation. Even though people want and was therefore to evaluate, through econometrics
try to escape poverty, they often lack access to the methods, the impact of social capital on the designs
necessary resources to manage this. of the group loans given through microfinance. Since
One of the necessary resources that poor social capital is multidimensional it is important
people lack access to is financial services. Access to examine the relationship between the different
to credit could make it possible even for the poor to dimensions and microfinance.
improve their small business, living standards and To evaluate if social capital has an impact on
in the long run break the vicious circle of poverty. microfinance, this research focuses on two questions:
Clearly, there is a need for an alternative way
for poor people to get access to credit. One possible 1  See for example the following sources for further infor-
solution came in 1976 when Grameen Bank was mation about recent research.
founded in Bangladesh. This new way of giving Cassar, Alessandra, Crowley, Luke and Wydick, Bruce.
poor people access to credit was called microfinance. (2007) The effect of social capital on group loan repayment:
Microfinance solves the problem of lack of collateral evidence from field experiments The Economic Journal,
and is therefore widely accepted for its efficient way 117 (February), Blackwell publishing, F85-F106.
of supplying credit for the poor. Gomez, Rafael and Santos Eric. (2001). Membership Has Its
Microfinance has been rather successful Privileges: The Effect of Social Capital and Neighborhood
Characteristics on the Earnings of Microfinance Canadian
and the number of microfinance institutions has
Journal of Economics, vol 34, nr 4, Blackwell Publish-
increased a lot, especially in the developing world. It ing, p. 943-966
makes you ask the question: What makes microfinance Olomola, Ade S. (2002) Social capital, microfinance group
work? Academic research in the area of microfinance performance and poverty implications in Nigeria. Nigerian
is relatively new. Mainstream research often Institute of Social and Economic Research (NISER)
concludes that social capital contributes to the success Ibadan
The Oculus: Proceedings of the U21 Undergraduate Research Conference 53
• Do the different dimensions of social The problem with portfolio diversification is
capital have any impact on the number partly solved by microfinance, due to the fact that
of loans received? the group members engage in different types of
• Do the different types of social capital, activities. Still, the problem of unexpected situations,
bonding, bridging and linking social for example natural disasters, remains. Microfinance
capital have an impact on the number also contributes to portfolio diversification when
of loans received? each borrower is responsible for every member’s
debt. If one member fails to pay the other members
To be able to conduct our study we collaborated are obligated to pay his debt and therefore the risk
with a microfinance institution; The Foundation for the lender will be lower since the risk is spread
for International Community Assistance (FINCA). out among many individuals.9
Uganda was the first country in Africa where the
organization started Village Banking groups. Today Social Capital
the organization is one of the largest microfinance Traditional capital has been defined as
institutions in the country2 and this is the reason the contribution to productive activity made by
why we have chosen Uganda for our study, together investment in physical capital and human capital.10
with the widespread poverty. This view of capital has changed and a new type of
capital, social capital, is now considered as having
Theoretical Framework an enormous impact on economic development,
Our theoretical framework consists of three especially in developing economies.11 Social capital
parts, each of them relevant for the subject of this is a very complex concept with many definitions.
research. Therefore it is hard to recognize any true meaning
of social capital and many definitions of the concept
Credit are used. With regard to the purpose of our study
Although poor people demand credit, they still we use the World Bank description of social capital
lack access to it.3 This indicates that there must be that gives a broad and general picture of the concept:
some kind of market failure and the answer is found
in the financial market. The failure is characterized Social capital refers to the institutions,
by information asymmetry,4 lack of collateral, high relationships, and norms that shape the quality
interest rates and lack of portfolio diversification.5 and quantity of a society´s social interactions.
Increasing evidence shows that social cohesion
Microfinance is critical for societies to prosper economically
Due to the problems stated above, there is a and for development to be sustainable. Social
need of a new, alternative way for poor people to capital is not just the sum of the institutions
borrow. One popular new way is called microfinance which underpin a society- it is the glue that
and it is financial services directed towards poor holds them together.12
people.6
Microfinance brings many benefits for the Social capital exists at all levels of the
poor compared to loans on the other types of credit society; national level, community level and on
markets because it solves some of the problems that an individual level.13 As well as different levels,
exist on the other markets. The main advantage of different dimensions and types of social capital
microfinance is the possibility of receiving a group can be identified. The World Bank identifies five
based loan where members work as each other’s dimensions of social capital; group and network, trust,
collateral. The group can loan a larger amount collective action, social inclusion and information and
which is then repaid frequently in small sums and communication.14 Bonding, bridging and linking social
therefore it is possible even for poor borrowers to capital are different types of social capital.15
repay their loans. If the group, as a whole, shows a
good repayment schedule, it can get access to larger The Impact of Social Capital on
repeated loans and other financial possibilities.7 Microfinance
Microfinance institutions solve the problem of Social capital affects the welfare of everyone in
low-potential profitability when they charge market a society but it is especially beneficial for the poor
interest rates.8 because it can work as a substitute for human and
physical capital. Therefore social capital creates
2  FINCA 2010
3  Robinson 2001 p. 9. 9  Ibid p. 74
4  Ray 1998 p. 53 10  Dolšak & Ostrom 2003 p. 275
5  Islam 2007 p. 67-74 11  Castiglione, Van Deth & Wolleb 2008 p. 373
6  Ledgerwood 1999 p.1 12  World Bank 1 2009
7  Arun et al 2009 p. 13 13  Gomez & Santos 2001 p. 946
8  Islam 2007 p. 73f 14  World bank 2 2009
15  Muriisa 2009 p.38-40
54

Table 1. The definitions of the variables and their expected impact

economic avenues for poor people and helps economy could reduce the impact of the failure of
communities to grow economically.16 In general the financial market and make the economy more
social capital has a big influence on the economy efficient, especially in developing countries.21
especially when the market is failing in some way.17 Information sharing and collective actions that
In societies that lack a sufficient formal safety net, exist between members of a network have many
relations to people in the close environment could positive outcomes. Foremost social capital helps
work as a substitute for this.18 It is important though to solve the problem with information asymmetry
to be aware that social capital can be a hindrance to and also contributes to lower the transaction costs.
economic development when group interests are not Trust between parties that are interacting makes a
in line with society’s overall interest.19 third supervising party unnecessary and therefore
Social capital appears to have an impact the transaction costs are declining. Eventually the
on actors in the society and society at large. decreased transaction costs and the level of trust
For the purpose of our research it is interesting lead to aggregate benefits.22
to distinguish the impact on the outcome of Through the horizontal relationship between
microfinance. Social capital between groups helps to group members, group lending can solve the
mobilize resources such as increasing access to more problem of information asymmetry. When they
formal credit systems, for example microfinance work as a group, the connections between the
programs,20 it also plays an important role for the members contribute to overcome the problem of
outcome. Castiglione et al states that the connection hidden information but also problems of collective
between local social networks that consist of repayment through peer pressure.23
associates, who trust each other, has a major impact Dolšak and Ostrom argue that adverse
on the success of microfinance. These connections selection and moral hazard can be avoided when
have been an important channel through which an people involved in microcredit projects can choose
who to cooperate with. They then choose people
16  World Bank 3 2009 that are trustworthy and have a personal knowledge
17  Castiglione, Van Deth & Wolleb 2008 p. 375
18  World Bank 3 2009 21  Castiglione, Van Deth & Wolleb 2008 p. 468
19  Castiglione, Van Deth & Wolleb 2008 p. 374 22  Hjøllund & Tinggard Svendsen 2000 p. 3
20  World Bank 5 2009 23  Castiglione, Van Deth & Wolleb 2008 p. 376
The Oculus: Proceedings of the U21 Undergraduate Research Conference 55

Figure 1. Conducted from the empirical material, gathered in cooperation with FINCA

about. This selection of group members promotes sample has received and indicates how successful
group homogeneity when it comes to land holding, the specific group is in terms of repayments and
gender and income. Group homogeneity also efficiency. The independent variables (xki) consist of
promotes repayment of the loans, when repayments questions asked in the questionnaire; demographical
are encouraged because the group members are aspects and the different dimensions of social capital.
required to act together.24 The demographic variables are included to describe
the sample but also because we think that they have
Method an impact on the dependent variable. The social
Due to the purpose our research we have capital variables were transformed into aggregated
chosen to use a quantitative method consisting of variables corresponding to the different dimensions
a questionnaire with its questions on an individual of social capital. All the social capital variables,
level. The questionnaire is based on standard including the aggregated, were transformed into
questions for measuring social capital.25 To gather dummy-variables responding to high and low social
the data, we took part in 34 microfinance group capital.
meetings in cooperation with FINCA Mbarara where The definitions of the variables and their
we received a total of 102 individual responses. The expected impact can be seen in Table 1.
individuals were randomly selected at the meetings, Every method has its limitations.26 Although
and often selected by the field officers. the one used in this thesis is not an exception, we
To be able to analyze the questionnaires we consider the chosen method to be appropriate due to
use statistical methods; multiple linear regressions the purpose of this thesis.
analyzed with the method of ordinary least squares
(OLS). Results
The dependent variable (Y) is set out to be the Figure 1 illustrates a compilation of the
total number of loans each group in this research’s dependent variable, i.e. number of loans received on
24  Dolšak and Ostrom 2003 p. 275 group basis. The base-line for the dependent variable
25  The questions are taken from the following sources: is the year of 2008 and all groups that we met have
Hjøllund, Lene & Tinggard Svendsen, Gert (2000). Social had an ongoing business since then. The figure tells
capital. A standard method of measurement. Department us about the variation of the dependent variable. 27
of Economics- The Aarhus school of business. Aarhus
26  See for example Lundåsen & Pettersson (2009).
Holm, Håkan & Nystedt, Paul. (2005). Trust in surveys and
27  Bulikiro, I (2009)
games- a matter of money and location?. Department of
Economics- Lund University, Lund and the World
Bank´s Instrument of the Social Capital Assessment Tool.
56

Table 2. Shows the results from regression 1

The first relationship that we test, Equation responding to high or low social capital and we
1, is the impact of demographic variables and the cannot say that this answering alternative is either
different dimensions of social capital on the number high or low social capital. The sample size is still
of loans received.28 appropriate though.29
The regression shows that individuals with
Equation 1: higher education receive on average two more loans
Number of received loans= β + β1Gender + β2Age + than the study’s participants with a relative lower
β3Education + β4Number of years in business + β 5Income education. Individuals with low trust, compared to
per capita + β 6Trust + β7Networks + β8Social inclusion + individuals with high trust, receive on average five
β9Civic action + β10Information and Communication + ε more loans. Finally, individuals with high collective
action receive on average one more loan compared
From the beginning the sample size was set to participants with low collective action.30 The
to 102 individuals but after processing the data following equation is used for the second analysis:
a great loss appeared. As seen in the table above
the sample size was reduced to 48 observations. Equation 2:
The loss appeared because problems arose about Number of received loans= β + β1Gender + β2Age +
the coding of some of the variables corresponding β3Education + β4Number of years in business + β 5Income
to social capital. All the individuals that once or per capita + β 6Bonding social capital + β7Bridging social
more answered “I don´t know” and “Hard to answer” capital + β8Linking social capital+ ε
were excluded from the material. This because
all the variables are coded into dummy variables Men receive on average almost three more
28  To be able to use the method of ordinary lest squares loans than women, individuals with a higher
(OLS) the data have to fulfill the assumptions of the education level receive on average one more loan
multiple linear regression model (see for example Gu- than individuals with a lower education level and
jarati 2006 p. 212f). In our case all the assumptions are
29  See for example Westerlund 2005 p. 59
successfully fulfilled and the method can therefore be
30  The variables are significant at α=0.1.
seen as appropriate.
The Oculus: Proceedings of the U21 Undergraduate Research Conference 57

Table 3. Shows the results from regression 2

individuals with low bridging social capital receive honest and who fail to pay back their loans because
on average one more loan than participants with there are no other alternative ways of receiving
high bridging social capital. credit than through a microfinance institution.
The second significant variable corresponding
Analysis to social capital is collective action. Within
In the first regression the variable microfinance institutions, groups need to collaborate
corresponding to education is significant. The to achieve common goals. Even if all the members do
explanation why education has a positive impact not trust each other, they have to collaborate because
on the success of microfinance could possibly be they have a common goal they all want to reach.
found in the advantages that follow with a higher As in the previous regression the education
education. With a higher education one can assume variable, as well as the variables of gender and
that you have more knowledge and information bridging social capital, were significant in the
about how the society works and how parties second regression.
interact with each other and in the long run it affects The reason why it is more beneficial to be
their participation on a market. a man if you want to receive more loans could be
The result that lower trust is positive, in explained by their superior position in the Ugandan
relation to the number of received loans, was quite society. A man is often the head of the household,
unexpected since it contradicts the mainstream even in financial terms. In relation to women’s
theory on the subject. The answer could perhaps be economic position in the household (they might not
found in the relationship between FINCA and the even have access to their own income) a man is often
different banking groups. The groups may have low favored since he is often in charge of the household’s
trust in other people in the society but higher trust gathered income. Following this reasoning, it
in an external enforcer, in this case FINCA. FINCA might be easier for a man to have better repayment
works as an external enforcer that makes the group documentation and therefore qualify for additional
work and makes sure that the repayments are made. loans.
Although there might be individuals that do Another possible situation could be that even
not trust the members of their group, they might be if it is the women that are involved in microfinance
willing to take the risk of other members not being it is in reality their husbands that decide over
58
the repayment. If the husband is in control of the
household’s finances and if he does not have any References
incentives to see that the loans are replayed, maybe 1. Arun, Thankom, Hulme, David, Matin, Imran
the wife will not have access to money to repay her and Rutherford, Stuart. 2009 Finance for the Poor.
loans. In Hulme, David and Arun, Thankom (2009)
Members that have lower bridging social Microfinance A reader Routledge, Chippenham. p.
capital receive more loans than those with a relative 7-16.
higher bridging social capital (trust in people outside 2. Castiglione, Dario, Van Deth, Jan W and Wolleb,
your close surrounding but also in people in the Gulielmo. 2008. The handbook of social capital,
same economic situation as you). One explanation Oxford university press
could therefore be that individuals have a low 3. Dolšak, AvNives and Ostrom, Elinor. 2003. The
bridging social capital because it is not profitable commons in the new millennium: Challenges and
to trust these people, since they have very little to adaptation, MIT PRESS
offer you. Hypothetically, with a high bridging 4. Gujarati, Damodar N. (2006). Essentials of
social capital responsibility might follow. Personal Econometrics, Mc Graw Hill, New York
contacts are very important in many developing 5. Hjøllund, Lene and Gert, Tinggard Svendsen.
countries and sometimes you must rely on people 2000. Social capital: A standard method of
outside your our close surrounding for economic measurement, Department of Economics-The
assistance. These ties work in the other direction as Aarhus school of business, Aarhus
well; if you have a high bridging social capital you 6. Islam, Tazul. 2007. Microcredit and Poverty
might have a larger amount of people that rely on Alleviation, Antony Rowe Ltd, Chippenham
your assistance. Therefore you sometimes have to 7. Ledgerwood, Joanna. 1999. Microfinance handbook:
share your assets more often and in the long run you an institutional and financial perspective, The World
might have less capability to repay your loans. Bank, Washington D.C.
8. Lundåsen Susanne och Petterson, Thorleif. 2009.
Conclusion Att mäta tillit – teori och metodprobelm. In
The results of the research make it hard to Trägårdh, Lars. (et.al.). Tillit i det moderna Sverige-
draw any general conclusions about the impact of Den dumme svensken och andra mysterier, SNS
social capital; it matters in a different way to what Förlag, Stockholm. p. 112-147
mainstream theory suggests. Trust is important for 9. Muriisa,Roberts. (2009). The AIDS Pandemic in
microfinance but individuals receive more loans if Uganda – Social Capital and the Role of NGOs in
they have a lower level of trust. Collective action Alleviating the Impact of HIV/AIDS, VDM Verlag
had a positive impact just as we thought. The other 10. Ray, Debraj. 1998. Development economics,
variables in our regression corresponding to the Princeton University Press, Princetown
other dimensions of social capital turned out not to 11. Robinson, S. Marguerite. 2001. The Microfinance
be statistically significant and therefore we are not Revolution Sustainable Finance for the Poor, The
able to draw any conclusions from them. World Bank, Washington D.C.
Bridging social capital has an impact on the 12. Tinggard Svendsen, Gert. 1998. Social capital,
number of loans received, although our results economic and transition economies, Department of
contradict mainstream theory when a lower bridging Economics-The Aarhus School of business
social capital is better in terms of number of loans 13. Westerlund, Joakim. 2005. Introduktion till
received. Unfortunately the variables corresponding ekonometri, Studentlitteratur, Lund
to bonding and linking social capital turned out not
to be statistically significant and therefore it is hard Electronic Sources
to draw any conclusions from them. 14. Cassar, Alessandra, Crowley, Luke and Wydick,
Due to our results suggestions for future Bruce. 2007. The effect of social capital on group loan
research could for example be to focus more on the repayment: evidence from field experiments, The
other aspects of social capital and put this into other Economic Journal, 117 (February), Blackwell
contexts than is done today. It would be interesting publishing, F85-F106. Available at: < http://ehis.
to analyze whether the negative aspects of social ebscohost.com.ludwig.lub.lu.se/ehost/detail?vid
capital actually is present more often than we think =1&hid=114&sid=a2ff5a79-98a44abf8918fc26d2d
when it comes to microfinance. 68011%40sessionmgr114&bdata=JnNpdGU9ZWh
vc3QtbGl2ZQ%3d%3d#db=bth&AN=25751978 >
18 April 2010 
15. FINCA, 2010, available at: < http://www.
v i l l ag eb a n k i n g.o r g/s it e/c.e rK PI 2 PC IoE/
b.2671211/k.BFD7/Uganda.htm > 9 April 2010
The Oculus: Proceedings of the U21 Undergraduate Research Conference 59
16. Gomez, Rafael and Santos Eric. 2001.
Membership Has Its Privileges: The Effect of Social
Capital and Neighborhood Characteristics on the
Earnings of Microfinance, Canadian Journal of
Economics, vol 34, nr 4, Blackwell Publishing,
p. 943-966. Available at: < http://www.jstor.org/
stable/3131932 > 18 April 2010
17. Olomola, Ade S. 2002. Social capital, microfinance
group performance and poverty implications
in Nigeria, Nigerian Institute of Social and
Economic Research (NISER) Ibadan. Available at:
<http://www.csae.ox.ac.uk/conferences/2002-
UPaGiSSA/papers/Olomola-csae2002.pdf> 18
April 2010.
18. World Bank, Instrument of the Social
Capital Assessment Tool. 2009, available
at: <http://siteresources.worldbank.org/
I N T S O C I ALC A PI TAL/Re s ou r c e s/S o c i a l-
Capital-Assessment-Tool--SOCAT-/annex1.pdf>
18 August 2009
19. World Bank 1, 2009, available at: <http://web.
worldbank.org/WBSITE/EXTERNAL/TOPICS/
EXTSOCIALDEVELOPMENT/EXTTSOCIAL
CAPITAL/0,,contentMDK:20185164~menuPK
:418217~pagePK:148956~piPK:216618~theSite
PK:401015,00.html> 18 August 2009
20. World Bank 2, 2009, available at: <http://web.
worldbank.org/WBSITE/EXTERNAL/TOPICS/
EXTSOCIALDEVELOPMENT/EXTTSCIALCAPI
TAL/0,,contentMDK:20461319~menuPK:994404~
pagePK:148956~piPK:216618~theSitePK:401015~i
sCURL:Y,00.html> 18 August 2009
21. World Bank 3, 2009, available at: <http://web.
worldbank.org/WBSITE/EXTERNAL/TOPICS/
EXTSOCIALDEVELOPMENT/EXTTSOCIALCA
PITAL/0,,contentMDK:20185249~isCURL:Y~men
uPK:418213~pagePK:148956~piPK:216618~theSit
ePK:401015,00.html> 20 August 2009

Interviews
22. Bulikiro, Israel (2009): oral interview 2 December
2009, regional manager of FINCA, Mbarara.

 
60
Obesity in Scotland:
A Quantile Regression Approach to Studying the BMI
Distribution
Kelly Gallacher
University of Glasgow

Abstract

Body Mass Index (BMI) is a commonly used population level measure of obesity, calculated as weight
in kg divided by squared height in metres. Cross sectional data from the Scottish Health Survey (1995,
1998 and 2003) show that the proportion of men and women age 16-64 in Scotland of all social classes who
are described as overweight (BMI>25kg/m2) or obese (BMI>30kg/m2) has increased since 1995. In this
paper we model the conditional distribution of the body mass index (BMI) as a function of gender, age and
socioeconomic status using quantile regression. This research takes a new look at a well-known problem
with the aim of improving the quality of information available. Height and weight measurements were
taken from representative samples of the Scottish population during participation in the Scottish Health
Survey. These measurements were used to calculate the BMI of participants. Quantile regression modelling
shows that the entire BMI distribution is significantly affected by age, gender and social class, and that BMI
increased significantly between 1995 and 2003 for all subgroups of the population considered in this study.
The BMI of adults in Scotland is increasing on average. The greatest effects of gender, age and social class
are seen among those with the highest BMI. It is the people at the upper end of the BMI distribution whose
weight is increasing at the fastest rate over time.

Introduction to overcome a lack of knowledge on the general


Obesity is an increasingly widespread health of the Scottish population and how it is
concern, with serious public health and economic changing over time[2], [6], [7]. It was intended to use
consequences worldwide. It was estimated in 2001 the information gathered to estimate the prevalence
that the cost of treating obesity and obesity related of particular health conditions in Scotland and
diseases in Scotland was approximately £171 certain risk factors associated with these conditions,
million[1]. As the number of people in Scotland and also to make comparisons with other national
classed as obese continues to increase, this cost can statistics for Scotland and England. A further
be expected to rise in the future. purpose of the survey was to make a contribution
The health of the Scottish population is to monitoring progress towards certain health and
consistently worse than in England and other dietary targets.
western developed countries [2]. Predictions of BMI is the most commonly used measure of
future levels of obesity in the UK are currently obesity and is defined as weight (kg) divided by
based on English data [3]. It is of interest to gather squared height (m2). BMI provides the most useful
information on obesity levels in Scotland that could population-level measure of overweight and obesity
be used for planning interventions relevant to the as it is the same for both sexes and for all ages of
Scottish population. adults. However, it should only be considered as a
Obesity is a risk factor for many health rough guide because it may not correspond to the
conditions and contributes towards the majority same degree of fatness in different individuals
of deaths, particularly in middle and old age, in [8]
. For example, BMI is an unsuitable indicator of
Scotland. The prevalence of obesity has been rising in weight category for children, pregnant women or
many western countries such as England [3], Norway individuals with high muscle content.
[4]
and the USA [5] over the past few decades but until Since 1995, mean BMI has increased for both
recently no similar information was available for men and women in Scotland, of age 16-64. Mean
Scotland. The 1995 Scottish Health Survey gathered BMI for women increased from 25.8 kg/m2 in 1995
baseline information, with later surveys (1998, 2003 to 26.4 kg/m2 in 1998, and to 27.1 kg/m2 in 2003. For
and annually from 2008) providing data that could men, mean BMI in 2003 was 27.1 kg/m2, compared
be used to monitor changes in obesity levels in to 26.2 kg/m2 in 1995 and 26.6 kg/m2 in 1998. Mean
Scotland over time. BMI for men and women was greater than 25 kg/m 2
The Scottish Health Survey, commissioned every year. Since anyone with a BMI greater than 25
by the Scottish Office Department of Health (later kg/m2 is classed as overweight this suggests that on
the Scottish Executive Health Department), aimed average, adults in Scotland are overweight.
The Oculus: Proceedings of the U21 Undergraduate Research Conference 61

Figure 1. Proportion of males and females in each weight category as defined in Table 1.

Figure 1 illustrates the proportions of males This study considers the application of a novel
and females in each weight category (described in statistical method to existing obesity data, with
Table 1), for each year in which the Scottish Health the aim of improving the quality of information
Survey was conducted. The proportion of males and available.
females classed as obese or overweight has increased This study does not aim to investigate causes
each year, while the proportion classed as being of of obesity, or to develop interventions based on
desirable weight or underweight has decreased each the information obtained by applying the quantile
year. The proportion of females classed as obese was regression technique to the data.
greater than the proportion of males classed as obese
for each year, but the proportion of males classed Method
as overweight was greater than the proportion of The data sets analysed in this study contain
females classed as overweight for each year. data for approximately 18,500 subjects in total.
Height and weight measurements were
Study Aim collected by trained interviewers from participants
This study examines the changes in BMI of the Scottish Health Surveys, during interviews
according to age, gender, socio-economic status and in the homes of participants. These measurements
year in which the Scottish Health Survey was taken were then used to calculate the BMI of participants.
in a representative sample of Scottish adults. Due Participants in the Scottish Health Survey
to changes in sampling criteria between the three were classified into one of four weight categories, as
Scottish Health Surveys, only subjects aged between defined in Table 1.
16 and 64 years have been included in this study, to The 2003 survey defined different cut off
allow comparison between years. points for the underweight and desirable categories
62
the whole distribution of the response and not just
the mean, varies with the explanatory variables [10].
Quantile regression modelling of the data was
carried out using R 2.11.11[11] using the ‘Quantreg’
package [12].
Table 1: Classification of respondants by BMI Model selection was carried out by first looking
at the full model with four way interactions between
the predictor variables (gender, social class, year
of survey and a smooth term for age). We used a
natural cubic B-spline to model age (see Equation 1),

Equation 1: Definition of smooth equation to describe Age in the


Table 2. Socioeconomic groupings used in the Scottish model
Health Survey
where K=2 is the number of interior knots at
from those specified above. All analyses in this age 35 and 49 (the 33rd and 66th percentiles of the age
report have used the categorisation in Table 1. range).
Social class was based on the Registrar I used a summary of the model to systematically
General’s Standard Occupational Classification [2], [6], determine which non-significant terms (p>0.05) to
[7]
. Social class was classified as either manual or non- remove from the model. The final model is described
manual, in keeping with other analyses of Scottish by Equation 2:
Health Survey Data and to allow comparison with
studies based on English data. These categories
were formed by combining social classes I, II and
III (non-manual) as “non-manual” and classes III
(manual), IV and V as “manual”. Social classes I to V
are defined in Table 2.
People who were classed as “other” in the
survey were removed from the data sets. These
people form a non-homogeneous group comprising Equation 2: Final Quartile Regression Model
a mixture of occupations such as being a member
of the armed forces, or a full time student. Any The final model shows that the conditional
comparisons made against this group would contain quantile (τ) of the BMI distribution, given specified
little valid information and so this group was values of the explanatory variables (denoted by the
excluded from the data sets. vector X), is a function of Gender, Year, Gender by
It was decided to remove data for a further five Social Class interaction, Age and Age by Gender
subjects from the data set. Data for these subjects interaction. The inclusion of τ in the model equation
included BMI values less than 13. It is unlikely that shows that the estimated coefficients βy {y: 0,1,2,3,4,5}
a human could be alive with such a low BMI level are not constant across the BMI distribution.
and so it was assumed that these values were due to Figure 2 contains plots of the coefficients of
error in the data collection or entry process. the final model for values of τ between 0.05 and 0.95,
at intervals of 0.01. The grey shaded areas are 95%
Quantile Regression confidence bands and the solid black horizontal line
In a standard regression model, the response shows the Ordinary Least Squares (OLS) coefficients
variable y is some function of predictor variable(s) as estimated by a standard regression model (i.e. the
X and the function is defined for the expected (or value of the coefficients when mean BMI is assumed
average) value of the response y conditional on X, to be the model response). The dashed lines are 95%
denoted E(y|X) i.e. the average value of the response, confidence bands for the OLS coefficients.
given the value(s) of the predictor variable(s). It is The x-axis shows values of τ between 0.05
also possible to fit regression curves to other parts and 0.95. The coefficient estimated for each value
of the distribution of the response variable. For of τ can be read from the y-axis. The plotted points
example, the conditional quantile Qy(τ|X) (τ ∈ [0,1]) is do not lie on a horizontal line and this indicates
the τth percentile of the distribution of y conditional that not all quantiles can be represented using the
on the value(s) of X; in other words, 100τ% of the
1  The original analyses that formed the basis of this
values of y are less than or equal to the specified project were carried out in an earlier version of R, but
function of X [9]. Quantile regression allows us to the analysis was reproduced in version 2.11.1 for the
look at specified quantiles of the data to study how 2010 U21 conference, and subsequent report on the
research I presented in Melbourne.
The Oculus: Proceedings of the U21 Undergraduate Research Conference 63

