Judicial Council of California Has Implemented to Attempt to Solve the Justice Gap

California State Polytechnic University, Pomona

Journal of Political Science Spring 2016 Undergraduate Volume 1, Number 1 Letter from the Editor Dear Political Science majors,

It is amazing how a mere idea back in Fall Quarter 2015 could blossom into a full- fledged journal this Spring Quarter. I am very pleased to present the first issue for the California State Polytechnic University, Pomona Undergraduate Journal of Po- litical Science! I would like to thank everyone who helped the journal grow to be what it is today. This journal would not have been possible without the students who submitted their best papers, the students who volunteered their precious time to peer review those papers, and the Political Science Department’s unwavering support for the journal especially Professor Guerrero for his tireless efforts in making the journal a success.

I would also like to profusely thank Jane Pojowa for her invaluable contribution to the journal. Without her artistic vision and experience with publications, this journal would not look as amazing as it does!

This journal is inspired by the National Political Science Honor Society Pi Sigma Alpha’s Undergraduate Journal of Politics which is published biannually during the Fall and Spring. The vision for this journal was to provide Cal Poly Pomona students with the opportunity to build up their resumes and examples of well-written papers by their peers. Unlike the Pi Sigma Alpha Journal, however, this journal is campus-specific and will be published in Spring for each academic year.

I hope this journal inspires students to spend more time and effort in writing papers for their Political Science classes so that they can aspire to have their papers published as well.

If any students are interested in submitting their paper or be a peer reviewer for the next issue, they can email [email protected] for more information. I would love to have more papers submitted and more peer reviewers to assist me in the paper selection process for the Spring Quarter 2017 issue! Please note that the deadline for papers will be the Friday of finals week during Winter Quarter and Political Science majors in their third year and up are preferred to be peer reviewers. There will be more information about paper submissions and peer reviewers as Winter Quarter draws closer.

–Tara Kwan CONTENTS JOURNAL

6 CLOSING THE JUSTICE GAP The JusticeCorps are a campus organization that strives to help low- income people get the legal help they need. As part of his senior internship project, student Joshua S. Ebiner conducted a five-month case study of the Pomona Self-Help Center to examine the impact the center has in meeting the legal needs of self-represented litigants. At left, JusticeCorp volunteer and Cal Poly Pomona political science student Carmen Franklin works with litigants. 23 ENVIRONMENTAL RACISM »» p.6 Photo courtesy of PolyCentric Why are three National Priorities List (NPL) superfund cleanup sites located in South Gate, California? Noticeable patterns of waste management facilities placed in areas of a low-socioeconomic status lead researchers to point to environmental racism as the culprit. 39 SOLAR POWER Solar panels make sense from both an environmental and healthcare perspective, but will they ever catch on with the American public? Steven Tinsdale’s qualitative research study indicates that Californians are very concerned about air quality but not quite ready for the hefty price tag associated with photovoltaic panels.

» p.23 » p.39 57 SOCIAL MEDIA AND PRESIDENTIAL » » ELECTIONS Since the presidential elections in 2000 the internet, and social media in particular, have played an increasingly large role in both campaigning and financing candidates. Could social media be a deciding factor in the 2016 elections? Alexis Ojinaga finds support for that hypothesis in Obama’s successful bid for the 2008 presidency and the 2012 reelection by his capture of the youth and minority vote. 76 THE EGOCENTRIC PRESIDENCY Does the president speak for all Americans? Travis Barrett explores the use of the pronoun “I” and equivalent statements in State of the Union addresses and finds that modern presidents are entirely comfortable with the use of “egocentric” language - and makes some surprising »» p.57, p.76 discoveries about who seemed to talk about himself the most. CONTENTS 94 U.S. AND SAUDI RELATIONS UNDER GEORGE W. BUSH In the wake of the 9/11 terrorist attacks, many Americans became mistrustful of key Middle East allies, and not without reason. 15 of the 19 terrorists involved in the attacks on 9/11 were Saudi Arabian citizens claiming allegiance to al-Qaeda. Thomas Davis reviews U.S.- Saudi policy under the George W. Bush administration and finds the traditional relationship to be surprisingly stable. 101 MIGRANTS AND EUROPE As refugees flee the Middle East for safe havens in Europe, the manner in which migrants are received in their host countries differs considerably. Melissa Petersen explores the varying factors of Europe’s migrant affairs and the rise of radical party leaders. 119 WOMEN AND TERRORISM Women are generally the victims of terrorism and not the perpetrators. But when women become radicalized terrorists, the media struggles »» p.101 to resolve the stereotypical roles of women as caregivers and sex objects with the reality of suicide bombers and shooters. Natalie Reyes investigates the role of women in terror networks and the media obsession over the attractiveness of female terrorists. 125 THE ATHENIAN MODEL OF REPRESENTATIVE DEMOCRACY Plato’s The Republic has long been interpreted as a system of direct democracy, or rule by the people. Anthony Haddox finds through careful analysis that the roots of representative democracy were there all along and that Athenian democracy has evolved into a system of government that was perhaps not intended by its creator.

»» p.94 »» p.125

© 2016 All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the written permission of the editors and the faculty advisor of the California Polytechnic State University, Pomona Undergraduate Journal of Political Science.

The California Polytechnic State University, Pomona Undergraduate Journal of Politics is copyrighted by Cal Poly Pomona. The content of all papers is copyrighted by the respective authors. The Department of Political Science cannot and will not be held liable for the actions of the California Polytechnic State University, Pomona Undergraduate Journal of Political Science.

All assertions of fact and statements of opinion are solely those of the authors. They do not necessarily represent the views of the Department of Political Science, »» p.119 the Editorial Board, the Advisory Board, the Faculty Advisor, Cal Poly Pomona, or its faculty and administration. INTRODUCTION TO THE UNDERGRADUATE JOURNAL OF POLITICAL SCIENCE

“Most learning is not the result of instruction. It is rather the result of unhampered participation in a meaningful setting.” –Ivan Illich, Deschooling Society (1990)

ere in the Department of Political Science at Cal Poly Pomona, we Hhope to leave students with a lifelong toolkit to help them in their careers but also in their daily lives. For many, scholarship bridges the gap between academia and the real world application of politics. As a testament to the dedication of our students, but also to the university’s teacher-scholar model, the department works to encourage our students in the practice of scholarly research.

With over 50 undergraduate courses, the work in this journal represents the expertise and analysis of our students in six different subfields. The mix of articles in each edition of the journal represents critical issues examined from various places in the discipline.

While we hope that this journal engages the greater academic community, we also aspire to provide an example for underclassmen as they progress through the major. And as academic scholarship evolves, we expect our students to follow and engage in a similar path. Upon graduating from our program, students work in politics, but also enroll in law, master’s and doctoral programs. Again, the work found in the following pages of the journal underscores the department’s commitment in preparing our students for such work.

There are many people who have played an integral role to the development of the journal’s inaugural issue. The tireless efforts of the department chair, Dr. Jill Hargis, has made this possible. Her vision and guiding force has propelled the department to astronomical heights during her tenure as chair. Our tireless faculty and instructors are the driving force behind the ideas in this journal. Our department administrative coor- dinator, Ms. Kim Alm, is the glue that holds our major together. And finally, our students really serve as the heart and soul of this journal. Special thanks goes out to the editor-in-chief Tara Kwan, publication designer Jane Pojawa and our student advisory board. Without their work, this journal would never have reached final publication.

Dr. Mario Guerrero Faculty Advisor Closing the Justice Gap: A Self-Represented Litigants and the California Courts Joshua S. Ebiner California State Polytechnic University, Pomona

The growth in the number of self-represented litigants has created a number of challenges for the California courts. A basic assumption is made in the judicial system that every case is determined by its merits and the parties involved are competent in the practice of law. However, a number of factors have been pointed out that collectively create a justice gap. This gap creates a dilemma for the courts as it is becoming inaccessible to a large portion of its users. The literature review will examine these factors including the adversarial model, financial factors of participating in a legal case, and the high demand of court-based legal aid programs. I will also explore the self-help centers and the Shriver pilot projects which are programs the Judicial Council of California has implemented to attempt to solve the justice gap. To reinforce what scholars before me have observed, I conducted a five-month case study of the Pomona Self-Help Center to evaluate its ability to provide meaningful assistance to self-represented litigants. I found that the self-help center provides invaluable services to self-represented parties and the courts alike. Additionally, the center is a necessary component to the Pomona Superior Court in making the court more accessible to the public, efficiently managing the court’s caseload, and effectively preparing litigants for their cases. However, the self-help center is limited inits ability to provide services to all who need it. This paper encourages discussion in search for solutions that will close the justice gap.

he Pomona Self-Help Center is a court-based ticeCorps member, I volunteer in the self-help cen- legal aid program that was established by the ter and provide individual assistance to the litigants T Judicial Council of California (See Appendix who otherwise cannot afford to hire an attorney. A) in an effort to make the courts more accessible With the growing number of self-represented lit- and to provide meaningful assistance to self-repre- igants in the last thirty years, the California courts’ sented litigants. JusticeCorps and the Neighborhood ability to administer justice equally to all its users Legal Services of Los Angeles (NLSLA) operate has been critically challenged. Scholars began to in a collaborative effort to provide meaningful- ac notice that the courts were largely inaccessible to cess to self-represented litigants in the California indigent self-represented litigants due to structural courts. The center is managed by NLSLA which is barriers that marginalized those individuals. Aiming a community-based, non-profit organization -com to improve the effectiveness of the judicial system, mitted to serving low-income litigants. As a Jus- scholars focused on this justice gap and advocated

Created by Joshua S. Ebiner, Department of Political Science, California State Polytechnic University, Pomona for his seinior internship project. Correspondence concerning this research paper should be addressed to Joshua S. Ebiner, Department of Political Science, California State Polytechnic University, Pomona, (909) 263-6730. Email: [email protected]

for solutions that would provide meaningful assis- To date, JusticeCorps members have recorded over tance to self-represented litigants. Accordingly, a 490,000 instances of assistance, filed 330,000 legal number of programs have been created to close the documents provide services in up to 24 languages. justice gap including the self-help centers and the re- The program has created a huge impact in its cent Sargent Shriver Civil Counsel pilot programs. effort to make the California courts more accessible Although these programs are making the court to its users. The American Bar Association Stand- more accessible, there still remain many challenges ing Committee on the Delivery of Legal Services ahead to providing a completely fair judicial system. conducted a national study that released surveys to I conducted a five-month case study of the Pomo- the 500 identified self-help centers throughout the na Self-Help Center to examine the impact the cen- country to measure the impact these centers have on ter has in meeting the legal needs of self-represent- self-represented litigants. The survey, which included litigants. The study reinforces that the self-help ed feedback from all 80 of California’s self-help cen- centers are a critical component of the court as the ters, indicated that about 11 percent of those centers center “[increases] access to justice and [improves] rely on JusticeCorps members, in whole or in part, to the quality of justice and service to the public” (Judi- staff the facility (American Bar Association, 2014). cial Council of California, 2005). However, the cen- The Neighborhood Legal Services of Los An- ter is limited in two critical ways. First, the center’s geles County (NLSLA) is a private, non-profit firm resources are outstripped by the legal needs of the that is dedicated to expanding access to justice for self-represented litigants. Second, while the center is the communities in Los Angeles County. Founded in able to provide assistance to most of their customers, 1965 “as part of the nation’s War on Poverty, NLSLA there are a number of cases that cannot be served be- is now one of the largest and most prominent public cause the legal needs are too complicated. To solve interest law offices in California” (NLSLA, 2016). this dilemma, I examined the Shriver projects as a NLSLA operates the self-help center in the Pomona complimentary solution for the self-help centers. Superior Courthouse with a staff composed of two full-time attorneys and three full-time staff members. The Organization The focus of the center, in partnership with Justice- Corps, is to provide legal assistance for self-represent- JusticeCorps is a federally funded program that ed litigants in “areas of the law that disproportionately operates in partnership with the Judicial Council of impact the poor, including housing…and [to] protect California, the Superior Courts of California, and and enforce the legal rights of poor people by ensur- a number of counties, universities, and communi- ing access to our justice system” (NLSLA, 2016). ty-based service providers. Founded in 2004, Jus- ticeCorps recruits and trains over 250 college stu- The Internship Experience dents each year to volunteer in the self-help centers located in the California courts and to provide legal My experience working as a JusticeCorps member assistance to self-represented litigants. Members of in the Pomona Self-Help Center has been challenging JusticeCorps assist the self-help centers in imple- but rewarding one. Many of the litigants are unable menting programs designed to help self-represented to hire an attorney because they are living below the litigants including legal workshops, completing le- federal poverty guidelines and so the assistance that gal forms, providing legal information and referrals I will be providing them will most likely be the only to other resources and offering language assistance form of assistance they will receive before their case to Limited English Proficient (LEP) individuals. is heard by a judicial officer. Working directly with

Appendix A: Judicial Council of California

“The Judicial Council [of California] is the policy making body of the California courts…responsible for ensuring the consistent, independent, impartial, and accessible administration of justice” (California Courts, 2016). The council is composed of a number of task forces, internal committees, and advisory committees that provide recommendations for the council to consider. The reports outline issues and concerns that the Judicial Council should be aware of and provide appropriate solutions. 8 JOSHUA S. EBINER self-represented litigants is challenging because there dy and visitations where one parent has not seen their is a lot of pressure to ask questions that will elicit child because of the other parent; and expungements information that is relevant to the case, complete the where individuals are struggling to find a job because legal documents in a timely manner, and provide ac- of their criminal record. But the same elements that curate information regarding the court process and made this internship challenging also made it a re- procedures. Perhaps the most daunting aspect of this warding experience. I was in a unique position to internship experience was that these litigants were en- create a positive impact in the lives of those in my trusting their well-being in my limited knowledge of community who otherwise would have had to present the law. Granted, an attorney would review the forms to their case a judicial officer unprepared. As it will to make sure the documents were filled out correctly be pointed out, litigants who utilize the self-help cen- and would answer any of my questions. Regardless, ters are better prepared for their cases and are more I forced myself to learn and retain as much as I could likely to have a favorable outcome as a result (Ju- so that I would be a valuable resource for litigants. dicial Council of California, 2005; Judicial Council As a JusticeCorps member volunteering in the of California, 2007, Greacen, 2010; Greacen, 2012). Pomona Self-Help Center, I was exposed to an ar- While the self-help centers are crucial to clos- ray of family law and housing law matters including the justice gap and making the California courts ing dissolutions of marriage (divorce), paternities more accessible to its users, the centers are far from (establishing parentage), child custody and support, perfect. Like many other legal aid programs, the de- unlawful detainers (evictions), name changes, and mand for the services often outstrips the center’s re- expungements. Although each case is unique and sources. As a result, the center has to turn away a requires an individualized approach to providing large number of litigants who need legal assistance. the best service, the self-help center provides the Another challenge for the center is its inability to same legal information and services to all of its lit- provide meaningful assistance to litigants in com- igants. Furthermore, the center utilizes a triage mod- plex civil matters. For instance, the center does not el which allows an efficient processing of litigants’ provide assistance for all cases involving elder abuse cases. As an intern in the center, I had an obligation and foreclosures and certain expungement, divorce to provide neutral legal information. In other words, and paternity cases. For the cases that the center was I would have to provide the same information to unable to provide assistance, staff would provide re- the petitioner and the respondent in a given case. ferrals to other legal aid organizations or partner law In fact, it was not uncommon to help the petition- firms. Additionally, the services we provide are no- er with their legal documents and within the month, where near the quality of service one would receive help the respondent fill out their response packet. in retaining an attorney. That is not to say that ev- Assisting litigants with their cases was challeng- ery litigant needs counsel to represent them in court. ing because it is difficult not to get emotionally -in Most self-represented litigants are able to participate volved in a client’s case. There have been a number in their case well without the assistance of counsel. of cases in which it was difficult not to sympathize Overall, the self-help centers are a necessary with a litigant’s situation. The most challenging cases function of the courts to ensure that self-represent- that come to mind are evictions where the litigants ed litigants receive meaningful access to justice. are filing a response because they need to buy time The services the centers provide empower litigants before they are evicted from their home; child custo- to represent themselves in front of a judicial officer.

Appendix B: The American Bar Association Rule of Law Initiative (ABA ROLI) The American Bar Association Rule of Law Initiative (ABA ROLI) is an “international development program that promotes the rule of law by working with in-country partners to build sustainable institutions and societies that deliver justice, foster economic opportunity and ensure respect for human dignity” (2016). The program was established to consolidate the ABA’s five rule of law programs and has since been expanded into roughly 60 countries throughout the world. Those legal reform programs are dedicated to promote and improve access to justice which requires that justice institutions are accessible to and effective for citizens as they “obtain solutions to common justice problems” (ROLI, 2012). CLOSING THE JUSTICE GAP 9

However, there still remains a significant number of approaches to address the challenges and to better of self-represented litigants that the center is unable distribute access to justice for all of the courts’ users. to provide assistance to. This dilemma is caused by This literature review will examine three cen- structural limitations that reduce the number of liti- tral topics related to self-represented litigants and gants the center can assist as well as the types of cases the measures the California courts are implement- it can provide assistance to. Nonetheless, the self-help ing to close the justice gap. First, I will examine centers are a necessary component of the California the structural and procedural barriers that create a courts in reducing the disparity in our judicial system. justice gap between SRLs and the courts. Second, I will explore the impact the self-help center pilot Literature Review programs have had in making the courts more accessible to indigent SRLs. Lastly, I will discuss a The last thirty years have been witness to a rapidly growing movement towards limited and full repre- growing number of self-represented litigants (SRLs) sentative services that is designed to assist litigants in the American civil court. While a multitude of over- involved in critical civil matters (See Appendix C). lapping factors has been cited as an explanation for this phenomenon, two broad categories—economic The Justice Gap structure and social demographics—appear at the crux (Chase, 2003). These two factors, in changing The California courts’ ability to equally dis- the legal landscape by posing new challenges to the tribute access to justice has been challenged by the court system and its users, have forced the legislature growing number of self-represented litigants in three and the judiciary to adopt new strategies to ensure fundamental ways. First, litigants are generally un- that the institutions are “[functioning] effectively to aware of the judicial system’s procedural require- provide fair solutions to citizens’ justice problems” ments and legal expectations of them which often (Rule of Law Initiative, 2012; see Appendix B). The result in an adverse outcome in their respective cases. availability of fair solutions is the basis of a recent- Second, many of the SRLs are living near or below ly coined term —access to justice— which analyzes the federal poverty line which makes it difficult, if whether citizens can use institutions like the Califor- not impossible, to hire a lawyer to represent them. nia courts as a means to solve common justice chal- Third, while free, court-based legal aid programs lenges. As Ursula Gorham (2014) points out, self-rep- have been developed, the high demand for those resented litigants “are realizing that ‘equal access to services often exceed the programs’ limited time justice’ is an aspiration, not a guarantee”. In response and resources (National Coalition for a Civil Right to the challenges entailed with the growing number to Counsel, 2016). Collectively, these three factors of SRLs, the California courts have adopted a variety have created the justice gap: a phenomenon where-

Appendix C: The AmericAssembly Bill No. 590

In 2009, the California State Assembly passed AB No. 590 (aka Sargent Shriver Civil Counsel Act) which recognized that there “is an increasingly dire need for legal services for poor Californians” (Feuer, 2009). The bill was introduced as a result of limited and underfunded court-based programs that were not adequately meeting the needs of indigent and underserved groups such as the “elderly, disabled, children, non-English-speaking persons” (Feuer, 2009). As a result, many indigent self-represented litigants were routinely forfeiting their basic legal rights which prevented a meaningful access to the courts and justice.

The bill established the Shriver Projects, a total of seven pilot programs throughout California which began operation in 2011. With an operating budget of $9.5 million dollars annually, the projects appoint legal counsel to “represent low-income parties in civil matters involving critical issues affecting basic human needs in those courts selected by the Judicial Council, as specified” (Feuer, 2009). Those critical issues include housing, probate guard- ianship, child custody, and domestic violence. Accordingly, pilot projects have been established to provide legal representation in those cases. In the Stanley Mosk Courthouse in Los Angeles, for instance, two pilot projects have been established: the Shriver Housing Project and the Child Custody/Domestic Violence Project. 10 JOSHUA S. EBINER by the judicial system has become largely inacces- ticulating their cases clearly to the judicial officer” sible to disadvantaged groups (Seidenberg, 2012). (Judicial Council of California, 2007). This dilemma reinforces the point made in Powell v. Alabama The Adversarial Model. where the Supreme Court noted that “[t]he right to be heard would be, in many cases, of little avail if it The American legal system is built upon the ad- did not comprehend the right to be heard by coun- versarial model which relies upon two knowledgeable sel” (Kim, 1987). In recognizing the ever-increasing parties to present their case to an impartial judge or complexity of the law, the need for assistance from jury who then determines the truth in the case (Cam- those who possess a specialized knowledge of the bridge University Press, 2011). The parties’ ability technical and complicated legal principles (Colum- to present the legal arguments of their case to the bia Law Review, 1966) has become a fundamental court and support their position with relevant facts expectation to acquire justice (Goldschmidt, 2002). is a central part of the adversarial system. A basic but essential assumption is made about the system which Financial Factors. suggests that each party had relatively equal resources, knowledge of the law, and ability to present their To better understand the justice gap, scholars be- case coherently. These factors must be consistently gan to focus on the relationship between a litigant’s present in order for the system to operate fairly in gross monthly income and their ability to hire a law- administering justice. However, it has become evi- yer. Many unrepresented litigants are forced to han- dent that the system often functions unfairly with the dle their own case because they cannot afford to hire increasing number of SRLs involved in civil cases. an attorney to represent them (Hough, 2003). In fact, The Honorable Sweet (1998) asserted that law- legal services are often realistically beyond the fi- yers are essential to the functioning of an effective nancial reach of many Americans, even for members and just legal system because of their knowledge of of the middle and working classes. Hough (2010) the law. Similarly, Brown (2011) recognized that the reinforced her initial observation, recognizing that legal needs of SRLs are systematically unmet which the “cost of private counsel is prohibitively high for puts them at a “significant disadvantage when pitted many litigants [as] the average family law attorney in against sophisticated opposing counsel who are expe- California charges over $300 per hour and requires a rienced” in the practice of law. Because SRLs are held retainer of approximately $5,000”. For the average to the same “standard of substantive legal knowledge California resident whose gross monthly income is as a licensed member of the bar”, they often forfeit just under $5,000 (U.S. Bureau of Economic Analy- their legal rights and experience adverse outcomes sis, 2015), hiring a lawyer would be a financial sac- for matters unrelated to the merit of their case (Kim, rifice that one would make if absolutely necessary. 1987). In other words, a significant number of cas- But for the indigent SRLs making less than $3,000 es involving SRLs are not decided “on the basis of a month, hiring a lawyer is simply not financially the law and the facts” of the case (Tidmarsh, 2010). possible (Task Force on Self-Represented Litigants, In 2010, the American Bar Association sur- 2014). And because the right to an attorney comes veyed over 1,200 state trial judges on the subject of at such a high cost, it is estimated that three out of self-represented litigants in civil cases. The results five litigants involved in civil cases are unrepresent- revealed that sixty-two percent of judges witnessed ed (Self-Represented Litigation Network, 2016). outcomes that were worse for unrepresented litigants High Demand of Court-Based Programs. In re- due to a range of problems: failure to present neces- sponse to the growing number of self-represented sary evidence, procedural errors, ineffective witness litigants and the lack of court programs to provide as- examination, failure to properly object to evidence, sistance to this group, the Judicial Council of Califor- and ineffective arguments (Painter, 2011). These is- nia established a number of pilot programs including sues arise from the litigants’ lack of technical knowl- the family law facilitator program in 1997, three pilot edge of the law and the subsequent burden of proof, Family Law Information Centers in 1999, and the thus creating a structural barrier that prevents proper Model Self-Help Center Pilot Program in 2002 which administration of justice. A similar point was made effectively established five self-help centers through- in California’s Handling Cases Involving Self-Rep- out California (Judicial Council of California, 2005). resented Litigants Benchguide for Judicial Officers Today, every one of the 58 counties in California has wherein it was recognized that self-represented lit- a court-based, attorney-supervised self-help service igants “often have difficulty preparing complete “that provides a full range of services to self-represent- pleadings, meeting procedural requirements and ar- ed litigants” (Judicial Council of California, 2005). CLOSING THE JUSTICE GAP 11