Figure 2. Gender, Social Class and Year coefficients with 95% confidence bands (shaded) for values of τ (percentiles) between 0.05
and 0.95. Solid lines indicate the value of the coefficient of the mean. Dashed lines are 95% confidence interval for the estimates of
the mean coefficient.

same estimated coefficient. This indicates a single Results


coefficient estimate of the mean (as in the standard Time Trend
regression model) would not fully capture the effect There was almost no change in BMI from
of the explanatory variables at the upper and lower 1995 to 1998 for people with low BMI, since the
ends of the BMI distribution. 95% confidence interval for the coefficient estimate
The plot for Intercept is the base line against contains zero. At the upper end of the scale, the
which the other plots can be compared. The plotted increase in BMI from 1998 to 2003 was smaller than
points on the Intercept plot are estimates of the BMI the increase from 1995 to 1998 (Figure 2, Year 1998
distribution for males of manual social class in 1995. and Year 2003 coefficients). This could indicate the
To estimate the BMI of a female of non-manual social rate at which BMI is increasing at the upper end of
class in 1998, simply add the coefficient values from the distribution is slowing down, but data from later
the Year 1998, Gender (Female) and Gender by Social years would be required to confirm whether or not
Class (Female Non-Manual) plots, for the specified this is true.
quantile (τ), to the value from the Intercept plot. The
estimated BMI value of a specified quantile for other
combinations of model terms may be calculated in
the same way.
64

Figure 3. BMI by gender: 10th, 50th, and 90th fitted BMI quantiles as a function of age for year 2003

Gender and Social Class Differences Comparison with English Data


The differences in BMI due to social class The prevalence of obesity in England increased
are not the same across gender (as indicated by significantly from 13.6% in 1993 to 24.0% in 2004
the significant interaction term: Gender by Social among men and from 16.9% to 24.4% among women
Class, Figure 2). Men of manual social class have [3]
. These figures are similar to those seen in Scotland
lower BMI than men of non-manual social class at where the prevalence of obesity increased from 16.5%
lower values of BMI, and higher BMI than men of in 1995 to 23% in 2003 among men and from 18.0% to
non-manual social class at the upper end of the BMI 25% among women.
distribution. For women, the difference in BMI due The Health Survey for England 2003 showed
to social class increases towards the upper end of the that obesity rates are higher in older age groups,
BMI distribution. The difference in BMI between peaking in middle age for men and in later life for
females of manual and non-manual social class is women [3]. A similar pattern was shown to exist for
the sum of the Figure 2 Social Class and Gender by the Scottish data.
Social Class interaction coefficients. It is predicted that by 2012 a third of adults in
the UK will be obese if current trends continue [3].
BMI as a function of Age Given the similar levels of obesity between Scotland
BMI increases faster in the younger ages for and England, it may be reasonable to assume that a
males and females, then continues to increase at a similar pattern would be seen in Scotland2.
slower rate and finally starts decreasing for males,
but keeps increasing for females (Figure 3). Limitations of this Study
Standard regression techniques would show This study uses data from the Scottish Health
there is no difference in BMI at the mean for men Survey’s carried out in 1995, 1998 and 2003. It is
between social classes on average (assuming the data not possible to predict future trends based on these
are normally distributed so that the mean BMI value three years alone. Prediction of future trends may
is the same as the median). Quantile regression be possible in later years when future survey results
shows there are differences for men due to social become available.
class at the lower and upper quantiles. Note that Survey weights as described in the
separate analyses of the data for males and females documentation for the Scottish Health Survey [2], [6],
showed that social class did not significantly affect [7]
were not applied during this study. Our results
male BMI, but significantly affected female BMI. might not be generalizeable to the entire Scottish
For women, quantile regression shows that social population, if the sampling was biased in any way.
class does not affect BMI at the lower quantiles, but
2  Due to the small number of data sets used in this study
there is a significant social class effect at the upper (three), it is not possible to extrapolate trends for com-
quantiles. parison with the predictions of future obesity levels
based on Health Survey for England data.
The Oculus: Proceedings of the U21 Undergraduate Research Conference 65
7. Bromley C, Sproston K, Shelton N (ed.). The
What this Study Adds Scottish Health Survey 2003. The Scottish
There is no information on whether obesity Executive Health Department, 2005.
increases at different rates between age, gender and 8. World Health Organisation Fact Sheet No.
socio-economic status subgroups of the Scottish 311, 2006 http://www.who.int/mediacentre/
population and this study shows how BMI has factsheets/fs311/en/index.html.
changed across the whole distribution, and that it is 9. Cade B, Noon B. 2003. A gentle introduction
different for subgroups of the population, defined to quantile regression for ecologists. Front Ecol
by age, gender and socio-economic status. This is Environ; 1(8):412-420.
shown by the non-horizontal pattern of estimated 10. Koenker R. 2005. Quantile Regression. Cambridge
coefficients for quantiles spanning the BMI University Press.
distribution. In particular, the Year (1998) and Year 11. R Development Core Team (2010). R: A language
(2003) estimated coefficients in Figure 2 illustrate and environment for statistical computing. R
how BMI has increased at different rates across the Foundation for Statistical Computing, Vienna,
BMI distribution over time. Austria. ISBN 3-900051-07-0, URL http://www.R-
project.org.
Conclusion 12. Roger Koenker (2009). quantreg: Quantile
Obesity prevalence and average BMI increased Regression. R package version 4.44. http://
in the Scottish population between 1995 and 2003. CRAN.R-project.org/package=quantreg
The results show that BMI increased for men and
women of all social classes in the 16-64 age range but Acknowledgements
the biggest increase was in the upper percentiles of This project was supervised by Dr Tereza
the distribution. Obesity is a risk factor for many Neocleous, Lecturer, Department of Statistics,
major health problems so it is of concern that in University of Glasgow.
general, adults in Scotland are getting heavier.
Added to this concern is that it is those who are
already overweight or obese who continue to put on
more weight than anyone else.

References
1. Walker A. The Cost of Doing Nothing - the economics
of obesity in Scotland. National Obesity Forum,
2003 referenced in Grant I, Fischbacher C, Whyte
B. Obesity in Scotland: an epidemiology briefing.
Scottish Public Health Observatory, 2007.
2. Dong W, Erins B, et al. Scotland’s Health:
Scottish Health Survey 1995. The Scottish Office
Department of Health 1997.
3. Zaninotto P, Head J, Stamatakis E, Wardle H,
Mindell J. 2009. Trends in obesity among adults
in England from 1993 to 2004 by age and social
class and projections of prevalence to 2012.
Journal of Epidemiology and Community Health;
63:140-146.
4. Reas D, Nygard J, Svensson E, Sorensen T,
Sandanger I. 2007. Changes in body mass index
by age, gender and socio-economic status among
a cohort of Norwegian men and women (1990-
2001). BMC Public Health; 7:269.
5. Kuczmarski R, Flegal K, Campbell S, Johnson,
C. Increasing prevalence of overweight among
US adults. JAMA 1994; 272(3):205-11 (referenced
in Dong W, Erins B, et al. Scotland’s Health:
Scottish Health Survey 1995. The Scottish Office
Department of Health.)
6. Shaw A, McMunn A, Field J (ed.). The Scottish
Health Survey 1998. The Scottish Office
Department of Health, 2000.
66
Drug Discovery from Ardisia elliptica
Jun Feng Lee
National University of Singapore

Abstract

Ardisia elliptica is a tropical sub-shrub native to Singapore. The plant is used in traditional herbal
therapy to treat parturition complications (pain and discomfort associated with childbirth) and chest pains.
This project aims to identify potent antiplatelet and anticoagulant compounds which could be used in the
prevention of cardiovascular diseases (CVD, which include stroke and heart attack) from the leaf extract of
A. elliptica for possible drug development in the future. Leaves of A. elliptica were boiled in 70% methanol by
volume in water in a soxhlet to obtain an extract. The extract was dried and reconstituted in pure methanol
for chemical analyses using Gas Chromatography-Mass Spectrometry (GCMS) and High Performance
Liquid Chromatography (HPLC). An active compound β-amyrin was isolated using HPLC. β-amyrin,
isolated from the leaf extract, was found to possess antiplatelet properties while the leaf extract showed
both antiplatelet and anticoagulant properties in vitro in human blood and in vivo in Sprague Dawley (SD)
rats. This suggests the possibility of more potent compounds with antiplatelet and anticoagulant properties
awaiting discovery in the leaves of A. elliptica. Both β-amyrin and the leaf extract prolonged tail bleeding
times in SD rats, indicating potent antithrombotic activity (thrombus is a clot in the blood vessel which
leads to CVD). β-amyrin constitutes 0.098% by mass in the fresh leaves of A. elliptica as determined by Liquid
Chromatography-Mass Spectrometry (LCMS).

Introduction This study uses in vitro, in vivo and ex vivo


Medicinal plants have been important sources bioassays. In vitro (in-glass) bioassays are conducted
of lead compounds of novel drugs. Ardisia elliptica with drug samples added to human blood in a
Thunberg is a tropical evergreen sub-shrub that is glass tube; in vivo (in the living body) bioassays
native to China, Malaysia, Singapore and Sri Lanka. are conducted with drug samples fed to the SD
The leaves and roots of this plant have been used rats followed by the cutting of the tail to measure
traditionally in Southeast Asian herbal remedies. bleeding times; and ex vivo (out of the living body)
The leaves are boiled and the extract is drunk bioassays are conducted with blood, drawn into a
to treat chest pains, parturition complications, glass tube, from animals fed with the drug.
fever, diarrhoea and liver poisoning.1 The leaves
of A. elliptica have been reported to show platelet- Objective
activating factor (PAF) receptor-binding antagonist The overall objective is to investigate the
activity.2 potential antiplatelet and anticoagulant effects
Platelets are the main cellular components of β-amyrin isolated from the leaves of A. elliptica.
of white thrombi (clots), which tend to form in The specific objectives are: to carry out preliminary
the arterial system. In contrast, red blood cells identification of components in the leaf extract using
predominate in red thrombi, which form in veins. GC-MS and HPLC; isolate, purify and quantitate the
The thrombi, or internal clots, are believed to be active compound β-amyrin in the leaf extract using
responsible for strokes and heart attacks due to their HPLC and LC-MS; ascertain the antiplatelet and
interruption of blood flow downstream in the blood anticoagulant effects of β-amyrin in vitro in human
vessels. Antiplatelet drugs reduce the formation of blood and ex vivo in Sprague Dawley (SD) rats; and
white thrombi predominantly while anticoagulant ascertain the effects of β-amyrin on tail-bleeding
drugs reduce the formation of red thrombi. time in vivo in SD rats.
Therefore, it is essential that drugs are tested for both
antiplatelet and anticoagulant activities separately. Materials and Methods
Platelet aggregation is part of the sequence of Leaves of A. elliptica were obtained from Pasir
events leading to the formation of a clot. It refers to Ris Park with permission from the National Parks,
the clumping together of platelets in the blood which Singapore. The identity of the leaves was confirmed
usually precedes blood coagulation. Coagulation by the Singapore Botanical Gardens and a voucher
is a process that converts soluble fibrinogen into specimen is kept in the Department of Pharmacy at
insoluble fibrin threads, turning blood into an the National University of Singapore.
insoluble gel in the process. The gel plugs leaks in The leaf extract was prepared using soxhlet
blood vessels and stops the loss of blood. extraction with 70 % methanol for six hours. Chemical
analysis of the leaf extract was done using GCMS,
with a Shimadzu system consisting of a gc2010 gas
The Oculus: Proceedings of the U21 Undergraduate Research Conference 67

Figure 1: Total ion chromatograms of A) 70 % (v/v) methanol leaf extract and B) β-amyrin standard.

chromatograph and a gp2010 mass spectrometer, was eluted at around 67.8 min and its identity in both
and using HPLC, with an Agilent 1100 series HPLC chromatograms was verified by mass spectrometry
system. This was followed by a quantitation of and an autolibrary search using the Wiley mass
β-amyrin in the leaf extract according to International spectral library.
Conference of Harmonisation guidelines using an The presence of β-amyrin in the leaf extract
API 2000 triple-quadrupole mass spectrometer by was further verified with analytical HPLC. The
Applied Biosystems. β-amyrin was isolated from chromatograms from analytical HPLC analysis of
the leaf extract using preparative HPLC and the the leaf extract and β-amyrin standard are shown in
β-amyrin isolate was purified thereafter using semi- Figure 2. The chromatograms indicate the presence
preparative HPLC on an Agilent 1100 series HPLC of β-amyrin in the leaf extract. β-amyrin was eluted
system. at around 63 min and its presence in the leaf extract
The isolated β-amyrin was used in in vitro was verified by comparing the UV spectra of the
bioassays on human blood which consisted of peak of interest and that of the β-amyrin standard.
platelet aggregation assays with a whole blood The composition of β-amyrin in the leaf extract
aggregometer from Chronolog Corporation and is about 1.2 % while that in fresh leaves of A. elliptica
plasma coagulation assays with an automated blood is 0.098 % as determined by the quantitation method
coagulation analyzer CA-500 series from Sysmex. using LC-MS.
The isolated β-amyrin was also fed to SD rats for The results obtained for the inhibition of
the in vivo tail bleeding assays and ex vivo bioassays collagen-induced platelet aggregation, in vitro in
which consisted of both platelet aggregation assays human blood, as shown in Figure 3 suggest that
and plasma coagulation assays. all the test samples (aspirin, leaf extract and the
β-amyrin standard (pure manufactured amyrins) showed antiplatelet effects at the indicated
compound), used in the chemical analyses involving final concentrations in the reaction mixtures.
GCMS and analytical HPLC to verify the presence Moreover, although the composition of β-amyrin
of β-amyrin in the leaf extract, was purchased from in the leaf extract is about 1.2 % w/w, a leaf extract
Extrasynthese. final concentration of 1.2 mg ml-1 and not 10 mg ml-1
was sufficient to elicit equivalent if not more potent
Results and Discussion response than 0.1 mg ml-1 of β-amyrin. This suggests
Chromatograms obtained from the GC-MS the possibility of other active compounds in the
analysis of the leaf extract and β-amyrin standard leaf extract that can also inhibit collagen-induced
are shown in Figure 1. The chromatograms indicate platelet aggregation.
that β-amyrin is present in the leaf extract. Β-amyrin
68

Figure 2: HPLC chromatograms of A) 70 % (v/v) methanol leaf extract and B) β-amyrin standard.

Figure 3: In vitro comparison of percentage inhibition of A) collagen-induced platelet aggregation and B) arachidonic acid-induced platelet
aggregation by different test samples in human blood. Error bars represent standard deviation; all experiments were done in triplicates.
The Oculus: Proceedings of the U21 Undergraduate Research Conference 69

Figure 4: In vitro comparison of A) PT and B) aPTT due to different test samples in human plasma. Error bars represent standard
deviation; all experiments were done in triplicates. (* indicates p < 0.05, ** indicates p < 0.01 compared with the control)

Figure 5: Ex vivo comparison of percentage inhibition of collagen-induced platelet aggregation after treatment with different test
samples in SD rats. Error bars represent standard deviation and experiments on each animal were done in triplicates. Doses of test
samples indicated in brackets; n denotes the actual number of rats being analysed for each test sample.
70

Table 1: Tail-bleeding times after oral administration of test samples (n denotes the actual number of rats being analysed for each
test sample). (* indicates p < 0.05; ** indicates p < 0.01 compared with the control)

The results obtained for the inhibition of phytoconstituents in the leaf extract. Although herbal
arachidonic acid-induced platelet aggregation as extracts may contain only minute concentrations of
shown in Figure 3B suggest that only the leaf extract bioactive compounds, such as in this case whereby
demonstrated antiplatelet effects at the indicated β-amyrin constitutes only 1.2 % of the leaf extract,
final concentration in the reaction mixture. Both the overall therapeutic effects observed could be a
amyrin isomers did not inhibit arachidonic acid- result of synergy which presents itself as a high level
induced platelet aggregation. The discrepancy of potency not achievable by the individual isolates
between results obtained for the leaf extract and of the bioactive compounds.
the amyrin isomers suggests the presence of other The antithrombotic effect in vivo was further
potent antiplatelet compounds in the leaf extract verified by the ex vivo platelet aggregation assays
which remain to be identified. presented in Figure 5. The ex vivo assays indicated the
The use of different agonists (collagen and absorption of the test samples into the bloodstream
arachidonic acid) in the platelet aggregation assays via the gastrointestinal tract, suggesting that both
can provide some information on the possible the leaf extract and β-amyrin are orally active. This
mechanisms of action of the test samples -- details is a highly desirable drug property as orally-active
of which is beyond the scope of this discussion drugs would encourage greater patient compliance
targeted at a wider audience. than those requiring intra-venous injections.
The following section presents and discusses Comparing the results obtained for the leaf
on the results of the human plasma coagulation extract and β-amyrin in the in vitro assays, it is clear
assays in vitro. Prothrombin Time (PT) is a measure that there remains to be identified compounds with
of the effect on the extrinsic pathway of coagulation anticoagulant and antiplatelet effects in the leaf
by the different test samples while activated Partial extract which have markedly different properties
Thromboplastin Time (aPTT) is a measure of that from β-amyrin. Further isolation should be carried
on the intrinsic pathway. The difference between out to identify these bioactive compounds.
the two pathways is again beyond the scope of this Experimental evidence has hinted at the
discussion. The results of the coagulation assays possible effect of synergy occurring when the leaf
for human plasma shown in Figure 4 suggest that extract was tested for antiplatelet activity. This could
only the leaf extract has anticoagulant effect at the be a possible explanation for the therapeutic effect
indicated concentration as demonstrated by the observed in herbs despite the seemingly minute
significant prolongation of aPTT. The results suggest concentrations of bioactive compounds present.
the presence of potent anticoagulant compounds in Sceptics of herbal remedies have often cited the low
the leaf extract which remain to be identified. concentrations of bioactive compounds in plants as
The comparison of tail-bleeding times between a reason for their doubts in the observed therapeutic
the control and other treatment groups shown in effect being caused by the compounds detected.
Table 1 suggests that both β-amyrin and the leaf With the possibility of multiple compounds acting
extract have antithrombotic effects as demonstrated together to achieve therapeutic effects at low
by the prolonged bleeding times. concentrations as demonstrated in the experiments,
The results from this experiment indicate that it is advisable that the study of medicinal plants
the leaf extract prolonged bleeding time more than take a turn in strategy. Isolation of bioactive
β-amyrin. This could be due to the presence of both compounds for individual testing may no longer
antiplatelet and anticoagulant compounds in the be a sufficiently good analysis of the therapeutic
leaf extract acting synergistically to bring about potential of medicinal plants. It would be worthwhile
the antithrombotic effect, compared with β-amyrin examining the mechanisms of synergy occurring
which only has antiplatelet effect as discussed in the compounds present in herbs and attempt to
earlier in the in vitro bioassays. replicate the same effect with a right combination of
Hence, the leaf extract final concentration of compounds in future drug development.
300 mg kg-1 body weight which is 10 times and not The study of prescriptions involving multiple
100 times that of β-amyrin (30 mg kg-1 body weight) herbs have often proved to be challenging to the
is sufficient to elicit more potent responses in vivo, novice. Prescriptions with instructions such as
suggesting that there may be synergistic effects of the brewing in a claypot and consuming the medicine
The Oculus: Proceedings of the U21 Undergraduate Research Conference 71
warm may seem unimportant details to the scientist References
employing modern scientific methods in the study 1. Ching, J., Chua, T. K., Chin, L. C., Lau, A. J.,
of such herbal remedies. Such instructions are Pang, Y. K., Johannes, M. J., Tan, C. H., and Koh,
often explained with unfathomable terms such as H. L.(2010). β-amyrin from Ardisia elliptica is
drinking the warm medicine will better promote the more potent than aspirin in inhibiting collagen-
flow of “qi” in the body for quick recovery compared induced platelet aggregation. Indian J Exp Biol
with drinking it cold. While the concept of “qi” is 48, 275-279.
hardly explicable in scientific terms, it is important 2. Jalil, J., Jantan, I., Shaari, K., and Rafi, I. A. A. (2004).
that the scientist relates these instructions to a sound Bioassay-guided isolation of a potent platelet-
knowledge of science wherever possible. activating factor antagonist alkenylresorcinol
For instance, there have been instances in our from Ardisia elliptica. Pharm Biol 42, 457-461.
laboratory in which boiling prescriptions in water in
pyrex glass or metal pots have failed to produce the
bioactive compound responsible for the therapeutic
effect of the medicine. The compound could only be
obtained when brewed in a claypot on a charcoal
stove according to traditions. There is a possibility
that claypot brewing on a charcoal stove may allow
slightly higher boiling temperatures and pressures
to develop in the claypot which aids the extraction
process of bioactive compounds from the herbs or
even establishes the right conditions for complex
reactions to occur between the organic compounds
to form the desired bioactive ones.
As for drinking the medicine warm, it is
important to relate the simple concept of the
increasing solubility of sparingly soluble compounds
in water with higher temperatures. Prescriptions of
medicine to be drunk warm generally have doses
adjusted such that the right concentration of the
bioactive compound will be present in the water
extract when it is warm. When analyses are done
cold or at room temperature, the concentration of the
sparingly soluble bioactive compound will naturally
be much lower or even undetectable in the water
extract. In such instances, analyses of the sediments
will generally show toxic concentrations of the
bioactive compound. Thus, we see that even though
Chinese physicians use perplexingly abstract
concepts like “qi” in their explanation of drinking
certain prescriptions warm, modern science has
its own theories to explain the observations made.
It is important to appreciate the differences in the
approach of experimentation and application of
theories in the two disparate methods of studying
medicine. Only scholars and scientists who can
embrace the beauty of an open mind will have
what it takes to acquire the imaginative capacity of
applying modern scientific theories to the study of
herbal remedies.
72
Continuous Flow, Multi-Phase Reaction Modeling
of Biodiesel Production using Cahn-Hilliard
Approach
Lu Han
University of Connecticut

Abstract

The purpose of my research is to model a novel continuous flow biodiesel reactor/separator in order to
optimize reactor specifications for productivity. The laminar flow reactor employs a static mixing unit and
achieves greater than 95% conversion. The overall chemical reaction converts methanol and triglycerides
(fatty acids) into biodiesel (methyl esters) and glycerol, which form two immiscible liquid phases with
methanol present in both. In modeling the phase separation and flow characteristics of the continuous
flow multiphase reactor, the Cahn-Hilliard theory for diffusion and Navier Stokes momentum continuity
equations are used. Different phase separation models are explored in COMSOL Multiphysics.

Introduction and biodiesel from the top of the reactor drives the
Biodiesel offers many possibilities as a source equilibrium to completion. Figure 1 is a schematic
of alternative energy. Biodiesel fuel is nontoxic, of the reactor. The reactor has achieved greater than
biodegradable, and can be used in most diesel engines 99% conversion of pre-treated waste canola oil to
with little or no modification. Biodiesel is derived biodiesel by removing 70-99% of glycerol produced.
from triglycerides, which are the major components
of vegetable oils and animal fats. Transesterification Model Development
is the chemical reaction where triglycerides react in The goal of my thesis is to model of the
the presence of a catalyst with methanol to produce biodiesel reacting system, taking into account the
methyl esters known as biodiesel. The majority of phase separation. The model is an expression for
current biodiesel production methods employ batch Gibbs free energy based on the approach developed
reactor technology, which has a limited capacity. by Cahn-Hilliard that assumes diffusion is driven
Due to the immiscibility of the reactants with the by the gradient of the chemical potential. The
products, the synthesis of biodiesel takes place as general continuity expression is given by Equation 1,
a two-phase reaction. Batch reactors utilize intense where u is velocity, c is concentration, M is mobility
mixing in order to overcome immiscibility and batch (Diffusivity * mole fraction) and μ is the chemical
operations require multiple separation stages to potential. The free energy model expressed in
remove the byproducts from the biodiesel product. Equation 2 provides a means for calculating an
Under specifications outlined by the ASTM, the analytical phase separation.
equilibrium conversion obtained in a batch system
fails to meet fuel standards. Equation 1:
The inefficiencies of a batch reactor can be ∂c
reduced by implementing continuous removal of the + u * ∇c = ∇(M (c )∇µ )
glycerol phase during the reaction, which will drive ∂t
the equilibrium reaction to completion. The existing Equation 2:
technologies capable of glycerol phase separation
necessitate high temperatures and pressures which
introduces substantial energy costs. The novel
continuous reactor/separator, patented by Dr.
Parnas of the Department of CMB, employs a static The chemical potential can be determined
mixing unit as an injector to a reaction chamber, this from Equation 2 by applying the Frechet derivative,
reliefs the need for extreme conditioned mixing. The where γ is the gradient energy parameter, which
reactants flow through tortuous pathways in the gives an estimation of the interface between two
static mixer, then enters the plug flow tubular reactor equilibrium phases. The Cahn-Hillard continuity
where the bulk velocity in the axial direction is equation after simplification is shown in Equation 3.
decreased into a laminar flow. As the reactants flow
upward in the organic phase, the formed glycerol Case 1 - Equation 3:
molecules separate by density and settle downward.
The continuous removal of glycerol at the bottom
The Oculus: Proceedings of the U21 Undergraduate Research Conference 73

Figure 1. Continuous biodiesel reactor; reaction produces biodiesel and glycerol that separate into two immiscible compounds

The Cahn-Hilliard equation can be combined


with Navier Stokes to incorporate flow, as shown in Equation 8:
Equation 4, where μ ∇ c is the phase-field dependent g = ∑ xi ln xi
surface force. i

Case 2 - Equation 4: Equation 8 expresses the free energy for


an ideal solution. After modification, the final
continuity expression is shown by Equation 9.

Equation 9:
Dr. Fred Phelan of NIST is the author of an
alternative separation model that modifies Cahn-
Hilliard theory for binary phase separation by
treating the solution as ideal. The free energy
expression, Equation 5, combined with the Frechet
derivative to chemical potential, Equation 6, yields
Equation 7.
Case 3 for binary ideal phase separation
Equation 5: was evaluated in COMSOL Multiphysics 3.5a, and
the model did not phase separate. Investigation
immediately turned to the ideal liquid assumption
used for the free energy model. The binary mixture
was treated with regular solution theory, which
breaks the Gibbs free energy into an ideal and an
excess part, as shown in Equation 10, where g id is
Equation 6: previously defined in Equation 8 and gex is defined
in Equation 11, where χ12 is a binary interaction
coefficient.

Equation 10:

Equation 7:

Equation 11:
74

Figure 2: Cahn-Hilliard phase separation in COMSOL

Figure 3. Cahn-Hilliard with Navier Stokes phase separation in COMSOL

Equation 7 can be re-arranged and the two Gibbs X1_0+A_0*sin(f_0*pi*x)*sin(f_0*pi*y). The initial
free energy terms can be applied to produce the final condition is a high frequency randomization of mole
continuity expression, Equation 12. fraction with small amplitude. The initial condition
is designed to perturb the system at X1_0=0.5 or c=0
Case 4 - Equation 12: because c=2x-1. Please see the attached COMSOL
Results for pictorial displays of the COMSOL results
and the COMSOL inputs as PDE format for each case.
Complete derivations can be given upon request.
Future work remains for modeling biodiesel
as a heterogeneous reacting system. A quaternary
regular solution model should be developed
Results and implemented into COMSOL, which is an
The models for phase separation using Cahn- improvement to the binary regular solution model
Hilliard (Case 1), Cahn-Hilliard with Navier Stokes because it will describe global reaction. Also,
(Case 2), binary ideal solution (Case 3), and binary intermediates should be added to the regular solution
regular solution (Case 4) were evaluated in COMSOL theory. The methanol partitioning coefficient,
Multiphysics 3.5a with initial conditions, x1(t0)= which was neglected in model derivation, should
The Oculus: Proceedings of the U21 Undergraduate Research Conference 75

Figure 4. Ideal solution phase separation in COMSOL

Figure 5. Regular solution phase separation in COMSOL

be reviewed. Lastly, the determination of more


accurate constants of diffusivity, density gradients,
and binary interaction parameters will depend on
extensive literature review and estimated through
the proper methods.