Despite the innovative advances that the Califor- ters provide SRLs empowers the litigants as they rep- nia courts have made towards addressing the justice resent themselves because they are better prepared in gap, there remains a challenge towards the accessi- court, more self-confident, better able to present their bility of these court-based programs. It is currently case, have a more realistic expectation of the outcome estimated that “over 1.2 million California residents of their case, and are more likely to obtain a favor- have [sought] assistance annually from the Family able outcome (Judicial Council of California, 2005; Law Facilitators and court-based Self-Help Centers” Greacen, 2010; Greacen, 2012). In addition, the self- (Judicial Council of California, 2014). However, it help centers encourage litigants to utilize mediation is also estimated that over 4.3 million of the annu- services and to settle cases outside of the courtroom al California court users are self-represented (Judi- which are a “faster… and less expensive method for cial Council of California, 2004). Assuming that resolving certain disputes” (Judicial Council of Cal- these figures are accurate, arguably only 28% of the ifornia, 2007). If a case can be resolved through me- self-represented population is receiving assistance diation, the judicial officer simply enforces the agree- from the major court-based programs. Similarly, ment through a judicial order thus saving the court others assess that “about four-fifths of the civil- le a significant amount of time and money (Greacen, gal needs of low-income individuals, and two- to 2009). As a result, the self-help services have been three-fifths of the needs of middle-income -individ recognized as a core function of the courts as it is uals remain unmet” (as cited in Rhode, 2005). Fur- the optimum way to facilitate the efficient process- thermore, the high demand of court-based programs ing of cases (Judicial Council of California, 2014). forces many of the centers to turn away customers Because of the high demand of court-based because of an inadequate amount of resources avail- programs, self-help centers utilize a triage process able to offer legal services to all who seek it (The which allows the staff to quickly assess the needs of Supreme Judicial Court Steering Committee on each individual case and provide assistance accord- Self-Represented Litigants, 2008; American Bar ingly. In using triage, self-help centers can provide Association Standing Committee on the Deliv- assistance to a larger number of guests, identify the ery of Legal Services; 2014). As a result, while the options available to a guest, and target those cases California courts are progressively improving the that will require more time due to the complexity of accessibility of the court to the public, there still the case (Judicial Council of California, 2005). Be- remains a large population that is disenfranchised. cause of the abovementioned practice, self-help centers are serving a larger population of SRLs while Self-Help Centers reducing the cost of each case (Greacen, 2009). While the self-help centers have been crucial The Model Self-Help Center Pilot Program was for California courts, there remain several structural implemented in 2002 to “[increase] access to justice limitations that reduce its ability to completely ad- and [improve] the quality of justice and service to the dress the needs of the SRL population. First, self- public” (Judicial Council of California, 2005). With help centers are staffed by legal aid attorneys that are more than 75 percent of family law cases having at outnumbered 10,000 litigants to 1 (Judicial Council least one self-represented party, the California courts of California, 2007). As a result, a large portion of were faced with a unique challenge in balancing effi- the clients are turned away because the center can- cient case management and fair judicial proceedings not accommodate their needs. Second, the center (Judicial Council of California, 2010). SRLs have is not equipped for critical civil matters which are traditionally struggled in understanding and navi- cases that affect basic human rights, specifically: gating the judicial system and often consume more “housing-related matters, domestic violence and civil court time and resources than necessary relative to harassment restraining orders, probate conservator- their case. With the growing volume of cases in fam- ships, guardianships of the person, elder abuse, and ily law, judges were required to reduce the amount of actions by a parent to obtain sole legal or physical time they could allocate per case while still having custody of a child” (Assembly Member Feuer, 2009; to “perform their fact-finding and decision-making Harvard Law Review Association, 2010). Depend- functions” (Judicial Council of California, 2007). ing on the complexity of these cases, self-help cen- To ensure meaningful access to justice, the self- ters can provide assistance but most often, as in the help centers were established to provide “court-users case of elder abuse, provide an array of referrals to information about the applicable laws and court pro- organizations and firms they have established legal cesses, procedures and operations” (Judicial Council partnerships with. Third, the self-help centers proof California, 2007). The services that self-help cen- mote mediation as an alternative to a court hearing 12 JOSHUA S. EBINER which does save time and money for the courts. rights and to guide litigants through the complexity However, it creates a dilemma for SRLs negotiating of the legal system. Because the option of retaining the terms of a settlement, especially when the other a lawyer is primarily a financial decision, the Shriver party is represented by a lawyer who is conducting projects specifically target low-income litigants who the negotiation (Hilbert, 2009). Fourth, self-help are involved in critical civil matters that affect the centers cannot provide legal advice which becomes basic human needs abovementioned (Brown, 2011). problematic in critical civil matters wherein legal ad- In order to ensure that the justice gap is being advice is necessary to make the best possible decision. dressed, it is important that the California courts meet the legal needs of at-risk and disadvantaged groups Sargent Shriver Civil Counsel Pilot Projects which are underserved as a result of the limitations of current court-based programs. In determining a cli- In 2011, the California courts launched the Sar- ent’s need for legal representation, the projects evalu- gent Shriver Civil Counsel Act Pilot Projects which ate a number of factors including “the complexity of was established and funded by the 2009 California the case, whether the other party is represented…the Assembly Bill 590. The program was designed to merits of the case, and the nature and severity of po- ensure that “unrepresented parties obtain meaningful tential consequences for the prospective client if rep- access to justice and to guard against the involuntary resentation is not provided”, among other factors (Ju- waiver or other loss of rights or the disposition of those dicial Council of California, 2012). In addition, the cases without appropriate information and regard for projects are a cost-efficient program that is expected potential claims and defenses” (Judicial Council of to resolve case disputes quicker and with less cost-in- California, 2016). More often than not, legal repre- tensive remedies as seen in housing cases wherein the sentation is required to prevent the forfeiture of legal cases resulted in more dismissals and settlements and

Appendix D: Study Methodology

This case study is a five-month evaluation of the Pomona Self-Help Center, beginning in September 2015 and concluding in January 2016. The information used in this study is provided both voluntarily by the litigants who request assistance from the center and by the center’s staff and volunteers who provide the assistance. The data will allow me to examine the impact of the center in the five-month period by outlining the demographics of its visitors, the overall number of individuals assisted, and the level of service provided.

Upon every visit to the center, the litigant is required to complete a survey which elicits legal and personal information. The survey is divided into two sections. The first section is completed by the litigant and the second is completed by the staff or volunteer who provided assistance to the litigant. When a litigant visits the self-help center, they are requested to fill out a form which elicits personal information that helps the center examine the demographics of the litigants it is assisting. The litigant is asked to provide their monthly household income, family size, primary language, gender, referral source, and the reason for visiting the center. It is important to note that this information is strictly for the center’s record and does not restrict a litigant from using the center’s services. Once a litigant completes the first section of the form, they are called into the center where their legal needs are evaluated by a staff member. Whatever service the center provides to the litigant is recorded into the second section which is completed by whoever directly provides that assistance. This level of assistance can range from providing a referral to another legal aid organization or partner law firm to direct, individual assistance. All the data from the forms are collected and recorded by the staff members and volunteers and released in monthly reports produced by the Neighborhood Legal Services of Los Angeles.

For the purpose of this study, I will be examining: the total number of monthly visitors, the number of visitors who received individual assistance, the number of visitors who received “How to” guide packets and forms only, the source of referrals to the center, the number of referrals to outside organizations, and the income ranges relative to the federal poverty guidelines. CLOSING THE JUSTICE GAP 13 fewer trials (Judicial Council of California, 2016). tice. Through my experience working in the Pomona The Shriver projects have been fundamental Self-Help Center and observing a number of court in meeting the growing needs of SRLs. Where tra- hearings involving at least one self-represented party, ditional court-based programs have fallen short in I have been exposed to a first-hand account of the cur- providing meaningful access to justice for SRLs, rent challenges the California courts are facing in ad- the Shriver projects appear to be an acceptable re- dressing the legal needs of self-represented litigants. ferral option to continue to close the justice gap. To supplement my internship experience and to contribute to the scholarly debate, I conducted a case Analysis study of the self-help center in the Pomona Superi- or Courthouse to examine its impact in making the The justice gap in the California courts has court more accessible to self-represented litigants. challenged the Judicial Council of California to find As a whole, self-help centers have been recognized solutions that will make the courts more accessible as a critical function of the California courts as the to self-represented litigants. To address this dilem- centers have helped the courts “facilitate the time- ma, the courts have implemented a number of court- ly and cost-effective processing of cases involving based, legal aid programs have made the California self-represented litigants…increase access to the judicial system one of the more innovative and us- courts and improve delivery of justice to the public” er-friendly systems in the country. However, there (Judicial Council of California, 2004). The purpose still remains a significant population of self-repre- of this study is to provide useful information that will sented litigants that cannot access those resources encourage continued discussion and search for solu- which often make the difference between winning a tions in resolving the justice gap that challenges our case or losing it. The outcomes from these cases have judicial system. Furthermore, the study reinforces significant, life-altering effects on the litigants which what many scholars have observed: that the demand have prompted many scholars to advocate for an ex- of court-based, legal aid programs is significantly pansion of current court-based, legal aid programs higher than the capacity of those programs (Legal and the continued search for, and development of, Services Corporation, 2009; Greiner & Pattanayak, new programs to provide meaningful access to jus- 2012). Lastly, the findings will determine how effec-

Appendix E: Total Number of Visitors 14 JOSHUA S. EBINER

Appendix F: Referral to Self-Help Center

tive the self-help centers are in addressing the legal gant may have. Similarly, judicial officers are now needs of self-represented litigants and whether there trained to promote the self-help center as an option are other legal aid models that can complement the for litigants who may be struggling with their case. centers in closing the justice gap. (See Appendix D) In fact, I have observed several hearings in which the judicial officer notified the self-represented -par Key Findings ties of the availability of the free services offered by the center and encouraged the litigants to utilize My case study indicates that the Pomona Self- those services. Usually, the self-represented party Help Center is a focal point for assisting self-repre- will visit the center and seek out assistance. There sented litigants at the Pomona Superior Courthouse was one instance in which a litigant was notified by (SeeAppendix E). In the five-month period, the Po- the judge to use the self-help center to assist her in mona Self-Help Center has received over 7500 vis- making an amendment to her petition. Later that day, itors, 44% of whom were referred to the center by I was working at the self-help center and I ended up the court (See Appendix F). It has become a com- assisting the litigant to make the necessary changes. mon practice for court clerks and judicial officers Furthermore, my study would suggest that the to encourage self-represented litigants to utilize the self-help center is an essential program that minimiz- services offered by the self-help center in -prepara es the justice gap by making the courts more accessi- tion for various stages of their case. Traditionally, ble to the SRLs and preparing them for their cases. In court clerks have been trained not to answer ques- a 2007 Report to the Legislature, the Judicial Council tions from the “nonlawyer public” in order to keep of California asserted that the self-help centers pro- the courts’ neutrality (Judicial Council of Califor- vide SRLs enhanced access to the courts because it nia, 2007). This formality becomes problematic for is able to effectively prepare litigants with a “better self-represented litigants who do not fully understand understanding of court processes and procedures” the complexity and technicality of the law. As a com- through individual assistance, written materials, and promise of sorts, court clerks often refer self-repre- videotapes. This preparation is essential because, in sented litigants to the self-help center to assist them the adversarial model, both parties are expected to be in their case and to answer any questions the liti- knowledgeable and competent in the practice of law. CLOSING THE JUSTICE GAP 15

The large number of self-represented litigants chal- the judicial process unrepresented because they can- lenged that assumption because many were unable not afford to hire an attorney (See Appendix I). While to “navigate the justice system unassisted” and their this disparity can be seen in all varieties of civil cas- cases, were either being continued or not fully re- es including paternities, divorces, and domestic vio- solved, or dismissed (Judicial Council of California, lence, it is perhaps most prominent in eviction cas- 2014). The former result creates additional demands es. In my experience, most petitioners in an eviction on the court’s time and resources as cases are not be- case have retained a lawyer who handles the cases for ing resolved in a timely manner. Additionally, these their client whereas the defendant is almost always cases are more likely to return to court in an attempt self-represented. The Task Force of Self-Represent- to settle disputes between the two parties. The lat- ed Litigants made a similar observation in its 2004 ter creates an injustice for self-represented litigants Statewide Action Plan for Serving Self-Represent- as they are losing their cases and facing adverse out- ed Litigants (Judicial Council of California, 2004). comes as a result for reasons unrelated to the merit of Despite the impact that the Pomona Self-Help the case. The self-help center reduces the likelihood Center has on providing addressing the justice gap, of these challenges by helping litigants meet proce- there are two major limitations. First, the self-help dural requirements, prepare adequate case packets center is both understaffed and underfunded which with supplementary attachments, and give them a limits its ability to effectively serve a significant realistic expectation of the outcome of their case. number of its guests. Over the five-month evaluation, The Pomona Self-Help Center also addresses the center was able to provide individual assistance the financial disparity in the judicial system wherein to about 36% of its guests (See Appendix J). This low-income litigants are often at a fundamental dis- study reinforces Greacen’s (2009) observation that advantage when facing a party that is represented by “most self-help programs serve only a fraction of counsel. Over the five-month evaluation, more than self-represented litigants in their jurisdiction”. Keep 63% of the self-help center’s customer base lives in mind that although the center provides individual below 100% of the federal poverty guidelines (See assistance to a small portion of the overall number of Appendix G and H). In other words, most of the guests, not all the guests that visited the center require self-represented litigants are forced to participate in that level of service. For example, some litigants are

Appendix G: Litigant’s Income Range 16 JOSHUA S. EBINER unsure whether they want to start a civil case and are The Pomona Self-Help Center provided this level of simply asking questions to develop a better under- service to over 60% of its guests since September. standing of the legal process; others are involved in Another limitation of the self-help center is its a case and are seeking assistance but do not have the inability to provide meaningful assistance to liti- supporting documents. In the first instance, the center gants involved in complex and critical civil matters. will provide “How to” guides and the forms for the In order to preserve the court’s neutrality, the self- litigant to complete if they choose to start a case. In help center is strictly allowed to provide legal infor- the second instance, the center encourages the litigant mation. The information and service that the center to come back with their documents. In other words, provides one party in a case must be provided equally because the center records all visits and level of ser- to the other party if necessary. For most litigants, in- vice provided, the figure is not entirely accurate. dividual assistance and legal information is sufficient At the same time, however, providing “How to” to prepare them for their case. However, for litigants guides and legal forms is a standard practice for the who are involved in cases that are complex in nature center when it cannot provide individual assistance. or will affect basic human rights, legal information The center provides service on a first come, first is often inadequate and does not guard against ad- served basis. Once its capacity has been met and cas- verse outcomes such as a dismissal or an involuntary es can no longer be set aside, the center has to turn lit- waiver of their rights. My case study found that less igants away. It has become common practice to give than 5% of the litigants who visited the self-help cen- the “How to” guide and legal forms to the litigant and ter would fall under this category (See Appendix J). to encourage them to return to the center at a later date. Though it is a small figure, the results suggest that

Appendix H: Poverty Thresholds for 2014 by Size of Family and Number of Related Children Under 18 Years

Note. Poverty Thresholds: 2014. Adapted from Income and Poverty in the United States: 2014 – Tables and Figures by the United States Census Bureau, 2014. Copyright 2014 by the U.S. Census Bureau. Adapted with permission. CLOSING THE JUSTICE GAP 17

Appendix I: Financial Comparison

Appendix J: Level of Service Provided to Litigant 18 JOSHUA S. EBINER

Appendix K: Employment Development Department of California

The Employment Development Department (EDD) is one of the largest state departments and tax collection agencies in California. The EDD provides “many important services to millions of Californians each year [and] is responsible for the state programs involving unemployment insurance, disability insurance, payroll tax collection, and job training/workforce services” (State of California EDD, 2016)

self-help centers are not adequately equipped to center provides litigants better prepares them for their meet this group’s legal needs which reinforces that cases by giving them important legal information and the justice gap is still present in our judicial system. a more realistic perspective of their case. This is ben- Although there is minimal empirical data avail- eficial not only for the litigant but also for the courts able to conclusively determine the effectiveness of as cases are managed more efficiently and fewer -re the Sargent Shriver Civil Counsel Pilot Projects, pre- sources are consumed (Judicial Council of California, liminary reports point to the necessity of appointed 2004). Furthermore, the self-help centers “increase counsel to protect litigants in critical and complex access to the courts and improve the delivery of justice civil matters (Judicial Council of California, 2016). to the public” (Judicial Council of California, 2014). Self-help centers and legal aid programs, though they My case study of the Pomona Self-Help Center are crucial to making the courts more accessible to reinforces the importance of the self-help centers in the public, simply do not replace the quality of as- minimizing the structural barriers that often margin- sistance provided by a lawyer. The assistance that alize indigent self-represented litigants. However, to the self-help center provides most of its litigants is ensure that the California courts are able to function adequate to effectively prepare the litigant for their efficiently and effectively address the legal needs of civil case. However, a number of cases such as self-represented litigants, the Judicial Council of Cal- foreclosures, elder abuse, certain divorces, and pa- ifornia must expand the self-help centers. Currently, ternities are simply too complicated for the center the legal aid attorneys that staff the self-help centers to provide effective assistance. Although my study in California are outnumbered 10,000 litigants to 1 suggests that roughly less than 5% of the center’s which significantly reduces the number of litigants it guests potentially fall into this category, the results can thoroughly assist (Judicial Council of California, confirm that the judicial system is not accessible 2007). Similarly, my case study indicates that a large to all of its users. As a result, a significant number number of litigants who visit the center cannot access of self-represented litigants are still facing adverse its services simply because the demand supersedes outcomes as they involuntarily forfeit their legal the center’s resources. Furthermore, the center does rights for matters unrelated to the merit of their case. not provide legal advice or representation which prevents it from assisting litigants involved in complex Conclusion civil matters. Lastly, self-represented litigants will likely be a permanent characteristic of the California The self-help centers have a significant role in courts. Job projections over the next decade estimate reducing the disparity between the courts and the the more than 68% of new jobs will have a compen- indigent self-represented litigants. The services the sation around minimum wage (Judicial Council of

Appendix L: California Occupational Employment Projections Between 2012-2022

While California’s occupational employment is expected to grow significantly in the next eight years, the majority of those job openings will either require a minimum of a high school diploma or less than high school. The compensation package for those jobs will hover around minimum wage. If an individual were to become involved in a civil matter, they would not be able to afford an attorney to represent them in court. Instead, it would be safe to conclude that many of these individuals will use the self-help centers if they have a legal dispute. CLOSING THE JUSTICE GAP 19

California, 2009; Employment Development Depart- potentially serve as a referral option for self-help ment of California, 2014; See Appendix K and L). centers as well as a supplement to meet the demands The Shriver pilot projects are programs that can of self-represented litigants. These conclusions are potentially address the unmet needs of self-repre- based on a preliminary report which will be sub- sented litigants in a capacity that cannot be matched mitted to the Judicial Council of California for re- by another other court-based program. First, Shriv- view and consideration. In the meantime, I would er programs provide legal representation and advice encourage the Shrive projects to expanded as well which is crucial for litigants involved in complex to ensure that the judicial system is equipped to civil matters. Second, the Shriver programs could meet the legal needs of self-represented litigants.

References Cambridge University Press. The Adversary System. (2011). Retrieved February 15, 2016, from Access to Justice — Civil Right to Counsel — Cali- http://cambridge.edu.au/go/down- fornia Establishes Pilot Programs to Expand load/?f=8407&t=1736 Access to Counsel for Low-Income Parties. — CHASE, D. J.. (2003). Pro Se Justice and Unified Act of Oct. 11, 2009, ch. 457 (codified in Scat- Family Courts. Family Law Quarterly, 37(3), tered Sections of Cal. Bus. & Prof. Code and 403– 430. Retrieved from http://www.jstor.org. Cal. Gov’t Code). (2010). Access to Justice — proxy.library.cpp.edu/stable/25740431 Civil Right to Counsel — California Establishes DRAFT: REPORT TO THE LEGISLATURE ON Pilot Programs to Expand Access to Counsel for THE SHRIVER CIVIL COUNSEL ACT JU- Low-Income Parties. — Act of Oct. 11, 2009, ch. DICIAL COUNCIL OF CALIFORNIA. (2016, 457 (codified in Scattered Sections of Cal. Bus. January). Retrieved February, 2016, from & Prof. Code and Cal. Gov’t Code). Harvard http://www.courts.ca.gov/documents/shriv- Law Review, 123(6), 1532–1539. Retrieved er-20151214-materials.pdf from http://www.jstor.org/stable/40648378 Employment Development Department. (2014, Sep- American Bar Association. (2016). Our Origins tember 19). California Occupational & Principles. Retrieved February 13, 2016, Employment Projections Between 2012-2022. Re- from trieved February 5, 2016, from http://www.calm- http://www.americanbar.org/advocacy/rule_of_ is.ca.gov/file/occproj/cal$occnarr.pdf law/about/origin_principles.html Feuer, M. Assembly Member (2009, October 11). American Bar Association Rule of Law Initiative Assembly Bill No. 590. Retrieved February (2012). ACCESS TO JUSTICE ASSESSMENT 12, 2016, from http://www.leginfo.ca.gov/ TOOL. Retrieved November, 2015, from http:// pub/09-10/bill/asm/ab_0551-0600/ab_590_ www.americanbar.org/content/dam/aba/direc- bill_20091011_chaptered.pdf tories/roli/misc/aba_roli_access_to_justice_as- Goldschmidt, J. (2002). THE PRO SE LITIGANT’S sessment_manual_2012.authcheckdam.pdf STRUGGLE FOR ACCESS TO JUSTICE Meet- American Bar Association Standing Committee on ing the Challenge of Bench and Bar Resistance. the Delivery of Legal Services. (2014, August). Retrieved February 21, 2016, from http://www. The Self-Help Center Census: A National Sur- proselex.net/Documents/ProSeLitigant Struggle vey. Retrieved February, 2016, from http://www. Access to Justice Secured.pdf americanbar.org/content/dam/aba/administra- Gorham, U. (2014). Facilitating Access to Legal In- tive/delivery_legal_services/ls_del_self_help_ formation by Self Represented Litigants: An center_census.authcheckdam.pdf Exploratory Case Study of the People’s Law Library California Courts. (2016). About JusticeCorps. Re- of Maryland. Retrieved March 06, 2016, from trieved November 25, 2015, from https://ojs.law.cornell.edu/index.php/joal/article/ http://www.courts.ca.gov/justicecorps-about. view/8/35 htm Greacen, J. M. (2011, June). Resources to Assist California Courts. (2016). Judicial Council. Re- Self-Represented Litigants: A Fifty-State Review trieved February 02, 2016, from of the “State of the Art”. Retrieved February, http://www.courts.ca.gov/policyadmin-jc. 2016, from http://sostf.org/system/files/sostf/re- htm sources/GreacenReportNationalEdition.pdf 20 JOSHUA S. EBINER

Greacen, J. (2009, May 3). The Benefits and Costs of at the California Courts website: http://www. Programs to Assist Self Represented courts.ca.gov/cgi-bin/search.cgi?q=Califor- Litigants. Retrieved December 6, 2015, from nia Courts Self-Help Centers&Search.x=37&- http://www.courts.ca.gov/partners/documents/ Search.y=5 Greacen_benefit_cost_final_report.pdf Judicial Council of California. (2010, April). Elkins Greacen, J. M. (2010, October). Self-Represented Family Law Task Force: Final Report and Rec- Litigants and Court and Legal Services Respons- ommendations. Retrieved January, 2016, from es to Their Needs: What We Know. Retrieved http://www.courts.ca.gov/documents/elkins-fi- December, 2015, from http://www.courts.ca.gov/ nalreport.pdf partners/documents/SRLwhatweknow.pdf Judicial Council of California (2012, August). Fact Greacen, J. M. (2013, July 26). Services for Self-Rep- Sheet: Sargent Shriver Civil Counsel Act (AB resented Litigants in Arkansas: A Report to the 590) (Feuer). Retrieved January, 2016, from Arkansas Access to Justice Commission. Re- http://www.courts.ca.gov/documents/AB-590. trieved February, 2016, from http://www.arlegal- pdf services.org/system/files/Greacen-Arkansas_Fi- Judicial Council of California. (2008, February 29). nal_Report_07-26-13.pdf Guidelines for the Operation of Self-Help Cen- Gorham, Ursula. (2014). Facilitating Access to Le- ters in California Trial Courts. Retrieved De- gal Information by Self-Represented Litigants: cember, 2015, from http://www.courts.ca.gov/ An Exploratory Case Study of the People’s documents/self_help_center_guidelines.pdf Law Library of Maryland. Journal of Open Ac- Judicial Council of California (2007, January). Han- cess to Law. Retrieved March 6, 2016, from dling Cases Involving Self-Represented Liti- https://ojs.law.cornell.edu/index.php/joal/article/ gants. Retrieved December 22, 2015, from http:// view/8/35 www.courts.ca.gov/cgi-bin/search.cgi?q=Han- GREINER, D. J., & PATTANAYAK, C. W.. (2012). dling Cases Involving Self-Represented Liti- Randomized Evaluation in Legal Assistance: gants What Difference Does Representation (Offer Judicial Council of California. (2005, March). Model and Actual Use) Make?. The Yale Law Journal, Self-Help Pilot Program: A Report to the Leg- 121(8), 2118–2214. Retrieved from http://www. islature. Retrieved January, 2016, from http:// jstor.org/stable/41510476 www.srln.org/system/files/attachments/Model HILBERT, J.. (2009). Educational Workshops on Set- Selfhelp Pilot Program CA 2005.pdf tlement and Dispute Resolution: Another Tool Judicial Council of California. (2004, February). for Self-Represented Litigants in Family Court. Statewide Action Plan for Serving Self-Repre- Family Law Quarterly, 43(3), 545–569. Retrieved sented Litigants. Retrieved January, 2016, from from http://www.jstor.org/stable/25740714 http://www.courts.ca.gov/documents/selfreplits- Hough, B. R. (2003, June). Description of California rept.pdf Courts’ Programs for Self-Represented Litigants. Judicial Council of California. (2014, October). Task Retrieved January, 2016, from http://www.courts. Force on Self-Represented Litigants: Final Re- ca.gov/partners/documents/harvard.pdf port on Implementation of the Judicial Council Hough, B. (2010). Self-Represented Litigants in Statewide Action Plan for Serving Self-Repre- Family Law: The Response of California’s sented Litigants. Retrieved February 07, 2016, Courts. California Law Review Circuit, 1, 15-24. from http://www.courts.ca.gov/partners/docu- Retrieved January 13, 2016, from http://www. ments/EA-SRLTaskForce_FinalReport.pdf californialawreview.org/self-represented-liti- Kim, H. B.. (1987). Legal Education for the Pro Se gants-in-family-law-the-response-of-californi- Litigant: A Step Towards a Meaningful Right as-courts/ to Be Heard. The Yale Law Journal, 96(7), Judicial Council of California. (2015). 2015 COURT 1641–1660. http://doi.org.proxy.library.cpp. STATISTICS REPORT: Statewide Caseload edu/10.2307/796497 Trends. Retrieved March 7, 2016, from http:// Legal Services Corporation. (2009, September). Doc- www.courts.ca.gov/documents/2015-Court-Sta- umenting the Justice Gap In America: The Cur- tistics-Report.pdf rent Unmet Civil Legal Needs of Low-Income Judicial Council of California. (2007, June). Califor- Americans. Retrieved January, 2016, from http:// nia Courts Self-Help Centers. Retrieved www.americanbar.org/content/dam/aba/migrat- January, 2016, from http://www.courts.ca.gov/ ed/marketresearch/PublicDocuments/Justice- documents/rpt_leg_self_help.pdf Also available GaInAmerica2009.authcheckdam.pdf CLOSING THE JUSTICE GAP 21

National Coalition for a Civil Right to Counsel. State of California Employment Development De- (2016). The Justice Gap. Retrieved February 21, partment. (2016). About the EDD. Retrieved 2016, from http://www.civilrighttocounsel.org/ February 14, 2016, from http://www.edd.ca.gov/ about/the_justice_gap About_EDD/About_EDD.htm Neighborhood Legal Services of Los Angeles Coun- Supreme Judicial Court Steering Committee on ty (2016). About. Retrieved November 23, Self-Represented Litigants (2008, Novem- 2015, from http://www.nlsla.org/about/ ber 21). ADDRESSING THE NEEDS OF Office of the Assistant Secretary for Planning and SELF-REPRESENTED LITIGANTS: FINAL Evaluation (2016, January 25). Poverty REORT AND RECOMMENDATIONS. Re- Guidelines. Retrieved February 21, 2016, from trieved February, 2016, from http://www.amer- https://aspe.hhs.gov/poverty-guidelines icanbar.org/content/dam/aba/migrated/legalser- PAINTER, R. W.. (2011). Pro Se Litigation in Times vices/delivery/downloads/maselfrepfinalreport. of Financial Hardship—A Legal Crisis and Its authcheckdam.pdf Solutions. Family Law Quarterly, 45(1), 45–94. Sweet, R. W.. (1998). Civil “Gideon” and Confidence Retrieved from http://www.jstor.org.proxy.li- in a Just Society. Yale Law & Policy Review, brary.cpp.edu/stable/23034375 17(1), 503–506. Retrieved from http://www.jstor. Public Policy Institute of California. (2016). Policy org.proxy.library.cpp.edu/stable/40239539 Areas. Retrieved February 14, 2016, from The Right to Counsel in Civil Litigation. (1966). The http://www.ppic.org/main/policyareas.asp Right to Counsel in Civil Litigation. Columbia Self-Represented Litigation Network. (2016, Feb- Law Review, 66(7), 1322–1339. http://doi.org. ruary 18). About. Retrieved February 21, proxy.library.cpp.edu/10.2307/1120986 2016, from http://www.srln.org/node/21/about- Tidmarsh, J. (2010). Resolving Cases “On The Mer- srln its”. Retrieved February 21, 2016, from http:// Seidenberg, S.. (2012). Unequal Justice: U.S. trails www.law.du.edu/documents/denver-universi- high-income nations in serving civil legal needs. ty-law-review/v87-2/Tidmarsh_PDF.pdf ABA Journal, 98(6), 56–59. Retrieved from http://www.jstor.org.proxy.library.cpp.edu/stable/23278133

Student volunteers from the JusticeCorps can make a tremendous difference in the lives of the self-represented litigants they serve. Shown here: the Los Angeles East District Superior Court and County Building in Pomona, California. 22 JOSHUA S. EBINER

Joshua S. Ebiner

Joshua Ebiner is a third year political science and philosophy double major with an emphasis in law and society. His expected graduation date is June 2017. Although he is undecided as to what he wants to do after the completion of his undergraduate program, Joshua is considering careers in academia, politics, and/or law. Environmental Racism: A Comparative Analysis Between Brentwood, Los Angeles and South Gate, California Elena Ruiz Ramirez California State Polytechnic University, Pomona

Environmental racism is a continuous cycle that often threatens the health and surrounding environment of minority communities. This thesis focuses on one of the most impactful environmental hazards: superfund sites. The two cases to be compared are: Brentwood, Los Angeles (an affluent community) and South Gate, California (a minority community). Collecting data from the Environmental Protection Agency shows that South Gate has 21 superfund sites, three of which are on the National Priorities List. As for Brentwood, there are zero waste sites located within the community. With using this information as the primary foundation of analysis, this thesis will then analyze the disparities between population density, race, and income by using 2010 census data. The ultimate goal of this thesis is to analyze how certain factors (i.e. race and income) attract or deter the placement of waste sites.

nvironmental racism generally targets areas to question: Do waste management companies place of low socioeconomic status. Many examples facilities that have negative environmental impacts Einvolve the placement of toxic facilities that in communities based on its socioeconomic status? not only pose a threat to the environment but to those To answer this question, it is important to fully living near them; to illustrate, toxic landfills have understand the main concepts of this thesis and how been reported to cause high rates of birth defects, the they relate to each other. The first concept is waste release of methane, along with toxins seeping into management facilities with negative environmental the soil and groundwater which becomes an environ- impacts and the second concept is the socioeconom- mental hazard. With having the knowledge and un- ic status of a community. These concepts relate to derstanding of how severe the health effects are from each other because a community’s economic status toxic facilities, what is the causal mechanism that and ethnic makeup can be the most influential fac- allows the process of environmental racism to con- tors as to where these hazardous facilities are located. tinue? Cases to be studied have a noticeable pattern Additionally, there is a higher probability that waste of waste management facilities being located in com- management companies will choose an area with munities consisting of predominately low-income inexpensive land to maximize profits. Although this and ethnic minority citizens. Using various examples is a rather logical justification for the correlation be- of waste sites located in California will shed light tween the placement of waste sites and the low-so- on how people (specifically minorities, but people cioeconomic status of a community, this thesis will nonetheless) continue to be politically and financial- focus on the environmental and political disparities ly exploited in a state that has made advancements in found between a minority community and an af- environmental policies. Such contradiction leads me fluent community based on the placement of waste

23 24 ELENA RUIZ RAMIREZ management facilities. Therefore, this thesis argues: ple because not only are minority communities ex- waste management facilities that have harmful en- posed to numerous environmental hazards (i.e. soil vironmental impacts are placed in areas of low so- and groundwater contamination), but Los Angeles cioeconomic status because the citizens are more is a city located in a state with progressive envi- likely to be politically and financially vulnerable. ronmental policies. Although California has made Hypothetically speaking, if a hazardous land- significant advancements in environmental politics, fill site were to be placed in an affluent- communi there continues to be disparities in the environmen- ty, that community will more often than not have tal protection of minority and affluent communities; the necessary funds to either remove the landfill thus, alluding to the need for a reevaluation of which site or conduct research to build a case against the environmental policies should be placed at the fore- waste management facility. Whereas, most coali- front. In its entirety, this comparative analysis will: tions formed in a financially vulnerable community 1) have consistent results with previous research will not have the political influence or vigor against on environmental racism and 2) enhance previous a waste site company as would a coalition created in research by demonstrating that the most significant an affluent community. If most political opposition disparities between a minority community with waste posed by minority communities goes unrecognized, sites and an affluent community are essentially creat- apathy will surely form to which its citizens will ac- ed in a system that equates higher wealth with good cept environmental racism as a natural part of life. health and financial vulnerability with poor health. It is necessary for this issue to be further discussed in the field of Political Science, specifically Literature Review the subfield Public Administration, due to the prevalence of environmental injustice (which is enhanced Environmental racism is the intentional or unin- through the placement of waste sites) found in mi- tentional targeting of minorities through policies or nority communities. With the use of statistical anal- practices that have noticeable negative effects in their ysis, researchers have found a positive relationship surrounding environment. Much of the research con- of waste management facilities being placed in ar- ducted throughout various periods of time have be- eas that have characteristics consistent with minority gun with a common observation: waste management communities (i.e. high population density, low-in- facilities are often placed in low-income/racially ho- come status, low employment rates, etc.). Interesting- mogeneous minority communities. This thesis seeks ly enough, theories concerning environmental racism to further explore the nature of the relationship be- suggest it is fundamentally a social issue. Based on tween communities of low-socioeconomic status and social institutions and interactions, minorities will the placement of waste management facilities by con- continue to be bombarded with environmental haz- ducting a comparative analysis between an urban city ards because they are politically, financially, and and its affluent counterpart in Los Angeles, California. ethnically inferior. Most importantly, since minority Minority communities are essentially political- communities are in a constant state of environmental ly and financially exploited during the process in racism (in both a theoretical and empirical sense) this which private companies seek to place hazardous suggests that government intervention is minimal to waste sites. In both the theoretical and statistical ex- nonexistent. Environmental researchers find minimal amination of this topic, race is a common influential government intervention is paralleled with unequal factor. This speaks to the idea that being a minority environmental protection; in essence, this is the most will render less environmental protection (Bullard, impactful contribution to environmental racism. Af- 1999). Environmental racism also considers the eco- ter taking into account the following research, this nomic status of a minority community; therefore, it thesis suggests that unequal environmental protec- has been found that low-income minorities are less tion creates the systemic issue of waste manage- likely to act against the placement of a waste site in ment companies exploiting communities with low their community due to the potential employment socioeconomic statuses based on the reasoning that opportunities (Boer et al., 1997). In addition, low-in- minorities are less likely to be a political threat. come communities will have a higher probability of Using the given research on environmental lacking the sufficient funds needed to create a sub- racism, this thesis seeks to contribute to the active stantive political threat (in the form of a grassroots discussion by conducting a comparative analysis movement) against waste management companies. between an urban, minority community and an af- A majority of this research has been conducted by fluent community in Los Angeles, California. Los environmental scholars, most of whom conclude Angeles should be considered as a prime exam- that the government is not fully participating in the ENVIRONMENTAL RACISM 25 protection of minority citizens from environmental es and institutions. In order to resolve the societal hazards. This literature review has therefore been thinking of environmental racism involve attending categorized into three panels of discussion by re- a higher education institution. Higher education chal- searchers: the theoretical framework of environmen- lenges social hierarchies and encourages students tal racism, the statistical analysis of environmental to think critically about inequalities (Pellow, 2012). racism, and government outreach to affected citizens. Statistical Analysis of Theoretical Framework for Environmental Injustice Environmental Injustice Not every researcher is a proponent for the idea Providing a foundation based on theory im- that waste management facilities are placed in com- plies that an issue goes beyond numerical values; it munities based on their ethnic makeup. Atlas (2001) sheds light on the importance and effects of social suggests that his analysis provides no pattern of interactions, values, and institutions. The follow- hazardous waste facilities being disproportionately ing research establishes a theoretical framework to placed in areas of minority communities. Instead, further explain how and why environmental racism most of the waste sites were found to be placed in occurs in minority communities. Park and Pellow areas of low population densities with few minority/ (2004) propose that environmental racism is a form low-income people (Atlas, 2001). This study demon- of institutional racism. Institutional racism suggests strates a possible counter argument to my research by racism is formulated as a habit based on societal pat- providing an analysis that focuses on rural commu- terns rather than individual intent. Interestingly, Park nities that have less of a minority population densi- and Pellow branch away from the statistical analysis ty than would an urban area. However, much of the that is often done when linking race and the place- research conducted to confirm the observation that ment of waste facilities. Therefore, by highlighting environmental racism is found in communities of the social environment of minority communities, en- predominantly minority citizens does not focus spe- vironmental racism is seen as a natural part of life. cifically in rural areas; rather, research on the place- Although institutional racism is a rather attractive ment of waste management facilities often highlights theoretical explanation for the existence of environ- the urban setting. The following scholarship pro- mental injustice, it is not the only one. Pulido (2000) vides multiple factors (all of which are consistent views environmental racism as a form of white privi- characteristics of minority communities) that affect lege and uses Los Angeles as a case study. While also the location of waste sites in urban areas based on using theoretical and social frameworks to explain statistical analysis and case study research methods. the continuance of environmental racism, Pulido sug- The following research has been complied to gests that white privilege is the primary reason that counter Atlas’ findings of little to no correlation citizens of a more dominant race have the ability to between the placement of waste sites and minority move away from urban communities, therefore, ren- communities. Primarily, Bean v. Southwestern Waste dering minorities as sole inhabitants of waste man- Corp. (1979) highlighted the obstruction of civil agement facilities (2000). In addition, Godsil (1991), rights due to the location and proximity of a waste whose study focused on the socioeconomic status of disposal facility in Houston, Texas. This case called African American communities and the placement of for the first empirical study that connected the place- waste sites, introduces a widely known way of think- ment of waste management facilities with the race of ing that is often considered by affluent communities: citizens. Secondly, twenty years after the publication “Not In My Back Yard” syndrome (otherwise known of a breakthrough study of environmental racism in as NIMBYism). NIMBYism is exemplified when 1987 (Toxic Waste and Race in the United States by “[w]ell-meaning environmentalists and worried citi- the United Church of Christ), environmental justice zens of affluent communities oppose hazardous waste scholars published an update. By taking into account facilities in their backyards; as a result, developers all impactful events that have occurred in the past twenty too often site facilities in predominantly poor and mi- years (i.e. grassroots movements and government ac- nority communities” (Godsil, 1991). All three studies tion--or lack thereof), Bullard et al. (2008) finds that shed light on how the root of the issue of environmen- race still plays a significant role in the placement of tal racism is deeper than most believe. It is embed- waste management facilities. Lastly, Mohai and Saha ded in the thought process that minorities are found (2007) used Geographic Information System (GIS) to inferior, which ultimately stems from social process- further analyze the intensity of the relationship between racial inequality and the distribution of hazard- 26 ELENA RUIZ RAMIREZ ous waste facilities. GIS is used to capture, manipu- Statistical analysis and case studies have found late, and analyze various types of geographical data. unavoidable factors as a result from living in a mi- Therefore, the use of GIS solidified the conclusion nority community. For example, the limited amount that previous research failed to account for the prox- of job opportunities, along with residential discrim- imity between the facilities and the minority commu- ination, contributes to the restriction of options nities; therefore, Mohai and Saha’s conclusion is in when deciding which environment to live in (Bull- alliance with Bullard et al. (2008) and the findings in ard, 1993). Interestingly enough, waste management Bean v. Southwestern Waste Corp. (1979): race is an companies understand how their facilities provide influential factor in the placement of waste facilities. employment to minorities and increase tax revenue Specific case study analyses from areas such as which serves as justifications (Geisinger, 2012). North Carolina and New Jersey make it possible to ap- Therefore, the overall consensus in this section of ply the same research process to Los Angeles, Califor- scholarship is: waste management facilities are typ- nia. Norton et al. (2007) conducted research based on ically placed in urban, ethnic-minority communities. the observation that waste management facilities are typically located in areas of low socioeconomic status Governmental Outreach to in the state of North Carolina. The research methods Affected Citizens included creating a statewide analysis by obtaining census data of race and income. Their findings con- Research concerning the correlation between cluded that there is a correlation between the place- minority communities and the placement of waste ment of waste management facilities and minority sites continues to develop as time passes. It is only communities in North Carolina (Norton et al., 2007). natural to then question the government’s role (state In addition, Mennis and Jordan (2005) used New Jer- government, primarily) in this process. Bullard sey as example to demonstrate a positive relationship (1994) analyzes the disparities found in US envi- between minorities and toxic air releases (notably in ronmental policies created to protect citizens from densely populated and urban areas) by using univari- hazardous and toxic facilities. The author goes fur- ate and multivariate statistics. This study can be used ther into depth in researching the EPA’s involvement to have a greater grasp of studying environmental with environmental racism to find little intervention. racism in the urban areas of Los Angeles, California. Over the course of five years, the lack of government When further analyzing case studies, other fac- intervention continues and there is little change to tors that contribute to the placement of waste man- the scarce protection of minority communities from agement facilities in minority communities go far environmental racism. Bullard (1999) conducts beyond race and income status. Boer et al. (1997) an analysis of environmental racism in the United focuses on Los Angeles as an example on whether States and how minorities in poor communities are income and employment (in addition to race) were subjected to environmental hazards (often through causal mechanisms of environmental racism. Just the form of waste management facilities) more often as the majority of other research concludes, the au- than those living in affluent communities. Therefore, thors agree that race and income have a positive in- the argument is made that minorities are not equally fluence with environmental injustice. Significantly, protected like their affluent counterpart and -intro employment opportunities make waste management duces the need for a grassroots movement in order facilities attractive in urban communities (Boer et al., to gain environmental protection (Bullard, 1999). 1997). This suggests that many minority citizens do Konisky (2009) also seeks to find if the state not have thriving or stable incomes and are not will- government has little political involvement with ing to fight against the removal of waste sites ifit environmental protection policies in minority com- provides a form of employment. Moreover, children munities by focusing on three policies typically en- of color, particularly Latinos and African Americans, forced by the state: the Clean Air Act, the Clean Wa- living in Los Angeles have a higher chance of being ter Act, and the Resource Conservation and Recovery exposed to toxic air quality based on the school’s lo- Act. Konisky finds that there is a clear relationship cation and construction (Morello-Frosch et al., 2002). between sparse government action and low-income Lastly, Hamilton (1995) explores differences in citi- communities. By examining the role of the state zens’ willingness to pay for environmental amenities when it comes to corporations establishing harmful which can be linked to income or education levels. A facilities in communities, corporations (viewed as company will decide where to place waste manage- separate entities) have become their own policy mak- ment facilities based on the community’s willingness ers while the state’s power has slowly diminished to pay for environmental amenities (Hamilton, 1995). (Pellow, 2001). There is an analysis on how to seek ENVIRONMENTAL RACISM 27 environmental justice with this new political pro- the financial resources needed to pay for environ- cess, for example, corporate-community compacts. mental amenities, this thesis should have consistent These compacts entail citizen collaboration and the results like that of previous scholars. Most impor- advisement of companies on how to strengthen their tantly, California is viewed as a state with admirable knowledge on social responsibility and human rights. advancements in environmental policies; therefore, Generally, there are three ways for citizens to research conducted on this comparative analysis provide their input in environmental policymaking: will also enhance the argument that environmental collaborating with companies, creating or participat- racism is a form of institutional racism because ining in committees to enhance/promote regulation, justice continues to occur despite policy progress. and going to the courts (Markell, 2004). Despite the avenues presented for citizen participation, Environ- Methodology mental Non-Governmental Organizations (ENGOs) are displeased with the results of noncompliance by This thesis will take a qualitative approach by waste management facilities and, most importantly, analyzing case studies in order prove the argument lack of government accountability (Markell, 2004). that minority communities are politically and finan- With examining the research in this section, the com- cially vulnerable when it comes to the placement monality is little to no state interaction/intervention of waste sites. The ultimate goal will be to demon- in the protection of minority communities from en- strate a positive relationship between the placements vironmental hazards. Resolutions often involve the of waste management facilities and urban, minority citizens’ direct cooperation with the companies. As a communities by comparing two cases: 1) Brentwood, result, companies are not bound by law to upkeep reg- which is a neighborhood in Los Angeles, California ulation of their waste sites if there is no enforcement and 2) South Gate, which is a city in Los Angeles from the state; therefore, minority communities are to County, California. As previously mentioned, Los remain living in an unhealthy and toxic environment. Angeles is the best region to select potential cases Based on this literature review, environmental because many waste sites are located in urban and scholars have continuously questioned the place- densely populated communities (Mennis and Jor- ment of waste management facilities in minority dan, 2005). Furthermore, both units of analysis are communities from the late 1970’s to present. There- commonly understood to be either an affluent com- fore, merely questioning why environmental racism munity (Brentwood) or a minority community (South has not yet been resolved is found to be insufficient. Gate). To gain a general sense of where these two Scholars have delved into the causal mechanisms of communities are located within Los Angeles, South how environmental racism continues to exists; for Gate is located approximately seven miles south- example, institutional racism and white privilege east of downtown Los Angeles and is neighbored by (Park and Pellow, 2004; Pulido, 2000). Examining Watts, Lynwood, Cudahy, and Huntington Park; and scholarship on the social and theoretical frameworks Brentwood is a neighborhood in Los Angeles city of this issue explains how minorities are in an ongo- on the Westside section of the county. The process ing state of environmental injustice due to various in choosing which cities or neighborhoods would be social processes and patterns that equates minority viable candidates for this analysis depends, firstly, on with inferiority. This association potentially con- the location of waste sites, and secondly, census data. tributes to the lack of government intervention and equal protection of minorities from environmental Environmental Protection Agency hazards (Bullard, 1994). Furthermore, scholars have Data Collection justified the observation of the placement of waste sites in communities of low-socioeconomic status Because waste management facilities can range with the use of statistical analysis and case studies. from landfills to disposals, it is important to narrow The various results are consistent with character- the search to one example to prevent extraneous vari- istics of minority communities: population densi- ables and errors in analysis; therefore, this thesis will ties in urban areas, race and economic status, and focus on superfund sites. Superfund sites are hazard- lack of employment opportunities (Mennis and Jor- ous waste sites that threaten public health and the endan, 2005; Norton et al., 2007; Boer et al. 1997). vironment. Although this definition is rather vague, This thesis seeks to further examine the extent facilities with negative environmental impacts are de- of environmental racism in Los Angeles, Califor- termined and categorized as superfund sites through nia. By comparing an urban community with a high the discretion of the Environmental Protection Agen- population density and an affluent community with cy (EPA); therefore, regarding this study, the EPA pro- 28 ELENA RUIZ RAMIREZ vides less uncertainty as to which facilities to focus on. munity assessment in order to clearly define the com- The EPA developed a superfund program to munities as such rather than relying on an assumption. clean up superfund sites and better the environment For example, with using the categories listed above of those living near them. In order to provide trans- and 2010 census data for the city of Los Angeles, parency, the website www.epa.gov/superfund has a Brentwood is compared to all other neighborhoods list of all superfund sites in the United States, “in- within the city. As will later be demonstrated, Brent- cluding proposed, final and deleted NPL sites and wood is defined as affluent. The same comparison non-NPL Superfund Alternative Approach (SAA) will be used for the city of South Gate, except 2010 sites.” According to the EPA, the city of South Gate census data for Los Angeles County will be used. currently has 21 superfund sites, 18 of which have a Therefore, when compared to other cities in the coun- Non-NPL (Non-National Priorities List) status. The ty, South Gate is defined as a minority community. three other superfund sites have been added to the Both communities’ census data can be found with the National Priorities List and are considered the most website www.factfinder.census.gov. Not only is this contaminated facilities within South Gate. The three website able to localize data by city, town, and zip NPL status waste sites are: Cooper Drum Co. (NPL code, but it provides the most updated information 2001), Southern Avenue Industrial Area (NPL 2012), (2010 census data). Finally, the framework of analysis and Jervis B. Webb Co. (NPL 2012). This thesis will is now this: South Gate is a minority community with take into account all 21 superfund sites, but will focus 21 superfund sites that will be compared to its afflu- and highlight the three NPL status waste sites because ent counterpart Brentwood, which has zero superfund they pose the greatest health threats to those living in sites. This framework of analysis is going to be able South Gate. As for Brentwood, there are currently no to provide a stable foundation for results. Therefore, registered superfund sites in the neighborhood. Last- the disparities found between these two communities ly, the EPA Superfund website also includes updated can be further analyzed in confidence to prove the information referring to various levels of contami- overall argument that minority communities with nation, investigation, and cleanup. This is import- waste sites are politically and financially vulnerable. ant information for this analysis because it reflects whether the cleanup process is handled in a timely manner. When concluding this section of methodol- Results ogy, the framework of analysis developed so far is a community with 21 superfund sites being compared I. Superfund Background to a community with zero superfund sites. Analyzing 2010 census data will further evolve this framework. Prior to the 1980’s, there was a lack of regulation and oversight of waste management facilities Census Data in the United States. During that time, the Environ- mental Protection Agency (EPA) did not have the Census data gives insight to the socio-econom- legal authority to intervene and extend help to com- ic status of a community. When used in a compar- munities with waste sites that posed a threat to cit- ative analysis, census data also highlights dispar- izens’ health; therefore, incentives or legal pressure ities between two areas. This thesis will use those directed towards responsible parties to clean up the disparities and analyze how they contribute to the contaminated areas were completely nonexistent. placement of waste sites in minority communities, The Love Canal site in Niagara Falls, New York is specifically South Gate. Specific categories tobe the primary example of how a lack of regulation and compared are: population, race, income, educa- liability resulted in the perpetuation of severe health tion, and unemployment. The categories listed are risks for surrounding citizens. Most importantly, the typically the criteria needed to determine wheth- problems resulting from Love Canal can be seen er a community is considered an affluent or -a mi with the superfund sites located in South Gate today. nority group. Furthermore, collecting information The Love Canal’s initial purpose was to enhance about both communities’ square mileage is needed industrial development in the area by providing inex- in order to determine population density. Popula- pensive hydroelectric power (EPA, 2016). Unfortu- tion density is also used as a determining factor for nately, the project was not carried out and Love Canal categorizing a wealthy and minority community. was used for recreational purposes instead. Because Up to this point, it is a general assumption that the Love Canal site is below ground-level (approxi- South Gate is a minority community and Brentwood mately 25 feet), this area became a rather attractive is an affluent community. This thesis provides a com- place for dumping waste. A chemical corporation ENVIRONMENTAL RACISM 29 at the time, Hooker Chemicals & Plastics Corpora- es. A short-term removal of superfund sites entails tion, discarded over 21,000 tons of hazardous waste responding to immediate threats, does not require into Love Canal for eleven years (1942-1953) (EPA, the sites to be listed on the National Priorities List 2016). The toxic chemicals inevitably contaminated (NPL), and has statutory limits of twelve months and the soil and groundwater. Love Canal was then aban- two million dollars (EPA, 2015). Long-term respons- doned by Hooker Chemicals & Plastics Corporation, es are essentially long-term cleanups only for the which meant that there was no investigation or risk waste sites on the NPL. During long-term respons- assessment carried out. Therefore, as years passed, es, the EPA will first create an investigation of the the surrounding land developed into a residential superfund site and provide assistance in trying to area by which families settled in without knowing find the “potentially responsible parties” (PRPs) for the potential dangers that Love Canal presented. the damage. Long-term responses aim to “…perma- In the 1970’s, this sixteen-acre, excavated plot nently and significantly lower the dangers connected of land (now seventy-acers) was surrounded by fam- to releases or threats of releases” (McCory, 1999). ily homes and a public elementary school. Accord- Lastly, one of the most important contributions that ing to the New York State Department of Health CERCLA allows the EPA to make is creating a trust (NYSDH), “…in the homes immediately adjacent fund for clean up when liability is not established. to the landfill there were resident 97 families- com The different legal avenues that CERCLA gives the posed of 230 adults and 134 children,” during which EPA reinforce one idea: superfund sites are detri- that time 410 children were enrolled at the elemen- mental to the environment and those living near it. tary school (1978). A majority of reports concern- The Environmental Protection Agency created ing the citizens’ first notice of contaminated soil and a website dedicated to making the CERCLA process groundwater in their neighborhood commonly state transparent. All information concerning superfund that a “foul odor” began to develop. Furthermore, sites, both NPL and non-NPL sites, is made available. the odor and chemical residue led to an increased By completing the Hazard Ranking System (HRS), risk of cancer. The New York State Department of the EPA will determine whether a site is to have a Health issued a health order in 1978 which recom- NPL or non-NPL status. The NPL is important to the mended that the public elementary school should be CERCLA process because it will determine potential closed, in addition to recommending that pregnant funding for cleanup, provide a health risk investiga- women and children under the age of two should be tion if needed, and serve as a notification of remedial evacuated (Center for Health, Environment and Jus- action for the public along with potentially responsible tice, 1979). Health risks posed on pregnant women parties (EPA, 2015). Essentially, the Superfund web- could lead to birth defects, and due to their biolog- site is a tool used to prevent another Love Canal sit- ical vulnerability, children “…are uniquely suscep- uation by which families moved into a neighborhood tible to health injury resulting from exposures to without knowing the health hazards that the landfill chemical toxicants in the environment” (Landrigan possessed. According to the EPA Superfund website, et al., 1999). Pressure for citizens to be evacuated there are 945 sites that are in California, 111 of which grew stronger, leading President Carter to intervene are NPL sites (2016). As previously mentioned, there by funding the relocation of all affected families. are zero sites listed for Brentwood, Los Angeles and The time-sensitive situation of Love Canal 21 sites listed for South Gate, California. 18 of South pressed the Carter Administration to enact the Com- Gate’s superfund sites have a non-NPL status, mean- prehensive Environmental Response, Compensation, ing the three remaining sites posed enough risk to be and Liability Act of 1980 (CERCLA or Superfund). categorized in the NPL. Those three sites are: Cooper CERCLA targets superfund sites which are defined Drum Co., Jervis B. Webb Co., and Southern Avenue as a polluted location that requires a substantial Industrial Area. In the following subsections, this the- amount of resources (i.e. money, labor, and time) sis will provide a brief history for the three NPL sites for reducing hazardous materials and is typically a in South Gate to provide insight of the potential health long-term process. CERCLA is greatly significant hazards that citizens are facing in their daily lives. because it placed “…a tax on the chemical and petroleum industries and provided broad Federal au- Cooper Drum Co. thority to respond directly to releases or threatened releases of hazardous substances that may endan- The Cooper Drum Company site is located at ger public health or the environment” (EPA, 2015). 9316 South Atlantic Avenue in South Gate, Califor- With its interventionist feature, CERCLA is able nia. It is a 3.8-acre facility surrounded by residential, to create short-term removals and long-term respons- commercial, and industrial properties, in addition to 30 ELENA RUIZ RAMIREZ