References
1. Chakulsi, Brian. “A Continuous Flow, Multi-
Phase Reaction Model for Biodiesel Production:
A One- Semester Grad Project.” University of
Connecticut, 2009.
2. Boucher, Matthew B, et al. “Pilot Scale Two-Phase
Continuous Flow Biodiesel Production via Novel
Laminar Flow Reactor-Separator.” Energy &
Fuels, Vol. 23, 2009, pp. 2750-2756.
76
Success Factors in Australian Public Sector Alliance
Projects
Matthias Wobbe
University of Melbourne

Abstract

Project alliancing is a relatively new procurement method being utilised in the construction industry.
This research aims to explore the factors which contribute to successful public sector alliance projects in the
Australian construction industry. Case studies and an industry questionnaire were used to investigate the
organisational, alliance and human factors associated with the success of these projects. This research is of
great use to the construction industry as it allows industry participants to better understand the concept of
alliances and improve their project performance.
Introduction Methodology
This dissertation aims to explore the factors In order to better understand the nature of
which contribute to successful public sector alliance these success factors, three key areas of success
projects in the Australia construction industry. creation in a project alliance have been identified.
Project alliancing is a relatively new procurement The participating organisations, the structure of
method being utilised in the construction industry. It the alliance itself and the human factors involved
was developed in the UK on North Sea oil and gas in the interactions of the participants. Government
projects in the 1990’s (Knott 1996 and Thompson information, expert reports, project reviews and
1997) and was refined in Australia by Sydney Water journal articles were evaluated and the information
on the Northside Storage Tunnel Project (Ross 2008). synthesised to form the theoretical framework for
Alliancing is a relationship based procurement this study. Alliancing is a complex undertaking
method (Jefferies, 2006) which tries to achieve a “shift however there seems to be little dedicated research
to peer relationships based on mutual respect, trust to project alliancing success factors with a focus
and equitable sharing of all risks and benefits” (Ross on the Australian construction industry. A lack of
2000). On a theoretical level, Hoffmann and Schlosser empirical research was also noted by numerous
(2001) found that “alliances are the most transaction authors.
cost efficient organisational form” since they replace The current views and perceptions of alliance
the traditional adversarial project delivery with a project leaders in the industry were assessed, as
scenario where all participants work collaboratively these people are best positioned to offer insight into
in seeking to achieve the optimal project outcome. The the success factors being studied. A questionnaire
structure of alliances “create the essential conditions of senior members of past Australian public sector
required for optimal intergroup contact” (Anvuur alliance projects was used in conjunction with two
and Kumaraswamy, 2007). This is confirmed in case studies. The questionnaire provided quantitative
literature world-wide such as (Trim, 2008), who data on the current industry practices whilst the
states that “it was the alliance method which allowed case studies helped to interpret the results of the
contractors and owners to work in one harmonious questionnaire and provide a qualitative discussion
group dedicated to continuous improvement.” of the subject matter. This research methodology
The benefits of using the alliancing approach was chosen since it provided a mix of qualitative and
are many. Alliances have the ability to offer greater quantitative data. The aim was to determine current
certainty of timely completion, improved life- industry practices as Heimeriks et al. (2009) prove
cycle efficiencies, greater risk and opportunity that “using managerial assessments is a sound way
management (Liew, 2009), more effective stakeholder to measure alliance performance”.
management, lower direct costs, higher levels of A register of successful public sector alliance
innovation (Ross, 2000), early contractor involvement projects was compiled and key stakeholders in
(Queensland Department of Public Works, 2008) and each project identified. Research participants were
a more enjoyable working environment (Hosking, selected based on selected sampling of these suitable
2005). The use of alliancing has notable long and past projects. The data produced was analysed using
short term effects on the industry as well. Hennefeld descriptive statistics and qualitative methods as
(2006) states that alliancing can relieve short term outlined by Babbie (2003).
pressures in the industry, such as skills shortages,
inappropriate risk allocation and contract strategies
among others, and improve the long term operation
of the industry in the way projects are procured.
The Oculus: Proceedings of the U21 Undergraduate Research Conference 77

Table 1. Findings of Questionnaire

Findings of Questionnaire “Our estimating team continued to use a


This study was based on an analysis of business as usual approach of this being
successful projects and this was proven by the a tender that had to be won on price. As
response to the project profile. Projects spanning the a result when some of the risks actually
full range of values from under $50M to over $400M occurred, we blew the budget.”
were represented in the response data. On average,
some of the project objectives were exceeded with “The alliance would have worked even
time, cost and quality objectives almost always met better if the employees working in the
and on average, a moderate level of innovation. alliance from the client actually realised
Respondents consisted of managing directors, they are working for the alliance and not
senior partners, alliance managers and Alliance for the client.”
Management Team (AMT) members.
In analysing the responses to the questionnaire, These and other similar comments received
the statistical mean of all the proposed success show that the concepts of alliancing are still
factors were calculated and the factors ranked from misunderstood by some participants who enter into
the most important to overall alliance success (1st) to alliances. This is ironic as all the factors associated
least important (10th). These results are presented in with learning and gaining knowledge in alliance
Table 1. facilitation were ranked of least importance in the
questionnaires.
Additional Findings
The final section of the questionnaire allowed Findings of Case Studies
respondents to provide additional factors and Two case studies were used in order to
comments as they saw fit. Other success factors explore the subject matter in more detail, validate
suggested were the adequate pricing of risk, the questionnaire results and fulfil the aim and
celebration of success team wide and at all levels, the objectives of this study. Both case studies were large
ability of the client / owner to manage the project high value road infrastructure projects located in
effectively and design management. Australia. The alliancing method was utilised due
78
to the high risk nature of the works and technical through co-location of all team members in the one
and time constraints. Both projects exceeded their project office. This was cited in case study two to
performance objectives, setting new industry be the single most critical factor to project success,
benchmarks in safety, innovation and stakeholder as the design management and buildability of the
management. Both projects were also multiple project was ensured.
award winners from peak industry associations. The second most important factor in both case
Four interviews were carried out in total studies was the alliance culture which was fostered
with two being face to face interviews, one a phone on the projects. Interviewees from case study 1 felt
interview and one an email response to the interview that they had the best project team available, with
questions. Content analysis was carried out on the the right people and the right resources. The use
data gathered with trends, patterns and discussion of an alliance charter which set out the vision and
being presented below. the principles of the alliance is what created the
culture. The charter ensured everyone’s view was
Organisational Factors respected. This was also pivotal in encouraging
Organisational success factors were least innovation on the projects. An innovation register,
mentioned in the interview. Only minimal workshops, recognition and rewards and constant
recognition was given to the significance of senior reinforcement were used to maintain the culture.
management support and training of staff. Case study 2 recorded a $23 million saving due to
innovations on the project.
Alliance Structural Factors
Alliance structural success factors were Additional Findings
the second most important to the success of The continual monitoring of ‘alliance health’
both projects. The importance of clear goal played a big part in each projects success. Not only
and responsibility definition and coordination the assessment of objectives but also the health of
committees was conveyed with some references relationships was reviewed. In case study two, it
made to the importance of alliance advisers and was found that the biggest return on project was
compensation. The interviewees felt that it was the increase in reputation due to the successful
important to clearly define goals and responsibilities completion. The payments linked to exceptional
which were reviewed periodically throughout the performance were only second.
project. Workshops were also used to reinforce these
goals and responsibilities. The strategy used in case Discussion
study two was to dedicate a team member to each Using the industry questionnaire, the most
performance objective. ALTs and AMT were used important and influential public sector project
on both projects. AMTs were responsible for the day alliancing success factors were identified from each
to day running of the project whilst ALTs provided of the three groups of factors. When taking the
senior level decision making and resource allocation. overall mean of all three groups of success factors, the
Unanimous decisions were made which were binding human factors were rated noticeably more important
as there was no recourse to arbitration. Conflict and than organisational and alliance structural factors
dispute was avoided because all participants had which were rated almost identically. When analysing
agreed to this method of issue resolution and were all success factors individually however, it becomes
aware of how it operated. Decisions on case study one clear that the alliance members deemed ‘hard’
were also all based on multi-criteria analysis against factors such as resource allocation, commercial
performance objectives. Alliance advisers were used frameworks and defined responsibility most
on both projects and performance objectives were important. ‘Soft’ relationship based factors were
benchmarked against those achievable through the largely rated second most important while learning
use of more traditional procurement methods. and knowledge gaining factors were always rated
lowest. This is an interesting phenomenon since
Human Factors most setbacks encountered by the respondents were
The human factors associated with the due to participants who lacked alliancing facilitation
alliancing project success were deemed to be the skills. The single highest rating factor was however
most significant. early involvement of alliance partners in the pre-
construction planning phase. This is one of the
“A project without good relationships is a major advantages alliancing offers over other more
bad project.” traditionally used procurement methods.
Based on the two case studies, human factors
The interpersonal relationships on both were considered the most important to the success
projects were given priority as continual monitoring of the case study projects. This matches the results of
and maintenance of relationships was carried out. the literature review conducted for this research and
Communication was facilitated on both projects the questionnaire. Human factors were followed in
The Oculus: Proceedings of the U21 Undergraduate Research Conference 79
importance by alliance structural factors and last 9. Liew, J. (2009) “Increased flexibility through
of all, participant organisational factors. The single alliancing” Engineers Australia, 81(1), 48-49.
most critical factor was found to be the co-location of 10. Queensland Department of Public Works (2008)
project team members in the same office in order to “Procurement strategy and contract selection”
increase the effectiveness of the design management Queensland Department of Public Works, 2nd ed.,
process and increase the interface between design Queensland, Australia.
and buildability. This matches the results of the 11. Ross, J. (2000). “Introduction to Project
questionnaire where the single most important Alliancing.” Presented to Institution of Engineers
success factor was early contractor involvement. 17 August 2000 Brisbane, Australia.
Another important conclusion that was made from 12. Ross, J. (2008). “Price competition in the alliance
the interviews was the view that the alliance culture selection process.” Pre-reading for Infrastructure
and vision is what drove the team performance. Delivery Alliance Forum 9 April 2008 Perth,
Australia.
Conclusion 13. Thomson, G. (1997) “Project Alliances.”
Industry practitioners can reflect on these Australian Mining and Petroleum Law
research findings and their own practice in order to Association 21st Annual Conference July 1997,
identify areas requiring improvement or increased Brisbane, Australia.
consideration. It is recommended that organisations 14. Trim, P. (2008) “Barkly highway upgrade – split
review their learning processes in order to improve rock INCA alliance” Queensland Roads, 5, 34-41.
alliance facilitation skills as this study found lack
of that skill to be the greatest hindrance to alliance
performance. The above research findings apply to
private sector alliancing projects just as well and a
prudent practitioner would consider them of great
relevance to their field.

References
1. Anvuur, A. And Kumaraswamy, M. (2007)
“Conceptual model of partnering and
alliancing” Journal of Construction Engineering and
Management, 133(3), 225-234.
2. Babbie, E. (2003) “The Practice of Social Research”
9th ed. Wadsworth Pub. Co.
3. Heimeriks, K., Klijn, E. and Reuer, J. (2009)
“Building capabilities for alliance portfolios”
Long Range Planning, 42, 96-114.
4. Hennefeld, M. (2006) “Alliance contracting.
Removing the boundaries for infrastructure
delivery” Presented at the opening plenary session
of the 2006 Annual Conference of The Transportation
Association of Canada, Charlottetown, Prince
Edward Island.
5. Hoffmann, W. and Schlosser, R. (2001) “Success
factors of strategic alliances in small and
medium-sized enterprises – and empirical
survey” Long Range Planning, 34, 357-381.
6. Hosking, I. (2005) “The case for alliancing”
Infrastructure Australia, 24-25.
7. Jefferies, M., Brewer, G., Rowlinson, S., Cheung,
F. and Satchell, A. (2006) “Project alliances in the
Australian construction industry: A case study
of a water treatment project: In: Symposium on CIB
W92 : sustainability and value through construction
procurement, 29 November, Digital World Centre,
Salford, UK.
8. Knott, T. (1996) “No Business As Usual.” The
British Petroleum Company. Britannic House,
London, UK.
80
Genetic Basis for Sexual Dimorphism in the Lizard
Anolis sagrei
Megan Kobiela
University of Virginia

Abstract

Sexual dimorphism is readily apparent in the animal kingdom, but its occurrence is a paradox because
males and females share a majority of their genome. Between-sex genetic correlations are a way to quantify
the shared genetic basis of male and female traits. When these correlations are large, they may constrain
the evolution of further sexual dimorphism. Anolis sagrei is a common lizard in the Caribbean and is highly
dimorphic in both size and shape. This lizard was used in a laboratory breeding design to examine sexual
dimorphism in six morphological traits and their between-sex genetic correlations. We found that both head
width and jaw length were significantly sexually dimorphic and had weak between-sex genetic correlations.
All other skeletal characteristics (pectoral and pelvic width and length of front and hind limbs) had stronger
between-sex genetic correlations and a less pronounced difference between males and females. Across
all six traits, the correlation between sexual dimorphism index and between-sex genetic correlation was
found to be strongly negative. This relationship suggests that either strong between-sex genetic correlations
constrain the evolution of dimorphism for some traits or that strong selection for dimorphism may reduce
the strength of between-sex genetic correlations.

Introduction
Sexual dimorphism, or the consistent
differences between males and females, is readily
apparent throughout the animal kingdom. From
the smallest worm to the largest whale, males and
females are often different sizes, shapes, and colors.
Although humans have undoubtedly observed these Figure 1. Male (left) and female (right) adult A. sagrei,
dissimilarities for millennia, Charles Darwin (1859; illustrating the extensive size and shape sexual dimorphism.
1871) is cited as the first person to propose a reason
for sexual dimorphism: sexual selection. Sexual between-sex genetic correlations are important
selection often occurs via female choice, where because they show how constrained males and
females choose among males to sire their offspring, females are in the evolution of dimorphism. Traits
or via male-male competition for mates. Both types with a strong correlation (r close to 1) may limit the
of sexual selection are thought to favor males with divergent evolution of the sexes, whereas low genetic
exaggerated phenotypes, whether showy display correlations (r close to 0) may facilitate independent
behavior or elaborate weapons for fending off rival evolution of males and females (Lande 1980).
males (Delph 2005). In addition to sexual selection, In this study, I examine between-sex genetic
ecological selection may occur when males and correlations and sexual dimorphism in a lizard,
females live in slightly different habitat niches, Anolis sagrei (Fig. 1). Lizards in the genus Anolis have
causing each sex to adapt divergently (Schoener been shown to be an excellent model of adaptive
1976). radiation in the Caribbean. With over 150 species
Genetic variation is necessary for selection to described in the West Indies alone, Anoles are unique
lead to any evolutionary change. In the case of the in their radiation because of the repetition of habitat
evolution of sexual dimorphism, genetic variation specialists that arose across multiple islands, termed
in sexual dimorphism is needed. However, this is “ecomorphs” (Losos et al. 2006). Sexual dimorphism
paradoxical because males and females share the is hypothesized to aid colonization of new habitats
majority of their genome, with the exception of the and facilitate the evolution of different ecomorphs
sex-specific chromosomes (Lande 1987). Several because each sex may inhabit a significantly
mechanisms for differences in male and female different niche (Butler et al. 2007).
gene expression have been proposed, including Anolis sagrei, or the Cuban brown anole, is a
sex-chromosome linkages and differential gene highly sexually dimorphic trunk-ground ecomorph
expression due to gene cascades (Mackay 2001). Anole. Indigenous to Cuba and the Bahamas, this
The amount of available genetic variation for species has been introduced to Florida, Hawaii, and
sexual dimorphism may be represented by genetic Taiwan (Kolbe et al. 2004). Males are larger than
correlations between male and female traits. Such females, with male snout-vent length (SVL) about
The Oculus: Proceedings of the U21 Undergraduate Research Conference 81

Figure 3. Preserved juvenile A. sagrei specimens showing


a male with the chevron back pattern (left) and a female with
the diamond back pattern (right).
Figure 2. A typical radiograph of a 6-month A. sagrei.

5 cm and female SVL about 4 cm (Schoener 1976). in an incubator at 28°C and generally took three to
Besides having size and extensive shape sexual five weeks to hatch after they were found. Upon
dimorphism, A. sagrei was chosen for this study hatching, the lizard was moved to an individual
because it is easily found in the field and breeds and cage (17 x 26 x 15 cm) with a single perch, carpet, and
survives well in the laboratory environment. a potted plant. The current analysis uses data from
I measured sexual dimorphism and between- 649 juveniles produced from 49 unique sires and 86
sex genetic correlations for 6 size-corrected skeletal unique dams.
traits in A. sagrei. More dimorphic traits are predicted Juvenile lizards were X-rayed at hatching and 1,
to have lower between-sex genetic correlations. This 3, 6, 9, and 12 months old in order to measure several
pattern may arise if strong between-sex correlations skeletal morphological markers (see Fig. 2). To take
constrain the evolution of dimorphism or if strong radiographs, lizards were placed in small plastic
selection for dimorphism leads to the weakening of bags and placed in a 5-6°C refrigerator for 10 minutes
between-sex genetic correlations. (or less) to reduce their movements. The bags with
the lizards are then taped to film and X-rayed at low
Methods power for eleven seconds. Radiographs are scanned
Adult lizards were collected in September 2006 into a computer and ImageJ is used to measure
and February 2009 from Bimini, Bahamas, with 73 eleven traits: snout-vent length (SVL), tail length (if
males and 134 females collected in total. All adults tail intact), jaw length, head width, pectoral width,
are housed in separate cages until females began pelvic width, and the lengths of the humerus, radius,
laying non-viable eggs (about 6 weeks), at which ulna, femur, and tibia. A previous study has shown
point they were randomly paired with males in a that multiple radiographs do not have an effect on
large cage (28 x 36 x 20 cm) with two large PVC or the juveniles’ growth or mortality (McGlothlin et al.,
wooden perches, carpet for substrate, and a potted in prep). To date, there have been 2209 radiographs
plant for laying eggs. The pairs were kept together measured of the 649 juveniles.
for approximately 6 weeks, when females were Sex of the juvenile lizards is known at hatching
removed to a separate cage and males were randomly by examining the back pattern. Females have
paired to a second female to form a paternal half- either a diamond or striped pattern while males
sibling breeding design. exhibit a “chevron” design or no pattern at all (see
Searching for eggs started 4 weeks after adults Fig. 3). Examining the gonads of many juveniles
are paired and continued weekly until the cessation has corroborated the determination of sex by back
of egg laying. Eggs were kept in separate containers pattern and all of the captured adults have patterns
82

Table 1. The six measured skeletal traits, their between-sex


genetic correlations, and their sexual dimorphism index (SDI) Figure 4. Graph of sexual dimorphism index (SDI) versus
values with standard error (SE). Asterisks indicate significance between-sex genetic correlation (r value).
at p < 0.05.

indicative of their sex. Of the 649 juveniles, 337 were Discussion


female and 312 were male. The two head traits (jaw length and head
Data were analyzed using ASReml, a restricted width) had both the lowest between-sex genetic
maximum-likelihood program. All radiograph correlations and the greatest difference between the
measurements were natural log transformed male and female traits. The large difference in head
to preserve variance independent of the mean. shape is expected from visual inspection of males
Measurements were also corrected for size (using the and females (see Fig. 1); males have a much broader
SVL), both to correct for growth when lizards were and bulkier head than females do. Because these
X-rayed at multiple ages and to determine shape two traits are so weakly correlated across the sexes,
sexual dimorphism. ASReml uses a multivariate, one might expect that males and females would
one slope model to calculate the covariances both evolve to have even more dissimilar heads if favored
within and between the sexes. These values were by selection.
used to calculate the between-sex genetic correlation Pelvis and front limb were both moderately
(r) for each trait. For brevity, the lengths of the sexually dimorphic and had stronger genetic
humerus and ulna were added together to give front correlations than the head traits. Males and females
limb length and the lengths of the femur and tibia have been most constrained in the evolution of hind
were summed for hind limb length. Tail length was limb length and the amount of sexual dimorphism
excluded because approximately twenty percent of seen in the trait is accordingly low.
radiographs had lizards whose tails were broken The correlation between amount of sexual
and therefore could not be measured. Table 1 dimorphism and the between-sex genetic correlation
outlines the six measured skeletal traits: jaw length of the traits is probably the most valuable result
(JL), head width (HW), pectoral width (PECT), pelvic from this dataset. This strong negative correlation
width (PELV), front limb length (FL), and hind limb is expected, since higher between-sex genetic
length (HL). correlations are thought to constrain the divergence
Also using ASReml, the sexual dimorphism of males and females while low correlations should
index (SDI) was calculated using a model that allow greater sexual dimorphism to evolve (Lande
included sex as a fixed ef fect and no genetic effect. 1980). What is still unknown, however, is if selection
When log-transformed traits are used, the fixed is favoring high dimorphism and therefore low
effect estimate for sex provides a measure of SDI. To between-sex genetic correlations or if high between-
compare SDIs across traits, the absolute value of SDI sex genetic correlations are limiting the extent of
was used. sexual dimorphism in some traits.
Two studies are proposed to examine Anolis
Results sexual dimorphism and the between-sex genetic
Three of the six shape traits (JL, HW, and PELV) correlations further. First, populations of A. cristatellus
showed significant sexual dimorphism. All traits and A. lineatopus, trunk-ground ecomorphs from
except HW showed a significant positive between- Puerto Rico and Jamaica, are currently being raised
sex genetic correlation (Table 1). in the same laboratory environment as the A. sagrei.
There was a strong negative correlation Once there are sufficient numbers of individuals
between extent of sexual dimorphism and the from both species, their morphological traits will be
strength of between-sex genetic correlation for each evaluated and between-sex genetic correlations will
trait (Fig. 4, r = -.89, p < 0.05). be measured. These correlations will be compared
to determine whether the same pattern of sexual
dimorphism and between-sex genetic correlations
The Oculus: Proceedings of the U21 Undergraduate Research Conference 83
exists across ecologically similar species from 11 McGlothlin, J. W., T. R. Cassidy, M. Adler, and E.
different islands. D. Brodie III. X-ray imaging does not affect growth
The second study involves multiple populations rate in juvenile anoles. In prep.
of A. sagrei. As stated above, the population currently 12 Vanhooydonck, B., A. Herrel, J. J. Meyers, and D. J.
in the laboratory is the offspring of adults captured in Irschick. 2009. What determines dewlap diversity
Bimini, Bahamas. Sexually dimorphic populations in Anolis lizards? An among-island comparison.
have been found on multiple islands in the Bahamas, Journal of Evolutionary Biology 22:293-305.
and their SDI (measured in the field) ranges from .19 13 McDaniel, S. F. 2005. Genetic correlations do not
to .39 (Vanhooydonck et al. 2009). It is unknown constrain the evolution of sexual dimorphism in
how between-sex genetic correlations differ across the moss Ceratodon purpureus. Evolution 59:2353-
populations (as it has been examined in very few 2361.
studies, e.g. McDaniel 2005), so the experimental
design in this study will be applied to offspring of Acknowledgements
adults captured in several different islands in the All animal protocols approved by IACUC.
Bahamas. This will help determine whether the Research supported by NSF DEB grants 0650078 and
same strong negative relationship linking between- 0722475. Thank you to co-PIs Jonathon Losos and
sex genetic correlations and sexual dimorphism Butch Brodie for their support. Special thank you to
index holds across different populations of the Joel McGlothlin, for without his tireless dedication
same species. Because different populations are and mentorship this work would not be possible.
most likely under different selection pressures, this
study will also show how the between-sex genetic
correlations respond to selection and therefore may
evolve.

References
1 Darwin, C. 1859, The Origin of Species. London,
John Murray.
2 Darwin, C. 1871, The Descent of Man, and Selection
in Relation to Sex. London, John Murray.
3 Delph, L. 2005. Processes that constrain and
facilitate the evolution of sexual dimorphism. The
American Naturalist 166:S1-S4.
4 Schoener, T. W., and A. Schoener. 1976. Ecological
context of female pattern polymorphism in the
lizard Anolis sagrei. Evolution 30:650-658.
5 Lande, R. 1987. Genetic correlations between the
sexes in the evolution of sexual dimorphism and
mating preferences, Pages 83-94 in J. W. Bradbury,
and M. B. Andersson, eds. Sexual Selection:
Testing the Alternatives. Chichester, John Wiley
& Sons.
6 Mackay, T. F. C. 2001. The genetic architecture of
quantitative traits. Annual Review of Genetics
35:303-339.
7 Lande, R. 1980. Sexual dimorphism, sexual
selection, and adaptation in polygenic characters.
Evolution 34:292-305.
8 Losos, J. B., R. E. Glor, J. J. Kolbe, and K. Nicholson.
2006. Adaptation, speciation, and convergence:
a hierarchical analysis of adaptive radiation in
Caribbean Anolis lizards. Annals of the Missouri
Botanical Garden 93:24-33.
9 Butler, M. A., S. A. Sawyer, and J. B. Losos. 2007.
Sexual dimorphism and adaptive radiation in
Anolis lizards. Nature 447:202-205.
10 Kolbe, J. J., R. E. Glor, L. R. G. Schettino, A. C. Lara,
A. Larson, and J. B. Losos. 2004. Genetic variation
increases during biological invasion by a Cuban
lizard. Nature 431:177-181.
84
Generating Automatic Abstractive Summaries of
Product Reviews: The ASSESS System
Nicholas FitzGerald
University of British Columbia

Abstract

The Internet provides many sources of unsolicited opinions, expressed through user reviews of
consumer products, blogs, and forum discussions. Systems which could automatically summarize these
opinions would be immensely useful to those wishing to use this information to make decisions. Most past
work in automatic summarization has focused on extractive summarization, in which key sentences from
the source text are identified and extracted to form the output. An alternative framework is abstractive
summarization. Information from the source text is first extracted into the form of abstract data which
is then processed, and from which the most important messages are inferred. This work built upon past
work to create a completely automatic system which could produce abstractive summaries from a plain text
corpus of product reviews without the need for any prior manual annotation. As an additional contribution,
I also devised an improvement for a crucial step of the summarization process. To the best of our knowledge,
this is the first complete system which effectively performs this task.

Introduction selected or not), which allows the use of many well-


One benefit of the Internet is that large volumes developed classification algorithms. Unfortunately,
of text are available on almost any topic – whether since sentences are taken out of context and reused
through web pages, blogs, or online databases of as-is, and may be placed adjacent to sentences from
print resources. As this volume continues to increase, other document, the resulting summaries can lack
it has become impossible for any one person to read the desired level of coherence and readability. Also,
everything that is available. Specifically, many aggregation of information is limited by the extent
opinions are expressed through user reviews of to which it exists in the source text, which means
consumer products, blogs, and forum discussions. that that the produced summaries may be highly
Systems which could automatically summarize redundant.
these opinions into a more manageable size and By contrast, Abstractive Summarization involves
provide directed links back to the original source first extracting information from the source texts
material would be immensely useful to those who into an internal data-format, and then expressing the
wish to use this information to make decisions, eg. desired information in new sentences produced by a
consumers looking to buy a product, or marketing Natural Language Generation system. Although this
managers interested in gaging public opinion. approach is much more involved, it has the benefit
In this work, I built upon the work of Carenini of allowing greater control over the information
et al. [1] to create a complete system which could expressed, thus reduced redundancy and increased
produce abstractive summaries of reviews from a aggregation of information. Furthermore, a
plain text corpus of reviews without the need for any successful Natural Language Generation component
prior annotation. This system is known as ASSESS will produce more cohesive text. Table 1 shows an
(Abstractive Summarization System for Evaluative example of the contrast between an Extractive and
Statement Summarization). To the best of our Abstractive summary.
knowledge, this is the first complete system which
effectively performs this task. As an additional
contribution, I also devised an improvement for a
crucial step of the summarization process (see step
3).