Figure 1a: Human Exposure Control Status

an elementary school (Tweedy Elementary) located Yet, it is alarming to find that Cooper Drum Co.’s liq- adjacent to the superfund site. As a company that re- uid waste seepage has the potential to migrate to a conditioned steel drums for approximately 51 years municipal well that provides drinking water to nearly (1941-1992), Cooper Drum Co. housed industrial 300,000 people. Presently, the Cooper Drum site is chemicals. The reconditioning process “…consisted still in the CERCLA process in which the EPA is no- of flushing out and stripping the drums for painting tifying PRP’s of liability and cleanup is underway. and resale” (EPA, 2013). Although the cleaning pro- Cooper Drum Co.’s Site Status: Human cess would be designated to one central area on the Exposure Status is Under Control; Contami- premises, leftover industrial fluids were gathered in nated Ground Water Status is Not Under Con- open trenches and pits. This inevitably led to Coo- trol; and Protectiveness Status is Undetermined. per Drum Co.’s long-standing problem of contaminated soil and groundwater. Most notably, Tweedy Jervis B. Webb Co. Elementary was greatly impacted by Cooper Drum Co.’s reconditioning process. In 1987, fluids linked Jervis B. Webb Company is located at 9301 to the Cooper Drum site contaminated the elementary Rayo Ave and 5030 Firestone Blvd. South Gate, school’s soil: “…liquid waste had migrated via under- California. From 1950 to 1996, Jervis B. Webb Co. ground seepage…the waste resulted from the caus- used industrial conveyor belt systems for metal tic wash water from the drum recycling process…” fabrication and assembly operations (EPA, 2015). (EPA, 2013). The Los Angeles County Health De- Throughout this time period, other companies in partment then issued that Tweedy Elementary was to the metal fabrication business purchased different be closed due to public health concerns, quite simi- portions of Jervis B. Webb Co.’s property. Similar lar to the elementary school closed by Love Canal. to Cooper Drum Co.’s location, Jervis B. Webb Co. Cooper Drum Co. was eventually added to the is surrounded by residential, commercial, and in- NPL in June 2001. With the various investigative dustrial properties in South Gate, California. It has stages of CERCLA, the EPA concluded that contami- been confirmed that the Jervis B. Webb Co. site has nation was found only in shallow water (EPA, 2013). contaminated soil and groundwater with hazardous

Figure 1b: Groundwater Control Status ENVIRONMENTAL RACISM 31

Figure 1c: Protective Status

waste, in particular, trichloroethene (TCE). TCE is a Southern Avenue Industrial Area manmade chemical typically used for spot removal in an industrial workplace. If not disposed of prop- Southern Avenue Industrial Area is located at erly, TCE can seep into drinking water wells and 5211 Southern Ave. South Gate, California. This su- contaminate the water supply. TCE also heightens perfund site is walking distance from both Cooper the risk for cancer, along with damage to the liver, Drum Co. (6 minutes) and Jervis B. Webb Co. (10 kidneys, and central nervous system when consumed. minutes), which means it is located near the same res- According to the EPA’s investigation, contami- idential and industrial properties. Southern Avenue nated groundwater beneath Jervis B. Webb Co. has Industrial Area was owned by two in-house manu- TCE levels of 35,000 ppb (35,000 parts per billion facturing companies that used TCE for cleaning. The grams of water) (2015). Considering how the EPA’s first company, Pacific Screw Products, manufactured Safe Drinking Water Act stated the maximum amount screw products until their bankruptcy in 1971. From of TCE permitted in groundwater is 5 ppb, the Jervis 1971 to 2013, Seam Master Industries produced car- B. Webb Co. site has an obscene amount of contami- pets with the use of hot-metal adhesive tape during nation. As previously stated, when not disposed prop- assembly. As a result from improper disposal, the Los erly, TCE can migrate and contaminate drinking water Angeles County Department of Health Services and supplies. Jervis B. Webb Co. is located approximately Hazardous Waste Control Program found extremely four miles away from 35 drinking water wells, poten- high levels of TCE on the site. Additionally, soil and tially harming 230,000 people (EPA, 2015). Although groundwater contamination was increased with both the CERCLA process is still in preliminary phases, companies’ use of an underground storage tank in Jervis B. Webb Co. should be considered as a time-sen- which industrial fluids were gathered. With the EPA’s sitive issue because TCE is not only able to contami- initial investigation, “TCE was detected in onsite soils nate water but it can vaporize as well, causing health at levels up to 17 ppb and in groundwater beneath the risks to increase. This site was placed on the NPL in site at levels up to 17,000 ppb” (EPA, 2015). South- May 2012 and is considered a “long-term cleanup.” ern Avenue Industrial Area’s contamination has the Jervis B. Webb Co.’s Site Status (refer to opportunity to contaminate the same drinking water Fig.1a-1c): Human Exposure Status is undetermined wells as Jervis B. Webb Co. Although the EPA’s Con- due to Insufficient Data; Contaminated Ground taminants and Risks description states that the con- Water Status is undetermined due to Insufficient tamination is relatively shallow (60 feet), there is a Data; and Protectiveness Status is Undetermined. need to continue on-site investigation for potential va- porization of TCE into residential areas (EPA, 2015). Finally, this site was placed on the NPL in May 2012. 32 ELENA RUIZ RAMIREZ

Southern Avenue Industrial Area’s Site Status to define an area as minority. However, South Gate (refer to Fig.1a-1c): Human Exposure Status is un- is a city (unlike the neighborhood of Brentwood) determined due to Insufficient Data; Contaminated which means it will be compared to the county of Ground Water Status is undetermined due to Insuffi- Los Angeles, making the comparison city versus cit- cient Data; and Protectiveness Status is Undetermined. ies. South Gate has a median household income of $43,526 whereas the average income for Los Angeles II. Community Assessment County is $55,870. Approximately half (52.0%) of South Gate’s 18 and over population has graduated This section will dissect various disparities found high school. Only 5.4% of South Gate’s residents in the comparison of an affluent community to an -ur have a bachelor’s degree and 1.5% have a graduate ban, minority community with waste sites. What are or professional degree. As for Los Angeles Coun- the causes or factors that indicates a minority com- ty, 76.8% are high school graduates and 29.9% of munity like South Gate is to accommodate waste sites the population have a Bachelor’s degree or higher rather than an affluent community like Brentwood? (10.4% of which have a graduate or professional de- What makes an affluent community less attractive to gree). Continuing to the unemployment rate, 9.1% of waste management companies? The Community As- South Gate’s population is unemployed and 7.1% of sessment section will begin by clearly defining Brent- Los Angeles County is unemployed. Lastly, South wood as affluent and South Gate as minority. Next, Gate is located in the Southeast region of Los An- an analysis of population density will be provided. geles County, whose neighboring cities are Watts, Thus ending with an analysis of how race and income Bell Gardens, Walnut Park, and Cudahy. The city of may attract or deter waste management companies. South Gate is below average in median household income and educational attainment compared to Los Brentwood, Los Angeles Angeles County. Furthermore, South Gate has a higher unemployment rate which contributes to a higher Home to 35,482 people, Brentwood is common- poverty status. South Gate is a city with a low-so- ly defined as an affluent neighborhood. Characteris- cioeconomic status and is clearly a minority com- tics contributing to this definition involve examining munity when compared to Brentwood, Los Angeles. the median household income, race, the education of citizens, unemployment rates, and the location while Population Density comparing it to other neighborhoods in the city of Los Angeles. Brentwood’s median household income Population density plays a significant role in this is $116,732 whereas the average income for Los An- study because it has been found to affect the proxim- geles is $84,456. As for education, 97.9% of Brent- ity of superfund sites to one another, thus affecting wood residents graduated high school, in addition to the quality of life a community will have. The popu- 40.8% of the population having a Bachelor’s degree lation density for Brentwood, Los Angeles and South and 37.0% having a graduate or professional degree. Gate, California will be determined by using 2010 Contrastingly, 74.9% of those living in Los Angeles census data of population and the square mileage are high school graduates, 20.8% have a Bachelor’s of each community. Brentwood has a population of degree, and only 10.6% have a graduate or profes- 35,482 people and is 15.22 square miles. South Gate sional degree. The unemployment rate in Brentwood has a population of 94,396 people and is 7.45 square is 4.5% whereas the unemployment rate for Los An- miles. By comparing the two units of analysis, it is geles is 7.6%. Lastly, Brentwood is located in the clear that South Gate has a higher population density Westside region of Los Angeles, whose neighboring than Brentwood. South Gate’s land area is nearly half communities are Santa Monica, Bel-Air, Encino, Pa- the size of Brentwood’s land and encompasses near- cific Palisades, and Westwood. When comparing the ly three times the amount of people. Therefore, three neighborhood of Brentwood to the city of Los Ange- assumptions can now be made: waste management les, it is clear that Brentwood is an affluent community. facilities placed in a densely populated community are more likely to be clustered together; residents in a South Gate, California densely populated community are more likely to live near one or more waste sites; and waste sites placed The city of South Gate has a total population in a densely populated community create high- of 94,396 people who are often perceived as a mi- er health risks, lowering the overall quality of life. nority community. The same characteristics used As previously stated, there are 21 superfund to define an area as affluent can very well beused sites located in South Gate, three of which are on ENVIRONMENTAL RACISM 33

Figure 2: Superfund Map

the NPL. Because non-NPL sites do not warrant minutes walking distance. Cooper Drum Co. is only the immediate intervention, investigation, or feder- 0.6 miles away (11 minutes walking distance) from ally funded cleanup by the EPA, these sites become Jervis B. Webb Co. Lastly, Southern Avenue In- the state’s responsibility. This means that non-NPL dustrial Area is located 0.5 miles away (10 minutes site cleanups are to be funded and regulated by the walking distance) from Jervis B. Webb Co. A dense- state. Therefore, the primary difference between ly populated community can affect the location and waste sites with a NPL and waste sites with a non- proximity of these waste sites because of limited NPL status is the government entity responsible for property availability due to growing residential areas oversight. The biggest similarity, however, is both and businesses. Taking a closer look at the map, it NPL and non-NPL sites still pose health risks to the apparent that these superfund sites are located near community and can potentially affect more people other metal processing and industrial companies; as the population density increases. Using Cooper for example, Elg Metals near Southern Avenue In- Dum Co., Jervis B. Webb Co., and Southern Ave- dustrial Area, California Metals Recycling near nue Industrial Area as examples, finding the prox- Cooper Drum Co., and Shultz Steel near Jervis B. imity between these three highly contaminated areas Webb Co. It seems as if industrial companies such will be conducted in the simplest manner—Google as these are all concentrated in one area which con- Maps. By inserting the address of each superfund firms the first and second assumptions: waste man- site, Google Maps will generate a map pinpointing agement facilities placed in a densely populated each location, provide details on distance, and pro- community are more likely to be clustered togeth- vide a time frame for each mode of transportation. er and residents in a densely populated community By deconstructing the map, Cooper Drum Co. are more likely to live near one or more waste sites. and Southern Avenue Industrial Area are located a Cooper Drum Co., Jervis B. Webb Co., and mere 0.3 miles away from each other and is only 6 Southern Avenue Industrial Area are all located with- 34 ELENA RUIZ RAMIREZ in one mile from each other, meaning they all have political mobilization or creating some expression of the potential to contaminate the same drinking water opposition against waste site companies. On October wells and aquifers. As a reminder, Cooper Drum Co. 19, 2011, there was a public meeting held in the city has the issue of hazardous liquid seepage, Jervis B. of South Gate concerning their three NPL superfund Webb Co. has TCE levels of 35,000 ppb, and South- sites. However, this form of mobilization was held in ern Avenue Industrial Area has TCE levels of 17,000 order for the EPA to answer any questions the com- ppb. The fact that either one of these three NPL su- munity may have along with instructing residents on perfund sites can contaminate drinking water supplies how to submit comments to EPA Headquarters (EPA, is alarming, yet the idea of contamination combined 2015). This meeting was created by the EPA in order by all three waste sites affecting drinking water sup- to fulfill a portion of the cleanup process and not out of plies is highly disturbing. Furthermore, the hazardous opposition by South Gate community members. Most chemicals found on each NPL location in South Gate notably, not another public meeting was held since. have the possibility of vaporizing which means resi- As for Brentwood, residents have formed an dents are two times more likely to ingest TCE. Lastly, environmental community organization. Interesting- Tweedy Elementary School was closed down due to ly enough, there is no information provided on the public health concerns caused by Cooper Drum Co. Brentwood community website other than contact in- All these reasons and more are why South Gate formation. This alludes to the idea that this communi- residents’ health is significantly more at risk than those ty organization was formed for recreational purposes living in Brentwood. There are zero superfund sites by citizens with enough leisure to do so. Nonethe- (both NPL and non-NPL) in Brentwood, Los Ange- less, this affluent community has the ability to mobi- les, meaning its drinking water supply is unthreatened lize compared to its minority counterpart South Gate. by TCE contamination. In addition, Brentwood has In addition to race, income is another import- 10 schools located within its zip code (90049), none ant explanation as to why waste management fa- of which were closed down due to public health con- cilities are often located in minority communities. cerns. Thus, this not only confirms the third assump- Using income for this analysis, this factor is able tion but confirms the general concept of environmen- to address the disparities in opportunities residents tal racism: it is nearly unimaginable how South Gate in each community are able to have. According to residents are able to have the same quality of life when 2010 census data, the average income for Brentwood compared to their affluent counterpart, Brentwood. residents is $116,732. As for South Gate, the average income is $43,562, which is a total difference Race and Income of $73,170. A high income will provide the luxury of affording quality health care, whereas -low-in Previous researchers have used Geographic come families with inadequate health care who are Information System (GIS) to prove that there is a currently living near waste sites are disproportion- positive relationship between the race of a com- ately exposed to contamination (Massey, 2014). munity and the placement of waste sites. Without Yet, the most significant opportunity a relatively the use of any statistical program such as GIS, it is high income is able to provide is the opportunity to abundantly clear that South Gate is the perfect ex- live in a waste site free environment, if one so choos- ample of such relationship because there are 21 es. More often than not, those of a higher income sta- superfund sites located within the city and 94.8% tus prefer to live in a community that reflects their of its population (89,442 out of 94,396 people) wealth; for example, ambient environmental quality, are Hispanic or Latino (of any race) (2010 Census aesthetic views, and proximity to recreational sites, Data). To further support this claim, approximately most of which Brentwood is able to provide. This 15.8% of Brentwood’s community are minorities, also happens to contribute to the concept of NIMBY- meaning 84.2% (29,846 out of 35,482 people) are ism (Not In My Back Yard syndrome), where citizens white; thus, Brentwood is a predominantly white, of affluent communities oppose hazardous waste sites waste site free community (2010 Census Data). in their immediate surroundings, rendering minority It is widely known amongst environmental re- communities as the sole proprietors. Moreover, waste searchers that waste site companies strategically take management facilities are able to diminish proper- into consideration the ethnic makeup of a community. ty value: “A meta-analysis shows that landfills that Ethnic-minority communities are viewed as attrac- accept high volumes of waste decrease adjacent tive to waste site companies because minorities are residential property values by 12.9%, on average” often seen as the “path of least resistance” (Saha and (Ready, 2005). It has been reported that the medi- Mohi, 2007). The term resistance typically refers to an property value in Brentwood (a waste site free ENVIRONMENTAL RACISM 35 community) is $2,280,700, whereas South Gate’s agement companies despite the potential health risks median home value is $366,600 (Zillow, 2015). waste site activities produce. As was demonstrated, Therefore, it is assumed that communities without South Gate community members have not engaged waste sites have either high or increasing property in any form of resistance via community meetings values compared to communities with waste sites. or forums. In addition, waste management compa- Having a relatively low income provides very nies often associate political vulnerability with race. limited and restricted opportunities to find housing South Gate houses 21 superfund sites and 94.8% of in a waste site free environment. Those of a low its residents are Hispanic or Latino. Without delving socio-economic status living near waste sites can into community involvement, this correlation alone potentially define environmental racism as a- nat shows that there is a positive relationship between ural part of life. As previously described, there are race and the placement of waste sites, especially when disparities between the quality of life residents of compared to Brentwood who has an inactive environ- Brentwood and South Gate currently have. These mental community organization, has an 84.2% white disparities in combination with a lack of mobiliza- population, and does not house any superfund sites. tion can create a form of stagnation within a hazard- South Gate city officials have made transparen- ous environment. What is there else to do besides cy a priority. Information about the three NPL sites adapt? Citizens of South Gate have adapted to their and the CERCLA process has been made available on hazardous environment for decades, which can possi- South Gate’s city website. Although transparency cre- bly explain their continual acceptance of waste sites. ates awareness and possibly creates deterrence, those In addition to adaptation, South Gate may con- who are financially vulnerable are essentially stuck in tinue to accept waste sites in its community due to their environment. This thesis indicated the many op- the potential employment opportunities (Boer et portunities that are related with a higher income. Indi- al., 1997). In comparison to other cities in Los An- viduals with a relatively high income (i.e. Brentwood geles County, South Gate’s unemployment rate is residents) have the advantage in living in a waste site high (South Gate: 9.1% vs. LA County: 7.1%). For free environment. Whereas, those with a relatively the sake of this analysis, this thesis will provide an low income (i.e. South Gate residents) are limited estimate of jobs provided by the 21 waste sites lo- and restricted in choosing their place of residence, cated in South Gate. QualaWash will be used as an specifically living in an area without superfund sites. example because it was the most recent superfund The grandest disparity that was found between site (non-NPL) in South Gate to be listed on the South Gate and Brentwood was the difference in EPA Superfund website, which means it will have quality of life. This finding not only takes into- ac the most updated information concerning employ- count the disparities of race and income, but popu- ment. This branch was established in 2005, provid- lation density as well. Population density affected ing heating equipment and repair services. Based the proximity of superfund sites in South Gate, es- on its profile on www.manta.com (a small business pecially the three most contaminated sites there: marketing website), the QualaWash company typi- Cooper Drum Co., Jervis B. Webb Co., and South- cally employs 20 to 49 people. By multiplying the ern Avenue Industrial Area. Because of this, South estimated amount of employees by 21, there were Gate’s aquifers are three times more likely to be approximately 420 to 1,029 jobs created by super- contaminated with massive amounts of TCE. In con- fund sites in South Gate. Acknowledging that this is trast, Brentwood’s water supply will not be affect- a very rough estimate, it still provides insight as to ed by the potential contamination from a superfund how superfund sites are able to pacify any potential site. Lastly, the TCE contamination found on South resistance from minority communities against waste Gate’s superfund sites has the ability to vaporize. site companies based on employment opportunities. Unfortunately, this means there is a possibility that South Gate residents will encounter both water and Conclusion air TCE pollution. Thus, the quality of life is dimin- ishing with each waste site placed in a community. Based on this case study analysis, the placement To conclude, this thesis recognizes the most ob- of waste sites are heavily influenced by the political vious restriction when conducting a case study anal- and financial vulnerability of South Gate residents (a ysis is external validity. By analyzing and compar- minority community). This thesis suggests that those ing Brentwood to South Gate, the general argument living in South Gate are in a state of political vul- for this thesis was able to hold true. However, these nerability because a lack of opposition is, and will findings cannot be generalized across the nation or continue to be, taken advantage of by waste man- even generalized in the city of Los Angeles. There- 36 ELENA RUIZ RAMIREZ fore, with future research, I would like to take my Environmental Protection Agency. (2015). Super- methodology or my framework of analysis and ap- fund Site Overview, Pacific Southwest, Southern ply it to other minority communities with waste sites Avenue Industrial Area. Retrieved from http:// located in Los Angeles. If given more time, there yosemite.epa.gov/r9/sfund/r9sfdocw.nsf/3dec- would be shift in focus towards the public policies 8ba3252368428825742600743733/d9ace- that affect the placement of waste sites. 21- super f4a71cbca01882579130078b555%21opendocu- fund sites drastically affects the quality of life and ment land that minority communities are living in. There Environmental Protection Agency. (2016). EPA Su- needs to be a greater in depth discussion about en- perfund Program: Love Canal, Niagra Falls, NY. vironmental racism in the Political Science field Retrieved from http://cumulis.epa.gov/super- because this form of injustice is life threatening. cpad/cursites/csitinfo.cfm?id=0201290 Environmental Protection Agency. (2016). Superfund References Site Profile. Retrieved from http://cumulis.epa. gov/supercpad/cursites/srchrslt.cfm?start=1&C- Atlas, M.K. (2001). Safe and Sorry: Risk, Environ- FID=21534284&CFTOKEN=45246954 mental Equity, and Hazardous Waste Manage- Geisinger, A. (2012). The Benefits of Development ment Facilities. Risk Analysis: An International and Environmental Injustice. Columbia Journal Journal, 21(5), 939. of Environmental Law, 37(2), 205-244. Bean v. Southwestern Waste Corp. 482 F. Supp. 673 Godsil, R. D. (1991). Remedying Environmental (1979). Racism. Michigan Law Review, 90(2), 397- Boer, J. T., Pastor, M., Sadd, J. L., & Snyder, L. D. 427. (1997). Is There Environmental Racism? The Hamilton, J. T. (1995). Testing for Environmental Demographics of Hazardous Waste in Los An- Racism: Prejudice, Profits, Political Power? geles County. Social Science Quarterly, 78(4), Journal of Policy Analysis and Management, 793–810. 14(1), 107-132. Bullard, R.D. (1993). The Threat of Environmen- Konisky, D. M. (2009). Inequities in Enforcement? tal Racism. Natural Resources & Environment, Environmental Justice and Government Perfor- 7(3), 23-26. mance. Journal of Policy Analysis and Manage- Bullard, R. D. (1994). Overcoming Racism in Envi ment, 28(1), 102–121. ronmental Decisionmaking. Environment, Landrigan, P. J., Suk, W. A., & Amler, R. W. (1999). 36(4), 10. Environmental Health Perspectives. Nation- Bullard, R. D. (1999). Dismantling Environmental al Institute of Environmental Health Sciences. Racism in the USA. Local Environment, 4(1), 107(6), 423-427. 5. Markell, D. L. (2004). Enhancing Citizen Involve- Bullard, R. D., Mohai, P., Saha, R., & Wright, B. ment in Environmental Governance. Natural Re- (2008). Toxic Wastes and Race at Twenty: Why sources & Environment, 18(4), 49-52. Race Still Matters After All of These Years. En- Massey, R. (2004). Environmental Justice: Income, vironmental Law, 38(2), 371-411. Race, and Health. Global Development and En- Center for Health, Environment, and Justice. (1979). vironment Institute. 1-19. Love Canal. Retrieved from http://chej.org/ McCrory, M. A. (1999). Who’s On First: CERCLA wp-content/uploads/Documents/love_canal_ Cost Recovery, Contribution, and Protection. factpack.pdf American Business Law Journal. Environmental Protection Agency. (2015). Basic Mennis, J. L., & Jordan, L. (2005). The Distribution NPL Information. Retrieved from http://www. of Environmental Equity: Exploring Spatial epa.gov/superfund/basic-npl-information Nonstationarity in Multivariate Models of Air Environmental Protection Agency. (2015). Super- Toxic Releases. Annals of the Association of fund: CERCLA Overview. Retrieved from American Geographers, 95(2), 249-268. http://www.epa.gov/superfund/superfund-cerc- Mohai, P., & Saha, R. (2007). Racial Inequality in la-overview the Distribution of Hazardous Waste: A Nation- al-Level Reassessment. Social Problems, 54(3), 343–370. ENVIRONMENTAL RACISM 37