Automatic Summarization
Traditionally, systems for automatic extraction
have followed two main approaches. In Extractive
Summarization, representative sentences are
Table 1. An illustration of the differences between Extractive
selected from the source text, creating a summary and Abstractive summaries. The Extractive summary lacks
which is a concatenation of these. This approach is coherence, and is highly redundant, since the sentences have
simple and straightforward, as it can be cast as a come from different document. By contrast, an abstractive
binary classification problem (sentences are either summarization is able to express the same situation more
cohesively and concisely.
The Oculus: Proceedings of the U21 Undergraduate Research Conference 85
The ASSESS Pipeline
To the best of our knowledge, ASSESS is the first
completely automatic Abstractive Summarization
system for summarization of evaluative statements
(opinions). The only other input required for this
system, other than the source reviews, is a hierarchy
of User Defined Features (UDFs). This is a hierarchical
list of features of the product important to the user.
For instance, for reviews of a Digital Camera, UDFs
might include “Image Quality”, “Battery Life” and
“Price”. “Image Quality” could be further separated Table 2. Example output from steps 1 & 2 from Canon corpus.
into “Resolution”, “Focus” and “Contrast”, forming Sentences are tagged with the extracted features, which are
a hierarchy. These hierarchies are quick and easy to assigned scores based on the polarity and strength of expressed
opinions.
create.
The major steps involved in this system are as rating. However, in the interest of creating a working
follows: pipeline, this approximation was necessary, and
should be ameliorated in a sufficiently large corpus.
Step 1: Feature Extraction [6] provides a method for calculating a semantic
Reviewers provide opinions on many features orientation score for a sentence by averaging
of a product within their reviews, and may use scores from lexicon of positive and negative terms,
a variety of different terms to refer to the same adjusted by syntactic functions such as negation or
feature. For example “picture”, “photo” and “clarity” emphasis. This lexicon is built from a seed list which
could all refer to the feature “Image Quality”. The is expanded based on distributional co-occurrence
first step of the information extraction is to identify using Google hits. These scores are then normalized
the feature terms each review mentions. This step onto the -3 to +3 scale used by [1] and applied to all
produces a list of Crude Feature terms (CFs) which is features found within the sentence. To avoid the
then mapped to the User Defined Features (UDFs) in problem described above, sentences which contain
step 3. This allows the output summary to aggregate contrasting opinion terms are ignored. Empirically,
opinions expressed about one feature via different this is approximately 15% of sentences in the corpora
terms, and reduces redundancy in the summary. tested. See Table 2 for example outputs from step 1
For feature extraction the focus was on and 2 – review sentences tagged with features and
capturing as many features as possible (high semantic orientation scores.
recall rate), rather than on accuracy of output
candidates (high precision). This is because non- Step 3: CF to UDF Mapping
features produced at this step tend to be pruned My main original contribution was an
out later by the CF-UDF mapping (step 3). Feature improvement of the CF-UDF mapping step. [1]
extraction was achieved by implementing the provide a set of simple algorithms for mapping
algorithm described by Hu and Liu [3]. Put simply, which are moderately successful. The downside is
this algorithm selects groups of words which appear that the most successful of these algorithms require
with high frequency within noun-phrases, as these a tuned parameter, Θ, which acts as a threshold for
are likely to be features. I experimented with other accepting mappings, and which must be empirically
algorithms including [4] however Hu, Liu produced determined for each domain (eg. Cameras, DVD
the best recall while still producing a reasonable list players, Restaurants etc). Ideally, a mapping
of feature candidates. algorithm should not require such tuning and
should function well in a wide range of domains.
Step 2: Semantic Orientation Scored I started by surveying the NLP literature on
The ideal system would analyze each feature synonym matching and implementing 17 different
within a sentence separately, and determine the algorithms, and analyzed their effectiveness on the
opinion expressed towards each feature. However, metrics and corpora of [1]. These algorithms fell
for sentences with multiple features and complex into two main categories: Lexicon-Based algorithms
grammatical structure, this becomes a very difficult using WordNet [7] – a lexical database of terms
task (see [5] sec. 6). An reasonable approximation encompassing relationships between words such
is to calculate the overall sentiment of the sentence as homonymity and hyponymity (X “is-a” Y), and
and apply that to all features within the sentence. Distribution-Based scores using search-engine co-
The downside of this approach is that it will occurance data. Several of these algorithms did
incorrectly handle sentences which express multiple, quite well, however most still required optimization
contrasting opinions eg. “This camera produces great of Θ. In order to improve upon these scores I created
photos, but battery life is simply terrible” wherein image a simple voting algorithm: if the majority of the
quality is rated highly, but battery life is given a low
86
selected, a Natural Language Generation system
produces grammatical sentences expressing the
information. Furthermore, each statement in the
summary provides a link to the source material
(the reviews) which illustrates the generalization.
This means that output test functions not only as
a summary, but as a means to access the details of
the source material. The information extracted from
the review corpus is also displayed as a TreeMap
visualization, described in [2].

Results
Table 3. Scores of top 3 individual mapping algoriths, 3- and Preliminary results for the completed pipeline
5-score voting groups on APEX corpus. See [Carenini et al are very encouraging. Summaries of the two
06a] for definition of Accuracy and RR metrics. Note that the corpora tested in [1] seem to correspond quite well
individual algorithms have optimal theta value, while voting
to expectations. In addition, the pipeline was tested
groups require no parameter optimization.
on an entirely new domain – restaurant reviews.
Despite none of the component parts of the system
mapping-scores in the vote mapped a given CF to
having been designed with this domain in mind, the
a UDF, the mapping would be applied, otherwise
pipeline seems to handle it quite well and produce
it would be discarded. For the scores requiring a
reasonable outputs.
tuned parameter, the parameter was set such as to
The following is an example summary for
maximize recall ( Θ = 0). I then tested mapping for all
reviews of Chambar Belgian Restaurant downloaded
possible combinations of 3, 5 and 7 scores. See Table
from http://dinehere.ca. In the HTML output of the
3 for a summary of scores of the top 3 individual
program, the bracketed numbers link to specific
algorithms, and 3- and 5-score voting groups.
sentences in the corpora which illustrate the point
The highest accuracy achieved by an
being made:
individual metric is .787 for lch_score. This
represents the maximum score achieved by the
Almost all users thought the Chambar Belgian
metric with Θ optimized. For certain combinations
Restaurant [1] was good because many diners
of voting groups, accuracy scores exceeded those of
found the service [2] to be good. This was because
any of the individual algorithms – even when those
even though customers had mixed opinions
algorithms’ parameters were perfectly optimized.
about the reservations [3],[4], many users liked
This means that better mappings can be achieved
the servers [5]. Furthermore, many customers
with no empirical optimization of parameters
found the price [6] to be good. Also, many diners
required. The precision which is lost by setting
thought the ambiance [7] was very good possibly
parameters for maximal recall is made up for by the
because several customers found the noise level
regulatory effect of voting. Also interesting were
[8] to be good. Finally, almost all customers liked
the patterns evident in the most successful voting
the menu [9] because many customers found the
groups, which allow us to reliably pick a successful
drinks [10] to be good. Also, many users liked
group of metrics to use. A good general rule is to
the set menu[11]. Finally, almost all users found
pick one lexical metric, one term-level distributional
the food [12] to be good.
metric, and syn_score (for a vote n=3).

Step 4: Summary Generation


Future Work
One line of future work will focus on dealing
Having extracted the necessary feature and
with the problem of inter-sentential opinion
semantic content, and produced a mapping of CF-
differentiation described in Step 2. Ideally, out
UDFs, our abstractive summarizer produces a
system should be able to distinguish the feature
succinct, grammatical summary of the most relevant
targeted by an individual sentiment expression
information. This is achieved in several steps. First,
(see [5]). Furthermore, improvements to the Natural
user opinions are combined into scores which
Language Generation component should increase
measure average opinion about a given feature,
summary coherence and readability.
and a measure of the controversiality about that
rating (whether reviewers tend to agree or disagree
about the feature’s score). Then, the system selects
the most important of this information to express
in the summary, based on the number of reviewers
mentioning a given feature, and the height of this
feature on the UDF tree. Once the messages are
The Oculus: Proceedings of the U21 Undergraduate Research Conference 87
References
1. Carenini G, Ng R, and Pauls, A. (2006a). Multi-
Document Summarization of Evaluative Text.
Proc. of the Conf. of the European Chapter of the
Association for Computational Linguistics, 2006.
2. Carenini G, Ng R, Pauls A, (2006b). Interactive
multimedia summaries of evaluative text,
Proceedings of the 11th international conference on
Intelligent user interfaces, January 29-February 01,
2006, Sydney, Australia
3. Hu, M., and Liu, B. (2004c). Mining opinion
features in customer reviews. Proc. AAAI.
4. Scaffidi, C. (2006). Application of a Probability-
Based Algorithm to Extraction of Product
Features from Online Reviews. Tech. Report
CMU-ISRI-06-111, School of Computer Science,
Carnegie Mellon University.
5. Kessler, J. and Nicolov, N. (2009). Targeting
Sentiment Expressions through Supervised
Ranking of Linguistic Configurations. 3rd
International AAAI Conference on Weblogs and Social
Media (ICWSM 2009), 2009. San Jose, California.
6. Voll, K. and Taboada, M. (2007) “Not All
Words are Created Equal: Extracting Semantic
Orientation as a Function of Adjective Relevance”,
20th Australian Joint Conference on A.I. 2007, Gold
Coast, Australia, Dec 2-6, pp. 337-346
7. WordNet an electronic lexical database.
Cambridge, Mass: MIT, 1998. Print.
88
Agricultural Credit in India: An Essay
Sourovi De
University of Delhi

Abstract

This paper presents an overview of the agrarian credit scenario in India. Drawing from past studies and
previous research, this paper provides a detailed analysis of the various issues pertinent to the functioning
of agrarian credit markets. These include the glaring chasm between demand and supply of agrarian credit,
the emergence of sectors within the Indian economy which compete with agriculture for institutional credit
and the aversion of institutional lenders towards agrarian borrowers. The paper also attempts an analysis of
deficiencies plaguing the three distinct phases of a credit cycle—resource mobilisation, lending and recovery.

Introduction and Background is equally crucial to assess the demand-supply


situation of agricultural credit in India, and reckon
“Indian agriculture has made great strides in the the presence of a gap therein, if any. Factoring in the
last fifty years of the twentieth century. From future demands of agricultural sector, the Kotaiah
chronic hunger and abject dependence on the Group (Planning Commission, 1996) estimated the
import of foodgrains, the country has achieved demand for agricultural credit for the Ninth Five
self-sufficiency not only in the production of Year Plan (1997-2002) at Rs. 2,297,500 million—an
foodgrains, but has emerged a net exporter of estimate that would have required a 16% growth in
foodgrains consecutively for the last six years, the rate of credit flow during the plan. It was also
despite the trebling of the country’s population mentioned that approximately 47% of this credit
in the last six years. “ demand was from small and marginal farmers.
As far as supply of agricultural credit is
‘State of the Indian Farmer’—A Millennium Study concerned, only data regarding disbursements
(Commissioned by the Ministry of Agriculture, from institutional sources (such as commercial
Government of India 2004) banks, cooperative banks and regional rural banks)
are available whereas non-institutional lenders
Without entirely discounting the achievements (for instance, indigenous sources like village
of Indian agriculture, asking pertinent questions moneylenders) remain chiefly unorganised and
about the situation of land and water resources, rural unaccounted for inspite of their playing a massive
infrastructure, input management, terms of trade, role in supplying credit to their immediate
agricultural marketing, credit facilities etc. is crucial community members. A study done on Uttar Pradesh
for constructing a realistic understanding of the real by Desai (1988) showed that in 1984-5, the aggregate
health of Indian agriculture. This essay attempts to credit supply for agricultural production from all
assess one such dimension—agricultural credit. institutional sources amounts to Rs. 32,190 million,
For a country where two-thirds of its when the credit requirement by farmers amounted to
population is dependent on agriculture, there is no Rs. 278,240 million. This is a chasm pertinent to Uttar
denying the fact that agricultural growth is critical Pradesh for the year 1984-5 alone but can be used
for the growth of the entire economy. In fact, from to sketch an understanding of the credit demand-
time to time, agricultural growth—or the lack of supply chasm at the national level. In a more recent
it—has served as a parameter for overall economic study titled Interlinked Agrarian Credit Markets: Case
growth of the country. Under such conditions, Study of Punjab by Anita Gill (2004) which covers
coupled with the sheer limitation on expanding 200 households each from the districts of Patiala and
crop area, growth of farm productivity is crucial Amritsar in Punjab, it was outlined that total supply
and depends heavily on sustained infusion of of formal credit met less than 50% of the total credit
credit. However, in a developing country like demand of the study area. This, to a large extent,
India, depending on farmers’ savings for acquiring explains the important role played by usurious
farm capital only leads to marginal variations in moneylenders in the unorganised sector who cater to
the existing traditional technology. Availability of this lacuna discussed above. Moreover, according to
credit at reasonable rates, therefore, becomes a pre- World Bank estimates for the mid-1980s, this need-
requisite for agricultural growth. versus-availability gap is further aggravated by
the fact that only around a third of the institutional
The Demand -Supply Chasm disbursements went to small and marginal farmers,
Having appreciated the importance of credit while we noted earlier that close to half the farm
for a farmer to expand his ownership of resources credit need is generated by these farmers.
and exploit the opportunities thrown at him, it
The Oculus: Proceedings of the U21 Undergraduate Research Conference 89
Policies, Institutional Lenders, and the OTS relief on the overdue loans was estimated at
Agrarian Borrower Rs.10,000 crore.
Along with agriculture, several sectors While it is evident that such a loan waiver
compete for credit from institutional sources, i.e., scheme will make indebted farmers creditworthy
there are competitors for credit in the real estate again, it does not address issues of creating
sectors, consumer loans to meet demands for institutional lending outlets which suit rural agrarian
household durables like white goods and vehicles, conditions and expand the coverage of formal credit.
information technology etc. Though agriculture, Moreover, the scheme categorically mentions that
small and cottage industries are favoured for lending only loans taken from formal sources (“commercial
by policy directives, several capital-intensive and banks, regional rural banks and cooperative credit
emerging sectors are competing with agriculture for institutions”) will be covered by the scheme.
institutional credit. According to RBI’s stipulations, However, it has been shown by several empirical
commercial banks are required to achieve a target studies that more than half the agrarian credit needs
of lending 18% of total credit towards agriculture. of Indian farmers are met by unorganized lenders.
Data for the year 2003 shows that commercial banks An immense lacuna of this relief scheme has been
failed to meet this target by 3.7%. Some reasons the omission of such informal borrowings.
for this shortfall could be found in the fact that
information technology and real estate have also Credit Cycles and Problems Within
entered the ambit of priority sector lending and, It is worthwhile, at this point, to elaborate on the
as mentioned above, increased the competition for credit cycle of mobilisation, lending and recovery.
institutional credit. Secondly, bankers are averse to The first stage entails mopping up resources from
the piling up of non-performing assets (NPA) among the society through deposit mobilisation. Further,
rural and agrarian loans. Third, the nature of credit funds so mobilised are lent out to borrowers who
delivery mechanisms followed by formal sources of have viable rural/agricultural projects to pursue;
lending like commercial banks is not compatible, in and finally, recovering the lent out amount for
many ways, to what one might expect from a poor- again lending them along with whatever resources
friendly lending policy (for instance, a marginal may have been mobilised in the intervening period.
farmer might want to offer his labour as collateral However, Surjit Singh and Vidya Sagar, in their book
while a commercial bank has no such provision and Agricultural Credit in India, state that cooperative
asks for formal collaterals such as land). In a case banks and regional rural banks have soft-pedaled
study by Dreze, Lanjouw and Sharma (1997) of north on the front of generating resources through
India’s Palanpur village, it was found that interests deposit mobilisation, often citing reasons such as
rates offered by indigenous village moneylenders the lack of savings with the poor. They have mostly
ranged from 0 to 300%, while borrowers generally depended on refinancing or funds allotted to them
avoided formal credit sources due to cumbersome from upper tier institutions. This has led to several
paperwork, need for conventional forms of collateral inefficiencies with respect to management of funds
(such as land) and inflexible terms of lending, all of and maintaining tighter repayment and recovery
which in turn raise transaction costs. practices, as neither the shareholders nor the day-to-
In the Union Budget 2008-09, a scheme of debt day managers of these banks have an incentive to
waiver and debt relief for farmers was proposed treat these funds as their own. In the case of regional
by erstwhile Finance Minister P. Chidambaram, rural banks, there is no stipulation regarding the
wherein all agricultural loans disbursed by sections of the population from where deposits
scheduled commercial banks, regional rural banks can be mobilised but there is a bar on lending to
and cooperative credit institutions which stood ‘economically resilient’ classes. This has averted
overdue as on December 31, 2007 will be covered deposits from the non-poor sections in the face of
under the scheme. For marginal farmers (i.e., holding an absence of commensurate facilities of loans and
upto 1 hectare) and small farmers (1-2 hectare), it was advances. On the front of canvassing for awareness
proposed that there be a complete waiver of all loans among agriculturalists regarding the availability
that were overdue on December 31, 2007. In respect of requisite lending facilities and creating suitable
of other farmers, a one time settlement (OTS) scheme credit options for potential borrowers, institutional
for all loans was proposed. Upon being granted lenders have failed in varying degrees. This is more
debt waiver or signing an agreement for debt relief so for commercial banks who have not been able
under the OTS, the farmer would be entitled to fresh convert their operating standards in accordance
agricultural loans from the banks in accordance with the needs of development banking.
with normal rules. The government estimated that These discussions bring us to the final stage of
about three crore small and marginal farmers and the credit cycle—recovery of loans. Surjit Singh and
about one crore other farmers will benefit from Vidya Sagar, in their book Agricultural Credit in India
the scheme. The total value of overdue loans to be state that cooperative banks, regional rural banks
waived was estimated at Rs.50,000 crore and the and commercial banks have all failed to yield results
90
in rural loan recoveries. Agricultural loan overdues References
and non-repayments have been ‘chronically high, 1. Alagh, Y.K. 2004. State of the Indian Farmer—An
all-pervasive and neutral’ to the type of credit Overview. New Delhi: Academic Foundation.
institution. In some respects, this might be blamed 2. Dreze, J., P. Lanjouw, and N. Sharma. 1997. Credit
on weather conditions leading to failure of crops, in Rural India—A Case Study. Discussion Paper
diversion of production loans for consumption DEDPS/6: The Suntory Centre—London School
purposes and the weak legal provisions for of Economics and Political Science, London.
enforcement of loan contracts. Further, a notion 3. Gill, Anita. 2004. Interlinked Agrarian Credit
has settled among many rural borrowers that loans Markets—Case Study of Punjab. Economic and
taken by them are ‘government support’ and hence, Political Weekly, 14 August, Volume 39, Number
needn’t be repaid. This notion has been fanned, 33: 3741-3751.
from time to time, by local leaderships for fulfilment 4. Government of India. 2008. Union Budget 2008-
of their vested interests. Thus, Singh and Sagar 09. New Delhi: Ministry of Finance. Accessed
state that some willing repayers have withheld of 5 March 2008 at http://indiabudget.nic.in/
repayments in expectation of a write-off. These ub2008-09/bs/speecha.htm
expectations, in fact, have often been fuelled by 5. Planning Commission. 1996. Report of the Working
periodic announcements of interest subsidies and/ Group on Agricultural Credit and Cooperation
or loan waivers. Thus, we see the battered shape (including crop insurance) for Ninth Five Year Plan,
of all the three stages of the credit cycle—deposit 1997-98 to 2001-02. (Chairman: P. Kotaiah), New
mobilisation, lending and recovery—in all the three Delhi.
credit systems examined here—commercial banks, 6. Singh Surjit, and Vidya Sagar. 2004. Agricultural
cooperative banks and regional rural banks. Credit in India. New Delhi: Academic Foundation.

Concluding Remarks Acknowledgements


India has faced three distinct phases of This paper has benefitted immensely from
credit’s involvement in the process of agricultural discussions with Rakesh Ranjan, Associate
growth. Prior to the nationalisation of banks in 1969, Professor, Department of Economics, Shri Ram
cooperative banks and indigenous moneylenders College of Commerce, University of Delhi. The
were the chief suppliers of agricultural credit. Post- author is indebted to him for excellent research
1969 witnessed what is often called a period of social guidance.
banking. This phase saw priority being given to
small and marginal farmers in the disbursement
of loans. In the post-liberalisation phase ensued
since 1991, financial liberalisation and deregulation,
coupled with measures towards fiscal discipline
have led to a reduced attention towards agriculture
in general, and agricultural credit, in particular.
Within these three phases, there have been issues
galore—ranging from an inability of existing
institutional credit sources to meet the demand
for agrarian credit, the issue of emerging sectors
like IT and real estate competing for credit from
the banking sector to the problems faced in the
processes of deposit mobilisation, lending and loan
recovery. Though not an exhaustive list of prevailing
issues in agrarian credit, this essay has attempted to
establish the broad, pertinent conclusion that India’s
rural and agrarian sectors need credit polices to lead
them from subsistence production towards surplus
production.
The Oculus: Proceedings of the U21 Undergraduate Research Conference 91

Bacterial Metallothionein, SmtA, as a Virulence


Factor
Stephanie Davis
University of Connecticut

Abstract

The mammalian stress response protein, metallothionein (MT), is induced by various


immunomodulatory molecules and plays an important role in the immune response (1). With an amino
acid sequence rich in cysteines, MT is well known for its metal-binding properties. In mammalian cells, MT
acts as an essential metal reservoir, regulating the amount of free zinc present in cells and the amount of
zinc available for molecules important to immune function (2). In addition, MT has the ability to scavenge
free radicals such as reactive oxygen and nitrogen species (ROS, RNS), interfering with their toxic effects on
cells (3, 4). Over the course of a bacterial infection, innate immune cells undergo a respiratory burst where
they release ROS as bacteriocides, during which MT protects the host cell against self-inflicted oxidative
damage. A bacterial metallothionein, SmtA, shares sequence homology with mammalian MT as well as its
metal-binding capabilities (5). Whether or not SmtA has a biological role in defending the bacteria against
inflammatory ROS in a manner similar to mammalian MT remains unknown. We have shown using
Escherichia coli transfected with SmtA that SmtA provides protection to transgenic E. coli from some forms
of oxidative stress and that SmtA protects transgenic E. coli when co-cultured with RAW264.7 macrophage
cells. Further exploration is necessary to determine whether SmtA provides protection against mammalian
immune defense mechanisms in vivo; however, these initial in vitro results have provided motivation to
continue these studies.

Introduction apoenzymes, all of which require elemental zinc for


Metallothionein (MT) is a small molecular proper function (2). MT’s ability to bind essential
weight protein rich in cysteine residues (Ca. 33 mol metals may also be important to the host’s immune
%). The cysteines present in MT provide the protein response during infections given that metal
with many of its functional characterisics including sequestration is one way an infected organism can
the ability to bind heavy metals, scavenge reactive restrict infectious bacterial growth. It has been
oxygen species, elicit chemotaxis, and influence shown that the sequestration of essential metals
immune cell trafficking. In mammalian cells, MT during an infection inhibits the growth and survival
acts as a stress response protein and is induced by of bacteria that require the same essential metals to
various immunomodulatory molecules such as function.
divalent heavy metals, endotoxin, interferon, and In addition to its ability to bind metals,
reactive oxygen and nitrogen species (ROS, RNS) (6- mammalian MT participates in regulating the redox
11). Its role as a stress response protein as well as its potential of cells. MT is able to scavenge free radicals
known interactions with various immune molecules such as reactive oxygen and nitrogen species (ROS,
indicate that MT is an important mediator of an RNS), interfering with their toxic effects on cells
effective immune response. In total, four types of (3, 4, 14). During the course of a bacterial infection,
mammalian metallothioneins have been identified, innate immune cells undergo a respiratory burst
all of which are encoded in a gene cluster located on in which they release ROS. Oxidant species known
chromosome 8 in mice. MT-I and MT-II are widely to be released during the respiratory bursts of
distributed in vivo throughout all cell types as well macrophages and neutrophils include nitric oxide
as in most cell lines. The remaining two isoforms, (NO), superoxide anion (O2-), hydrogen peroxide
MT-III and MT-IV, have more restricted expression (H2O2), hydroxyl radical (.OH), hypochlorite (OCl-),
and are found predominantly in the brain (MT-III) and hypobromite (OBr-). Although ROS are released
or squamous epithelial cells (MT-IV) (12, 13). as bacteriocides, they can cause unwanted damage
Cysteine motifs present in its amino acid to the host cell by leaking back across host cell
sequence allow MT to bind 7-8 zinc molecules. With membranes. Mammalian MT, however, is inducible
a major function in essential metal homeostasis, by and able to scavenge and neutralize ROS in the
mammalian MT regulates the amount of free cell, limiting oxidative damage to the host.
zinc present in cells as well as the amount of zinc These observations regarding mammalian
available for molecules important to immune MT suggest that a bacterial metallothionein, SmtA,
function such as zinc-finger transcription factors, may similarly influence the mammalian immune
structural metalloproteins, and zinc-dependent response. SmtA is present in Pseudomonas aeruginosa
92

Figure 1. Comparison of cysteines in mammalian and bacterial metallothioneins. This alignment of human and mouse
MT-I and Pseudomonas aeruginosa and Synechococcus SmtA shows 4 cysteines conserved in all 4 sequences. Sequence data is from

and Synechococcus species where its role as a metal- ROS released as bacteriocides during the host’s
binding protein is clearly established. A sequence response to infection. Protection from this source of
alignment between SmtA and mammalian MT oxidative stress could aid in the survival and increase
shows alignment between various cysteine residues the virulence of a SmtA-expressing bacterium, such
as well as other sequence similarities (Figure 1). as Pseudomonas aeruginosa, during an infection.
In addition to cysteine motifs, it is thought that P. aeruginosa infections commonly occur in the
additional histidine residues also contribute to airways of immunocompromised individuals and
SmtA’s ability to bind metals. A total of 8-9 cysteine account for 10.1% of hospital-acquired infections
and 3 histidine residues allow SmtA to bind, on (15). If SmtA indeed influences bacterial resistance
average, 3-4 zinc molecules (5). to immune attack, it may represent a valuable target
Like mammalian MT, SmtA is inducible in for therapeutic intervention.
the presence of heavy metals. Its expression is Given the sequence similarities between
controlled by the metalloregulatory protein SmtB, MT and SmtA and the established shared
which normally binds the SmtA promotor region in properties between eukaryotic and prokaryotic
the absence of metals, preventing transcription of metallothioneins, it is likely that SmtA shares
the gene encoding SmtA. SmtA is known to share additional properties with mammalian MT that
mammalian MT’s metal-binding capabilities and have not yet been explored. The role of SmtA in metal
its induction through the metallo-regulated SmtB sequestration has been well documented; however,
pathway is well understood, but there is a lack of its ability to scavenge and neutralize ROS or induce
research exploring the possibility of other roles for chemotaxis has not yet been addressed. Our research
SmtA. Mammalian MT’s ability to scavenge ROS is designed to establish whether or not SmtA has the
and induce chemotaxis is important to its interaction capacity to bind and neutralize ROS and whether
with the immune response, and if such properties the presence of SmtA is a factor in bacterial survival
of MT were shared with its bacterial homolog, during infection. Our hypothesis is that SmtA does
SmtA could represent a virulence factor in specific bind and neutralize ROS, protecting bacteria from
bacterial pathogens. oxidative stress elicited during the inflammatory
Mammalian MT’s ability to bind and neutralize response and contributing to its survival during the
ROS protects host immune cells from self-inflicted respiratory burst of innate immune cells.
oxidative damage. Because SmtA shares numerous
cysteine motifs with MT, it may be able to scavenge
ROS in a similar manner and protect bacteria from
The Oculus: Proceedings of the U21 Undergraduate Research Conference 93

Figure 2a.