Morello-Frosch, R., Pastor, M., & Sadd, J. (2002). Pellow, D. N. (2001). Environmental Justice and the Integrating Environmental Justice and the Pre- Political Process: Movements, Corporations, cautionary Principle in Research and Policy and the State. The Sociological Quarterly, 42(1), Making: The Case of Ambient Air Toxics Expo- 47–67. sures and Health Risks among Schoolchildren in Pellow, D. N. (2012). Transforming the Ivory Tower: Los Angeles. Annals of the American Academy Challenging Racism, Sexism, and Homophobia of Political and Social Science, 584, 47–68. in the Academy. Honolulu, HI: University of Ha- New York Department of Health. (1978). Love Canal. wai’i Press. Retrieved from https://www.health.ny.gov/envi- Pulido, L. (2000). Rethinking Environmental Rac- ronmental/investigations/love_canal/lctimbmb. ism: White Privilege and Urban Development in htm Southern California. Annals of the Association Norton, J. M., Wing, S., Lipscomb, H. J., Kaufman, of American Geographers, 90(1), 12–40. J. S., Marshall, S. W., & Cravey, A. J. (2007). Ready, R. C. (2005). Do Landfills Always Depress Race, Wealth, and Solid Waste Facilities in Nearby Property Values? The Northeast Regional North Carolina. Environmental Health Perspec- Center for Rural Development. 27(1), 1-29. tives, 115(9), 1344-1350. Zillow. (2015). Brentwood Los Angeles CA Home Park, L. S., & Pellow, D. N. (2004). Racial Forma- Prices & Home Values. Retrieved from http:// tion, Environmental Racism, and the Emergence www.zillow.com/brentwood-los-angeles-ca/ of Silicon Valley. Ethnicities, 4(3), 403–424. home-values/

According to the Environmental Protection Agency, groundwater and soil samples indicate high levels of trichloroethylene (TCE), a metal-cleaning solvent, at Southern Avenue Industrial Area and the Jervis B. Webb Co., both located in South Gate. Photo by Fantail Media via Flickr Creative Commons. 38 ELENA RUIZ RAMIREZ

Elena Ruiz Ramirez

Elena Ruiz Ramirez is a fourth year political science major. She transferred from Citrus Community College in 2014 and is expected to graduate from Cal Poly Pomona in June 2016. She plans to go to graduate school to begin a career in academia. Solar Power: Friend or Foe? What Californians Think About Solar Energies Steven Tinsley California State Polytechnic University, Pomona

This thesis examines the various health incentives clean air provides and the many rebates available for solar panels. Health incentives and monetary rebates are two important facets of solar panels that can be used as huge selling points. These two facets are thought to be the guiding force behind encouraging Californians to purchase more solar panels. This thesis uses interviews with citizens to show that people are not familiar with the negative health effects associated with the use of coal burning power plants and the multitude of rebates available to them. The interview process consisted of two groups: a control and experimental group. The individuals’ interviewed were a mixture of solar power users and traditional fuel users. Based on the assumption that some people are not very informed, we created an experimental group that provided more information to these individuals. The interview was set up to explore this assumption and discover any truth behind this claim. Ultimately my research aimed to discover if Californians are self-interested and have no motivation to help the environment through the use of solar panels.

“Every mammal on this planet instinctively develops a natural equilibrium with the surrounding environment but... humans do not. You move to an area and you multiply and multiply until every natural resource is consumed and the only way you can survive is to spread to another area. There is another organ- ism on this planet that follows the same pattern. Do you know what it is? A virus. Human beings are a disease, a cancer of this planet.”

–Agent Smith, The Matrix (1999)

limate change is a threat that affects the incentives and public actors, however even though it American way of life; it gives us longer, hot- is rooted in political science there will be terms used Cter summers and displaces people across the that are specific to the field of environmental science. country. Many scientists believe that it is too late to Terms like ‘photovoltaic panels’ which are glass cells stop climate change and that we must learn how to that convert light into electricity, ‘respiratory health’ survive in the new atmospheric conditions. Making which is health directly associated with your lungs, the switch from fossil fuels to renewable energies is ‘particulate matter’ which adds to the problem of air one way to survive the changing climate and keep pollution, and ‘renewable energy’ which is energy that particulate matter out of the air. My research is im- is derived from a non-fossil fuel based source. portant because it will help American politicians This paper will explore how monetary rebates create a renewable energy policy and it will provide and health incentives are necessary for people to help insight on techniques that can be used to protect the the environment through purchasing solar panels. environment. This paper will utilize terms like tax Additional research will show that due to the inher- 39 40 STEVEN TINSLEY

ent self-interest of the general population, incentives been dropped” (Stein, 2012). In this single piece of and rebates are necessary to spread the usage of re- federal legislation, we see the wide-ranging influence newable energies. This is the expectation because of politics in regards to issues of energy and the en- people will not uproot their lifestyles if there is no vironment. type of benefit to be earned. Unfortunately, the hoi The question of this thesis paper examines is “do polloi does not think about multiple generations in the the health incentives and monetary rebates associated future, they only think of themselves. This being said, with renewable energy in 21st century America make Californians must see a benefit in their lifetimes so Californians buy more solar panels”. The expectation they can make a change. is that both rebates and health incentives are neces- Aside from the self-interest of the general popu- sary for Californians to purchase solar panels. The lation, there is a clear cause and effect relationship at research has led to this conclusion because without play here. I believe health incentives and government monetary incentives, Californians refrain from the funded monetary rebates associated with solar panels purchase of high priced items. Also if there is no di- will push more Californians to purchase solar panels. rect effect to their personal health, they will not take This ultimately has the effect of allowing homeown- steps to better the environment and air pollution. ers to rely less on coal burning power plants. This in Californians should buy more solar panels be- turn keeps smog out of the air and benefits citizens’ cause they are good for the environment, however respiratory health. It also allows pushes citizens to there are other reasons that will affect their motiva- utilize government rebates such as the “California tion. Due to the inherent self-interest of the gener- Solar Initiative Rebate,” which decreases the cost of al population, incentives and rebates are necessary owning and maintaining solar panels. to spread the usage of renewable energies. As such, The subfield of the research is American Politics going back to the main cause and effect of the argu- with a focus on environmental politics, because it will ment, monetary rebates and health incentives should only concentrate on rebates and solar purchases made be the guiding force behind the spread of photovolta- here in the U.S. All research will be related to how ic panels here in California. Without them, we would Californians are affected by the various regulatory continue to utilize coal burning power plants exclu- institutions that control these rebate and incentive sively. programs. Government institutions have a significant The next portion of the thesis delves into past amount of oversight over the environment. For ex- research on the various health incentives clean air ample, “[s]ince more than one million acres of the provides and the plethora of government rebates Mojave have already been excluded from…develop- available for solar energy. Respiratory health is im- ment by a law sponsored by U.S. Senator Diane Fein- portant to the longevity of life and rebates are nec- stein…newly proposed [power] plants have already essary for Californians to purchase big-ticket items.

ACKNOWLEDGEMENT

Prima facie, I am grateful to God for the good health and wellbeing that were necessary to complete this thesis paper. I wish to express my sincere thanks to Dr. Jill Hargis, Principal of the Faculty, for providing me with all the necessary facilities for the research.

I place on record, my sincere thank you to Dr. Sharon Hilles, Dean of the Faculty, for the continuous encouragement. I am also grateful to Dr. Mario Guerrero, assistant professor, in the Department of Political Science. I am extremely thankful and indebted to him for sharing expertise, sincerity and valuable guidance and encouragement extended to me.

I take this opportunity to express gratitude to all of the Department faculty members for their help and support. I also thank my mother, Marnita Tinsley for the unceasing encouragement, support and attention. I am also grateful to my aunt, Christina Wallace who supported me through this venture. Lastly I am grateful to my beautiful girlfriend Jewelayna Fisk who has stayed up till the early morning with me editing my paper.

I also place on record, my sense of gratitude to one and all, who directly or indirectly, have lent their hand in this venture.

Shortly thereafter, the literature review focuses on effects are non-existent with this type of energy gen- how health incentives and rebates motivate Califor- eration. The UCS also found that energy generation nians to purchase more solar panels. Good health and that utilizes fossil fuels contaminates drinking water affordable prices are key factors in the purchasing of and has a plethora of other negative effects on the en- solar panels here in California. However, once Cal- vironment, while the generation of energy using solar ifornians understand that solar panels provide posi- panels has no negative effects on the environment tive health effects, and have great rebates, they will (Rogers, 2015). purchase more of them, which in turn will provide Similar to the UCS, Taylor gives data gathered positive effects for the environment. on how weak policy in California keeps greenhouse gas levels higher than they should be. Taylor (2008) Literature Review states, “The unprecedented scale of the technological transformation required to reduce greenhouse gas Incentives and rebate programs are necessary for emissions to “safe” levels…necessitates an empha- the purchase of renewable energy. The compositions sis on designing climate policy to foster…environ- on incentives and rebate programs here in Califor- mental innovation.” Taylor highlights the benefits of nia are limited. However, the literature reveals trends photovoltaic cells because it gives data on dangers of that exist in relation to motivating factors with solar greenhouse gases and how environmental innovation panel purchases. This research explores the incen- in the form of solar panels will shield Californians tives and rebates that make it economically viable from the innate dangers associated with them. for Californians to afford and want solar panels. My Similar to Taylor and the UCS, Grover has data research is important because it will help American collected on the health incentives of solar panels. politicians create a renewable energy policy and it Grover utilized information collected by the Clean will provide insight on techniques that can be used to Air Task Force and the Clear Skies Act, to show the protect the environment. extreme amounts of particulate matter are pumped The literature review investigates two areas of into the atmosphere from coal burning power plants. scholarship. The first portion delves into research Grover (2007) goes on to say that, “As shown…the on the various health incentives clean air provides, emissions reductions…will have a positive impact and the plethora of government rebates available for on a range of respiratory…health issues.” A figure solar energy. Respiratory health is important to the Grover includes shows a drastic decline in particu- longevity of life and rebates are necessary for Cal- late matter when using solar panels, which in turn ifornians to purchase big-ticket items. The second as the quote states, dramatically improves respira- portion focuses on how health incentives and rebates tory health. Grover’s (2007) figure states, “The SAI motivate Californians to purchase more solar panels. is projected to reduce annual CO2 emissions by 69 Good health and affordable prices are key factors to 100 million tons in 2030. Annual NOX emissions in the purchasing of solar panels here in California. would be reduced by 68,000 to 99,000 tons, and SO2 However, once Californians understand that solar emissions would be reduced by 126,000 to 184,000 panels provide positive health effects, and have great tons.” rebates, they will purchase more of them, which in Similar to Grover, Cooney has data gathered turn will provide positive effects for the environ- on the positive affects of solar panels on respiratory ment. health. And the decrease of harmful air pollutants is another benefit of PV panels. Cooney (2003) goes on Health Incentives to say, “The report shows…over the past 30 years, total emissions of 6 principle air pollutants have de- Photovoltaic panels yield many positive health creased by nearly 25%...” This article supports my effects, but my paper will only cover the respirato- research because it demonstrates how harmful air ry benefits of the panels. Although the literature is pollutants decreased after the installation of solar. extensive in terms of which respiratory benefits so- The increase of solar panels in an area drastically lar panels may provide, this section briefly covers decreases the harmful respiratory effects on resi- a few key benefits. The Union of Concerned- Sci dents. Ultimately, the literature on these respiratory entists (UCS) found that the burning of coal power benefits demonstrates that these panels actively de- plants is linked to breathing problems, which lead to creases contaminates and greenhouse gases, suggest- missed workdays and increases the overall costs of ing that there are some real respiratory benefits for healthcare. Energy generation via solar panels does governments to spur citizens to adopt these technol- not cause air pollution, so the negative respiratory ogies. 42 STEVEN TINSLEY

Tax Incentives and how that affects the rebate programs offered to Californians, especially when it comes to renewable Besides the inherent health benefits of PV pan- energy. els, its also important to talk about the financial sup- While Carleyolsen gathered data on the dis- port associated with them. Purchasing solar panels is connect between rebate programs and the effect on expensive to the average homeowner. The cost of the renewable energy, Doughman gathered data on the system depends on various aspects the average cost California Solar Initiative rebate program. Dough- per panel here in California is around $3 to $9 dollars man (2007) states, “A future where the governor’s per watt. The watt refers to the individual solar cell GHG-emission goals for 2050 are achieved could which makes up the entire solar panel, for example have the following characteristic… 78… new homes a 5 kW system would cost around $25,000-$35,000. and businesses would have PV panels and/or build- This steep cost is one of the main reasons homeown- ing-integrated PV, including the evolving thin film ers need monetary rebates to help them purchase the technology.” This work increases our understanding panels, this section will go over the various financing of multiple building practices that include the addi- and rebate options available to homeowners who plan tion of solar panels and it gives information on re- on purchasing solar panels. The authors Batchelder, bates offered to homeowners and businesses. Due to et al. (2006) examines if tax incentives are better for the increased variety of solar panels, RE is becoming the rich or the poor. Batchelder highlights the ben- more relevant. efits of socially beneficial projects and rebates. The Doughman has data gathered on a specific -re authors use data gathered on the $500 billion worth bate program and various building practices, while of incentives available to Californians to find that tax Cooney has data gathered on cooperatives or when incentives for the rich for solar panel installation are communities get together to bring about change. less efficient than those for the poor (Batchelder, et Cooney (2003) states, “In late August, local govern- al., 2006) ment, advocacy groups, and industry assembled to While Batchelder et al. found correlations be- educate consumers and offer discounted equipment tween incentives for the poor versus the rich, Black in support of the first-of-its-kind cooperative” the co- discovers data gathered on rate structures and sub- operative was located in Sebastopol, California and sidies offered by the California Government. Black the individuals involved in this venture were offered (2004) states, “The two most important state gov- large rebates and percentages off solar panel equip- ernment incentives are the $3.60/Watt rebate based ment, courtesy of the California Legislature. It shows on the AC output wattage as rated by the California that when the government provides assistance to in- Energy Commission and the 7.5% California state individuals it creates a chain reaction that spreads to come tax credit based on the net after rebate cost of various parts of cities, as a result of this Californians the system.” The California Government has various receive detailed information on incentives for the programs that benefit solar power usage, however un- purchase of solar panels and due to this, more Cali- less you do research on the various programs most fornians purchase more solar panels. people are unaware. Black’s quote shows that these While Cooney wrote about a state subsidized a rate structures help to make the solar owner money solar panel venture here in the California, Landers which puts money into the owners pocket right away (2002) has data gathered on rebates offered to busi- in the form of a lowered or nonexistent electricity nesses and utilities. Rebates are the guiding force be- bill. Even though Black discovered data on rate struc- hind people purchasing solar panels and this article tures, there has been research done on a wide range of adds support to this statement, by giving information renewable energy rebates and incentives. on the Emerging Renewables Buydown Program. An article by Carleyolsen shows information Landers (2002) states, “…half of the project’s cost on a wide range of RE policy, which in turn affects was covered by the state of California’s Emerging rebate programs. Carleyolsen (2006) states, “There Renewables Buydown Program, which was estab- is currently a complexity of public actors involved lished to promote the development of renewable en- in RE development, all of whom operate according ergy sources.” This is a perfect example of the pos- to their own agendas and with a different set of spo- itive effects rebates have on getting Californians to radic and often voluntary policies.” His quantitative buy more solar panels. analysis demonstrates how the U.S. government has Like the Emerging Renewables Buydown Pro- not updated its renewable energy policies since the gram (ERBP), Yaqub (2012) gives data on various 1980’s. This shines light on the large disconnect price and financing plans that make owning solar that has been created between policy and rebates, a more affordable option for Californians. Yaqub SOLAR POWER 43

(2012) states, “The Solar Photovoltaic…cost gap The California Legislature is necessary in the with traditional power can be narrowed by propos- purchase of the panels because they create legislation ing a financing method involving a combination of that funds their creation or the pass legislation that a longer-term purchase power…and lower interest stops it. In contrast to Cooney and Landers who have rates.” This is an example of an affordable way to data gathered on rebates offered to homeowners and purchase solar. It compares homeowners purchasing how these rebates cut the cost of the PV panels’ price, them without governmental assistance to those who Frishberg (2014) discusses how the lack of rebates do receive governmental assistance. causes less people to purchase the panels. This arti- Similar to Yaqub, the article by Hsu (2010) cle gathered data on how the lack of subsidies keeps has data gathered on programs created by the Cali- Californians from purchasing solar panels. It details fornian Legislature that help homeowners purchase how government incentive programs for solar panels solar panels. However, this particular program that are slowly disappearing, and that without these sub- is titled “California Solar Initiative Thermal Pro- sidies, renewable energy cannot stand on its own two gram” (CSITP) is for water heating. This study also feet. shows how this program’s $350 million budget will Complementary to Frishberg, Stein discusses displace older water heater models that utilize fossil how legislation impedes the progress of solar power fuels. Closely related to Hsu’s data gathered on the and solar companies. The impediment of rebates, and CSITP, Lifsher’s (2007) shows how the California incentives for solar panels keeps Californians from Legislature worked to revamp and fix flawed legis- purchasing them, which in turn keeps pollutants in lation, so more homeowners could reap the benefits the air and harms citizens’ repository health. Here in of monetary rebates and health incentives. Tax incen- California, the legislature passed a plan to have thirty tives are important because without them most Cali- percent of our energy come from renewable sourc- fornians would not be able to afford solar panels and es, which will help with the respiratory health of the due to this, there would be a lot of toxins present in state. However, it is difficult to hit this standard when the air. senators push to pass legislation that stops the build- Even though there are a plethora of rebate pro- ing of solar plants in areas where they will be of the grams offered to homeowners as mentioned above, most benefit. Stein (2012) states, “Since more than there is still little incentive for the homeowners to one million acres of the Mojave have already been purchase the solar panel system. This is because Cal- excluded from…development by a law sponsored ifornians are used to getting the majority if not all by U.S. Senator Diane Feinstein…newly proposed of their energy from coal burning power plants for plants have already been dropped.” This is an exam- cheap. The only way to increase the purchase of solar ple of how politicians directly influence solar panel panels here in Californian is to make the population purchases here in California, it gives information on understand the monetary rebates associated with so- how the adoption of renewable energy policies that lar panel purchase. The next section goes over how are inconsistent with one another negatively affects the California Legislature pushes homeowners and solar panel purchases here in California. businesses toward solar panel purchase or away from Ultimately, the California Legislature will play it. the largest role in the increased purchase of solar panels here in California. As was stated above, the Increased Purchase legislation that they create either adds to the purchase and use of solar panels or it takes away. They are the Positive health benefits and increased tax incen- ones who create most if not all the rebate programs tives, will result in the increased purchase of solar that are available to Californians for the purchase and panels here in California. The only way for all Cal- maintenance of the panels. So they are singularly re- ifornians to learn about the positive benefits of so- sponsible for the monetary incentives associated with lar panels is through social media and TV, however, the panels. A culmination of understanding that there these industries are all about profit and if airing info are a lot of positive health and environmental effects about these facets will not make them money they associated with solar panels and California Legisla- will not expose the populace to them. So, this is ture creating more rebate programs will lead to better where politicians step in and either create a depart- respiratory health for Californians, which will lead to ment that handles the social media aspect of inform- a healthier environment all due to the increased pur- ing citizens about the positive affect of the panels or chase of solar panels. they pay established social media and TV industries to air commercials and ads about them. 44 STEVEN TINSLEY

beaches, and men and women walking their kids to Methodology school through chokingly thick fossil fuel vapors, we also threw in a picture showing a smog caked China The research design will show that people are not from space. The video was created because we hoped familiar with the negative respiratory effects of coal to explore the compassion of Californians. In addi- burning power plants and that Californians will not tion to seeing how this introduced information would purchase panels without governmental assistance. It change people’s opinions on these issues. My hope for will also show that if it does not have any type of pos- the compassion generated by the video to transfer to itive benefit for themselves or their family, they will the answers given by the interviewers. The intention not have the motivation to purchase them. The re- behind showing these images is to explore the intrica- search design is interviews, but with an experimental cies of the human psyche and see if some Pavlovian element incorporated into it. The research will utilize methods will produce varied answers from those of a convenience sample of family and friends because the control group. After they are shown these images it allowed for easy scheduling of interviews, contact within the video, the interview would be then admin- of these individuals, and increased comfort of being istered. The first group, the control, would only be recorded. administered the interview. The main reason we are The interviews were broken up into an experi- using an experimental group is to figure out if people mental group and a treatment group. Each group con- are willing to purchase solar panels full price after sists of five people. The treatment group will be ex- seeing firsthand the awful effects fossil fuels have on posed to short video that has photos and video clips of the environment and their individual health. China which is the most polluted country in the world For the interview, a prewritten script was used today. It depicted children playing on smog infested to conduct the interviews. The first two questions in

Appendix 1a: Questions for the Control Group

1: If electricity from coal burning power plants were fossil fuels free, would you use the electricity created from coal A: Strongly disagree plants instead of solar-generated electricity? B: Disagree YES or NO / Why? C: Neither agree or disagree D: Agree 2: Would you pay full price for solar panels knowing E: Strongly agree there are government subsidies and tax breaks available to you? Why? YES or NO / Why? 5: Are you aware of any solar rebate programs? 3: For the following two questions, rate how much you YES or NO agree with the written statement. If yes what is it called? I care about the negative health effects caused by fossil fuels, Follow up Questions A: Strongly disagree B: Disagree 6: What Political Party do you identify with? C: Neither agree or disagree D: Agree 7: What is your education level? E: Strongly agree 8: What gender are you? Why? 4: I care about the negative environmental effects of 9: What is your race/ethnicity?

10: What is your occupation? SOLAR POWER 45

Appendix 1b: Control Group Interviews

am going to get it. Addicted to spending other people’s Interview 1: Jane money. 3: 4 1: No Why: I do believe that we have an effect on the envi- Why: B/c using the natural resource from the sun is ronment but its not to the extent that the government better, and its free, the source is free not the ability says the have an agenda I don’t have an agenda. I want to utilize it she understands you have to pay for the clean air but it comes at a cost, part of the cost is that equipment to utilize/ harness the power of the sun. we might not have clean air because of certain neces- 2: No sities. Why: If you have nay problems with the panels that 4: 4 means you own and maintain it, by subsidizing it the Why: It’s the same as before, some things are just cost of government/ company is responsible for them. If there doing business. There are things you can do, the clean are leaks or not working proper the company/govern- air act and improved exhaust systems and catalectic ment is responsible for maintaining them that is why converters, this helps improve the environment with- she would not want to own them right out. out wrecking the economy. I think you can improve the 3: 5 environment without wrecking the economy. Why: I don’t want to agree with anything that causes 5: Yes health affects for anybody. The average person with no Follow up: I don’t know of any titles or program names. health affects will be affected by it over time and she 6: Republican doesn’t want to agree with anything that harms any- 7: High School Diploma one. There are people who have health problems and 8: Male fossil fuels make these problems worse so she does not 9: African American want that. 10: Retired 4: 5 Why: Same reason as above answer. Interview 3: Richard 5: No Currently no, got solar and stopped “looking” “this 1: No shows that solar rebate info is not readily available and Why: The damage its doing to the environment creates have to be sought after” a lot of external costs, its free for me now but not in 6: Independent the future when I have to pay to repair the eco system 7: BS Degree from University of Phoenix Online around it once it destroys it. I rather pay up front and 8: Female help the environment out even if it costs a little extra. 9: I don’t answer that question 2: No 10: Retired Why: Because I am frugal 3: 5 Interview 2: John Why: They have a direct impact on my life and will 1: No have a direct impact on my children’s life. Why: If I had a choice I would rather use solar, I don’t 4: 5 buy into global warming. But what I do know is that Why: I want to know what is occurring so we learn the solar is a much cleaner source of energy. When I how to prevent and mitigate it in the future. WAS A KID in Santa Ana during the day smog was 5: Yes so bad it burned your eyes, on Fridays the fire depart- Me: Do you know any names? Him: not off the top of ment would sound a smog alarm. Due to the programs my head. I know of companies like solar city but I don’t and restrictions created in CA the air has been cleaned know if they offer rebate programs. up a lot. There is a connection between fossil fuels and 6:N/A pollution but I don’t think Humans have enough of an 7: College Senior Cal Poly Pomona effect on the universe as a whole to say that we are ru- 8: Male ining the planet. 9: Black 2: No 10: Student, and Clerical Work Why: Because the government has a way of misappro- Interview 4: George priating funds I have been paying into social security since I was 14 years old. 50 years I have been paying 1: No into this program and they are saying its appropria- Why: Even if it’s monetary value is free, it would cost tions, every cent the government has belongs to the us in the long run if we continue to use coal burning people, therefor every cent that I can get out of them I plants for an energy source. As much as I would love to 46 STEVEN TINSLEY the script were simple yes or no questions, the middle affirmative will show that Californians are money questions had a numbered Likert scale of 1-5: one conscious and look for the best deal. This shows corresponds to strongly agree and five corresponds that if rebates are offered for the panels and they are to completely disagree. Lastly, there will be one able to get a good deal they will jump at the chance short answer question, with a yes or no option, ask- of owning solar. The next question will examine if ing respondents to elaborate if they responded yes. Californians understand the benefits of subsidies, the Throughout all these questions, I took an informal question is “would you pay full price for solar panels style, where I also allowed respondents to expand on knowing there are subsidies and tax breaks available their answers however they saw fit. And for the ex- to you?” An interviewee that does not respond in the perimental group these interview questions contained affirmative will show that Californians do understand a caveat that made sure to ask respondents to elabo- the benefits of subsidies and will utilize them if pos- rate on their feelings about the video, the solar rebate sible. broadcasting system and their answers to some of the The remaining questions are meant to demon- close-ended questions. strate that Californians do not care about the negative The first question is “if electricity from coal health and environmental effects caused by the hyper burning power plants was free would you use them use of fossil fuels. For the question of “how much instead of solar?” This question strengthens my re- do you care about the negative health effects caused search because an interviewee that responds in the by fossil fuels?” I expect my respondents to not care

Appendix 1b: Control Group Interviews, Continued

not have to pay for electricity, paying for solar-gener- Why: I do not have a lot of money and I want to save ated electricity, or any renewable energy source, would where ever I can. benefit not only me, but the rest of the world. 3: 5 2: No Why? Because it causes cancer and lung issues. Why: If I was eligible and approved, I’d avoid paying 4: 5 full price for them. There aren’t many that would want Because negative effects on the environment will effect to pay full price for anything. If I had the chance for a us negatively so its important to stray away from it. reduction in price, there would be solar panels all over 5: Yes the roof of my home. I leased Solar panels using a rebate program and know 3: 4 there are multiple out there but do not know of any Why: The burning of fossil fuels causes multitudes of names. respiratory problems that plaque many people in the 6: Independent world. I wouldn’t want to have to live with chronic 7: BA Cal State San Bernardino bronchitis or any of my children to have to live with 8: Male other problems because of particulates released from 9: Caucasian burning fossil fuels. 10: Store Manager 4: 5 Why: It affects us all. The life we live could get much worse if it’s left unchecked. 5: Yes: SCE Solar Incentives 6: Nonpartisan 7: Some College 8: Male 9: American/Hispanic 10: Journeyman Inside Wireman IBEW LU 477 Interview 5: Bob

1: No Because it provides cleaner energy, coal is bad for the environment, solar is being developed for full coverage for ones home through solar batteries. 2: No SOLAR POWER 47 about the health effects caused by the use of fossil fu- with the negative health effects associated with coal els. For the question of “how much do you care about burning power plants. All of our subjects understood the negative environmental effects of fossil fuels”, I what a coal burning power plant was, and they were would similarly expect that respondents do not care able to come up with a plethora of negative health about the environmental effects. While some Califor- effects caused by them. This went against our initial nians might care about the effects on their health and hypothesis and we were able to identify the null hy- environment, there needs to be some type of mone- pothesis. There is no relationship between Califor- tary subsidy to help with the purchase of solar panels nians not knowing the negative health effects caused and they must be reminded of the negative effects by fossil fuels therefor keeping them from purchasing fossil fuels have on their respiratory health. solar panels. The final question examines if the legislature is All of my interviewees agreed with the statement doing a good enough job in exposing Californians to “I care about the negative health effects caused by the plethora of rebates available to them. The ques- fossil fuels.” One person who really cared was Bob tion asks “Are you aware of any solar rebate pro- who said “[I] strongly agree, because it causes can- grams? If yes, what is it called?” I fully expected my cer and lung issues.” This statement shows that he respondents not to be aware of solar rebate programs, believes there is a correlation between fossil fuels but this highlights the need of the legislature to find a and harm to the government. Bob is a home owner more efficient way of letting Californians know about that utilizes solar, he does this for the tax breaks and the various tax incentives available to them for solar for the betterment of the environment. George; on panels. the other hand, does not strongly agree. He states, “[I In the next section, I analyze the results of these only] agree because the burning of fossil fuels causes interviews in great detail. First, I explore how the multitudes of respiratory problems that plague many control group, with no video or stimulus, responded people in the world.” He works in the field of solar to these questions in my interview. Second, I move energy and deals with these rebate programs on a reg- to see how the video stimulus potentially changed ular basis. the answers to some of these questions. Third, we Another individual who cared for the health of compare and contrast our two groups, we elaborate individuals was Jane. She stated, “[I] strongly agree, on how the various answers evolved from the control because I don’t want to agree with anything that caus- group to the experimental group. We do this by uses health affects for anybody. The average person ing quotes and implying inferences based on the data with no health effects will be affected by it over time” collected. These responses are evidence for my argu- The compassion for others’ lives is a common theme ment that incentives and rebates are necessary for the across our interviewees. However, these same indi- increased purchase of solar panels here in California. viduals who have compassion for the lives of others Our control group results will show that without re- would not purchase solar panels without utilization of bates none of the respondents would fathom purchas- a monetary rebate. In a perfect world getting rid of fos- ing solar panels. sil fuels and using one hundred percent green energy would be great. But this is reality, and reality is tough Results and gritty, and things need to be done in an efficient manner. This efficiency would be lost if we switched Control Group Results industries like trucking and shipping to green energy sources and our next interviewee understands this. At All names listed are aliases we have chosen not first John was indifferent about his answer but after to use the subject’s real names to protect their pri- explaining the score to him he states, vacy. Even though our initial hypothesis stated that Californian Residents would be unfamiliar with the “[I] neither agree nor disagree [after negative health effects of coal burning power plants, explanation] no [I] agree, [because] some my results showed otherwise. After the completion things are just the cost of doing business. of the first set of interviews on our control group we There are things you can do, the clean air realized that all of the subjects would need some type act [for example] and improved exhaust sys- of monetary rebate in order for them to purchase solar tems, and catalectic converters, this helps panels. improve the environment without wrecking The first topic we aimed to answer was the one the economy. I think you can improve the associated with Californian’s and their unfamiliarity environment without wrecking the economy.” 48 STEVEN TINSLEY

This quote shows that there are a plethora of consequences to affect not only himself but others ways to combat the negative health effects caused by as well. Similar to Bob, George stated, “I strongly smog and other air pollutants, and it also shows that agree, because it affects us all. The life we live could Californians understand the need for these green ener- get much worse if it’s left unchecked.” His statement gies to work within our non-green society. furthers our argument that fossil fuels are harmful to Our second statement, “I care about the negative the environment, and that if we don’t find alternative environmental effects of fossil,” was unanimously energy sources we will live in an environment that is agreed upon by the interviewees similar to the first detrimental to our health. statement. Bob stated, “[I] strongly agree, because The common theme amongst the results is negative effects on the environment will affect us awareness. These outcomes show that each individ- negatively so it’s important to stray away from it.” ual has a full understanding of the harsh effects fossil This shows that he is passionate about protecting the fuels have on the environment and individual health. environment and that he does not want these negative They are all aware that fossil fuels effect the lives of

Appendix 2a: Questions for the Experimental Group

Experimental Group Interviews A: Strongly disagree B: Disagree Consisted of a Survey (Same as Control Group inter- C: Neither agree or disagree view questions) and a two question Interview. D: Agree E: Strongly agree

1: If electricity from coal burning power plants were Why? free, would you use the electricity created from coal plants instead of solar-generated electricity? 5: Are you aware of any solar rebate programs? YES or NO / Why? YES or NO

2: Would you pay full price for solar panels knowing If yes what is it called? there are government subsidies and tax breaks available to you? Follow up Questions YES or NO / Why? 6: What Political Party do you identify with? 3: For the following two questions, rate how much you agree with the written statement. 7: What is your education level?

I care about the negative health effects caused by fossil 8: What gender are you? fuels, A: Strongly disagree 9: What is your race/ethnicity? B: Disagree C: Neither agree or disagree 10: What is your occupation? D: Agree E: Strongly agree Interview Question: Why? 4: I care about the negative environmental effects of 11: What do you think the key Points of video were? fossil fuels 12: Do you think rebates are broadcasted well enough? SOLAR POWER 49

Appendix 2b: Experimental Group Interviews

Interview 6: Eliana and the trade off is not with it. 2. Yes and No / Why: As a taxpayer, I feel that I should 1. Yes / Why: Because they were free. I would not have to take advantage of government offered programs. If worry about the financial means. there were no rebates available, he would purchase 2. Yes/Why: Because it would give me more incentive to them full price. But if I can save money I will, “its just invest. good since”. 3. 4 - Why: My health, as well as my future children and 3. 4/Why: Because our health is the most important grandchildren will be affected. thing we have. 4. 4 - Why? These effects are detrimental to future gener- 4. 4/Why: Because we are to be good stewards of our ations and we need to worry about the issue of climate planet. change. 5. Yes/Not sure 5. No 6. Democrat 6. Neither/ N/A 7. MA 7. Senior 8. Male 8. Female 9. Black 9. Filipino 10. Educator 10. Tutor 11. Corporations not changing, the people had to change 11. To show how bad the environment has gotten, shows their life styles. the rest of the world how bad things have gotten. 12. Not in a position to purchase so he does not do re- 12. No, we advertise more for water conservation than so- search on them. But he believes that there is not lar issues. Do not look for them, and not advertised enough broadcasting of them for people who are in a well enough, water is key issue. position to purchase the panels. “This is coming from the perspective of someone who cannot afford or pur- Interview 7: Rachel chase them though.”

1. No/Why: Because I do not know what a coal burning Interview 9: Jonathan power plant is. 2. Yes/Why? Because I would want to make sure the 1. No/Why: Dangerous to our health. company was reputable, don’t want to rent the panels 2. Yes/Why: Actually yes and no depends if any of these and have other requirements it would have to meet. plans are legit, and their main objective. I would pur- 3. 4/Why? Because if its making us ill, that’s a concern. chase to own it, and avoid leans against my home, and 4. 4/Why? Because if it is hurting our environment it is its doable only if you have the money to do so. a concern. 3. 4 and 5/Why: Health conscious and the environmental 5. No effects. 6. Democratic 4. 4 and 5/Why: Environment 7. Associates Degree 5. Yes/Not by name, but through store, magazines and 8. Female phone calls. (Advertisements) 9. Black 6. Democrat 10. Child Care Provider 7. 14 years (Junior College 2 years) 11. Protecting themselves from pollution in the air. 8. Male 12. Yes/ because several people have come to the house for 9. Black solar panels, there is a lot of traffic coming her way to 10. Correctional Officer switch to solar panels. 11. Environment, dangers of where we are now, utilizing Interview 8: Carl fossil fuels and coal and the dangers to our health. 12. They are broadcasted well but they are not telling the 1. No/Why: Because solar energy is more responsible whole truth and they contain hidden agendas.

Interview 10: Roscoe

1. No/Why: Because is does not help the environment. 2. No/Why: Solar is too expensive. 3. 5/Why: Because it effects your respiratory system. 50 STEVEN TINSLEY a lot of people around the world. Even though each and tax breaks available to you?” Richard states, individual is aware of the effect some do not feel that “No, because I am frugal.” This statement goes to there is a strong enough alternative for us to get rid show how money directly effects the willingness of of fossil fuels while other interviewees believe that individuals to protect the health of the environment green energies can supplement fossil fuels. and the inhabitants of the environment. It also goes The second topic we aimed to answer was first to show that solar panels are too expensive for most to find out if Californians would purchase solar pan- Californians to even think about purchasing them full els because they were good for the environment, not price even if it’s good for the environment. George for the monetary gains secondly we measured Cal- states, ifornian’s and their unfamiliarity with solar rebate programs. “No, if I was eligible and approved, I’d Similar to the first set of answers there is a com- avoid paying full price for them. There ar- mon theme to this topic, and this theme is frugality. en’t many that would want to pay full price Each individual knew that there were solar rebates for anything. If I had the chance for a reduc- available to them. This being said, they all felt it was tion in price, there would be solar panels all a little illogical to not utilize these rebates and save over the roof of my home.” money where they could. The second set of answers also has a theme, and it is the media. They all knew This quote speaks volumes about the mind set that rebates existed but only one of them was able to of many Californians who are trying to save money name one. Even the individuals who purchased so- where they can, when they can. The frugality of Cal- lar panels with rebates were unable to give the name ifornians and the individuals in our research shows of the rebate they used. Because of commercial and that the environment, even though important, is not radio bombardment, they were unable to remember number one on their minds: making ends meet is. even one of the rebates they heard or read about. Shining light on the statement regarding making ends Even though rebate programs are broadcasted meet is John, who states, constantly they are not done so in a productive manner, and this 1:5 ratio of knowing a rebate program “[B]ecause the government has a way by name shows it. This is an important facet to figure of misappropriating funds, I have been pay- out because if these individuals knew the names of ing into social security since I was 14 years these programs they would be able to pass them on old. [So for] 50 years I have been paying to co-workers or family members. They would not into this program and they are saying its ap- have to do a search on their phone which sometimes propriations, every cent the government has leads to expired or non-existent rebate programs. The belongs to the people, therefore every cent government here in California needs to do a better job that I can get out of them I am going to get at exposing its populace to these rebates via social it. [The government is] addicted to spending media and TV because the more aware people are the other people’s money.” more solar panels will be sold to the population. The question is, “Would you pay full price for This individual has paid into social security for solar panels knowing there are government subsidies over four decades and when he wants to utilize the

Appendix 2b: Control Group Interviews, Continued

4. 5/Why: It effects the ozone layer. 12. No, they are not because they don’t show the actual 5. No cost of owning solar. 6. Democrat 7. 1.5 Years College 8. Male 9. Black 10. Retired 11. Air pollution, how it effected the quality of life where they live. Breathing being effected by the environment and the masks show this. SOLAR POWER 51 money he has paid into the system he is met with compassionately. malice and contempt from government officials and Similar to the control group, all of my interview- lawmakers who call social security welfare. These ees agreed with the statement “I care about the nega- are real problems from real people, and these prob- tive health effects caused by fossil fuels.” One of my lems effect whether they can purchase solar or not. interviewees was very passionate about the negative And if they can, these issues effect whether they can effects fossil fuels have on her health and the health do it with or without government rebates. Due to this of future generations, Elliana states, “My health, as we were able to identify that our hypothesis does well as my future children and grandchildren will be have significance and that government incentives are affected.” This quote is just one of many that high- necessary for more Californians to purchase solar lights the thought process of my convenience sample. panels. It shows that all of them want to live in a place that Furthermore, our control did not answer the way has clean air and would like to leave their children we wanted them to in our first topic regarding the and grandchildren in a non-toxic environment. An- health effects. Each interviewee knew that there are a other individual from my experimental group be- plethora of negative facets associated with coal burn- lieved health is important and anything that hinders ing power plants and fossil fuels. This was a surprise that is deemed dangerous. Rachel states, caring about to us because we thought the more aware people are the negative effects on the environment is important, of the negative effects, especially those on their chil- “because if it’s making us ill, that’s a concern.” This dren, they would take measures to mitigate or stop individual who is a homeowner, mother, and business them. But we created this hypothesis via a perfect women understands that even though fossil fuels can world, one that does not have financial or property be used to continue to live the comfortable lifestyles restraints. These two facets can keep even the most we here in California are used to, there needs to be a environmentally conscious person from being able to way to mitigate or lessen these effects on our respi- purchase solar panels. ratory health. Being able to memorize and utilize rebates would On a similar token, an additional interviewee help to mitigate the individuals who have monetary states, “[I care about the environment] because our restrictions. They would be able to gather informa- health is the most important thing we have.” Similar tion on specific rebates and cross reference it with to a plethora of Californians, Carl is an educator and their finances to see if it is a viable option for them. registered Democrat, who believes individual health However, due to the radio and commercial dysentery is more important than the majority of the facets Cal- this is hard to accomplish. These individuals do a ifornians deem as important. His quote goes to show quick google search which turns up nonfactual infor- that a third interviewee feels that respiratory health is mation on rebate programs. This is where the gov- an important and desirable quality that the environ- ernment needs to step in and protect its citizens from ment helps to provide. fraudulent practices and untruthful information. Our first interview questions was, “What do you think the key points of the video were?” The reason Experimental Group Results we asked this is to get a feeling on how effective or ineffective our video was in changing the opinions of The results from our control group were very the interviewees, and to test the validity of our stim- eye opening, we were able to confirm the null- hy ulus. Eliana states, “[The video] show[s] how bad the pothesis between Californians not knowing the neg- environment has gotten, [and it] shows how bad the ative health effects caused by fossil fuels and them rest of the world has gotten.” This is a perfect exam- purchasing solar panels. Similarly, we were able to ple of what we wanted our stimulus to do, we wanted identify a relationship between government incen- it to inform people about the harmful effects of the tives and Californians purchasing solar panels. I be- hyper use of fossil fuels, and we wanted this newly lieve that my respondents asked more questions than gained knowledge to make their answers on the sur- a standard interview because the topic of solar panels vey/interview fusion differ from the control group. is not widely accessible. As such, we ran an experi- Another issue that my interviews unearthed were that mental group to see whether or not additional infor- of corporate greed, one of my interviewee’s interpre- mation would encourage people to respond positively tations of the video was one related to big business. to health effects and rebates, this group consisted of Carl states, “[The video] show[s] corporations not five people and we created a stimulus that we hoped changing, [and] the people having to change their life would make the subjects answer the same questions styles.” This interpretation was an outlier, the ma- we gave to the control group differently and more jority of our interviewees had a response similar to 52 STEVEN TINSLEY

Eliana’s for this question. However, Carl’s viewpoint no need for the constant phone calls or going door is extremely valid because the video depicts various to door, all California needs is a social media out- images of businesses pumping pollutants into the at- let dedicated to exposing Californians to solar rebate mosphere. The degradation of the environment, the programs. This would be cheaper and will reach more poor advertisement for solar panels, and poor adver- people than the old and traditional ways that are cur- tisement for rebate programs have a lot to do with rently in place. As the quotes show these ways are not big business and where their interests lie. However, reaching a wide enough audience. for the sake of this paper we will not focus on big A paramount survey question we incorporat- business. ed was, “Would you pay full price for solar panels Our second interview question was, “Do you knowing there are government subsidies and tax think rebates are broadcasted well enough?” The rea- breaks available to you?” because we thought that a son we asked this question is because we feel that due ‘Yes’ for this question would show that people care to the government not informing Californians well about the environment and are willing to pay full enough on rebates and other programs to save money price for the solar panels to protect the health of fu- on solar panels they are simply not purchasing them. ture generations. Even though 4 out of 5 interviewees The main theme for the answers to this question was answered ‘Yes’ to this question, only one answered virtually split: two interviewees answered yes while this way out of concern for the environment and our three answered no. An enthusiastic interviewee by health. Carl states, the name of Rachel states, “Yes because several people have come to the house for solar panels, there is “As a taxpayer, I feel that I should take a lot of traffic coming [our] way to switch to solar advantage of government offered programs. panels.” Rachel, who was mentioned previously is a [However] if there were no rebates avail- homeowner, and like the quote says, she is visited able, [I] would purchase them full price. But frequently by individuals asking her and her family if I can save money [I] will, it’s just good to switch to solar. However, as we conducted the rest sense.” of our interviews we saw that only a select few are approached and asked to switch to solar. This quote shows the inner struggle that all Cal- Eliana, who is not a homeowner, but lives in a ifornians have to deal with. On the one hand they traditional none apartment home states, “No, we ad- want to save money and be financially responsible, vertise more for water conservation than solar issues. but on the other hand they feel that being stewards of [I] do not look for [rebates], and [they] are not ad- the environment is also important. Carl’s statement vertised well enough, water is key issue.” This quote identifies my null hypothesis. There is no relationship shows that there is a divide in who gets offered solar between compassion for the environment and pur- and who does not, be it not enough manpower, eco- chasing solar panels. Even though all my interview- nomic status, or even where you live there is a clear ees believed the environment was important, none of picking and choosing concept at play here. However, them would be willing to purchase the solar panels similar to the big business, this paper is not going full price if rebates were available to them, and none to dive into this seemingly messy concept. Another of them would jeopardize their financial status for the one of my interviewees who is not a home owner better of the environment and individual’s respiratory states. health alone. On the other side of the spectrum is Jonathan, “[I] am not in a position to purchase so and his opinion brings us back to a similar theme [I] do not do research on them, but [I] be- mentioned in the control group section, this theme is lieve that there is not enough broadcasting frugality, the answer given goes against the former of them for people who are in a position to mentioned theme of frugality. He states, purchase the panels. [However], this is coming from the perspective of someone who “Actually yes and no depends if any of cannot afford or purchase them.” these plans are legit, and their main objective. I would purchase to own it, and avoid The reason we chose this quote is because it leans against my home, and this is doable should not matter is you’re a homeowner or not all only if you have the money to do so.” Californians should be exposed to solar rebate programs so they can in turn share this information with His initial answer of ‘yes’ is what we were hop- their friends or family who do own homes. There is ing for, however, his reasoning behind it is not. We SOLAR POWER 53 were hoping that he would want to purchase them full the positive health effects they provide. The various price because of the negative effects fossil fuels have quotes previously used show the differences between on the environment. This goes against the former their answers, there is a sharp divide between the fru- mentioned theme of frugality because this individual gal consciousness of the control group and the health is willing to pay full price to ensure his property is consciousness of the experimental group. not taken from him in the long run. The control group These differences could be due to their - politi interviewees never came to a conclusion like this cal ideology. In my control group there were three regarding rebates. Jonathan is an outlier because he Independents, one Republican, and one declined knows about solar rebate programs and he is willing to answer, the control group had four Democrats to pay full price for solar panels. and one not affiliated. Due to the heavy amount of The running of an experimental group substan- non-affiliated identifiers, this might explain why tially helped strengthen our research and initial thesis monetary benefits outweighed the health benefits in question. By using a stimulus, we were able to come their minds. And on the other hand due to the over- to the conclusion that it is necessary for Californians whelming number of Democrats in the control group to be influenced in some way to purchase the pan- they felt a stronger connection and need for health els. In the case of the paper, the stimulus would be over monetary gain. rebates. By giving more Californians rebates (stimulus), more of them will go out to purchase solar pan- Conclusion els. This is shown in both the control and experimental group minus a couple of outlier interviewees. Climate change is a threat that affects the Amer- ican way of life; it gives us longer, hotter summers Compare and Contrast and displaces people across the country. Making the switch from fossil fuels to renewable energies is one Our control group exhibited content and outright way to survive the changing climate and keep partic- anger towards some of our interview questions. All of ulate matter out of the air. Our survey and interview our control group subjects would not purchase solar questions were aimed at informing the subjects about panels without government rebates, the reasons for the above statement. We feel that this was achieved, their answers varied though. Some of them believed our control group understood the challenge America that the government should provide funding for ven- has ahead, but climate-wise but they still choose to tures such as these while others believed that without be frugal and save as much money as they can rather the rebates purchasing the panels would not be cost than save the environment. This is very perplexing effective. This group had one outlier who due to his because without a healthy environment, there will be frugality could not will himself into purchasing the nowhere to spend the savings accrued through the re- panels without governmental assistance. bates. The experimental group was more compassion- However, as my research showed, there were a ate and all but one of them would purchase the solar plethora of reasons people would not pay full price panels without rebates because of the negative health for panels and one of those reasons is fixed incomes. effects caused by the hyper use of fossil fuels. They There were multiple people we interviewed that were agreed for various reasons, however the main theme on fixed incomes and were unable to pay the money of the answers was environmental responsibility. All for the panels. But, even if they were working full of the interviewees believed that the extensive use of time, they still would never fathom purchasing them fossil fuels was detrimental to the environment but full price simply for the environmental and respirato- one of them, even though very caring about the fu- ry benefits. This shows that due to the self-interest of ture of the environment would not purchase the panes Californians rebates are necessary for the purchase of mostly based of their price. solar panels. Frishberg states, We think the differences between the two groups came about after the stimulus was implemented. Our “Yet the renewable energy industry, and interviewees were asked the same questions minus solar power in particular, has been held up as the two new questions presented to the experimen- a prime example of an industry that cannot tal group, however these two questions were in di- stand on its own two feet yet, and therefore rect connection with our stimulus. This being said needs government subsidies and support to we believe that our video had a lot to do with this gain traction in the market.” transformation, out of the ten people interviewed, four would purchase solar panels full price due to 54 STEVEN TINSLEY