Figure 2b.

Figure 2c
Figure 2. Survival of E.coli MC1061+pGex-6p-SmtA and MC1061+pGex-6P-1 after exposure to various oxidants. The
E.coli MC1061 strains expressing either plasmid construct were sub-cultured from overnight cultures in a rich media containing
IPTG to early log phase and monitored at OD600. The cultures were then aliquoted into 96-well plates and exposed to the various
concentrations of hydrogen peroxide (a), tert-butyl hydroperoxide (b), or sodium hypochlorite (c). Values are compared to an
untreated control culture maintained for the same duration.
94
Materials and Methods of bacteria expressing either plasmid construct
Cells. were sub-cultured from IPTG induced overnight
E. coli MC1061 cells (ATCC 53338) were cultured cultures in a rich media to early log phase and
in rich media. RAW267.4 cells (ATCC TIB-71) are then aliquoted into 96-well plates and treated with
a mouse macrophage cell line and were cultured multiple concentrations of hydrogen peroxide as a
in RPMI media supplemented with 1% pen-strep, source of oxidative stress. Bacteria were monitored
25mM Hepes, 4mM L-glut, and 10% FBS. with OD600nm absorbance readings every 30
minutes for 3 hours. When treated with hydrogen
Plasmid construction and transformation of peroxide at multiple concentrations, both SmtA-
MC1061 E. coli. containing and SmtA-deficient strains showed a
A Pseudomonas aeruginosa SmtA gene dose-dependent response. As the concentration of
(YP_791105) was cloned into the pGEX-6P-1 hydrogen peroxide increased, the bacteria were less
expression vector (Amersham) between the EcoRI able to survive and grow. At each concentration of
and XhoI sites (pGEX-SMTA) (D. Laukens, U. Ghent). hydrogen peroxide, the SmtA-expressing E. coli were
MC1061 E. coli was transfected with either the pGEX- better able to survive the treatment than the control
SMTA or pGEX-6P-1 plasmid using the calcium strain lacking SmtA (Figure 2a). Because the only
chloride procedure and selected for by taking difference between the two strains is the inducible
advantage of the plasmid’s ampcillin-resistance SmtA gene present in the pGEX-6p-1 plasmid of the
gene. Under isopropyl-b-D-thiogalactoside (IPTG) SmtA-expressing bacteria, the resistance towards
induction, the transfected E. coli express either hydrogen peroxide demonstrated was concluded to
a GST-tagged SmtA protein or GST (glutathione be due to the presence of SmtA.
S-transferase) alone. In addition to using hydrogen peroxide as
a source of oxidative stress, parallel experiments
In vitro exogenous oxidant exposure. were completed using two other oxidants, tert-
The MC1061+pGEX-SMTA and MC1061+pGEX- butyl hydroperoxide and sodium hypochlorite, in
6P-1 E. coli were subcultured from overnight order to further test the anti-oxidant capacity of
cultures to log phase in YTA media containing SmtA. Testing multiple oxidants provides a more
ampicillin and IPTG (1:1000). The cultures were complete understanding of the extent to which SmtA
then aliquoted into 96-well plates and exposed to the offers protection to the bacteria, and may suggest
various concentrations of hydrogen peroxide (H2O2), the context (e.g. interactions with macrophages
tert-butyl hydroperoxide (tBOOH), or sodium or neutrophils) in which SmtA is most important.
hypochlorite (NaOCl) ranging from 3mM to 15mM. Unlike in the presence of hydrogen peroxide, we
Survival was monitored at OD600 and represented did not find a signficant difference between the
graphically as percent absorbance of untreated responses of the SmtA-expressing and SmtA-
control. deficient bacteria when treated with either tert-butyl
hydroperoxide (Figure 2b) or sodium hypochlorite
Infection of RAW267.4 macrophage. (Figure 2c). Thus, SmtA does not protect E. coli from
E. coli MC1061 expressing either plasmid oxidative damage caused by all ROS.
construct were grown overnight and subcultured in When the bacteria were treated with tert-butyl
rich media to log phase with IPTG and ampicillin hydroperoxide we did not observe a dose-dependent
(1:1000). The RAW264.7 cells were grown 72 hours, response; rather, at all concentrations of the oxidant,
plated in 6 well plates, and allowed to adhere 2.5 the bacteria, regardless of the presence of SmtA,
hours in 5% CO2.The RAW264.7 cells were then showed the same degree of viability (Figure 2b).
infected with E.coli at an MOI of 5:1 and incubated When treated with sodium hypochlorite, there was a
in special gas at 37oC. The supernatant was removed dose-dependent response, although no difference in
after 30 minutes and after 24 hours and plated on the response between the two strains was observed
YTA plates supplemented with ampicillin and IPTG (Figure 2c). This data suggests that the protective
to determine cfu/ml. effect of SmtA is not universal to all oxidants.
Additionally, we measured the survival of
Results the two E. coli MC1061 constructs after infection
MC1061 E. coli were transfected with a pGEX- of RAW 267.4 murine macrophage cultures.
6p-1 plasmid containing the P. aeruginosa SmtA Macrophages are one of the first types of immune
gene under IPTG induction (see Methods section). cells present at an infection site, and upon exposure
A control pGEX-6p-1 plasmid that lacks the SmtA to endotoxin, macrophages are known to undergo
gene was transfected into the same strain of E. coli a respiratory burst during which ROS are released
for use as a negative control. In the presence of as bacteriocides. The two strains expressing the
IPTG, the pGEX-SmtA plasmid expresses a GST- plasmid constructs were grown overnight and
tagged SmtA protein while the pGEX-6p-1 plasmid subcultured to early log phase in rich media. The
expresses only the GST protein. The two strains RAW 264.7 cells were grown to confluency, plated
The Oculus: Proceedings of the U21 Undergraduate Research Conference 95

Figure 3a. Figure 3b.


Figure 3. Survival of E. coli MC1061+pGEX-6p-SmtA and MC1061+pGEX-6p-1 after 24 hour infection of RAW267.4
macrophages. The E. coli MC1061 strains expressing either plasmid construct were grown overnight and subcultured to log phase
with IPTG present. The RAW264.7 cells were grown to confluency and plated in 6 well plates. The RAW264.7 cells were then
infected with E.coli at an MOI of 5:1 and incubated in special gas at 37oC. The supernatant was removed after 30 hours (a) and 24
hours (b) and plated to determine cfu/ml.

in 6-well plates, and infected with the E. coli at a 16). Infections with P. aeruginosa are complicated
multiplicity of infection (MOI) of 5:1. After thirty and often life threatening. Typical treatment
minutes of infection, the supernatant was removed includes two antibiotics in combination: an anti-
and plated on YTA plates supplemented with pseudomonal beta-lactam and an aminoglycoside.
ampicillin and IPTG to determine cfu/ml of the Pseudomonas infections, however, have a tendency
surviving bacteria. Surviving cell numbers were also towards drug resistance, demonstrating a need for
determined after 24 hours of infection according to alternative therapies (17).
the same protocol. The SmtA-expressing bacteria Our future research is designed to determine
were significantly greater in number than SmtA- SmtA’s role in scavenging ROS released as
deficient bacteria after the 30 minutes of infection bactericides from innate immune cells of the airway
as well as the 24 hour infection (Figure 3). This data where Pseudomonas infections are common. To
supports the conclusion that SmtA confers a survival assess the role of SmtA, wildtype P. aeruginosa could
benefit to E. coli in an oxidative environment such be compared to P. aeruginosa treated with small
as that produced during the respiratory bursts of interfering RNA (siRNA) to prevent the translation
macrophages. of the SmtA protein. If SmtA provides protection to
The experiments done in Figure 2 were done P. aeruginosa during mammalian infection, targeting
in triplicate and all experiments were repeated in SmtA with siRNA may be applicable to treatment of
a duplicate experiment to ensure reproducibility. Pseudomonas infections. The use of RNA interference
From these initial studies, it appears that SmtA (RNAi) as a treatment for disease would not novel
shares MT’s ROS scavenging capabilities in addition to our studies; however, it is an innovative approach
to its already established metal-binding function. and constitutes a popular area of research that
holds valuable therapeutic promise. Recently, RNA
Discussion interference was highlighted as a treatment for
We have been able to show that E. coli HIV in humanized mice by blocking expression of
transformed with a P. aeruginosa SmtA gene is CCR5 (18). This research, along with other similar
resistant to some forms of oxidative attack but not studies, provides the rationale for the use of RNA
all. Further exploration is necessary to determine interference in our own research.
whether SmtA provides protection against Our research may find that Pseudomonas
mammalian immune defense mechanisms in infections treated with siRNA to stop the production
vivo; however, these initial results have provided of SmtA are less able to cause disease than
promising incentive to continue these studies and Pseudomonas actively producing SmtA. Pseudomonas
move into a model system more similar to the is an opportunistic pathogen, and infections often
natural infection. occur due to a temporary decrease in immune
P. aeruginosa is an opportunistic efficacy or temporary damage to airway barriers.
pathogen, typically infecting the airways of Developing a drug that would keep an infection
immunocompromised individuals, such as those under control until immune function is restored
suffering from burns, HIV, or chemotherapy. P. or until the airway repairs itself would allow the
aeruginosa infection is also commonly seen in body, once healthy, to fight off the infection as it
patients where there has been damage to a physical would normally in a healthy individual without
barrier of the airway that normally protects against the use of antibiotics. This would prevent multiple
infection as in diseases like cystic fibrosis, chronic drug resistance infections and other side effects of
obstructive pulmonary disease, and pneumonia (15, antibiotic use, such as loss of hearing. And so, if
96
SmtA proves to be a significant factor in bacterial
defense against host immune mechanisms,
therapeutic manipulation of SmtA may be a
possible avenue of co-treatment for patients with a
P. aeruginosa infection. In addition, the experimental
procedure, if successful, would indicate the ability to
halt the production of SmtA with siRNA, providing
a specific method of therapeutic intervention that
could be explored further. Therefore, our research
may elucidate a new pathway to fight Pseudomonas
infection and would also provide a specific means
of doing so.

References
1. M. A. Lynes et al., Experimental Biology and
Medicine 231, 1548 (Oct, 2006).
2. M. P. Waalkes, P. L. Goering, Chem Res Toxicol 3,
281 (Jul-Aug, 1990).
3. Z. X. Zhou, X. H. Sun, Y. J. Kang, Experimental
Biology and Medicine 227, 214 (Mar, 2002).
4. L. Cai, J. B. Klein, Y. J. Kang, Journal of Biological
Chemistry 275, 38957 (Dec 15, 2000).
5. N. J. Robinson, S. K. Whitehall, J. S. Cavet,
Advances in Microbial Physiology, Vol 44 44, 183
(2001).
6. R. L. Friedman, G. R. Stark, Nature 314, 637 (Apr
18-24, 1985).
7. M. Karin, H. R. Herschman, J Cell Physiol 103, 35
(Apr, 1980).
8. M. Karin, R. J. Imbra, A. Heguy, G. Wong, Mol
Cell Biol 5, 2866 (Oct, 1985).
9. M. Sato, M. Sasaki, H. Hojo, Res Commun Chem
Pathol Pharmacol 75, 159 (Feb, 1992).
10. M. Sato, M. Sasaki, H. Hojo, Archives of Biochemistry
and Biophysics 316, 738 (Feb 1, 1995).
11. J. J. Schroeder, R. J. Cousins, Proc Natl Acad Sci U
S A 87, 3137 (Apr, 1990).
12. C. A. Sogawa et al., Acta Med Okayama 55, 1 (Feb,
2001).
13. C. J. Quaife et al., Biochemistry 33, 7250 (Jun 14,
1994).
14. T. Miura, S. Muraoka, T. Ogiso, Life Sciences 60,
Pl301 (Apr 18, 1997).
15. H. Kobayashi, O. Kobayashi, S. Kawai, Journal of
Infection and Chemotherapy 15, 125 (Jun, 2009).
16. D. J. Hassett et al., Expert Opinion on Therapeutic
Targets 14, 117 (Feb, 2010).
17. S. Kirkby, K. Novak, K. McCoy, Expert Review of
Anti-Infective Therapy 7, 967 (Oct, 2009).
18. P. Kumar et al., Cell 134, 577 (Aug 22, 2008).

Acknowledgements
This work was supported by grants from NIH
(ES07408) to MAL.
The Oculus: Proceedings of the U21 Undergraduate Research Conference 97

Gender Differences in Imagination Among Indian


Adolescents
Uma Ranganathan
University of Delhi

Abstract

This paper attempts to understand the variations in patterns of imagination between boys and girls
who fall in the adolescent age group. Based on a notable review of literature and the findings of research
by Susan A. Myers (1983) that reveals that gender differences exist in imagination in the context of western
and east- European nations, with regard to individuals falling in adolescent age group, this study seeks to
understand the differences in the light of not just the universally uniform biological factors, but also socio-
cultural, economic and political context of India. Data has been collected on Imagination, using the Creative
Imagination Scale published in detail by Wilson and Barber (1978), from 30 boys and 30 girls from the age
group of 15 to 17, falling in the economic status of Below Poverty Line and having secured education from
class ten to twelve. The data has been analyzed quantitatively using statistical methods, and qualitatively
in the light of socio-cultural, political and economic characteristics of India. Finally, the limitations of this
research have been considered and suggestions for future research have been proposed.

Introduction developmental stage of adolescence. Keeping in


The socio-economic and cultural diversity view the belief of Classical Psychoanalysis that
of a nation characterizes thought patterns of an early experiences of life have a greater impact on
individual as much as the biological composition of an individual’s life, than incidents in later life, it is
a being shall do. This is the outline to the popular important to study the determinants of thought and
nature-nurture controversy. Thus, it is important behaviour that shape the personality characteristics
to understand the influences of environmental of adolescents.
dynamics on human cognition and action, as a Thus, since imagination is significantly a
base to not just explain, but also predict and control function of social beliefs and gender is an important
behaviour. determinant of social viewpoints, it may be important
Imagination is an integral component to assess the contribution of gender to the difference
of human thought. Also called the faculty of in imagination patterns between adolescent boys
imagining, it is the ability of forming mental images, and girls in India. The following sections focus on
sensations and concepts, in a moment when they are the definition and aspects of imagination and also
not perceived through sight, hearing or other senses. throw light on sociological components of gender
Imagination is the work of the mind that helps differences in India, which may have an impact on
create fantasy. Imagination helps provide meaning imagination.
to experience and understanding to knowledge; Imagination is the ability to form a mental
it is a fundamental facility through which people image of something that is not perceived through
make sense of the world, and it also plays a key the senses. It is the ability of the mind to build
role in the learning process. Psychologists have mental scenes, objects or events that do not exist, are
studied imaginative thought, not only in its exotic not present or have happened in the past. Memory
form of creativity and artistic expression but also is actually a manifestation of imagination. Everyone
in its mundane form of everyday imagination. Ruth possesses some imagination ability. In some it may
M.J. Byrne has proposed that everyday imaginative be highly developed and in others it may manifest
thoughts about counterfactual alternatives to reality in a weaker form. It manifests in various degrees
may be based on the same cognitive processes that in various people. Imagination makes it possible to
rational thoughts are based on. Thus, the domain experience a whole world inside the mind. It gives
of Psychology studies imagination not just as a the ability to look at any situation from a different
component of cognition, but also as a function of point of view, and enables one to mentally explore
social and cultural beliefs. the past and the future. Imagination is a concept far
In India, one of the most significant bases for more frequently invoked than it is analyzed, even
establishing social beliefs is gender. The variations by philosophers. Brann (1991) calls it the “missing
in practices followed in the Indian cultural context mystery” of philosophy: it plays a pivotal role in
between males and females, and its consequential the epistemologies of many, diverse philosophers
impact is noteworthy, especially during the crucial – from Aristotle to Hume, from Kant to Bachelard
98
and Popper, and in contemporary philosophical In the wider culture too, “imagination” is a
movements such as simulation theory- but this word of power. Indeed, McFarland (1985) suggests
role is rarely highlighted, and still more rarely that in recent times it has taken over many of the
satisfactorily explained. functions once served by “soul”. No less a cultural
A number of perspectives can be used to explain icon than Einstein is often said to have asserted that
imagination. One of the most influential theories “imagination is more important than knowledge”.
popularly used to understand cognitive development On the other hand, parents and teachers warn
is the theory by Jean Piaget. As a biologist, Piaget children not to let their imaginations run away
was interested in how an organism adapts to its with them, and if people sincerely claim to have
environment (Piaget described as intelligence.) had experiences that we find incredible (such as
Behaviour (adaptation to the environment) is having been abducted by aliens), we dismiss the
controlled through mental organizations (schemes) experiences as mere figments of their imagination.
that are used to represent the world and designate It was because of usages such as this, presumably,
action. This adaptation is driven by a biological that Pascal called imagination “that mistress of error
drive to obtain balance between schemes and the and falsehood, “an” arrogant faculty, the enemy of
environment (equilibration). From his cognitive reason” (Lafuma, 1960). Deep cultural ambivalence
theory, according to Piaget’s stages, in the Pre- about imagination has a long history (Kearney, 1988;
operational stage (Toddler and Early Childhood), Brann, 1991); and thus, philosopher Giovanni Pico
intelligence is demonstrated through the use of della Mirandola was driven to the conclusion that
symbols, language use matures, and memory and “not only all the good, universally, but also all the
imagination are developed, but thinking is done in a bad, can be derived from the imagination”.
non-logical, irreversible manner. Thus, imagination Adolescence, the transitional stage of
develops and is exhibited in the form of animistic development between childhood and adulthood,
thinking, make-believe play and egocentric represents the period of time during which a person
explanations to ideas. experiences a variety of biological changes and
Also, the left and right sides of the brain have encounters a number of emotional issue. World
been neurologically shown to perform the function Health Organisation (WHO) defines adolescence
of imagination. Imagination with the left is fantasy, both in terms of age (spanning the ages between 10
or rearranging what exists so it will serve a better and 19 years) and in terms of a phase of life marked
purpose. What you are doing is altering what exists, by special attributes. These attributes include:
modifying it, to get better results out of it. That is
left brain imagination, which can also be accounted 1. Rapid physical growth and development
for being similar to creativity. However, Right 2. Physical, social and psychological
brain imagination is creating something that has maturity but not all at the same time
never happened, has not occurred yet. That is the 3. Sexual maturity and the sexual activity
beginning of creation, the beginning of inventions, 4. Experimentation
and the beginning of discoveries. That happens for 5. Development of adult mental processes
the first time. That’s right brain imagination. and adult identity
From the work of Vygotsky it is known that 6. Transition from total socio-economic
perceptions and beliefs depend on the world view of dependence to relative independence
a person. The world view is the result of arranging
perceptions into existing imagery by imagination. Adolescence can be a specifically turbulent
He cites the example of a child saying that the moon as well as a dynamic period of one’s life. It has
is following her when she walks around the village been identified as a period in which young people
at night. Like this perceptions are integrated into the develop abstract thinking abilities, become more
world view to make sense. Imagination is needed aware of their sexuality, develop a clearer sense
to make sense of perceptions. Vygotsky further of psychological identity, and increase their
explains the socio-cultural role in development of independence from parents. Margaret Mead
imagination, by placing the growing child in its attributed the behaviour of adolescents to their
environmental context, similar to the Gestalt idea. culture and upbringing, as the majority of problems
Thus, through the processes of scaffolding and associated with adolescence in Western society are
guided participation, infants are induced to think in a not present in other cultures.
certain cultural perspective, which tends to continue G. Stanley Hall (1844 - 1924) is known as
involuntarily even in adolescence, unless the impact the Father of Adolescence. His work influenced
of education and popularly known “modernization” adolescent themes in psychology, popular culture,
is significant on them. Thus, imagination of an and education. Hall coined the term “storm and
individual needs to be placed in his/her socio- stress” to describe the period of adolescence. This
cultural context, to derive a better understanding of period is characterized by a teenager’s conflict with
an individual’s direction of thought. parents, mood disruptions, and engagement in
The Oculus: Proceedings of the U21 Undergraduate Research Conference 99

Table 1. Characteristics of the sample

Table 2. Mean, SD and t test value of boys and girls on CIS

risky behaviour. Although the concept of storm and Hypothesis


stress is not accepted as a universal phenomenon There will be a significant difference in the
in adolescents, psychologists recognize that this scores obtained by boys and girls on the Creative
phenomenon is most likely to take place during Imagination Scale.
adolescence. However, Hall recognizes that, The relationship between the variables has
conflict at this developmental stage is normal and been investigated using a correlational approach,
not unusual. Due to the significant changes in without attempting to speculate causation. Thus,
human thought during adolescence, it may thus be data was collected from students from an institution
important to understand how imagination patters working for the benefit of the socio-economically
occur during this perceived time of storm and stress. underprivileged youth in South Delhi zone. A cover
The area of gender has been a central theme note describing the purpose of study was attached
for research across many social science disciplines. to each set of questionnaire, also explaining the
With special reference to the Indian context, the voluntary and anonymous nature of the study.
sociological construction of gender and the laws Further, the participants were assured that the
and beliefs associated with it is an important topic responses would be aggregated for the purpose of
of study. Thus, it is essential to understand the analysis. The research was conducted in a single
impact of social beliefs related to gender on the sitting in the classroom of the institution, during
shaping of thought process of individuals, through the lunch hours, whereby the Creative Imagination
their developmental stages. From dressing up to Scale was given to 30 boys and girls, along with a
education and domestic work, gender has played a personal profile form, to further investigate the
fairly dominant role in establishing norms. present living conditions of the subject with respect
The self-understanding of gender differences to family settings, family income, religion, caste,
essentially commences during adolescence, when hobbies and interests.
children discover the physical differences between
the two sexes, and consequentially attempt to Creative Imagination Scale
follow the sociological sanctions for their respective The CIS consists of 10 items for measuring
sexual category, mainly to attain familial, peer suggestibility, in terms of intensity of realism of
and social acceptance. Thus, imagination may also individuals’ responses to hypothetical scenarios
be understood to be shaped according to one’s described by a trained administrator. The scenarios
understanding of gender roles. Thus, this paper is an examine a subject’s ability to realistically imagine
attempt to understand the variation in imagination senses of weight, feeling, thirst, taste, smell, sound,
caused by gender in the Indian context. heat, time, memory, and relaxation. CIS possesses
high test-retest reliability (r = .79) and moderate
Objective of the Study split-half reliability (r = .50). The cross-cultural
To examine gender differences in imagination validity has been supported by low-to-moderate
by obtaining information about imagination correlations with the hypnosis scale (Shor and Orne,
patterns of adolescent boys and girls using the 1962) and the imagination inventory (Barber and
creative imagination scale. Wilson, 1979). The factor analysis of CIS yielded
only one significant factor (Jerzy Siuta, 1987); this
is congruent with results obtained by Wilson and
Barber (1978).
100
Family
Pessimistic attitude towards childrearing
has been shown to be a conducive factor to
the development of their adolescent children’s
imaginative ability (A. Rabinowitz and D.
Engelberg, 2004). Due to belief systems that entail
greater preference for a male child in the Indian
society, parenting towards the girl child often tend
to be negligent with regard to education, work,
celebrations etc. Also, due to greater stigma and
shame attached with happenings in the life of a girl
Figure 1. Mean Scores on CIS child, like dating, sex, smoking etc. parents tend
to exert authoritarian parenting style on their girl
An independent samples t test was conducted child. Hence, pessimistic attitude of parents towards
to find the extent to which boys and girls differed on their girl child could also be a factor contributing to
the Imagination scale. higher imagination in girls than in boys in India.
The result, as shown in table 2, reveals that In the light of Vygotsky’s socio-cultural theory,
the imagination score of girls on CIS is significantly the early developmental stages of life require parents
higher as compared to the score of boys (t = - 2.195, to be actively engaged in the process of cognitive
p< .05). Thus, gender can be seen to have had a developments, which he explained through the
significant impact on imagination. The mean scores notions of zone of proximal development and
obtained by girls (mean= 25.66, SD=8.28) is greater scaffolding. Vygotsky observed how higher mental
than the mean score of boys (mean= 21.03, SD= 8.06). functions developed historically within particular
Hence hypothesis 1, which states that “There cultural groups, as well as individually through social
will be a significant difference in the scores obtained interactions with significant people in a child’s life,
by boys and girls on the Creative Imagination Scale”, particularly parents, but also other adults. Through
is accepted. A graphical analysis of the mean CIS these interactions, a child came to learn the habits of
scores is presented in Figure 1. mind of her/his culture, including speech patterns,
written language, and other symbolic knowledge
Discussion through which the child derives meaning and which
In accordance with past research literature, affected a child’s construction of her/his knowledge.
imagination has been found to be significantly This key premise of Vygotskian psychology is often
different based on gender variation in adolescents referred to as cultural mediation.
(Susan A. Myers, 1983). The following section shall In the Indian context, due to the familial value
probe into the various that may have influenced this system of preference of male child over female
gender difference. child and consequentially greater importance and
attention given to male child during development,
Biological Perspective young girls in India need to actively create and apply
Imagination with the left is fantasy, or strategies for self sustenance. Thus, imagination is
rearranging what exists so it will serve a better an integral part of the growth, development and
purpose. What you are doing is altering what exists, survival process of girls in India, which could also
modifying it, to get better results out of it. That is have caused a greater average score of girls on
left brain imagination, which can also be accounted imagination than boys. Also, since girls in India are
for being similar to creativity. However, Right often expected to demonstrate flexibility in thought
brain imagination is creating something that has and behavior, which may aid their performance in
never happened, has not occurred yet. That is the various areas of life such as child rearing, family
beginning of creation, the beginning of inventions, maintenance, financial management and so on,
and the beginning of discoveries. That happens the flexibility in thought could have led to greater
for the first time. That’s right brain imagination. imagination in girls than in boys, as shown in a
According to Neurological facts, the left side of the study by Ayanna K. Thomas, Deborah E. Hannula,
brain is stronger in males than in females, while the Elizabeth F. Loftus (2006) whereby a comparison
right side of the brain is stronger for females than of behavioural estimates collected before and after
males. Thus, this could be one of the reasons for the imagination demonstrated that reported estimates
biological difference in imagination between the of behaviour changed after imagination.
two genders.
In the arena of socio-cultural factors, a number
of variables affect human cognition, such as family,
social -economic condition, peer groups and the
ecological system at large.
The Oculus: Proceedings of the U21 Undergraduate Research Conference 101
Socio-economic Conditions References
This caste system in India had formed the basis 1. Nilsson M.E.(2010),” Creative Pedagogy of Play—
of economic discrimination, the effect of which is The Work of Gunilla Lindqvist”, Mind, Culture
still largely prevalent. Due to unfavourable economic and Activity   Vol.: 17,  No.: 1,  January 2010  [Page
conditions, girls in India are often subjected to 14- 22]
more illiteracy and ignorance than boys. However, 2. Bravesmith A. (2008), “Supervision and
on their exposure to the fast moving world and Imagination”, Journal of Analytical
their need to survive successfully, girls often create Psychology   Vol.: 53,  No.: 1  [Page 101-117]
ways to carry on with their daily functions such as 3. A. Rabinowitz and D. Engelberg (2004), “Parental
household work, child-rearing and family care, and influence on adolescents’ imagination” *
try and seek intellectual and social growth through Department of Psychology, Bar-Ilan University,
social groups, books etc. this has therefore been the Ramat-Gan, Israel.
result of poverty in India, and thus, imagination 4. Lev Vygotsky (1931), “Imagination and creativity
tends to be used as a strategy by girls to create ways of the adolescent”
of successful living, and thus the score of girls on 5. Thomas N.J.T (1988),” Gestalt Psychology as a
CIS could have been more than boys. Theory of Imagination”, British Psychological
Thus, though the results have revealed a Society, Leeds, U.K.
significant difference in imagination, with girls 6. Thomas N.J.T. (1998), “The Study of Imagination
procuring a higher score than boys, a number of as an Approach to Consciousness”, Society for
factors may limit the generalization of the results the Multidisciplinary Study of Consciousness,
obtained. First, due to a small scale study, the San Francisco
sample size may not be adequately representative of 7. Maksymilian Del Mar. 2008. “Creativity and
the population under consideration. However, this Imagination in the Practice of Philosophy” The
leaves scope for a larger scale study in the interest of Selected Works of Maksymilian Del Mar: http://
the under-privileged youth in India. Also, the study works.bepress.com/mdelmar/6
may serve as a cornerstone for future research in a 8. Mellou, Eleni (1995), “Creativity: The Imagination
cross-sectional format; thereby help understand the Condition”, Early Child Development and Care,
differences across various socio-economic groups. v114 p97-106
A longitudinal study may also be undertaken to 9. Watson T.J.(1994), “Managing, Crafting and
understand variation in imagination over a period Researching: Words, Skill and Imagination
of time for the same sample. in Shaping Management Research”, British
Secondly, the lack of adequate theoretical work Academy of Management
and research on imagination from the viewpoint 10. Ayanna K. Thomas 1 *, Deborah E. Hannula 2,
of Psychology could have led to inadequate Elizabeth F. Loftus (2006), “How self-relevant
explanation of results. But this small initiation may imagination affects memory for behaviour”, John
be a humble contribution to the area of study of Wiley & Sons, Ltd
imagination, thereby serving as a guiding light for
future research.
Thirdly, in accordance with Hoftede’s views,
the theories used to explain the results of this
study could be marked by cross-cultural variations.
However, for every beginning, it may be important
understand what already exists.Finally, this study is
a humble attempt to explain imagination as a tool in
daily life, for survival and effective sustenance, in
the context of India.

Conclusion
The results have revealed a significant
difference between boys and girls on imagination,
with girls scoring a higher average score than boys.
Thus, the stated hypothesis has been accepted.
102
Language Rights and the Security Dilemma:
Education Policy at the Margins of Contemporary China

Verity Robins
University of Nottingham

Abstract

This article focuses on how the Chinese state balances issues of security with the rights of minority
groups to have their language accommodated in state education. This article uses a case study comparison
of two provinces; Xinjiang Province and Yunnan Province to suggest that when a security dilemma arises
and minority groups are assessed as a threat to the integrity of the state, their linguistic rights are restricted
in education. Education is, instead, used by the state as a tool for assimilation into the majority culture and
language. This is demonstrated by the example of Xinjiang Province, the home of the Uyghur people, whose
relationship with the state has been tense. Yunnan Province, the home of 25 minority groups who are perceived
to pose a low threat to state security, is used as a contrast with Xinjiang, to demonstrate that the security
dilemma is not, however, always present between state and minority at the margins of contemporary China.
While state/minority relationships in Yunnan are not based on security, neither are these relationships based
on justice. Instead this article argues that the accommodation of minority language rights in education policy
in Yunnan Province is better explained as an outcome of benign indifference by the state, as security issues
are placed in abeyance. Under such circumstances, there is a greater educational space for the engagement of
civil society that place minority language rights at the centre of their educational objectives.

Argument and Approaches If minority language policy is a reflection


The People’s Republic of China (PRC) is a of the state’s assessment of its need to integrate
multiethnic society comprising 56 ethnic groups with or contain its ethnic minorities, the next issue to
languages and cultures distinct from the majority, address is whether the state assesses different
or Han, Chinese. In any multicultural society the ethnic minorities in different ways. If so, how are
educational challenge is to guarantee that ‘state these differences reflected in minority language
sponsored schooling ensures equal opportunities provision? With this in mind, the central question
for all ethnic groups, promotes development of poor of this article is; how do differing state assessments
ethnic minority regions, [and] permits ethnic groups of ethnic minorities impact upon language rights in
to practice cultural autonomy’(Postiglione,1999:3). the borderlands of contemporary China. This article
For linguistic human rights advocates, in particular, draws on fieldwork conducted in Xinjiang Province
cultural autonomy is preserved through language. and Yunnan Province, China over a two year period
Each language involves a unique way of looking up to 2010.
at the world (Pupavac,2010) and acts as a medium
for the communication of culture or identity, Theoretical Framework
rather than just communication in itself (ibid,2010). Kymlicka’s (2004) study of ‘justice and security
Consequently, for these scholars curtailing the use in the accommodation of minority nationalism’ is
of minority languages in public education is seen as used as a theoretical framework. Kymlicka argues
a curtailment of minority cultural rights by the state. while the challenge of minority nationalism and
Yet, at the same time, ‘educational systems expand rights accommodation arises in all parts of the
in reaction to a market of demands. Individuals and globe ‘the state’s response to it varies tremendously
employers demand practical skills, social groups from region to region’(ibid). In the West national
demand status culture and the state demands minorities are ‘assessed primarily in terms of
national unity and social control’(Postiglione,1999:3). justice’(ibid). Consequently, there is a trend towards
In authoritarian regimes, like the PRC, the market accepting the legitimacy of ‘minority nationalism
is heavily influenced by the state. Thus, while the and finding an accommodation that is more or less
demand of ethnic minorities for schools is to elevate fair to both majority and minority’ (ibid). In the
the status of their language and culture, the actual post-communist countries of Eastern and Central
content of schooling is likely to reflect the state’s Europe (ECE), however, Kymlicka argues that
assessment of inter-ethnic group processes(ibid). A ethnic minorities are assessed in terms of security.
great deal, therefore, can be learned about the PRC In this region the state’s intention is to ‘ensure that
and its relationship with its ethnic minorities by minorities are unable to threaten the territorial
studying minority education and how it represents integrity of the state’(ibid:145). Since most ECE states
minority languages within it (ibid). believe that minority rights accommodation poses
The Oculus: Proceedings of the U21 Undergraduate Research Conference 103
to merge with Han schools (CECC,2006) and the
intention is that by 2012 minority schools will cease
to exist.
Chinese media sources claim that the shift
from Uyghur to Mandarin instruction increases
the quality of Uyghur education and empowers
Uyghur students by creating an environment
more conducive to learning Mandarin (He,2006).
These sources suggest that the central government
promotes justice for Uyghur students by facilitating
their educational advancement through increased
Figure 1. Map of Xinjiang and Yunnan provinces fluency in Mandarin, and increased employability
in the modern Chinese workplace. Indeed, Tove
Skutnabb-Kangas, an anthropologist of linguistics,
such a threat there is far less accommodation of
argues that if you belong to the linguistic minority
minority language and culture in these areas than
of your country, you ‘have to become...bilingual
in the West (ibid).
in order to participate in society,’(Skutnabb–
This article uses Kymlicka’s framework,
Kangas,1988:14). Skutnabb-Kangas proposes that
replacing the ECE with Xinjiang Province an area
it is the duty of the education system to achieve
characterized by ethnic tension and rioting, along
this objective. Since Mandarin is the official state
with a secessionist movement calling for the region’s
language it is a practical requirement of any good job
independence. The dominant minority within this
in business or government. The shift in the language
province, the Uyghurs, are viewed as one of the most
of instruction to Mandarin arguably reflects
politicized minorities by the PRC and are assessed
Xinjiang’s increasingly Han-dominated society,
in terms of security. The ‘West’ in Kymlicka’s study
which has grown from 6% Han in 1949 to 40% today
is replaced by Yunnan Province. This region, in
(Strawbridge,2008:1). Since there are still pockets of
contrast, is seen as less of a political threat to the PRC
Xinjiang with a population of 80-90% Uyghur, the
and to the political harmony of the whole.
grasp of Mandarin in these areas is often limited and
Using Kymlicka’s framework, this article argues
their opportunities to practice Mandarin outside the
that differences between Yunnan and Xinjiang
classroom are almost non-existent. Total immersion
in the accommodation of minority languages in
in Mandarin instruction, it is argued, is the ‘fastest
education arise largely because of the perception of
and most effective method for gaining fluency in a
the Uyghur minority as a security threat. A security
non-native language’ (Bousquet,1979).
dilemma between state and minority has caused the
PRC to pursue a policy in Xinjiang that bolsters the
security of the majority at the expense of the Uyghur Xinjiang: An Assessment of Security
minority and their language. Yet, in explaining the The Uyghur Human Rights Project
relative wealth of minority language instruction in (UHRP,2007), along with scholars Dwyer (2005)
Yunnan we cannot assume the converse that the and Gladney (2004) critique this view. They argue
difference arises because of the state’s willingness that despite claims by ‘Chinese officials…that
to promote language rights as an act of justice. [Mandarin]1 language instruction is beneficial for
Rather, the assessment of Yunnan’s minority groups Uyghur groups to participate in wider society and
as a low security risk has led to benign indifference gain employment,…there are few corresponding
towards them by the central government rather than policies to ensure equal opportunities in the work
to active control measures. This benign indifference place’(Interviewee-A,2010). If the aim was to enable
has created an educational space in which NGOs Uyghurs to compete more successfully in the job
and community organizations provide education market, then a wider infrastructure of ‘regulations…
for minority students in their mother-tongue organizations and affirmative action schemes’(ibid)
unhindered by central government. would have also been put into place. Instead, Uyghur
graduates who speak Mandarin fluently often still
have trouble finding a job,2 with some signs at job
Xinjiang: An Assessment of Justice fairs reading ‘Weiwuerzu bu xuyao shenqing’, ‘Uyghurs
Since 2000 there has been a shift in official
need not apply’(HRIC,2007:2).
policy from mother-tongue to Mandarin instruction
for Uyghur students. In 2002, the formerly bilingual 1  Original source read Putonghua.
University of Xinjiang removed all instruction 2  The Xinjiang Production and Construction Corps
in Uyghur (MRGI,2008) and in 2004 the Xinjiang reported to have a 2.5 million, virtually all-Han
Regional Government announced that ethnic Chinese, workforce in 2001–representing 13% of
minorities should all receive instruction in Mandarin Xinjiang’s total labour pool, but a third of the total
at every level of education (Tsung,2009:123). Han population in Xinjiang (HRIC,2007:21).
Consequently, minority schools were instructed
104
Moreover, in purely educational terms, a this view. Mass protests and violent riots in Baren
switch to Mandarin as the language of instruction town in April 1990 marked an increase in Uyghur
can be indirectly discriminatory. While ‘immersion’ violence in Xinjiang (Davis,2008:1). Calls for
techniques may be the fastest method by which more cultural and religious rights, together with
students can learn a second language, it can take the creation of a Uyghur state of East Turkistan,
longer for them to catch up to native speakers struck a chord with Uyghur communities. Further
in academic language skills necessary for demonstrations and disturbances in Yining,
learning conceptual subjects like Mathematics Khotan, Kashgar and Aksu followed throughout
(Cummins,2003). Furthermore, Dwyer (2005:43) the 1990s (Davis,2008:6). The PRC response was
argues that Uyghur language instruction is more the initiation of two ‘strike hard’ campaigns in 1996
appropriate for learning foreign languages like and 2001 which targeted Uyghurs and separatists
English. The Uyghur language contains a number in Xinjiang. The overt result was an increased
of Indo-European lexemes and is, like English, a military presence within the province to prevent
stress-based as opposed to a tone-based language ‘crime’. However, the initial steps towards a shift in
like Mandarin. Speakers of Uyghur are therefore on language policy were implemented at the time of the
average able to learn English more rapidly and with second ‘strike hard’ campaign, suggesting that the
more accurate pronunciation than their Mandarin- shift falls under a blanket policy aimed at curbing
speaking counterparts. For example, the English Uyghur culture and separatist tendencies. The sense
word computer must first be learned through the of Uyghur disloyalty towards the central state would
Mandarin diannao, instead of via the Uyghur word have been heightened during this period of ethnic
kompyuter. By having to study English through the tension. Thus, as Kymlicka’s theory of minority
medium of Mandarin, Uyghur students are prone rights accommodation predicts, a more limited
to fall behind native Mandarin-speaking students accommodation of minority language instruction
in school. If education was at the heart of this ensued.
language policy then mother-tongue instruction, as
implemented in much of Yunnan, would have been Yunnan: An Assessment of Security
appropriate for certain subjects. Minority language rights in Yunnan are,
Instead, human rights advocates like Nicholas in contrast, gaining increased accommodation.
Becquelin (2009) argue that differences in minority According to Kymlicka’s theory this would indicate
language accommodation arise largely because that minority communities in Yunnan are not
the Uyghur minority is assessed by the Chinese assessed as a security threat to the integrity of the
authorities as a threat to state security. When state, but are having their rights accommodated as
state/minority discourses are securitized minority a result of a state policy to treat them justly. It is
students who retain their language and culture are instructive to compare Yunnan during the Cultural
seen as less capable of identifying with mainstream Revolution (CR) when minorities were perceived as a
society. This real or perceived lack of identification high security threat and how that differs from today.
with majority culture is then assessed by the state as At the beginning of the CR the Socialist
disloyalty, not just in the sense that minorities lack Education Movement emphasized the importance
loyalty to the state but also in that they collaborate of the struggle between the proletariat and the
or have the potential to collaborate with ‘enemies’ bourgeoisie as a major national security issue. Ethnic
of the state (Kymlicka,2004:156). ‘Enemies’ come in cultures were deemed ‘superstitious’ and ‘feudal’,
various forms, but in the Uyghur case the fear is posing an ideological threat to the Chinese socialist
that separatist groups, from within China or Turkic state (Lee,2001:183). The fear was raised that class
Central Asia, advocating Xinjiang’s secession, will enemies were active in minority areas that sought to
enlist the support of Uyghur communities. Indeed, sabotage China’s socialist revolution (Tsung,2009:92).
Nur Bekri of the Xinjiang Regional Government was In order to prevent this, it was judged necessary to
quoted as saying that ‘terrorists from neighbouring ‘eradicate minority…languages’(ibid). Sanctions
countries target Uyghurs that are isolated from and violent attacks on minority communities during
mainstream society as they cannot speak Mandarin’ the CR deterred minority children from learning
and trick them into terrorist activities (UHRP,2009). their own languages. The use of minority language
With this state assessment, the Uyghur language in the public domain was severely restricted. Instead
and its literature are viewed as political weapons an emphasis was placed on ‘ethnic integration’
in a struggle that weakens state control and central and ‘language amalgamation’ (Zhou,2004:68);
objectives (Stites,1999:124). A securitized state/ monolingual instruction in the Mandarin language
minority discourse thus requires the limiting of ensued for minority schools in Yunnan.
minority language rights to weaken minority However, by the 1980s a change in policy
culture, aid assimilation and prevent minority was underway. While Deng’s market reforms
collaboration with ‘enemies’(Kymlicka,2004:156). strengthened the argument for the promotion
The timing of the language shift also supports of Mandarin throughout China’s education
The Oculus: Proceedings of the U21 Undergraduate Research Conference 105
system, this was not enacted at the expense of agreements like Covenant on Civil and Political
minority languages. Instead bilingual education3 Rights (ICCPR) and the Convention on the Rights of
programmes were introduced in many schools in the Child (CRC), the Chinese state commits itself
Yunnan to meet parents’ aspirations for children under international law to allow ethnic minorities
to learn their own language (Tsung,2009:110). Some ‘in communit[ies] with other members of his or her
subjects were taught using the minority script and group, to enjoy his or her own culture…[and] to use
some were taught in Mandarin. In addition, both his or her own language’(CRC,1990).
languages were often taught as separate subjects While the linguistic pluralism advanced in
(ibid). Furthermore, the State Education Commission legislation might support Kymlicka’s conception
reported in 1994 that over 7,000 schools among 21 of justice in relation to Yunnan, a closer look at the
ethnic minorities had offered bilingual education phenomenon indicates that it is often not the state
programmes to six million minority students in 30 that provides the variety of bilingual education
different minority scripts (ibid:111). programmes on offer. Instead, benign indifference
It appears that the security threat from by the Chinese Government towards these minorities
Yunnan’s minorities has been downgraded. The has allowed NGOs and community organizations to
lack of a secessionist movement and ethnic tension put linguistic rights at the top of their agendas. In
in Yunnan can be examined by using Paul Collier’s Northern Yunnan in the Diqing Tibetan Autonomous
(2006) study into the causes of ethnic conflict. Region, for example, Ah Niu, a Tibetan intellectual,
He argues that countries (or provinces) that are founded the Puli Tibetan School in order to provide
characterized by ethnic diversity are much less likely a free education aimed at preserving Tibetan
to have secessionist movements or ethnic-related culture and helping Tibetan children who had
tension and violence. According to his theory, when a fallen through the cracks in the Chinese state school
society is divided into a patchwork of different ethnic system (Johnson,2000:264;Interviewee-B,2009). With
and religious groups it is more difficult to recruit a the school staffed by Tibetans and the priority of
force of a sufficient scale (Collier,2006:12). Moreover, language instruction placed first on Tibetan, then
in ethnically diverse societies where people from English and then Mandarin, the school offers a very
different ethnic communities are interspersed different education for minority Tibetans from most
with one another, and where there is no dominant Chinese state schools4.
minority there is usually a decreased emphasis on In the same region, The Eastern Tibet
the right to self-determination via secession (ibid). Training Institute, a local NGO, runs Tibetan/
This profile fits the minority population in Yunnan. English bilingual instruction adult education
classes to further English literacy and vocational
Yunnan: An Assessment of Justice training (Interviewee-C,2009). Additionally, for the
Kymlicka’s model suggests that, where there Bai Minority in Shibaoshan village a cooperative
is no security threat, the state is willing to promote venture between the United States-based language
linguistic and cultural equality as a matter of justice. research organization ‘SIL International’ and the
We have learned that minority language instruction ‘Yunnan Province Language Affairs Commission’
in Yunnan’s education system is not only far more has facilitated the creation of a Bai language
plural today than it was during the CR, but also instruction pre-school centre aimed at facilitating
far more plural than the education system of the Bai literacy for young children and their ‘mothers,
securitized Uyghur minority in Xinjiang. One might who have key influential roles in the home, but
infer that linguistic plurality in Yunnan’s education who have missed educational opportunities in the
system has occurred because of a positive state policy past’(Cobbey,2007:197).
to promote Yunnan’s minorities. Indeed much state There are further documented examples of
legislation would indicate this to be the case. For well-established programmes of bilingual education
example, The 1982 Constitution, the 2005 Compulsory facilitated by NGOs and community projects for Dai,
Education Law, as well as The 1984 Regional Autonomy Bai, Jingpo, Naxi, Lahu, and Yi communities in Yunnan
Law all explicitly guarantee language rights for (UNESCO,2005). These examples are indicative of
minority students in the classroom stating that the variety of bilingual instruction programmes
‘schools or other educational institutions which offered by NGOs and community organizations
mainly consist of students from ethnic minorities in Yunnan in contrast to Xinjiang, suggesting it is
should, wherever possible, use…the language of not the state that is the main instigator of minority
the respective nationality or the native language bilingual education.
commonly adopted in that region’ (MOE,2005). 4  In keeping with Kymlicka’s theory, schools in
Furthermore, as a signatory to international legal Yunnan are allowed more freedom to teach in
3  ‘Bilingual education’ is the use of two or more the Tibetan language than schools in Tibet itself
languages as the medium of instruction in formal (Merrell,2002:290).
schooling (Hornberger,1990:14)
106
Conclusion References
The shift towards Mandarin instruction 1. Becquelin, N. (09/07/2009) ‘Behind the Violence
in Xinjiang’s schools can be interpreted as a in Xinjiang’, International Herald Tribune.
policy aimed at empowering Uyghur students by Accessed 26/10/09 at: http://www.hrw.org/en/
providing them with the necessary language skills news/2009/07/09/behind-violence-xinjiang
to function in the modern Chinese state. However, a 2. Bousquet, R. (1979) ‘French Immersion Classes in
more convincing case can be made that the change the Montreal Region’, The French Review 52(4): p.
in the language of instruction is caused by the 584-593
central perception of Uyghur groups as a security 3. CECC (2006) ‘Congressional Executive Committee
threat. Uyghur language instruction is seen by the on China – Annual Report’, Congressional Executive
PRC as communication of Uyghur culture and, as Committee on China. Accessed 11/10/09 at: http://
Kymlicka’s theory suggests, minority students who www.cecc.gov/pages/annualRpt/annualRpt06/
retain their culture are viewed as disloyal, less CECCannRpt2006.pdf
capable of identifying with mainstream society 4. Cobbey, H. (2007) ‘Challenges and Prospects
and more likely to identify with separatist groups. of Minority Bilingual Education in China: An
Thus, ethnic relations in Xinjiang are seen by the Analysis of Four Projects’, in, Bilingual Education
PRC as a zero-sum game, or as a security dilemma: in China: Practices, Policies and Concepts, ed, Feng,
anything that accommodates or promotes minority A. (Clevedon: Multilingual Matters Ltd) p.182-199
nationalism is seen as a threat to the majority and 5. Collier,P., (2006) ‘Economic Causes of Civil Conflict
hence is not to be tolerated (Kymlicka,2004:156). and their Implications for Policy’. Accessed
The increase in Uyghur anti-government feeling 21/04/2010 at: http://users.ox.ac.uk/~econpco/
and separatist activities in Xinjiang since the mid- research/pdfs/EconomicCausesofCivilConflict-
1990s has led the PRC directly to an education ImplicationsforPolicy.pdf
policy oriented increasingly towards limiting the 6. CRC. (1990) ‘Convention on the Rights of the
accommodation of the Uyghur language and to Child’, http://www2.ohchr.org/english/law/crc.
promoting Mandarin in its place. This shift has htm
created an education system aimed at assimilating 7. Cummins, J. (2003) ‘Bilingual Children’s Mother
and socializing Uyghur students into majority Tongue: Why Is It Important for Education?’
language and culture, furthering their loyalty to the Accessed 04/03/10 at: http://www.iteachilearn.
PRC and China as a whole. com/cummins/mother.htm
In Yunnan, the contrast between minority 8. Davis, E. (2008) ‘Uyghur Muslim Ethnic Separatism
language policy during the CR and minority in Xinjiang, China’, Asia-Pacific Centre for Security
language policy today demonstrates that the PRC Studies. Accessed on 01/02/10 at: http://www.
no longer assesses its ethnic minorities as a threat apcss.org/Publications/APCSS--%20Uyghur%20
to state security. Yet, this does not necessarily mean Muslim%20Separatism%20in%20Xinjiang.doc.
that Yunnan’s minorities are assessed in terms of 9. Dwyer, A. (2005) The Xinjiang Conflict: Uyghur
justice. Despite a wealth of PRC legislation, both in identity, language policy, and political discourse.
the constitution and in international and domestic (Washington D.C.: East West Centre Press)
legal documents, suggesting that the PRC places 10. Gladney, D. (2004) Dislocating China: Muslims,
minority cultural rights in education at the centre Minorities and Other Subaltern Subjects (Chicago:
of their minority policy, these legal provisions are University of Chicago Press)
rarely implemented by the state. Thus, I conclude 11. He, B. (2006) ‘Xinjiang promotes the merge of
the need to refine Kymlicka’s theory in relation to Minority and Han schools’ [Xinjiāng jījí tuījìn mín
Yunnan. Rather than a relationship based on justice, Hàn hĕxiào] http://www.chinaxinjiang.cn/news/
improved accommodation in minority education in xjxw/kjtw/t20060814_140820.htm
Yunnan is better explained as an outcome of benign 12. Hornberger, N. (1990) ‘Bilingual Education and
indifference by the PRC, where security issues are English-Only: A Language Planning Framework’,
placed in abeyance. Under such circumstances, a Annals of the American Academy of Political
greater educational space is tolerated for civil society and Social Science. 26: 12-26
that places mother-tongue instruction for minority 13. HRIC. (2007) ‘China: Minority Exclusion,
students at the centre of their educational objectives. Marginalization and Rising Tensions’, Human
Rights In China. Accessed on 28/11/09 at: http://
hrichina.org/public/PDFs/MRG-HRIC.China.
Report.pdf
14. Johnson, K. (2000) ‘Charity and Culture: The
Puli School and a Comparison of Rural Schools
and Orphanages in Northwest Yunnan’, in,
Ethnic Minority Issues in Yunnan, ed, Mitchell, S.
(Kunming: Yunnan Fine Arts Publishing House)
p. 264-279
The Oculus: Proceedings of the U21 Undergraduate Research Conference 107
15. Kymlicka, W. (2004) ‘Justice and Security in the 28. UNESCO (2005) First Language First: Community-
accommodation of minority nationalism’, in, based Literacy Programmes for Minority Language
Ethnicity, Nationalism and Minority Rights, eds, Contexts in Asia. (Bangkok: UNESCO Bangkok).
May, Stephen., Modood, Tariq., Squires, Judith. Accessed 19/02/10 at: http://www2.unescobkk.
(Cambridge: Cambridge University Press) p. 144- org/elib/publications/first_language/first_
175 language.pdf
16. Lee, M. (2001) Ethnicity, Education and 29. Zhou, Q. (2004) ‘The creation of writing systems
Empowerment: How minority students in Southwest and nation establishment: the case of China
China construct identities. (Aldershot: Ashgate) in the 1950s’, in, Language Policy in the People’s
17. Merrell, K. (2002) ‘Rural Education on the Edge Republic of China: Theory and Practice Since 1949,
of Tibet’, in, Ethnic Minority Issues in Yunnan, eds, Zhou, M., Sun, H. (Boston: Kluwer Academic
ed, Mitchell, S. (Kunming: Yunnan Fine Arts Publishers) p. 55-70
Publishing House) p. 280-297 30. Interviewee-A. (18.02.2010), Washington D.C.
18. MOE (2005) ‘Compulsory Education Law of the Interviewed on Skype by: Robins, Verity.
People’s Republic of China’, Ministry of Education 31. Interviewee-B. (27.08.2009), Yunnan. Interviewed
of the People’s Republic of China. Accessed 02/06/09 by: Robins, Verity.
at: http://www.edu.cn/20050114/3126820.shtml 32. Interviewee-C. (03.07.2009), Yunnan. Interviewed
19. MRGI. (2008) ‘World Directory of Minorities by: Robins, Verity.
and Indigenous Peoples - China: Uyghurs’, *All interviewees are anonymous in this research.
Minority Rights Group International. Accessed
11/02/10 at: http://www.unhcr.org/refworld/
docid/49749d3c4b.html 
20. Postiglione, G. (1999). China’s National Minority
Education: Culture, Schooling and Development.
(New York: Falmer Press).
21. Pupavac, V. (2010) ‘Language as Communication
or Culture?’, Forthcoming book publication.
22. Skutnabb-Kangas, T. (1988) ‘Multilingualism
and education of minority children’, in, Minority
Education, eds, Skutnabb-Kangas, T., Cummins, J.
(Clevedon: Multilingual Matters Ltd) p. 9-44
23. Stites, R. (1999) ‘Writing Cultural Boundaries:
National Minority Language Policy, Literary
Planning, and Bilingual Education’, in, China’s
National Minority Education: Culture, Schooling and
Development, ed, Postiglione, G. (London: Falmer
Press) p.95-130
24. Strawbridge, D. (2008) ‘The Challenges of
Bilingual Education in the Xinjiang Uyghur
Autonomous Region, People’s Republic of China’
Save the Children. Accessed on 14/11/09 at:
http://www.seameo.org/_ld2008/doucments/
Presentation_document/Strawbridge_xinjiang_
challenges_of_bilingual_education,.pdf
25. Tsung, L. (2009) Minority Languages, Education
and Communities in China. (New York: Palgrave
Macmillan)
26. UHRP (2007) ‘Uyghur Language under Attack:
They Myth of “Bilingual” Education in the
People’s Republic of China’, Uyghur Human
Rights Project. Accessed 09/02/10 at: http://
uhrp.org/docs/UyghurLanguageUnderAttack.
pdf
27. UHRP (2009) ‘UAA Concerned by top Chinese
official’s comments on language policy in
East Turkistan’, Uyghur Human Rights Project.
Accessed 10/02/10 at: http://www.uhrp.
org/articles/2232/1/UAA-concerned-by-top-
Ch i nese-off icia ls- com ments-on-la ng uage-
policy-in-East-Turkestan-/index.html
108
From the Culture Industry Thesis to Deconstruction:
H(a)unting Issues of Representation

Veronika Fafienski
University of Birmingham

Abstract

This paper argues that the ongoing generation of theoretical constructs, which attempts to
conceptualise notions such as democracy, social integration and more generally, representation, under the
broad frame of capitalism and globalisation, requires critical engagement in order to question the trust,
which is continuously placed in the authority of the working definitions of these concepts.
In other words, the task of critical conceptual analysis is to unmask the violence behind definitions
and practices of representation. Using a critical postmodern framework, this article suggests that the line of
thought implicit in “Derridean Marxism” provides a passage to reconfiguring the understanding of ontology,
which moreover can gesture at new forms of political and social engagement. The case of a debate between
Antiono Negri and Jacques Derrida is briefly discussed to illustrate this point. This article contributes to
encourage a re-imagination of political matters as non-reducible to a single mode of analysis (e.g. military,
economic, psychological), since within these analyses economic or cultural identities, are presented as a
caricatures. One needs to intervene with deconstructive thought to complement existing approaches to
politics and examine more closely the layers, with which representations are constructed.