This quote links perfectly to the self-interests of ing smog. These images and the clips associated with Californians, more solar panels are sold in California them was the trigger mechanism that made four out than any other state, but since we have the largest of five interviewees sympathize and understand the population density these numbers are dwarfed by importance of the introduction statement and the rel- states like New Jersey and Arizona who have low- evance of switching our dependence and hyper use of er rates of sale, but have half or even a quarter of fossil fuels. Californians population size. Is it that these states The control group proved our hypothesis which care more about the environment? Our research did was due to the self-interest of Californians rebates are not lead us to that conclusion but these differences necessary for the purchase of solar panels, and our do show that even though solar is a great technology experimental group gave us hope for the future by rebates are necessary for the average Californian cit- confirming the null for that hypothesis. The- exper izen to purchase them. imental group showed that Californians have sym- Our control group showed what a little Pavlov- pathy and compassion towards the environment and ian chicanery could do to a group of people. We were the health of others, it showed that there are people able to get ninety percent of our subjects to agree out there willing to purchase big ticket items because that purchasing solar panels full price was worth it they are good for something other than their pocket due to the positive effects they have on the environ- or checkbook. A very passionate individual from our ment. This was a great triumph, because it shows that interviews stated, “These effects are detrimental to if you present solar panels in a different light than future generations and we need to worry about the is- we have been in the last decade, you can get peo- sue[s] of climate change.” Eliana is right, we do need ple on board the renewable energy train a lot faster. to worry about the effects of climate change now, so Our stimulus depicted a toxic China, full of citizens we can augment the negative effects and implement who had to cover their faces to walk to the grocery changes in the 21st century to avoid major hardships store and children who have to live in a thick chok- on people in the 22nd century.

References Frishberg, M. (2014). Solar subsidies help against financing headwinds. Research T e c h n o l o g y Batchelder, L. L., Goldberg,Fred T.,,Jr, & Orszag, Management, 57(2), 7-8. P. R. (2006). Efficiency and tax incentives: The Grover, S. (2007). Energy, Economic, and Environ- case for refundable tax credits. Stanford Law Re- mental Benefits of the Solar America Initiative. view, 59(1), 23-76. Portland, Oregon: ECONorthwest. Benthem, A. V., Gillingham, K., & Sweeney, J. Hsu, T. (2010, Jan 22). Rebates for solar water heaters (2008). Learning-by-doing and theoptimal solar okd; state utility regulators approve a program to policy in california. The Energy Journal, 29(3), offer $350 million. Los Angeles Times. 131-151. Klise, G. T., Johnson, J. L., & Adomatis, S. K., S.R.A. Black, A. (2004). Financial payback on california (2013). Valuation of solar photovoltaic systems residential solar electric systems. Solar Energy, using a discounted cash flow approach The Ap- 77(4), 381-388. praisal Journal, 81(4), 316-331. Brown, A. S. (2014). By the numbers: concentrated Landers, J. (2002). California sewage plant turns to solar power makes a comeback. Mechanical En- solar power. Civil Engineering,72(10), gineering, 136(4), 30-31. 31. Carleyolsen, S. (2006). Tangled in the wires: an as- Lifsher, M. (2007, May 10). Gov. acts to salvage so- sessment of the existing us renewable energy lar in california; legislative deal will lower elec- legal framework. Natural Resources Journal, tricity rates linked to state rebates. installations 46(3), 759-792. fell as law’s fine print added costs. Los Angeles Cooney, M., Catherine (2003). News briefs: Califor- Times. nia strives for 1 mw of solar power. Park, S. (2015). State renewable energy governance: Environmental Science & Technology, 37(21), policy instruments, markets, or citizens. Review 383-383A. of Policy Research, 32(3), 273-296. Doughman, P. M. (2007). Californian’s climate Rogers, John. (2015). “Benefits of renewable energy change policy: raising the bar. Environment, use.” Union of Concerned Scientists. 49(7), 35-43. SOLAR POWER 55

Stein, S. (2012). The environmentalist’s dilemma. Yi, H., & Feiock, R. (2014). Renewable energy poli- Policy Review, (174), 49-62. tics: policy typologies, policy tools, and state de- Taylor, M. (2008). Beyond technology-push and de- ployment of renewables. Policy Studies Journal, mand-pull: lessons 42(3), 391-415. from california’s solar policy. Energy Econom- Zelazo, D., Dai, R., & Mesbahi, M. (2012). An ener- ics, 30(6), 2829-2854. gy management system for off-grid power sys- Yaqub, M., Sarkni, S., P.E., & Mazzuchi, T. (2012). tems. Energy Systems, 3(2), 153-179. Feasibility analysis of solar photovoltaic commercial power generation in California. Engi- neering Management Journal, 24(4), 36-49.

Most interview subjects were enthusiastic supporters of clean energ, but the prohibitive cost of solar panels leave many in the cold. 56 STEVEN TINSLEY

Steven Tinsley

Steven Tinsley started his undergraduate career at Riverside Community College. It was there that he fell in love with the study of politics. Mr. Tinsley will graduate Magna Cum Laude with a major in political science and a minor in regenerative studies. He is a proud member of the graduating class of 2016. He will go on to be an Organizing Fellow for Students for New American Politics Political Action Committee (“SNAP PAC”) in summer 2016. After his fellowship, he will teach English in China for a year through the American China Culture and Education Foundation (AACCEF), then return to the United States to pursue his Masters in Public Administration. Social Media: The Past, Present and Future: A Comparative Look into How Social Media Affects Fundraising and Strategies of Presidential Campaigns Alexis Jordan Ojinaga California State Polytechnic University, Pomona

Presidential campaign finance and campaign strategies are two topics that launch a candidate into office or into the shadows. This thesis focuses on how the Obama campaign wasable to simultaneously raise money and attract voters by using technology to appeal to a younger demographic. By researching George Bush’s 2004 campaign, Mitt Romney’s 2012 campaign, Obama’s 2012 campaign, and Donald Trump’s and Bernie Sanders’ current 2016 campaigns, it will show just how different candidates raise funds as well as shed light on the different strategies the campaign committee’s implement in order to win elections. Using past campaign sites, social media interfaces, popular sources, and interviews with individuals who worked directly inside Obama’s financial committee, I will address how Barack Obama’s 2008 fundraising strategies 2008 changed the way future campaigns choose their own fundraising strategies.

residential campaign finance and campaign together and demonstrate what politics means to strategies are the two growing topics that them. In order to do that they will need to raise mon- Plaunch a candidate: either into office or into ey to appeal to the voters and gain their overall sup- the shadows. When examining the literature on cam- port in what each candidate believes in or what they paign finance and campaign strategies, it can take propose to do for America. When you bring money you into two very different directions when talking into these campaigns, we are able to visualize the is- about a presidential campaign. This thesis examines sues that campaign finance faces during campaigns. the specific way the Obama administration was able The other portion of the thesis campaign strat- to raise money and voters simultaneously. The focus egies sheds light on many tactics the different com- of my thesis is presidential campaign finance and the mittees implement in order to push their candidate to strategies that these committees put in place to get a the top. In recent years, presidential elections have candidate into the White House. This research will changed the way they choose to reach out to voters show just how different candidates raise funds to be with technology growing at rapid speeds around us. able to campaign in elections, as well as shed light on Everyone is connected with one another through the strategies the campaign committees’ implement emails, smart phones, tablets, videos, and social me- in order to win elections. I have chosen these subjects dia. With the millennial voter generation being so to focus this thesis on due to it being a presidential widely connected, the campaign committees took no- campaign year we are able to see politicians come tice and used these tools to their advantage. However,

57 58 ALEXIS JORDAN OJINAGA

the internet was not just invented in the last ten years, George W. Bush’s 2004 campaign, how he raised it has slowly been progressing since January 1983 money and supporters, and what different techniques when the TCP/IP Protocol that powers our modern his finance committee used to get him into office. internet was born (Agarwal 2004). Since the inter- It will also look into Mitt Romney’s financial com- net has been increasing in speed, accessibility, and mittee and his campaign strategies and compare this availability, it has become easier for more and more to Barack Obama’s and determine what Mitt Rom- people to be able to use it, which is connecting people ney did differently that cost him to lose the race to from all over. The use of the internet for campaigns Barack Obama, and if he could have changed a strat- did not just start in 2008 when Barack Obama used egy maybe he would have won. Another campaign I MySpace and Facebook to connect with his voters will examine in the course of this thesis will be two and funders, he was just the first to put his brand on of the current 2016 campaigns that are happening in this type of campaign marketing. Presidential candi- the race for the nomination, business tycoon Don- dates before him created websites and blogs to try ald Trump and Senator Bernie Sanders. This thesis and reach the voters, but something was different will look at these two 2016 presidential candidates about the outcome of these strategies used as com- and look at what ideas and techniques that they cop- pared to Obama’s campaign strategies. With that ied from President Barack Obama’s past campaigns said, it raises inquiry about how President Obama and what these two candidates are doing differ- was able to raise money, and ultimately, voters to put ently. The concepts that this thesis focuses on are: him into the White House for two terms. The current President Barack Obama’s finance committee and campaigns that these candidates market themselves President Obama’s change in funding. These con- hourly on the internet, makes the voters question that cepts relate to each other because the way President these candidates could be following some kind of un- Barack Obama raised money for his campaign was written book on how to campaign using the internet. so revolutionary, due to use of the internet. Showing his strategy in 2008, and looking at the evolution on Research Question: campaign finance for the years to follow, the most likely outcome to the question is that other candidates This thesis query’s the question: how did Barack have adopted some of the innovations that President Obama’s fundraising strategies in 2008 change the Obama’s committee had implemented in 2008. By way future campaigns choose their fundraising strat- using these innovations, presidential candidates are egies. By using this question, this thesis hopes to able to overall receive more money and more voters. compare the different campaigns use of the internet This is the expectation of this thesis because people via websites and social media, which occurred before witnessed how these new ideas were successful in Obama ran for President, 2008 and 2012 campaigns, getting Barack Obama in the Oval Office; therefore, as well as the campaigns that are currently happen- they will utilize the ideas for themselves. This could ing in the 2016 election. This thesis will examine also go in a negative way; such as, other candidates

ACKNOWLEDGEMENT

First, I would like to thank Paul Ojinaga, Paulette Ojinaga, Maddie Ojinaga, T.J.Graham and Tootsie for all of their continued support through this entire journey of my undergraduate career. Without all of your support and encouragement, I do not think this research would have been the same. I love you guys!

My sincere thanks goes to Corinne Tapia, without whom this paper and project would have not come full circle into something as wonderful as it has. With her assistance, guidance and immense knowledge about presidential campaigns, it was one of the greatest resources available and I was very lucky to have it. Thank you for being the greatest mentor, and role model that I could have asked for, you have helped me grow as an undergraduate student and have prepared me for my next steps towards law school. Thank you Corinne.

Finally, I would like to thank Professor Guerrero. Without your help through this process every step of the way it would have never been completed. Thank you for your patience, motivation, knowledge and humor it contributed significantly to this thesis. Thank you for everything you have done for me during my undergraduate career at Cal Poly, from advising, to office hours. I could not have accomplished this thesis and my undergraduate career without a great professor, mentor, and advisor like you. Thank you Guerrero for everything. SOCIAL MEDIA AND PRESIDENTIAL CAMPAIGNS 59 and their committees implemented the ideas and they period. In order to achieve this, we must examine the failed to raise as much money, more voters and even- candidate’s websites, fundraisers, various social me- tually lost the race. By looking at these campaigns dia outlets, news articles, and any information that is and candidates, we look into the way that each in- available online. We also need to establish the time- dividual was able to raise money and gain voter line of the internet and social networking from 2004 support by showing strategies that were indifferent to present day 2016 in order to get an idea of the num- than other candidates in the past, present and future. ber of voters’ accessibility and activity on the internet. This question is important to the subfield of American politics because it sheds light on the way Literature Review people are choosing to campaign using different social media and internet tools. According to the Bu- Presidential elections are something we, as Amer- reau of Labor: since political scientists study polit- icans, have grown used to. With the 2016 presidential ical trends, policies and the way political systems nomination upon us, it is appropriate to examine what operate, it is crucial that they are aware of trends strategies appeal to voters and raise money to fund that change the way that future campaigns will be campaigns. In recent years, we have seen elections conducted by learning from the past. With the Unit- take a whole new shape due to the ever increase in ed States of America being part of a direct democ- technology and internet. But, we must also look into racy, where we vote for our leader and representa- the traditional campaign by examining finance legisla- tives, it is only fitting that citizens have an inside tion and strategy policy. In the following literature re- knowledge into how these campaigns are conducted view, three separate paths of scholarly articles will be and how candidates choose to reach their voters. examined. One path will look into campaign finance Furthermore, this question is relevant for Amer- and the way candidates raise money to fund their ican politics because campaigns, candidates and campaigns, as well as the legislation that affects the their indicatives have a great impact on our country money. Another path will take a look into campaign . strategies in general, and get an idea of what these Argument: candidates do to gather supporters and grow their approval ratings. The last path will examine scholarship Therefore, the argument to this thesis question is: in regards to specific campaigns, such as the 2012 the methods Barack Obama used in 2008 were so rare presidential election race between Incumbent Pres- and produced tremendous results, other candidates ident Barack Obama and challenger Mitt Romney. chose to replicate his tactics in future campaigns. The argument that is trying to be proved would Political Campaign Finance produce the outcome of people following President Obama’s strategies in the 2016 election and further The importance of money in politics stems from elections to come. By using this argument, George its value as a political resource, which presumably W. Bush’s campaign will also be looked at to com- benefits candidates who have it in abundance (Nice pare what Obama’s finance team looked at in the past 1984). Before the Watergate scandal, the U.S. sys- to change how they campaigned in the future. This tem of campaign finance had three basic features: no argument will also prove where Mitt Romney went limitations on contributions, weak disclosure rules, wrong during his campaign time and how his finance and unlimited spending based on whatever the can- committee cost him the election, thus, the reelection didates were able to raise (West 2014). Since Presi- of President Barack Obama. Then, the competing ar- dent Nixon left a bad taste in the public’s mouth with gument would be that if future candidates do not im- the Watergate scandal that caused campaign finance plement any of President Barack Obama’s campaign rules change dramatically (West 2014). United States strategies and financial tactics, it is due to them want- Congress attempted to regulate the way American ing to use their own strategies and financial ideas to political campaigns for Congress and the presiden- become the next president. Thus, that competing ar- cy. This act is Federal Election Campaign Act of gument would look like this, future campaigns saw 1971, which governs nearly all aspects of campaign the strategies that President Barack Obama used in finance. FECA covers four large issues in campaign 2008 and went opposite due to trying to appeal to the finance, which are the size of the contributions to Republican demographic, rather than the Democrats. campaigns, the source of the contributions, public The arguments could then be proved by obtaining in- disclosure of the campaign’s financial information, formation on the political participation and the strat- and all public financing of presidential campaigns. egies that each candidate had during their election In 1976, the landmark case Buckley v. Valeo, limit- 60 ALEXIS JORDAN OJINAGA ed contributions to political candidates. It stated that websites a commission of 30 percent if they directed candidates must disclose and report contributions, contributors to the Republican sites (Bergan 2005). this case limits individual contribution as well as As you can tell from these scholarly articles, the campaign expenditures (Rosenthal 1976). The case authors show how the limits on certain aspects of of Buckley used FECA regulations to set the stage for campaign finance are very grey, with it being hard to making people report their contributions and disclose find out why these limits are in place. But just as the what the campaigns are spending the money on. In authors stated, both parties have found ways to raise the early 1980’s, political scientists had a great idea money around the barriers that these reforms have on how big of a role finance of campaigns influenced put in place. These scholars state that without any politics, and how a campaign needed to be well-fund- kind of campaign finance reform, the current system ed to lead to win. Since elections have been closely creates a higher level of competitiveness between contested, the parties have raised substantial sums the campaigns, because the more money raised, the of money. For example, in the 2004 election cycles, more voters that are supposed to follow. Samples said $370 million was spent more in presidential elections that campaign finance reform is simply a battle be- (Bergan 2005). It is clear to see the role that money tween two separate visions of politics, the first was is starting to play in the campaign systems and how the Madisonian vision of the constitutional framers rules had to be set to try and limit the money. Nice and the second one was the progressive vision that finds that public finance of campaigns help to reduce rejects the framers’ ideals of liberty (Samples 2009). the influence of the wealthy individual voters and organizations that could play a large role in the system Campaign Strategies of finance (Nice 1984). However, not so conflicting scholar Stratmann and Castillo state that campaign In presidential nomination campaigns, this is finance in a democratic society must be regulated and where candidates make strategic decisions to maxi- that it is an important issue due to the belief that if mize their chance of nomination (Gruian and Hayes regulations are stricter, it will improve the competi- 1993). When candidates need to have a strong cam- tiveness of elections (Stratmann and Castillo 2006). paign, and a set strategy on how to gain voters; this According to Nice states limited campaign con- is what will earn them nomination. When we are tributions by union and by individuals, but these looking at the topic of campaign strategies, the first regulations differed in each state and by contributor question that pops up is do campaign elections re- per election year (Nice 1984). Campaign finance ally matter? At the early part of the campaign, can- reform limits the increase of contributions, which didates are unknown and are at a disadvantage of Stratmann and Castillo argue does increase com- getting votes and different contributions from voters, petitiveness while increasing party competition in unless you are a celebrity running for the nomina- the legislature (Stratmann and Castillo 2006). Nice tion like Donald Trump (Gruian and Haynes 1993). talks about when we limit campaign contributions for Presidential campaign strategists look at the bat- corporations and individuals, we see that the limits tleground states and media market (Burton 2007). vary from state to state and there are more limits on What Burton argues candidates want to target the Republican party individuals that do not seem prom- swing states because those states will help them ising due to being too liberal; however, the more win the nomination. Some campaign strategies use encouraging results we see are the individual cam- different types of media to obtain voter support, the paign finance limits and the limits on the public fi- data then shows that the candidate activities had a nance system (Nice 1984). In 2002, Congress passed positive and often-significant impact on both vote the Bipartisan Campaign Reform Act (BCRA). This share and candidate favorability (Burton 2007). was passed in response to reform the campaign fi- Another form of campaign strategies is the can- nance system of the elements that are viewed as didate personality, according to Palazzolo and Theri- corruptive, would compromise the democratic pro- ault; there is an ongoing debate of the importance cess (Panagopoulos 2007). Bergan states that even of issues and personal characteristics in the voting after the campaign finance reforms in 1990, parties behavior literature (Palazzolo and Theriault 1996). found ways around bans, like that of the collection These authors also state that, identification is stable of soft money by attempting to raise small donations and a reliable factor in deciding the voting behavior in larger quantities (Bergan 2005). The Democratic among constituents; some of the voters responded Congressional Campaign Committee (DCCC) be- to short-term stimuli that emerge during a campaign gan sending out direct mail to reach a small donor (Palazzolo and Theriault 1996). What this breaks base while the Republican National Committee paid down to is that voters are more likely to fall in favor SOCIAL MEDIA AND PRESIDENTIAL CAMPAIGNS 61 of a candidate during a campaign when media evalu- year economy, and incumbency (Campbell 2005). ate their personal characteristics. To fully understand President Barack Obama’s campaign in 2008 was candidate characteristics in campaign strategies and very different; he personalized it through Internet and as well as voting behavior Amihai Glazer found that television, which was raising his social capital (Ewing candidates maximize their vote totals by remaining 2009). Obama’s campaign was connecting to his vot- ambiguous on issues (Palazzolo, Theriault 1996). ers through social capital, establishing membership, The reason that campaigns use tactics such as this is trust and networks (Ewing 2009). As stated by Ew- due to the fact that without putting a stance on certain ing (2009), Obama was able to effectively respond to issues or being very rowdy on topics keeps candi- any type of attacks on his character, campaign, or be- dates out of the hot seat. Thus by remaining ambigu- liefs all through utilizing online technology. Obama’s ous on issues voters is unable to decide how they vote campaign used YouTube for free advertising, his based upon some issue stances these candidates take. campaign material was watched over 14.5 million A main problem that campaign strategies faces, hours, his Facebook site had 3,176,886 supporters is how to appeal to the electorate to get them to vote. and he had 987,923 MySpace friends, they also used According to Barkan and Bruno campaign organiza- test messages to stay connected to youth voters (Hen- tions are trying to obtain political knowledge from dricks 2010). As you can tell, Obama was a techno- what is already known (Barkan and Bruno 1972). logical campaign entrepreneur. The reason that he By obtaining knowledge about campaign strategies, was able to appeal to more voters and ultimately wins these current campaigns are looking into the history the election. Social media and the Internet in general of how to win and lose campaigns. These campaigns would appear to greatly expand the number of voices are trying to gain knowledge of what was success- that can be heard in political debates (Coffey, Kohler, ful in certain situations as well as ideas to stay away Granger 2015). When Obama ran for reelection in from. In order to get to these voters, the campaign 2012, he went up against Governor of Massachusetts strategists must identify and locate the segments Mitt Romney. Campbell states that Obama surely was of the electorate that possess the marginal votes on facing a loss due to his current economic status and which the outcome of the election depends and the Romney faced a loss due to Obama being the current segments are most likely to constitute a base of loy- incumbent (Campbell 2005). President Obama was al support (Barkan and Bruno 1972). What these elected into his second term despite of his economic authors are trying to explain, these political staffers record and his ideological orientation, because voters in these different campaigns try to find these voters did not blame Obama for the economy, they blamed that end up being the electoral majority of all vot- President George W. Bush (Campbell 2012). The ers and get them to vote for their specific candidate. Romney campaign showed that it was not ready for prime time with one big statement, when the cam- Campaign Case Studies paign chose to deal with the question of whether and when to make Romney’s tax returns public (Miller When we begin talking about campaigns, we 2012). But just as Miller (2012) found out in his ar- will be discussing how president candidates raise ticle, this had put Romney in a unpopular situation awareness for their campaign and ultimately get with the voters, because at first it was a secret then votes. Every election year, different campaigns raise it turned worse when Romney tried to explain his awareness of getting people to vote. They are target- reasoning. With these different campaign strategies ing mostly voters older due to them being a high vot- that were tried by his campaign were just some of ing group that has the largest impact. These scholars the few errors that were made. With examples such will be looking at voter turnout, how the candidates as these we will be able to look more in-depth in this reached the voters, what each of these campaigns did thesis at more reasons Romney’s campaign fell short. different, and what strategies worked to help them After Obama won re-election, commentators offered earn a nomination. In Campbell, the author examines advice to the Republicans, they were told they needed the election on President George W. Bush and why he to compromise on immigration, move to the left of won the 2004 election (Campbell 2005). One hundred social issues to win votes of the younger generation, twenty-two million American voted in the 2004 elec- and try to tone down conservatism that is more com- tion, which according to Campbell is nearly seventeen passionate and not threatening (Miller 2012). With million more than in 2000 (Campbell 2005). Camp- a statement made like this by voters to the Repub- bell states that three fundamental factors influence lican Party, this is something they should take into the vote: the public’s opinion about the candidates account for the next election. While examining each at the outset of the campaign, growth in the election candidate currently in the running for president, we 62 ALEXIS JORDAN OJINAGA will be able to identify if the Republican Party to the commentators’ advice on how to reach voters. Methodology: As for the current campaign, there is not any scholarly research done so far on how these can- In using qualitative analysis to achieve the re- didates raise money and earn voters. However, sults of this thesis, it predominantly examines six case by simply watching the campaign we can make studies. It will also include an interview with Corinne some assumptions that the candidates are still tak- Tapia, a member of the Democratic National Commit- ing some kind of media or technology to earn tee in the finance sector from election years 2008 and votes and followers. During the course of my the- 2012. The overall goal of this thesis is to find out how sis, the current 2016 campaign will be discussed Barack Obama and his presidential campaign were further and will take a look into how these candi- able to use recent advances in technology to raise dates are gaining ground towards a nomination. money and supporters. Once I am able to find Obama’s 2008 campaign strategies, I will be able to compare Conclusion them to past and future presidential candidates. The six case studies look at four different presi- Many scholars have written about campaign fi- dential campaign years: 2004, 2008, 2012, and 2016. nance and campaign strategies. They have explained In the years 2012 and 2016, we will be looking at how to raise money and what helps candidates win candidates from the Republican party as well as the elections. After looking into Obama’s 2008 and 2012 Democratic party. These campaign years are influen- campaigns, we can tell that things did not change as tial to examine because they all happen during the re- much in the sense of the way he campaigned. Obama cent technology increase and are centered around the was able to make the right choices and plan great 2008 election year of Barack H. Obama which is my strategies on how to earn money and voters. When he constant data set. To look into these campaigns, this came up for re-election Obama was able to use those thesis will focus on the candidates’ campaign web- same strategies with great use of technology and win sites during each of the candidates’ campaign years as re-election. Scholars have found out the formula that well as social media sites that the candidates used. In Obama was able to tap into and figure out how to win order to go back in time to the internet as it was back elections simply by staying in touch with your voters. in 2004, 2008 and 2012, this thesis uses a website called the Way Back Machine. This is an online por- Hypothesis: tal, which allows users to see websites as they were in any given time period. The Way Back Machine takes By using past scholarship on presidential cam- snapshots of how different sites looks at different paigns with an emphasis on strategies and finance, times and months of the years. By using this site, we in conjunction with internet and social media data, will not only be able to look into the campaign web- we are beginning to see a clear connection be- sites but also the candidates’ social media accounts tween social networking and presidential cam- such as Twitter, Facebook, MySpace, Instagram and paigns. Thus based off the current scholarship in Snapchat. This site will open a portal to the past, the areas of presidential campaigns, elections, lit- which allows this thesis to compare past presidential erature and data on social media with relationship candidates to present candidates to find similarities to politics the following hypothesis can be made: on techniques involving social media and the internet.