Introduction: Critical Postmodernism is, they believe that the development of technology
Critical engagement with postmodern theory and globalisation are crucial to intellectually
can indicate alternative ways of understanding “connect” with others, in order to eventually resist
presence, subjectivity and the constitution of and transform this totality. It is arguable, though,
social structures. The questions on which I will to what extent technology and communication
primarily focus have their roots in Marx’s statement, allow for a global emancipation, since the degree
that there is no relation between objects and the of coercion which haunts the formation of identity
value they possess1. This opens a discussion of the cannot be disregarded. This insight is also of concern
following. Firstly, how is the relationship between to Derrida. He points out, however, that a fertile
“the material” (object) and “the immaterial” (value) ground for resistance can be found in the experience
constituted? And secondly, what are the criteria for of injustice and difference. In this respect he contests
value? the relationship between matter and property to
In The Culture Industry: Enlightenment as Mass show that issue needs to be taken with ‘ontological
Deception (1944) Adorno and Horkheimer argue, embodiments’, which continuously pose an obstacle
that value accumulates as fetish. They explain that for accounting for contingency and reimagining
social relations, hierarchy and subjectivity operate existing conditions of reality.
according to laws of arbitrary value (Adorno and Consequently, I am particularly interested
Horkheimer, 1944: 63)1. Currently, new technologies in how postmodern theory has inherited Marx’s
enhance this arbitrariness by coupling the virtual political demand, namely, resisting the repressive
with the ‘real’ and thus generating images of forces of alienation in order to re-gain a sense for the
‘perfection’. In consequence, the violent politics spirit of revolutionary forces and more importantly,
behind abstract binary categories, e.g. male/ to what extent they contribute to rethinking our
female; black/white; homo/hetero are rendered relationship towards the political.
legitimate. Nevertheless as Deleuze and Guattari
make the point in A Thousand Plateaus: Capitalism Enslavement and the Reification of the
and Schizophrenia (2004), totality is atrocious, yet Culture Industry
fixations and embodiments (representations) Adorno and Horkheimer outline, that it is
continue to be sustained. This problematic is also the promise of the Enlightenment to bring about
implicit in the approach Hardt and Negri take2. That liberation from ignorance, by means of reason. As the
Cartesian notion of cogito ergo sum implies, the process
1  see also Benjamin in Zimmermann, 1990: 243)
2  Hardt, M. and Negri, A. (2000) Empire. Cambridge, of reasoning firstly asserts reality and secondly
MA: Harvard University Press. masters it in the sense, that both, a conceptual and
Hardt, M. and Negri, A. (2005) Multitude. London: technical mastery of reality are supposed (Adorno,
Penguin Books. 1991: 4). Yet, as the scholars further show, if the
The Oculus: Proceedings of the U21 Undergraduate Research Conference 109
intensification of production, creation of mass goods, communication. In fact, they stress, that the decline
and virtualised images are taken as the new logic of of industrial labour has changed the notion of
rationality, then rationality turns against itself: “The subjectivity (Hardt and Negri, 2003: 117). In essence
true aims of Enlightenment: freedom and happiness Hardt and Negri’s concept of the Multitude2 rests
[and] the path of enlightened rationality become upon the hypothesis that economic production is
occluded” (Adorno 1991: 4). The logic of capitalist simultaneously socially productive and carries the
production primarily sustains a limitless will to potential to resist the domination of capital (Hardt
appropriation: “Fetishism attaches itself [anklebt] to and Negri, 2005: 107). This statement makes their
the products of labour as soon as they are produced assumption explicit that the intensification of
as commodties, [it is] therefore inseparable from the technology as main means of production retains
production of commodities” (Marx cited in Derrida, the autonomy of individuals and the force of the
1994: 166). Consequently, the very same principles Multitude grows simultaneously with the expansion
of economic production extend on the sphere of of constraint, suppression and exploitation. Hardt
culture (Adorno, 1991: 3). Culture, initially regarded and Negri argue that liberation becomes the sole,
as the residual sphere of freedom from capital, common aim of the Multitude. Derrida, to whom I
produces an illusionary “realization of the right to will come in more detail shortly, argues however,
all gratification of desire while in reality continuing that articulating a common revolutionary desire is
the negative integration of society” (Adorno, 1991: always problematic. Hardt and Negri’s picture of a
3). This negative integration, or ‘double duty of spatially divided yet common suffering of the many
enslavement’, becomes apparent, for instance, in would simply return to
the transformation of the nature of art. According
to Adorno and Horkheimer “art is the emphatic “[…] orthodox Marxism in all its theoretical
assertion of […] the claim of sensuous particularity” and political forms. The whole totalitarian
(Adorno, 1991: 4). Under capitalism, the experience inheritance of Marx thought is bound up
of sensuous particularity is transformed into ‘life- with the demand, that every presentation
styles’. Life-styles are symptomatic for fetishisation. of difference should be given its proper
Initially artistic production carries the potential of place in the restricted economy of class
retaining the individual’s political capacity (Kirwan, struggle” (Derrida, 1994: 193).
2005) but “[t]he collapse of high art into the triviality
of culture industry [merely sustains] the bourgeois Thus, when analysing Hardt and Negri’s
need for materialism” (Adorno cited in Abbinnett, concept of the Multitude, it becomes clear that their
2006: 24) and acquisition of “l’art pour l’art” (Adorno inheritance of Marx cannot entirely refrain from
and Horkheimer, 1947:125); art for art’s sake. Thus, relying on embodiments (ontology) and ultimately
political capacity is degraded into a pure display gestures at a return to the notion of totalisation.
of material purchasing power. This is even more In this line of argument, the notion of irrevocable
explicit in the practice of advertising; an aesthetic enslavement of the mass is merely replaced with a
picture of reality is instated in which the prevalence notion of mutual recognition of common suffering.
of life-styles distracts from an alternative experience Consequently, by imagining itself as an ontological
of love, friendship and ethical responsibility. being, the Multitude sustains a “code”, which
Admittedly, Adorno and Horkheimer have presents an aestheticised picture of reality and
been criticised that the lack of application makes their which, similarly like the code of the commodity,
accounts dispensable3. However, I attempt to show, bears no relation to truth or authenticity.
that their work is significant for deconstructing the
pursuit of the promesse the bonheur (Adorno, 1991: The Non-iterability of the Image
4) and the “narcisstic pursuit of consumer comforts Derrida would argue against claims which
and possessions” (Lash, 1984 cited in Casey, 1995: locate authenticity in “the common”. In fact, for
24). Derrida totality is marked by the disruption of
This leads back to enquiring how the spectres as “seismic events” (Derrida, 1994)4. To some
emergence of new technological forces impact on the extent one can claim that the Frankfurt scholars and
‘political spirit’, so that it would be possible for an Marx have pre-identified the ‘specter’ by formulating
authentic, ethical demand to operate within such a the fetish character of commodities. I examine this
logic of political, cultural and economic agency. in more detail below. Traditional Marxists return
to the notion of authenticity as presenting itself
Ontology as Code as an ontologically coherent formation, like the
Hardt and Negri state, that the present “proletarian class” (or respectively “the Multitude”).
conditions of economic and social life are However, Derrida argues that coherence is always
characterised by permanent work and 4  see Derrida, J. (1994) Specters of Marx. The State of
3  cf. Adorno on his critics, 1991:244 the Debt, the Work of Mourning, and the New Inter-
national. London: Routledge
110
already infused by difference. Rendering difference as suggested by Marx. According to Derrida, Nergi
into coherency would deprive it of its transformative reproduces this gesture “which is still metaphysical,
capacity. As to the character of the “un-entity” i.e. because it is ontological” (259). Derrida identifies that
the spectre, Derrida argues, that the cognitive “clinging to ontology”, has perpetuated a promise of
perception of spectres, is mediated by language, and revolution, which has not been fulfilled. Thus, the
cannot be encompassed as ontological designation. paradigm of Marxism is rendered obsolete (257).
Language, constructs the symbol, which ‘represents’ In other words, by ascribing ontology to social
an ontological entity. To sum up this aspect of “embodiments” (institutions, representations,
Derrida’s position: etc.) would consequently reify the arbitrariness of
properties. This is why Derrida takes issue with a
“The ‘who’ of humanity (its inscription return to ‘ontology’ since he argues that the cycle of
in time, language and culture) emerges exploitation and the violence of inequality will not
through a technical relationship to inorganic be changed by doing so.
matter which is the condition of language, In sum, Negri takes ontology as an entity, which
and which constantly re-differentiates/ can be incorporeal, but its inherent property sustains
destabilizes the categories through which a particular ontological pertinence (Negri, 1999: 13).
the social being is articulated” (Abbinnett, For Derrida on the other hand, ontology is merely
2006: 111). an intangible flux. The properties which ‘ontology’
accumulates are rooted in particularised and
Thus, the question I want to examine in the personalised desires, fears, fetishes, images. In this
following is preoccupied with the constitution of respect, Derrida suggests that stabilised knowledge
ontology and its relationship to representation. or ‘authenticity’ is merely reification. In other words,
reification/abstraction becomes representation and
Excursus: Ontology stabilises itself as “more real” than its actual state as
As I have outlined earlier, the fetish lives discursive/spectral construction.
through its form as property5 which constructs real
hierarchical relations. In this respect, Negri sketches Representation and the Political
out, that the subject can, however, assert itself as Negri’s and Derrida’s stances on ontology
not affected by spectres6. In other words, the finally need to be taken into the sphere of politics.
conscious revolutionary can re-appropriate the However, considering the kind of politics, which
spectres, which sustain the domination of capital they anticipate, there is a fundamental difference
and re-demonstrate, as Marx has coined it, one’s real in their approach. Again, it is problematic that
interest. Thus, for Negri, the inheritance of Marx, i.e. many successors of the “spirit of Marx” become
resistance against exploitation and inequality, must lost in attempts to formulate a totalitarian Marxism
be upheld in order to account for what is undeniably (Bedggood, 1999), which disregards the haunting
real (and according to Negri, non-spectral), like and returning issue of contingency. A demand
exploitation and flight from exploitation (Negri, for representational (i.e. objectified in symbol,
1999: 12). Consequently, Negri criticises Derrida materialised as presence) politics will reinstate
for not referring to the material reality of these imposed consensus, finality, performativity, i.e.
relations (13) and thus, for Negri, exploitation needs everything which silences genuine diversity
to be demystified, exactly by equating presence (i.e. (Haber, 1994: 37). Yet, it would be wrong to suggest
the ‘real’) with ontology. Hence, Negri criticises that the underlying principles of revolutionary
Derridean deconstruction to be a game, which is formations, like Multitude (Hardt and Negri) or
played out in mysticism, making an overturning of New International (Derrida) occupy an adversely
injustice impossible. Negri importantly argues that opposed political and theoretical space, both are
rejecting a material concept of ontology makes the conceptualised as
subject “unlocatable”, because as a spectre it wouldn’t
have any tangible measure (i.e. no target or victim) “[…] link of affinity, suffering, and hope,
(9). Yet, in contrast for Derrida, “the most problematic a still discreet, almost secret link, […]
aspect of Marx is [his desire] to conjure away any without status, without title, and without
and all spectrality as to recover the full, concrete name, […] without contract, [...] , without
reality of the process of genesis hidden behind the coordination, without party, without
specters mask” (Derrida, 1999: 258). That is, Derrida country, without national community.
strictly refrains from a “re-ontologisation” in the [It] calls to the friendship of an alliance
sense, that there is a “truer” reality to be discovered, [it is] a kind of counter-conjuration, in the
(theoretical and practical) critique of [...] the
5  Eigentümlichkeit cf.Hegel
concepts of State and nation, and so forth”
6  In Sprinker, M. (ed) (1999) Ghostly Demarcations. A
Symposium on Jacques Derrida’s Spectres of Marx. (Derrida, 1994: 85 – 86, Hardt and Negri,
London: Verso 2000: 66; Hardt and Negri, 2003: 126).
The Oculus: Proceedings of the U21 Undergraduate Research Conference 111
However, for Derrida, links and alliances are of its self-representation. However, implying a direct
contingent, and a stable, coherent revolutionary relationship between “being” and “representation”
manifestation is impossible. There is continuous alludes to that the representational properties
rupture through techno-prosthetic modifications precede the subject as absolute eideon (108). Derrida
of the body, change of the public and private rejects this. There is no external, objective reality,
social fabric and theoretical challenges to legal as implied in representation, which would be ‘truer
and philosophical conventions (Abbinnett, 2006: than reality’. Consequently, representations are not
189), which impede a formation of a single body of obstructed by ideology either, in the sense, that a
opportune organisation. Hardt and Negri’s concept, direct mediation of truth/authenticity is obscured.
despite their assertion, that the Multitude has a “new Nevertheless, representations are designated within
physiology”, which organises itself without centre, the boundaries of a proper place for the representing
without name etc., gestures towards ultimately and subject and express merely a subjective experience
necessarily reverting into identity politics, because it (122). On the scale of politics, this compels nations
incorporates contingency into a ‘singular flesh’ of the into becoming the image they construct for
Multitude (Hardt and Negri, 2003: 162). The Multitude themselves and as a result the artificial construction
anticipates defeating injustice and exploitation, but between subject and its representation creates a
as we have seen, the unfulfilled fate of supposedly world after its own image8.
fixed ontological formations and what they stand
for is always-already subject to transformation, Concluding remarks on Derrida’s
because limits are constantly exceeded (i.e. who/ Marxism
what is the ‘proletariat’ anyway? Whom does the Derrida’s issue with adhering to an objective
Labour Party in Great Britain represent etc.?). Thus, truth and ontology, has encouraged charges of
any ontologically fixed representation can only “nihilism” (Wolin) or “obscurity” (Rorty; Foucault;
be of temporary nature, since ‘fixation’ can only Chomsky)9. It appears problematic to his critics, that
signify a passage towards future transformations. Derrida argues against essentialism but by doing
So, other than conceptualising a designation of one so, he expounds the arbitrariness of structure and
common desire, one needs to retour to an analysis of the impossibility to assert an objective truth. By
the perpetuation of unspecified proprietary articles discussing ‘Envoi’, I have shown that for Derrida
(Adorno and Horkheimer. 1947: 157) and how these ontology and knowledge/truth relate to the (mis)
offer a transgression of our own cultural, economic practice of representation. Simultaneously, this is
and legislative horizon. not to say, that we are merely submersed in words
(Derrida, 2004) and could refrain from embodiments
Envoi altogether, nevertheless, we only supposedly come
In this respect, Derrida’s account titled to ‘understand’ objects and embodiments through
‘Envoi’ (Derrida, 2007) deconstructs the traditional subjective ascriptions of properties onto the object.
understanding of representation, which relates Presence alone cannot constitute the content of
representation to subjectivity as an outcome of meaning. Therefore, one needs to refrain from
a process of commodity gathering (Abbinnett, ‘interpreting’ and ‘analysing’ presence, because
2006)7. According to Derrida, the multiplicity/ the connection, which we draw, is ultimately a
contingency of “representation” (political, aesthetic/ construction, a representation. Consequently, being
artistic, linguistic etc.) needs to be firstly unfixed of must remain an ‘absent being.’ Here the charge of
notions, which ascribe an essential, “pure” kernel of nihilism comes in; how can meaning not come from
signification to it and secondly, consequently, there something that is? Is absence not vacuous? (Hale,
cannot be a saturation of the context, in which the 2004). Derrida responds, that this is not to say, that
usage of representation is finalised. For Derrida, the absence is ‘nothing’ as we know it in its reference
practice to think what representation means in itself, to presence (‘something’). To clarify, representation
invokes an essence of it, and consequently provides must remain ‘absent’ from linguistic designation
the illusionary impression, that one actually would which fix systems of inter-references and suppose
find an answer to what “representation” essentially a finite meaning (e.g. Mother/Son; some-thing/
is (cf. Platonian eidos) (Derrida, 2007: 99). As Hardt no-thing; ignorance/compassion etc). Yet, there is
and Negri (presumably unwillingly) confirm, no essential logic in words or representation, which
this practice stems from the recurrent desire to would presuppose legitimacy or objectivity;
find a regulator which would steer the chaos of “We make signs and yet signs make us
“inter-expressive relations” (101). That is, as I have and we can never step outside the network of
discussed above, it persists within Hardt and Negri’s sign making” (Milibank cited in Hale, 2004).
account that the Multitude is fixed by the boundaries However, critical engagement with postmodern
7  Due to limited space, it is not possible to reproduce the thought involves that fixations are deconstructed,
depth of Derrida’s argument. This is a complementary 8  cf. Marx and Engels 1848
account to why one must reject “identity politics”. 9  cf. Hale, 2004
112
whilst retaining a sense for ‘the political’. Derrida 3. Bedggood, D. (1999) Saint Jacques: Derrida and
maintains the political spirit of ‘Marxism’, which the Ghost of Marxism. Cultural Logic [online] 2
is the struggle to transform existing relations and (2) Available from: http://clogic.eserver.org/2-2/
exploitation but be attempts to shift away from bedggood.html#note106
the determinist elements of Marx’s and Marxist 4. Derrida, J. and Kamuf, P. (1985) Racism’s Last
thinking (Abbinnett, 2006). This serves to rethink Word. Critical Inquiry, “Race”, Writing and
the conceptual linkage “struggle/suppression” since Difference. 12(1): 290-299
it infers a self-contained logic; opposition renders 5. Hale, J.G. (2004) Derrida, Van Til and the
its respective counterpart coherent. Paradoxingly, Metaphysics of Postmodernism. Reformed
this reveals structure as self-imposed, rather than Perspectives Magazine [online] 6 (19) Available
objective. Therefore, in Derrida’s Marxism, structure from: http://www.thirdmill.org/files/
needs to escape objective determinism, which reformedperspectives/hall_of_frame/HOF.Hale.
imposes a coherency onto ‘things’, so they appear as Derrida%20and%20VanTil.6.30.04.html#F4A
un-contingent things-in-themselves. That is, fixing
an ontological representation ultimately restores Books
control over difference (Hale, 2004), which is, not 6. Benjamin, W. (1992) (trans) Zhon, H.
to forget, a subjective practice. Derrida’s response is Illuminations. London: Fontana.
that “in the name of justice then, language needs to 7. Casey, C. (1995) Work, Self and Society. After
be deconstructed, in order to show that no one’s ideas Industrialism. London: Routledge.
can be grounded in truth, but rather are grounded in 8. Deleuze G. and Guattari, F. (2000) (trans)
subjective motivations” (Derrida cited in Hale, 2004). Hurley, R. Et al. Anti-Oedipus: Capitalism and
Schizophrenia. London: Athlone Press.
Endnotes 9. Deleuze, G. (1984) (trans) Tomlinson, H. And
1  “No object has an inherent value; it is valuable Habberjam, B. Kant’s Critical Philosophy. The
only to the extent that it can be exchanged; use Doctrine of the Faculties. London: The Athlone
value determines the fetish value [which] is the Press
only quality [to be] enjoyed” (Marx, 1976 and 10. Deleuze, G. and Guattari, F. (2004) (trans) Brian
Adorno and Horkheimer, 1947: 158). Massumi. A Thousand Plateaus: Capitalism
2  The Multitude presents an autonomous form and Schizophrenia. London: Continuum.
of a socio-economic organisation. It is a self- 11. Derrida, J. (1994) Specters of Marx. The State of
engendered entity, which accumulates its the Debt, the Work of Mourning, and the New
revolutionary force without requiring a International. London: Routledge.
central authoritative body (Hardt, 2009). The 12. Derrida, J. (1999) “Marx and Sons” In Sprinker,
omnipresence of Empire, which is sustained M. (ed) Ghostly Demarcations. A Symposium
through technology, simultaneously generates on Jacques Derrida’s Spectres of Marx. London:
forces of creativity, which aid to construct a Verso. pp. 213 - 269
counter-Empire, “the Multitude”. It provides “[…] 13. Derrida, J. (2000) (trans) Bowlby, R. Of
an alternative political organization of global Hospitality: Anne Durfourmantelle invites
flows and exchanges” (Hardt and Negri, 2005 Jacques Derrida to respond. Stanford, CA:
p.142) and possesses revolutionary potential, Stanford University Press.
which is released through the exodus of the 14. Derrida, J. (2007) “Envoi” In Psyche, Inventions
surplus value of living, i.e. immaterial labour of The Other. Tome 1. Stanford, CA: Stanford
(ibid). According to Hardt and Negri, it is the University Press. pp. 94-128
destiny of the Multitude to control the present 15. Frissen, P.H.A. (1999) Politics, Governance and
global transitions by inventing new democratic Technology. A Postmodern Narrative on the
forms and go beyond the rule of Empire. Virtual State. London: Edward Elgar.
16. Haber, H.F. (1994) Beyond Postmodern Politics.
References Lyotard. Rorty. Foucault. London: Routledge
Articles and Web 17. Hamacher, W. (1999) “Lingua Amissa: The
1. Abbinnett, R. (2006a) Spectres of Class: Messianism of Commodity Language and
Marxism, Deconstruction and the Politics of Derrida’s Specters of Marx.” In Sprinker, M.
Affiliation. Journal for Cultural Research 10 (1): (ed) Ghostly Demarcations. A Symposium on
pp.1-22. Jacques Derrida’s Spectres of Marx. London:
2. Abbinnett, R. (2007) Untimely agitations: Derrida, Verso. pp. 168 - 212
Klein and Hardt and Negri on the Idea of Anti- 18. Hardt, M. and Negri, A. (2000) Empire.
Capitalism. Journal for Cultural Research 11 (1): Cambridge, MA: Harvard University Press.
41-56
The Oculus: Proceedings of the U21 Undergraduate Research Conference 113
19. Hardt, M. and Negri, A. (2003) “Globalization 39. Werbner, P. and Modood, T. (1997) Debating
as ‘Empire’?” In Held, D. and McGrew, A. (eds) Cultural Hybridity: Multicultural Identities
(2003) The Global Transformations Reader. An and the Politics of Anti-Racism. London: Zed.
Introduction to the Globalisation Debate 2nd ed. 40. Wrong, D.H. (1978) Power: Its Forms, Bases and
Cambridge: Polity. pp. 116 – 119 Uses. Oxford: Blackwell.
20. Hardt, M. and Negri, A. (2005) Multitude. 41. Zimmermann, M. E. (1990) Heidegger’s
London: Penguin Books. Confrontation With Modernity. Technology,
21. Heidegger, M. (1950) (8th edition 2003) Holzwege. Politics, Art. Indiana USA: Indiana University
Frankfurt am Main: Friedrich Wilhelm von Press.
Herman
22. Kainz, H. (1974) Hegel’s Philosophy of Right
with Marx’s Commentary: A Handbook for
Students. The Hague: Martinus Nijhoff.
23. Kant, I. (1993) (trans) Beck, L.W. Critique of
Practical Reason. (3rd ed.) New Jersey: Library of
Liberal Arts, Macmillan Publishing Company.
24. Kant, I. (trans.) Zweig, A. (2002) Groundwork
for the Metaphysics of Morals. Oxford: Oxford
University Press
25. Kirwan, J. (2005) Sublimity. Oxon: Routledge.
26. Marx, K. (1973) (trans) Nicolaus, M Grundrisse.
Foundations of the Critique of the Political
Economy. London: Penguin Group
27. Marx, K. and Engels. F. (1983) Manifest der
Kommunistischen Partei. Grundsätze des
Kommunismus. Stuttgart: Reclam.
28. Massumi, B. (1992) A User’s Guide to Capitalism
and Schizophrenia. London: MIT
29. Močnik, R. (1999) “After the Fall: Through the
Fogs of the 18th Brumaire of eastern Springs.”
In Sprinker, M. (ed) Ghostly Demarcations. A
Symposium on Jacques Derrida’s Spectres of
Marx. London: Verso. pp. 110 – 133
30. Negri, A. (1999) “A Specter’s Smile” In Sprinker,
M. (ed) Ghostly Demarcations. A Symposium
on Jacques Derrida’s Spectres of Marx. London:
Verso. pp. 5 – 16
31. Negri, A. (2003) Time For Revolution. London:
Continuum.
32. Silverman, A.J. (2002) The Dialectic of Essence: A
Study of Plato’s Metaphyics. Oxford: Princeton
University Press.
33. Smith, A. (2001) Nationalism: Theory, Ideology,
History. Cambridge: Polity.
34. Sprinker, M. (ed) (1999) Ghostly Demarcations.
A Symposium on Jacques Derrida’s Spectres of
Marx. London: Verso.
35. Taylor, C. (1979) Hegel and Modern Society.
Cambridge University Press: Cambridge.
36. Levin, D.M. (1988) The Opening of Vision:
Nihilism and the Postmodern Situation.
London: Routledge.
37. Weber, M. (1907) “The concept of ‘Following a
Rule’” In Runciman, W.G (ed.) (1978) Selections in
translation. Cambridge: Cambridge University
Press. pp.99 - 110
38. Wellmeer, A. (1991) The Persistence of
Modernity. Cambridge: Polity Press in
association with Basil Blackwell.
114
The Role of Connexins in Adult Neurogenesis
Xien Lei Liversidge
The University of Auckland

Abstract

Connexins are a family of transmembrane proteins with diverse roles in neurogenesis, the
generation of new neurons, in the perinatal brain. Currently little is known regarding the role of connexins
in adult neurogenesis, however, early studies of the hippocampus indicate a role for connexins in modulating
neuronal proliferation. The focus of this project is the subventricular zone (SVZ), a centre of neurogenesis
in the adult brain. Neuroblasts generated in the SVZ migrate towards the olfactory bulb, through the rostral
migratory stream (RMS) in close interaction with supporting astroglial cells. Factors which facilitate adult
neurogenesis are currently of interest as enhancement of endogenous neurogenesis pathways in the adult
brain would provide a novel means of replacing degenerating neurons. To characterise the expression of
Cx30 and Cx43 by the major cells types present in the SVZ/RMS, perfused adult mouse brains were serially
sectioned. A series of sections at 280 µm intervals was used to determine the expression of connexins in
the SVZ/RMS. For each connexin isoform of interest, sections were fluorescently immunolabelled for a
single connexin isoform, doublecortin (neuroblasts) and glial fibrillary acidic protein (astroglia). Sections
were visualised using widefield fluorescence microscopy. Initial results indicate colocalisation of Cx43 with
neuroblasts throughout the SVZ/RMS. Conversely, Cx30 is strongly colocalised with neuroblasts present
in the RMS but not the SVZ. Further analysis of the distribution of connexins within the SVZ/RMS will
lead to a greater understanding of the role of these connexin isoforms in adult neurogenesis based on their
identified roles in perinatal neurogenesis.

Introduction allows maintenance of a cell population necessary


Neurogenesis, the generation of new neurons, for transmission of olfactory information. It has
is a highly coordinated process which relies on been shown that during acute and chronic states of
direct interactions between immature neurons brain injury, the rate of cell proliferation in the SVZ
(neuroblasts) and neural stem cells (glial cells). becomes greatly elevated, giving rise to neuroblasts
During neurogenesis, glial cells proliferate to which migrate towards the injury site and replace
generate neuroblasts, which then migrate to often neurons that have been lost. Only a small proportion
distant regions of the brain where they will form of the neuroblasts generated in the SVZ in response
the permanent cellular elements of the adult brain to brain injury survive and mature to take on the
by taking on the characteristics of mature neurons, a characteristics of the degenerated neurons (9).
process called differentiation (1, 2). The factors which facilitate neurogenesis are
It is well established that connexins, a family of currently of great interest as enhancement of this
20 transmembrane proteins of which approximately endogenous neurogenesis response to brain injury
11 isoforms have been identified in neural tissue, have could give rise to the development of novel strategies
roles in multiple aspects of neurogenesis occurring to treat neurodegenerative disease. Currently, little
in the perinatal brain (3, 4). Connexin subunits is known regarding the role of connexins in adult
associate to form connexons, these may dock with neurogenesis, however the involvement of connexins
connexons of adjacent cells hence providing a means in perinatal neurogenesis and the presence of
of direct intercellular communication and adhesion. numerous similarities between perinatal and adult
Alternatively, connexons may remain undocked to neurogenesis processes (1) raises the question of
function as a conduit for communication between whether connexins play a role in facilitation of adult
the intracellular fluid and extracellular environment. neurogenesis.
One simple example of the involvement of connexins The aim of this research is to characterise
in perinatal neurogenesis is that when connexin (Cx) the expression of two connexin isoforms, Cx30
43 expression is absent from the perinatal brain, the and Cx43, in the SVZ and RMS of the adult mouse
process of cell migration is severely impaired (5). brain. There have been no previous studies on the
The focus of this study is a region of the expression of connexins within this neurogenesis
adult brain named the subventricular zone (SVZ). pathway in the adult brain. However, studies of the
Normally, neuroblasts generated in the SVZ migrate subgranular zone of the hippopcampus, another
through the rostral migratory stream (RMS), in a major neurogenesis centre of the adult brain,
tube composed of supporting astroglial cells, to the indicate that these connexin isoforms are required
olfactory bulb (OB) where neuroblasts differentiate for normal cell proliferation to occur (10).
to become OB interneurons (6-8). This process
The Oculus: Proceedings of the U21 Undergraduate Research Conference

Figure 1. Arrows of the same type in corresponding areas of paired images (above and below of each column) indicate putative regions of colocalisation between doublecortin (Dcx) immunolabelled
cells and Cx30 or Cx43 immunolabelling. (A) Cx30 in the RMS, (B) Dcx in the RMS, (C) Cx30 in the SVZ, (D) Dcx in the SVZ, (E) Cx43 in the RMS, (F) Dcx in the RMS, (H) Cx43 in the SVZ,
(I) Dcx in the SVZ. All images were obtained at 400x magnification.
115
116
Methods antibodies were omitted were prepared in an
Adult mice (C57 strain, average 25 grams otherwise identical manner to that described above
weight) were sacrificed using sodium pentobarbital Slides were visualised using a Zeiss Axioplan2
overdose and transcardially perfused using ice cold microscope. Exposure times used to obtain images of
0.9% saline, followed by 4% paraformaldehyde in 0.1 each of the three fluorophores were kept constant for
M phosphate buffer (pH 7.4). After removal, brains each fluorophore type. Images of the three channels
were post fixed in 4% paraformaldehyde overnight were assigned pseudo-colours and overlayed
and stored in cryoprotective solution (30% sucrose using ImageJ software. Putative colocalisation of
diluted in 0.1M phosphate buffer). Coronal sections of connexins with specific cell types was identified
30 µm thickness were cut using a sliding microtome as overlapping pixels between the channels that
(Leica SM2000R; Leica Microsystems). Sections were capture Cx signal and Dcx or GFAP signal.
divided into 8 series, each series contained sections
at intervals of 280 µm along the length of the SVZ/ Results
RMS pathway. Prior to use, sections were stored in Images suggest that Cx30 is expressed to a
cryoprotective solution (30% ethylene glycol and comparatively high level and is strongly colocalised
30% sucrose) at -20°C. with Dcx positive cells in the mouse RMS (Figure:
To examine the relationship between the A and B). In contrast, Cx30 expression levels are
expression of Cx30 and Cx43 with neuroblast and lower in the SVZ and a corresponding lower level
astroglial cell types present in the SVZ/RMS, triple- of colocalisation with Dcx cells is observed (Figure:
antibody labelling experiments were performed. The C and D). Cx43 is expressed to a high degree in both
protocol described below allowed specific antigens the SVZ and RMS and is strongly colocalised with
of interest (e.g. Cx30) to be detected using antibodies Dcx cells (Figure: E, F, G and H). No convincing
conjugated to fluorophores which emit light at evidence of colocalisation of either of the connexin
characteristic wavelengths. Following each antibody isoforms of interest with GFAP immunolabelled
incubation period, sections were washed four times cells was found (images not shown).
for 5 minutes in PBS-Tween (0.2%) (PBS-T). All
antibodies were diluted in immunobuffer composed Discussion
of 1% normal donkey serum (NDS) diluted in PBS-T. Images obtained in this study strongly suggest
Sections were washed overnight in phosphate the presence of Cx30 and Cx43 in the SVZ/RMS
buffered saline (PBS) followed by four 5 minute pathway of the adult mouse brain. These connexin
rinses in PBS-T. Sections were then blocked to isoforms are expressed by neuroblasts which were
minimise non-specific antibody reactivity for identified using Dcx as a marker. Their localisation
1 hour at ≈20°C using 3% NDS (Sigma) and 2% in this specialised pathway of neurogenesis suggests
bovine serum albumin (AppliChem) diluted in that they are involved in neurogenesis in the SVZ/
PBS-T. To detect neuroblasts and astroglial cells RMS as protein function is often associated with
respectively, sections were incubated with anti- anatomical location.
doublecortin (Dcx) (1:500 dilution, goat polyclonal, Images obtained using wide-field fluorescence
Santa Cruz Biotechnology) and anti-glial acidic microscopy contain out-of-focus blur which limits
fibrillary protein (GFAP) (1:10,000 dilution, the confidence with which the location of connexin
mouse monoclonal, Sigma) primary antibodies. immunolabelling within brain sections can be
Antibody incubations were done overnight at 4°C. predicted. In order to confirm the observations
Sections were then incubated with anti-goat and described, the above experiment will be repeated
anti-mouse secondary antibodies conjugated to using confocal microscopy to obtain higher
fluorophores Alexa 594 and Alexa 647 respectively resolution images. Images obtained using confocal
(1:750 dilution, polyclonal donkey, Invitrogen) for microscopy will also be used to perform quantitative
4 hours at ≈20°C. To detect connexin isoforms of analyses of connexin expression and colocalisation
interest, sections were incubated with anti-Cx30 with neuroblasts within the SVZ/RMS pathway.
(1:250 dilution, polyclonal rabbit, Invitrogen) or I plan to further investigate relationships
anti-Cx43 (1:500 dilution, polyclonal rabbit, Sigma- between connexin colocalisation with neuroblasts
Aldrich) antibodies overnight at 4°C. Then sections in the SVZ/RMS by performing immunolabelling
were incubated with anti-rabbit secondary antibody experiments where neuroblasts at varying
conjugated to Alexa 488 (1:750 dilution, polyclonal stages of maturity can be identified. Using this
donkey, Invitrogen) for 4h at ≈20°C. Sections were information and data obtained from investigations
mounted onto glass slides and glass coverslips were of the role of connexins in neurogenesis occurring
applied using ProLong Gold mounting medium in the perinatal brain, it may be possible to make
(Invitrogen). To confirm that secondary antibodies inferences regarding the role of connexins in adult
used did not contribute significantly to background neurogenesis.
signal by non-specifically binding to brain sections
during incubation periods, sections where primary
The Oculus: Proceedings of the U21 Undergraduate Research Conference 117
Acknowledgements
The supervision and support of Dr Simon
O’Carroll, Professor Louise Nicholson and
Associate Professor Bronwen Connor (Centre for
Brain Research, Faculty of Medical and Health
Sciences, The University of Auckland) is gratefully
acknowledged.

References
1. Cayre M, Canoll P, Goldman JE. 2009. Cell
migration in the normal and pathological
postnatal mammalian brain. Progress in
Neurobiology.88(1):41-63.
2. Kriegstein AR, Noctor SC. 2004. Patterns of
neuronal migration in the embryonic cortex.
Trends in Neurosciences.27(7):392-9.
3. Sutor B, Hagerty T. 2005. Involvement of gap
junctions in the development of the neocortex.
Biochimica et Biophysica Acta (BBA) -
Biomembranes.1719(1-2):59-68.
4. Elias LAB, Kriegstein AR. 2008. Gap
junctions: multifaceted regulators of
embryonic cortical development. Trends in
Neurosciences.31(5):243-50.
5. Fushiki SM, Velazquez JLPP, Zhang LP, Bechberger
JFM, Carlen PLM, Naus CCGP. 2003. Changes in
Neuronal Migration in Neocortex of Connexin43
Null Mutant Mice. Journal of Neuropathology &
Experimental Neurology.62(3):304-14.
6. Doetsch F, Garcia-Verdugo JM, Alvarez-Buylla
A. 1997. Cellular Composition and Three-
Dimensional Organization of the Subventricular
Germinal Zone in the Adult Mammalian Brain.
Journal of Neuroscience. July 1, 1997;17(13):5046-
61.
7. Doetsch F, Caillé I, Lim DA, García-Verdugo JM,
Alvarez-Buylla A. 1999. Subventricular Zone
Astrocytes Are Neural Stem Cells in the Adult
Mammalian Brain. Cell.97(6):703-16.
8. García-Verdugo JM, Doetsch F, Wichterle H,
Lim DA, Alvarez-Buylla A. 1998. Architecture
and cell types of the adult subventricular
zone: In search of the stem cells. Journal of
Neurobiology.36(2):234-48.
9. Curtis MA, Faull RLM, Eriksson PS. 2007.
The effect of neurodegenerative diseases on
the subventricular zone. Nature Reviews
Neuroscience.8(9):712-23.
10. Kunze A, Congreso MR, Hartmann C, Wallraff-
Beck A, Huttmann K, Bedner P, et al. 2009.
Connexin expression by radial glia-like cells is
required for neurogenesis in the adult dentate
gyrus. Proceedings of the National Academy of
Sciences. July 7, 2009;106(27):11336-41.
118
Capacity Factors of a Point-to-point Network
Yuan Li, Yue Zhao and Haibin Kan
Fudan University

Abstract
In this paper, we investigate some properties on capacity factors, which are first proposed in [5] to
investigate the link failure problem based on network coding. And then we obtain an equivalent condition
to characterize edges in D-set and H-set of a point-to-point acyclic network, where D-set is the union of
edges of all capacity factors and H-set consists of all the remaining ones. Besides that, some computational
hardness results relating to capacity factors are obtained. We prove that deciding whether there is a capacity
factor with size not less a given number is NP-complete.

Introduction the edge from u to v. If there are k edges from u to v,


The more recent study of network coding we denote by <u, v>k the set consisting of edges from
shows that [4] by coding at internal vertices, one u to v, or simply denote it by <u, v> when there is no
can achieve the optimal capacity of a multicast ambiguity. For an edge e = <u, v>, u is called the tail
network, which is upper bounded by the maximum of e and denoted by tail(e), and v is called the head of
flow(minimum cut) of the network. However, this e and denoted by head(e).
optimal capacity can not be achieved by traditional If F⊆E, denote by N\F the network obtained
routing scheme. by deleting edges in F from N. If V’⊆V , denote by
Here comes a question: for a network coding- N(V’) the network consisting of vertices in V’ and
based network, is it still appropriate to evaluate the edges among V’ of N, calling the vertex-induced
its reliability by traditional concepts like edge- network of N by V’. For V1, V2⊆V , denote by [V1, V2]
connectivity as mentioned above? For traditional the set consisting of all links with tails in V1 and
networks where only routing schemes are adopted, heads in V2. For a network N = (V, E, S, T), an S-T
the communication will not be ruptured in case cut of N is [V1, C(V1)] such that V1 is a subset of V
of edge failures as long as at least one path from containing all vertices in S but not containing any
source to the sink vertex still exists. However, in vertex in T. A minimum S-T cut of N is an S-T cut
network coding-based network, the communication with the minimum size, denoted by CN(S, T).
will be degraded even if the failures of an edge set It is well known that, for a point-to-point
may reduce the number of disjoint paths between network N = (V, E, s, t), the maximum flow from s to
source and sink vertices for the network capacity is t is equal to the minimal s-t cut of N and a feasible
decreased. flow is a maximum flow if and only if there is no
Koetter et al. [6] first mentioned the edge augmenting path in the corresponding residual
failure problems in network coding based networks. network(Max-flow Min-cut Theorem [9], [10]). If each
Cai and Fan [5] formally proposed the concept of link in N has unit capacity, then the maximum flow
capacity factor and capacity rank. The capacity rank f of N corresponds to |f| edge-disjoint paths from s
characterizes the criticality of a link for the network to t in N (Integrality Theorem [10]). Throughout the
communication. paper, we always assume each link has unit capacity.
Let N = (V, E, s, t) be a point-to-point network.
Preliminaries For any vertex v∈V, we can assume that there exists
In this section, we review some basic definitions, a path from s to t in N which passes the vertex v.
notations and results, which will be used in the Otherwise, we can delete the vertex v because v is
sequel. useless for the communication between s and t in
A communication network is a collection of N. Similarly, for any edge e∈E, we can assume that
directed links connecting transmitters, switches, there exists a path from s to t which passes the edge
and receivers. It is often represented by a 4-tuple N e.
= (V, E, S, T), where V is the vertex(node) set, E the
edge(link) set, S the source vertex set and T the sink Definition 1. [5] Let N = (V, E, s, t) be a point-to-
vertex set. A communication network N is called a point network. A nonempty subset F of E is a
point-to-point communication network if |S| = |T| capacity factor of N if and only if the following two
= 1, denoted by N = (V, E, s, t), where s is the source conditions hold:
vertex and t the sink vertex. 1. CN\F (s, t) < CN(s, t);
Without loss of generality, we may assume that 2. CN\F’ = CN(s, t) for any proper subset F’ of F.
all links in a network have the same capacity, 1 bit N\F denotes the induced network formed by
per transmission slot. For u, v∈V, denote by <u, v> deleting F in N.
The Oculus: Proceedings of the U21 Undergraduate Research Conference 119
By this definition, for a capacity factor F, adding Proposition 5. Let N = (V, E, s, t) be a point-to-point
any one edge e∈F in the point-to-point network N\F network. For an edge set F⊆E containing e, if CN\F(s,
will increase the maximum flow. Since adding one t) < CN(s, t) and CN\F∪e(s, t) = CN(s, t), then there exists
edge can increase the maximum flow by at most 1, a capacity factor F’⊆F and e∈F’.
we have CN\F(s, t) = CN(s, t)−1. Proof: We prove this proposition by construction.
Consider the following collection
Definition 2. [5] Let N = (V, E, s, t) be a point-to- FS = {F’ | F’ ⊆ F and CN\F’(s, t) < CN(s, t)}.
point communication network. The collection of For any F’∈FS, if e is not in F’, we have N\F’=
all its capacity factors D = {F1, F2, …, Fr} is called the N\F’∪e⊇N\F∪e, which implies CN\F’ (s, t) ≥CN\F∪e =
capacity factor set of N. While D =∪i=1 Fi is called the CN(s, t). This is contradicted with CN\F’(s, t) < CN(s, t).
D-set of N and H = E\D is called the H-set of N. Therefore, e must be in F’.
Taking the element F’min in FS with minimum
By the definition, it is not hard to see that size, we will see F’min is a capacity factor. By the
CN\H(s, t) = CN(s, t). Thus, the edge set of a point-to- definition of collection e F, CN\F’min(s, t) < CN(s, t)
point network can be decomposed into two disjoint holds. Now consider any proper subset F’x of F’min.
parts, namely D-set and H-set, which represent If CN\F’x(s, t) < CN(s, t), we have found an element
the “important” links and the“unimportant” links. in FS with smaller size, which is contradicted with
Link failures in H-set will not decrease the network the minimality of F’min. Thus CN\F’x(s, t) < CN(s, t),
capacity, which is the value of maximum flow. which coincides with the definition of capacity
However, this classification is a little rough. The factor. So F’min is a capacity factor containing e.
next definition gives a concept characterizing the Q.E.D.
criticality of a link more precisely.
Proposition 6. Let N = (V, E, s, t) be a point-to-point
Definition 3. [5] Let N = (V, E, s, t) be a point-to- network. If N can be decomposed into CN(s, t) edge-
point network. The capacity rank of a edge e∈E is disjoint paths, then for any e∈E, we have CN\e(s, t) =
the minimum size of the capacity factors containing CN(s, t) − 1.
e, denoted by CRN(e) or CR(e) when there is no Proof: Let N’ = N\e, m = CN(s, t). Denote the m
ambiguity. If there is no capacity factor containing e, edge-disjoint paths by P1, P2, … , Pm. Without loss of
we define CR(e) =∞. generality, we assume e is in Pm and Pm = (u1, u2, …,
uk, uk+1, … , ul), where ⟨uk, uk+1⟩ = e and 1≤k≤l−1.
The links with smaller capacity ranks are of Clearly, there is a feasible flow f on N’, which is
higher criticality. How to calculate the capacity consisting of m−1 edge disjoint paths P1, P2, …, Pm−1
rank of a given edge? Until now, the problem is still and hence CN’(s, t)≥m−1. Recalling Max-flow min-
open. Since some evidence [8] shows that it may be cut theorem, we know that a flow f is a maximum
difficult to develop an efficient algorithm. A direct flow if and only if there is no augmenting paths on
idea is to find all the capacity factors and then decide the residual network. So it is sufficient to show the
the capacity rank of each edge. Figure 1 shows it’s residual network N’f has no augmenting path.
impractical since the number of capacity factors may Note that all networks considered throughout
grow exponentially with the size of network. the paper are acyclic. We assign each vertex an
integer label by topological order, such that ⟨u, v⟩∈E
Some Ppoperties of Capacity Factor implies label(u) < label(v).
In this section, we first investigate some According to the edge direction in network
properties of capacity factors and then give a N, all the edges in the residual network N’ can be
condition to distinguish edges between D-set and partitioned into two parts, forward edges and
H-set. reversal edges. Consider all the forward edges in
N’f, which can be viewed as the union of two paths,
(u1, …, uk)∪(uk+1, …, ul), u1 = s and ul = t. By the label
properties of vertices, for a forward edge (u, v) and a
reversal edge (u’, v’), we have label(u) < label(v) and
label(u’) > label(v’) respectively. Since u1 < u2 < …
< ul, there is no reversal edge with head in {uk+1, …,
ul} and tail in {u1, …, uk}. Therefore, u1(=s) and ul(=t)
are disconnected and there is no augmenting path in
the residual network N’f . This completes our proof.
Q.E.D.

Theorem 7. Let N = (V, E, s, t) be a point-to-point


network. For any e∈E, e is in D-set if and only if
Figure 1. Network with unit capacity
there exists a path P containing e, such that CN\P(s, t)
120

Figure 2. A unit capacity network Figure 3. The network constructed for a given expression

= CN(s, t)−1. Computational Hardness Relating to


Proof: Necessity. Let m = CN(s, t). Since e is in D-set Capacity Factors
of the network N, by the definition of D-set, there We consider the Maximum Capacity Factor
must be a capacity factor containing e, which is (MCF) problem for a point-to-point network which
denoted by F. Recalling the definition of capacity might have cycles. Given a point-to-point network N
factor, for a proper subset F’ = F\e of F , we have = (V, E, s, t) and a specific number k, our goal is to
CN\F’ (s, t) = CN\F∪e(s, t) = CN(s, t) = m. answer whether there is a capacity factor with size
According to Integrality Theorem, the not less than k. The formal language for this decision
maximum flow of the unit capacity network N\ problem is: MCF= {⟨N, k⟩: N = ⟨V, E, s, t⟩ is a network
F∪e can be decomposed into m edge-disjoint paths, with some capacity factor with size not less than k}.
denoted by P1, P2, …, Pm. Meanwhile, F being a In the following proof of our theorem, we
capacity factor of N, we have CN\F(s, t) = m−1, which will reduce a known NP-complete problem to MCF,
means deleting e in the network N\F∪e will decrease which is the problem NAESAT (for “not-all-equal”).
the maximum flow by 1. Therefore, e must be in one NAESAT is an variant of SAT. In NAESAT, we are
of paths, say Pk, 1 ≤ k ≤ m. It is clearly checked that given a set of clauses with three literals, and we
CN\Pk (s, t) = CN(s, t) − 1. insist that in no clause are all three literals equal
Sufficiency. Suppose there is a path P, e∈P, such in truth value, i.e., neither all true, nor all false. It is
that CN\P(s, t) = CN(s, t)−1 = m−1. For the network N\P, known that NAESAT is NP-complete [11].
we calculate a maximum flow solution f, which can
be decomposed into P1, P2, …, Pm−1. Theorem 11. MCF is NP-complete.
Let M and M be two edge sets, where M = Proof is omitted because of the length of this paper.
P1∪P2∪…∪Pm−1∪(P\e) and M = E\M. By proposition To demonstrate the construction of Theorem
6, we can conclude CN\M(s, t) = m – 1 and CN\M∪e(s, t) 11, we present the following example of a specific
= m. Note that CN\M(s, t) = m−1 < m = CN(s, t) and CN\ expression.
M∪e
(s, t) = m. By proposition 5, there exists a capacity
factor F⊆M containing e. Q.E.D. Example 12. Given the expression T = (x1∨x2∨x3)∧(x1∨
An edge of a network is either in the D-set or ¬x3∨¬x3)∧(¬x1∨¬x2∨x3), we construct a network N
H-set, but not both. Taking the negative proposition = (V, E, s, t) according to the proof of Theorem 11
of last theorem, we obtain the following result, shown in Fig. 3. Note that all the “forcing edges”, i.e.
which gives an equivalent condition to characterize the edges between xi and ¬xi, the edges between s’
edges in the H-set. and t’, as well as the ”connecting edges” <s’,¬x1>, <s’,
x2>, <s’,¬x3>, <x1, t’>, <¬x2, t’>, <x3, t’> are not drawn
Corollary 8. Let N = (V, E, s, t) be a point-to-point in the figure. In this case, m = 3, n = 3 and k = 132 +
network. For any e∈E, e is in the H-set if and only if 6 = 138.
for any s-t path containing e, CN\P(s, t) ≤ CN(s, t) − 2. It’s clear that x1 = 1, x2 = 0 and x3 = 1 is an
assignment makes T in NAESAT. If we put vertices
Example 9. Consider the point-to-point acyclic x1,¬x2, x3 on the left and ¬x1, x2,¬x3 on the right,
network N = (V, E, s = v1, t = v6) shown in Fig.2. There just as what is drawn on Fig. 5, we obtain a
are three different s-t path in total, which are P1 = (v1, maximum partially connected s-t cut [V1,C(V1)] with
v2, v4, v6), P2 = (v1, v3, v5, v6) and P3 = (v1, v2, v4, v3, v5, size k, where V1 = {s, s’, x1,¬x2, x3}.
v6). It’s clear that CN\P1(s, t) = CN\P2 (s, t) = 1, but CN\P3(s, Since MCF is in NP-complete, deciding
t) = 0. Thus e4 = <v4, v3> is the only edge satisfying the maximum capacity factor containing some
the conditions in Corollary 8. Therefore H = {e4} and specific edge is also NP-complete. Otherwise, by
D = V\H = {e1, e2, e3, e5, e6, e7}, which coincides with enumerating all the edges of in the latter problem,
the direct computation that D =∪capacity factor F F = {e1} we can solve MCF in polynomial time, which is a
∪{e2}∪{e2}∪{e3}∪{e5}∪{e6}∪{e7} = {e1, e2, e3, e5, e6, e7}. contradiction.
The Oculus: Proceedings of the U21 Undergraduate Research Conference 121
References
1. F. T. Boesch, “Synthesis of reliable networks: A
Survey”, IEEE Trans. Reliablity, 35(1986), 240-256.
2. A. H. Esfahanian and S. L. Hakimi, “On
computing a conditional edgeconnectivity of a
graph”, Information Processing Letters, 27(1998),
pp.195-199.
3. F. Harary, “Conditional connectivity”, Networks,
13(1983), pp.346-357.
4. R. Ahlswede, N. Cai, S. R. .Li, and R. W. Yeung,
“Network information flow”, IEEE Trans. Inform.
Theory, vol.46, no.4, pp.1204-1216, Jul. 2000.
5. K. Cai and P. Y. Fan, “An algebraic approach to
network coding”, IEEE Trans. Inform. Theory,
vol.53, no.2, pp.775-779, Feb. 2007.
6. R. Koetter and M. Medard, “An algebraic
approach to network coding”, IEEE/ACM Trans.
Networking, vol. 11, no. 5, Oct. 2003.
7. H. Kan and X. Wang, “The capacity factors of a
network”, International Conference on Parallel
Processing Workshops(ICPPW), 2007.
8. Y. Li, Z. Huang, H. Kan and X. Wang, “Searching
for capacity factors is NP-complete”, International
Conference on Communications(ICC), 2008.
9. T. H. Cormen, C. E. Leiserson, R. L. Rivest, and
C. Stein, “Introduction to algorithms”, second
edition, The MIT Press, 2001.
10. D. B. West, “Introduction to graph theory”, second
edition, Pearson Education Press, 2001.
11. C. H. Papadimitriou, “Computational
Complexity”, Addison-Wesley, 1994.
12. M. Sisper, “Introduction to the Theory of
Computation”, second edition, Thomson
Learning, 2006.
U21 Undergraduate Research Conference: Melbourne 2010
List of Participants

Delhi University University College Dublin


Sourovi De* Jane Hand*
Uma Ranganathan*
University of Edinburgh
Fudan University Andrew Stephen Jones5
Yuan Li* Anandi Rao*
Ruobing Wang Jack Wright*
Yunzhou Zhang
University of Glasgow
Lund University Kelly Gallacher*
Karin Göransson & Anna Östergren (partner project)* Grant McLelland
Maria Karlsson Graham Kyle Riach*2
Christopher Sturk
University of Hong Kong
McGill University Ka Man Chong*
Lê-Anh Dinh-Williams5 Kam Seng Lau
Naomi Shrier Chung Yin Leung
Kit Yan To
National University of Singapore Pui Yin Wan*
Danence Lee
Jun Feng Lee* University of Melbourne
Melody Long Joy Joohyo Han
Kimberly Lau
University of Amsterdam Daniel McNamara
Elin van Duin Alexandra Taylor
Robert Matthijs Noest Matthias Wobbe*
Adriana Beeuw van Tiggelen
University of Nottingham
University of Auckland Verity Robins*
Jessica Leigh Day Herman Santhony
Lisa Susanna Fendall4 Amy Louise Swanwick*
Xien Lei Liversidge*
University of Queensland
University of Birmingham Jill Carman*
Victoria Brunsdon Megan Smith
Veronika Barbara Fafienski* Joanne Thomas
Corinne Jones*
University of Virginia
University of British Columbia Elizabeth Bendycki*
Nicholas FitzGerald*3 Megan Kobiela*
Andrew Hughes1 Aaron McCrady6
Gahyang (Jenny) Lee
Waseda University
University of Connecticut Anna Konishi
Stephanie Davis* Akie Nakada & Reina Saiki (partner project)
Lu Han*
Charles Mackin

*Author’s publication featured in this journal


1
Best Oral Presentation and 2Runner-Up
3
Most Imaginative Research (Oral) and 4Runner-Up
5
Most Imaginative Research (Poster) Joint Winners
6
Best Poster

You might also like