H1: The increase in social network Social Networks Evolution in Politics: and internet use in daily lives of Amer- icans has altered the way presidential In order to understand the results of this thesis, candidates campaign in their elections. you must understand what social media is and how it operates. Social media as defined by Merriam Web- The null hypothesis for this would then be: Al- ster states, “forms of electronic communication (as though there has been an increase in social media Web sites for social networking and micro-blogging and internet use in the daily lives of Americans, through which users create online communities to presidential candidates continue to campaign as they share information, ideas, personal messages, and oth- have in the past with no technological advances. er content (as videos). Social media is a huge technological advance and it is present in our everyday lives, it did not start out that way when it was first created. When social media started in 2002 it was very SOCIAL MEDIA AND PRESIDENTIAL CAMPAIGNS 63 archaic to the way we view these networks today. that is an increase of 80% (Rainie 2005). Candi- We now must establish a timeline for when so- date websites functioned as an online equivalent of cial networks first began to emerge on the internet campaign headquarters, used to organize, mobilize, and when these social sites began to gain popularity. energize and raise funds from the existing support- In March of 2002, the granddad of social media sites ers (Living room Candidate 2012). Candidates had was launched; it was called Friendster (Wood 2016). to adapt and utilizes tools, because the internet was By January of 2004, MySpace is launched, Google becoming more widespread and used by the pub- begins Gmail, and Facebook expands from Harvard lic. In turn, campaign websites would be the new to other universities (Wood 2016). By December of hub or headquarters for presidential campaigns in 2004, Facebook hit one million members in less than future elections. It would become a way to connect a year of university expansion (Wood 2016). At the with supporters via the internet. This was the also end of 2005, Facebook became available to United the first year that candidates were able to use web- States high schools and continued expanding to UK, based video campaign advertisements; this was a new Ireland, Canada, Australia, and New Zealand (Wood strategy to reach the people connected to the internet. 2016). In 2006, MySpace takes first place for the most popular social media site in the United States (Wood The Internet and Election in 2008 2016). In July of 2006, a website for mini-blogging and social networking began it was called Twitter The social network community in 2008 has (Wood 2016). April 2008, Facebook surpasses MyS- grown tremendously since the previous election in pace as the most popular social networking site; MyS- 2004, four years prior. This presidential election year pace had been the most popular since 2006 (Wood was different, because this was the first time that three 2016). By 2009, Twitter moves from rank 22 to the Democratic candidates declared their candidacies on- third-ranking social networking site (Wood 2016). line (Rainie 2008). Hillary Clinton, John Edwards and Barack Obama, used the internet to announce The Internet and Election in 2004 that they were running for the Democratic nominee (Rainie 2008). After the primaries, the 2008 election Social media was just beginning to pop up on year was narrowed down to Democratic nominee the Internet in 2004; with MySpace making it’s début Barack H. Obama and Republican nominee John S. in January (Wood 2016). When President George W. McCain. The voters were already witnessing a very Bush was running for reelection against Democratic different kind of campaign, simply based on how the Presidential nominee, John Kerry; social networking campaigns are being operated mainly on the internet. was not a huge trend. However, internet activity in Between 2004 and 2008, the number of all adults that 2004 was increasing “75 million Americans- 37% have used the Internet to obtain political news and in- of the adult population and 61% of Americans who formation about the campaign is up from 31% (Rain- were connected online- used the internet to obtain ie 2008). During the 2008 campaign, we witnessed political news, information, discuss candidate, de- a 14 % increase in the amount of college students as bate issues via emails and participate directly to the well as a 33% increase in minorities, who used the political process by volunteering or contributing to internet for political purposes (Rainie 2008). Social the candidates” (Rainie 2005). Internet had grown networking sites became a way to stay politically ac- rapidly in the political sector; voters were able to tive in some form; younger adults (18-29-year-olds) connect to online political news faster than before. are 66% more likely to have at least one social site From 2000 to 2004 online political news grew from compared to older adults (30 and over) with only 18% to 29%, which was an increase of 11% in just 4 18% (Rainie 2008). Due to this type of statistic, the years (Rainie 2005). Americans were also beginning candidates made sure that they had a strong online to credit the internet for their number one source for presence to target the younger voters. Another first presidential campaign news; this was in increase of for this election year, we were able to look at the par- 50% from 2000 (Rainie 2005). According to the Pew tisanship divide among internet users. Democratic Research Center, “61% of internet users said they had candidates began to surpass the Republicans in their either gotten campaign information or news online, adoption of social media; over one-third of online exchanged email about the campaign, or participat- democrats or 36% have a profile on a social network ed in campaign- related activity such as making an site (Rainie 2008). That number is 15% more than on- online donation” (Rainie 2005). In terms of financ- line Republicans and 8% higher than online Indepen- es, the 2004 presidential election saw an increase dents (Rainie 2008). Along with social networking of 4 million people donate to a campaign online, sites, the campaign website is still as important in the 64 ALEXIS JORDAN OJINAGA internet world as it was in 2004. The major difference 81% use the internet while senior citizens who are 65 between campaign websites in 2004 compared to and older only 58% use the internet (Perrin 2015). If 2008, are the capabilities and functions the sites have we look back at the 2012 presidential election there allowed the voters to explore the candidate in depth. are only two age groups that increased in internet usage. Those groups were 50 to 64 year-olds who The Internet and Election in 2012 risen 3 % and 65 and older who increased 4% (Per- rin 2015). This is proving to us that more American This is an election that should be slightly fresher citizens in key voting ages are using the internet. We in our minds, this was the election between current know that the candidates, Donald Trump and Bernie Incumbent President Barack H. Obama and Repub- Sanders, are relying heavily on online campaigning. lican nominee Mitt Romney. By 2012, social media These six case studies were chosen to prove had become a high-speed freight train of information this thesis for these following reasons. First, to es- with no sign of ever slowing down. It was getting tablish a timeline for the presidential campaigns pre faster, more social media outlets were appearing, and and post President Obama while also examining the it was becoming easier to get onto the internet and use internet with an emphasis in social networking. Sec- smartphone applications. Due to the fact that social ond, to look at presidential campaigns after the so- media is not a new and shiny object for the 2012 cam- cial media boom in 2008 and see if the candidates paigns, this caused the candidates to look at internet follow trends and strategies of previous candidates. trends to appeal to voters. In 2012, President Obama’s Third, to prepare us and show us how presidential campaign made a much better use of social media due campaigns are evolving with technology as we as to having excelled in this area in the 2008 campaign. a country move into a high-speed world. However, According to The State of the Media, “Obama’s each case will be slightly different due to the year, campaign produced 25 times more twitter posts then technology available and whether an incumbent is Romney’s campaign” (State of the Media 2012). running or not. These are key issues we must take However, both President Obama and Romney faced into account during the results in order to consider negative messages on social media, although Romney a level playing field for the data to be represented. took slightly more heat over religious views. More than 75% of online presidential advertisement cam- Results: paigns were negative (Living room Candidate 2012). To answer this thesis question and prove the ar- The Internet and Election 2016 gument to be true, this thesis analyzed the amount of donations each candidate received and then sep- The presidential primaries for the 2016 presiden- arated the online donations from the total amount. tial election are currently happening. As of March 5, This thesis also analyzed the amount of followers, 2016 the Republican party has four candidates in the supporters, and friends the candidates had at vari- race for the nominee while the Democratic party has ous points in the election year, and how many they two. The Republican party’s’ candidates that are left have now. After collecting the data and compare it in the race are business mogul Donald Trump, Sen- to the different candidate’s social network abilities to ator Ted Cruz, Governor John Kasich, and Senator the amount of online donations received then cross Marco Rubio. While on the Democratic side the two referencing that with Obama’s 2008 campaign. From candidates that are competing for the nomination are there, this thesis analyzed the effects of social - net former Secretary of State, Hillary Clinton, and Sen- working on gaining voters as well as increasing on- ator Bernie Sanders. Since these races are currently line donation totals and test the research question and happening, the social networking data changes fre- argument. The results are as follows, presented as a quently, however we already see that just like the year-by-year and candidate- by- candidate analysis: 2008 election year the way to campaign is through the internet. The Pew Research center conducted a President George W. Bush 2004 study in 2015 on the amount of Americans who use Reelection Campaign: the internet, it was 84% this increased 1% since the 2012 election (Perrin 2015). At a 96% usage rate Due to the internet gaining steam after 2000, the is the age group of 18 to 29 year-olds, and at 93% Pew Research center concluded that presidential cam- usage is the age group of 30 to 49 year-olds (Per- paigns during the 2002- 2004 election cycle learned rin 2015). If we look at the older demographics of how to use some of the internet’s distinctive qualities America, the age group of 50 to 64 year-olds only pay off on a continual and systematic basis (Cornfield SOCIAL MEDIA AND PRESIDENTIAL CAMPAIGNS 65

2005). During President George W. Bush reelection as blogs (Miller 2008). But the Bush and Cheney campaign in 2004, they knew that the internet was campaign used their campaign website as a cam- going to be a huge factor in the election compared to paign headquarters, to mobilize, reach out, and ap- 2000. Bush and Cheney’s 2004 campaign (or BC04) peal to grassroots organizations (Cornfield 2005). was prepared, they were internet proficient due to the fact they had an internet campaign team in place President George W. Bush’s 2004 before the Democratic candidates started competing Reelection Finance Committee: with one another (Cornfield 2005). The BC04 had hired Chuck DiFeo, as the campaigns e-campaign di- Unlike the other candidates that were running rector, and he took the campaigns sights off fundrais- against them in 2004, Bush and Cheney did not ing and placed them on the grassroots organizations need to raise money from individual donors due to (Cornfield 2005). “BC04 planned, tested, refined and a large PAC following. The Bush and Cheney 2004 committed itself and its allies to a program which campaign had however for the first time raised more fused the basics of old fashioned canvassing, market- money from individual donors then the Democrat- ing, and proselytizing with the latest in data acqui- ic candidates (Edsall 2006). The Bush and Cheney sition, analysis and distribution” (Cornfield 2005). 2004 campaign received $74 million dollars from DiFeo called this type of campaign strategy target federal funds, $3 million dollars from PAC contribu- grassroots. DiFeo had two major goals he wanted to tions, $17 million dollars from other finances (Cen- accomplish, which were increasing efficiency and -in ter for responsive politics 2006). However, Bush creasing output (Cornfield 2005). He accomplished and Cheney raised $271 million dollars on individ- this by following a strategy and keeping track of ev- ual contributions, this was attributed to the small ery action taken by the campaign (Cornfield 2005). donor surge (Center for Responsive Politics 2006). The BC04 campaign followed this strategy to obtain Due to the internet playing a role as a platform for supporters, determine the voting population it want- campaign contributors, we witnessed a surge in small ed to contact, installed a rewards program, which donors who gave via online donations (Edsall 2006). included choice seats to events featuring the presi- What policy and campaign analysts figured out - af dent to motivate its volunteers (Cornfield 2005). It ter the 2004 election, was that the online donation equipped volunteers with talking points and contact platform was targeting a key donor group, the mid- lists customized so they can get the most out of exist- dle class, which had more women willing to partic- ing relationships. It also supplied home door-knock- ipate in politics (Edsall 2006). Small donors began ers with downloadable maps spelling out the estimat- to play a much bigger role in the 2004 election than ed walking times between houses (Cornfield 2005). ever before which began to shed light on the politi- The Bush and Cheney’s 2004 campaign used cal importance of the internet as a new fundraising one of the internet’s tools to organize, and coordinate regime (Edsall 2006). When the 2004 election ended team-building sessions towards the bigger goal of and President George W. Bush was reelected, the re- targeted grassroots operation (Cornfield 2005). Meet- ports were released on how much he raised through ups hosted by the third party company Meetup.com, various areas. The average contribution to the cam- helped run the House Party for the President initiative, paign was $116, major donor programs raised $130.6 which was a 30-minute conference call on July 15, million dollars, $114.6 million dollars was raised 2004 with the first lady Laura Bush (Cornfield 2005). via mail and phones, and $13.8 million dollars was During these 30 minutes, Mrs. Laura Bush would an- raised with online donation (Eric 2004). After the swer six questions that were selected from earlier sub- 2004 election, analysts figured out that they could missions, and then would bring President Bush to the target a key group of voters, women and the middle phone for a surprise finish (Cornfield 2005). On July class, which they had a hard time doing in the past. 15, 2004, Meetup.com hosted 6,920 parties in a day As we can begin to grasp a strategy from the that had over 350,000 participants (Cornfield 2005). Bush and Cheney 2004 campaign, the internet was Since there was no social media trend during beginning to be the new outlet for political infor- 2004, the focus was on these third party contact mation. Although there were no social networking sites, blogs and of course the campaign website. trends happening just yet, people were still commu- The internet was just beginning to start social net- nicating about politics through email, instant messag- working with the launch of MySpace in 2004. The ing and blogs. Campaign technology was advancing Bush and Cheney’s campaign was running behind in with the use of blogs, supporters and individuals the online campaign portion compared to candidate could communicate their opinions and viewpoints Howard Dean when it came to internet trends such through cyberspace which was brining supporters to- 66 ALEXIS JORDAN OJINAGA gether to begin forming an online community (Rice you could register to vote, sign up as a volunteer, sign 2004). The campaigns used emails to increase com- up for email updates, donate, buy Obama gear, and munication between voters, which became an effec- supporters had access to my.barackobama.com where tive way of increasing their total fundraising strategy they had the ability to make their own site to raise (Rice 2004). However, because Bush and Cheney money for his campaign. The supports had their own had an idea that the internet would play a large role section on the campaign site where they could “Make in the 2004 election, they were building their email a Difference” by making calls, and volunteering at list of supporters for nearly six years and by the campaign sites and events. Through Obama’s twen- 2004 campaign they had almost 5 million support- ty-one online social media sites you could add “Vote ers on their list (Rice 2004). By looking at the 2004 for Obama” badges and banners to our own home campaign, we can see that the internet was already pages, become his friend and talk to other Obama becoming a large part of campaign politics, Bush supporters. One of the things that Obama did differ- and Cheney saw this major shift coming and were ently than any other presidential candidate before able to prepare for it. Thus putting them light-years himself was, he used YouTube to put campaign ads ahead in terms of online campaigning, it is safe to on the internet. By doing this he had over 19 million say that President Bush and Vice President Cheney channel views with over 1 million people subscribed were the pioneers of online campaigns and online to his YouTube channel by the time he was elected. fundraising. They saw a shift in the election trends When he used YouTube, Obama was also able to and where politics was heading post 2000 elec- link those videos to his other social media websites, tion and they planned ahead for the 2004 election. like Facebook. Which reached another demographic of internet and social media users then just one on- 2008- Election of Barack H. Obama: line site alone. This was one strategy of the Obama campaign that they were targeting different sites on As we look back to 2008, this election year was the internet to reach as many people as possible. legendary for a few reasons. First, we had a woman With the help of the Way Back Machine it showed and an African American man running for the Dem- how the Obama campaign targeted many individual ocratic nominee. Second, it was the first time that a types of voters including students, women, minori- campaign was run via social networking, thus mak- ties, environmentalists, religious individuals and ing 2008 an iconic election year. Using the Way Back the L.G.B.T. community. Due to his efforts trying to Machine, we can see that Senator Barack Obama appeal to these voter demographics, his online pres- announced his presidential campaign on February 6, ence was strong on websites that these types of voters 2007 via the internet, before announcing his presi- would use on a daily basis. Barack Obama had profiles dential bid Barack Obama was asking people on on Blackplanet, Faithbase, Eons, Glee, MiGente, My- Facebook to give their feedback if he should run for Batanga, and AsainAve. All these websites had links president. Just six short days later Senator Barack on Obama’s campaign website, as well as links to his Obama’s new campaign committee launched his other social networking sites. Another great online presidential campaign website. This campaign web- strategy that Obama’s campaign committee used was site was not like anything voters had ever seen be- the use of My.BarackObama.com, where supporters fore, the options that were available were so revolu- were able to make friends with other supporters, host tionary it made politics simplified. What the Obama events for Obama, help fundraise for Obama and host 2008 campaign did that was different was they had their own blog to raise awareness on Obama’s stance a large online presence. Aside from his campaign on certain issues as well as raise funds. By tapping website, Obama was present on twenty-one differ- into this uncharted area of presidential campaign tac- ent online websites. These websites ranged from tics, it was a unpaved path that had never been trav- YouTube, Flicker, Gather and iTunes. However, we eled on before. But Obama’s campaign committee can already see a difference between the 2004 and was able to grasp how to engage supporters and rally 2008 campaigns; just in the sense of how much the support around him due to turning Senator Barack internet and social media evolved in four short years. Obama into the brand of “Obama” (IMG 2008). When Senator Barack Obama was trying to win the nomination of the Democratic Committee, he 2008-Barack H.“Obama,” the Brand: was already establishing a strong online presence. Looking back into social media using the Way Back Barack Obama was able to do something a Machine, in 2008 Obama’s campaign website had candidate had never done before, that was to turn many things that others simply did not. On the site themselves into a brand. His campaign committee SOCIAL MEDIA AND PRESIDENTIAL CAMPAIGNS 67 saw how he was gaining such a large following of 2008- Election of Barack H. Obama students, young voters, Latinos and African Ameri- Finance Committee: cans (IMG 2008). They used his name and created creative slogans that appealed to all the different With his campaign targeting small donors in demographics that Obama was targeting. His com- the primaries and into the general election, they had mittee used creative slogans that Obama would say an extensive donor list created (Luo 2008). Once in speeches and debates such as “Change”, “Hope”, the brand of Obama was established, his campaign “A Road to Change”. This also helped him appeal to committee alongside the Democratic National more and more donors, which would grow his sup- Committee targeted large and small donors for any porters. Obama’s campaign took a page from Bush kind of support that they could get from donors. and Cheney’s 2004 campaign; they sent emails to In an interview that was conducted with Corinne supporters asking for money to support the cam- Tapia, a member of the Democratic National Commit- paign. However, Obama did not have six years to tee in the finance division for election years 2008 and grow an extensive email list of possible donors, they 2012, she was able to give insight into the Democratic had fewer than 50,000 emails, all of which came from National Committee and how they were able to raise Obama’s campaign for senate (Luo 2008). However, tremendous amounts of money for Obama. By hav- his 2008 presidential campaign committee was quick ing an established brand like Obama did, it was easier to help grow this list, at events and rallies that drew to reach out to donors and ask for campaign contri- thousands of people, they asked the attendees to give butions, stated Ms. Tapia. The event that set Barack their emails for the campaign (Luo 2008). This is how Obama apart from other candidates was his ability to Obama’s campaign was able to tap into the small do- draw in donors who would give large amounts to the nor money market, by sending out emails asking for Democratic National Committee every year. But the donations and to get them to volunteer (Luo 2008). dramatic change was when there was a large surge of high net worth African American donors giving money towards Obama’s campaign, stated Ms. Tapia. With the use of all Obama’s social networking sites, campaign website and email lists and with the help of the Democratic National Committee for the 2008 election Barack Obama raised a total amount of Figure 1: Internet Use 1995-2014 $750 million dollars. Out of that $750 million dollars, 25% or $190 million dollars, consisted purely of online donations, which helped give Obama’s campaign an extra boost (Lou 2008). A majority of the money that was raised online for Obama was through small donations of $20 or less (Pew Research Center 2012). As we look at how much the presidential campaign has changed since President Bush and Cheney were running for reelection in 2004, we can see that appealing to the younger generations is becoming easier with the connectivity of social media. The age group of 18-29 year-olds has been a demographic that is hard to appeal to or to get to vote, this changed with Obama due to targeting them on social media. Obama used technology, videos and social media to get his message and face to 68 ALEXIS JORDAN OJINAGA the younger generation, with his get-out-and- vote formation highway was faster than we had ever campaigns in the battleground states proving to be seen before during a presidential election year. a key reason for such a large turnout (Keeter 2008). The 2008 election taught us that the internet is Mitt Romney 2012 Campaign: becoming a way to reach voters, supporters and raise money. Due to it being so easy to connect with one Mitt Romney launched his second attempt to another, voters are able to educate themselves more gain the Republican nomination in June 2011 on his about candidates and follow, or friend them on social Facebook and campaign website (Way Back Ma- media. Obama saw this as a huge plus because his sup- chine 2011). With the help of the Way Back Ma- porters felt like Obama was relatable and seemed like a chine, looking into Mitt Romney’s campaign web- normal American with a family rather than a man who site, he had a standard site that showed his positions was rich, powerful and came from a political family on policies, accepted donations, had links to his so- like they had just experienced with President Bush. cial media, and allowed you to buy gear. However, Romney’s campaign was already doing something 2012- President Barack Obama vs different then 2008 Obama, they did not have profiles Mitt Romney: on twenty-one social networking sites. Mitt Romney was present on Facebook, Google Plus, Twitter, You- President Obama ran for reelection in 2012 Tube, Tumbler, Flicker, Instagram, Spotify and Mitts against the Republican nominee Mitt Romney. This VP. For Romney’s online campaign, he hired Zac election started out very different from elections Moffatt to run his social media efforts and to try and in the past because it was the reelection of Ameri- create a brand of Romney (Felix 2012). When you ca’s first African American president, social media, look at Romney’s social media websites they have the internet and smart phones were more accessible fewer followers than President Obama due to the and faster than ever. The reason these were already profiles being newer (Felix 2012). However, a large creating a large impact was because smartphones difference between the layout of their social media were in the hands of 45 % of voting American (Fig pages is that Romney’s pictures are far way and they 1) and 80% of Americans used the internet (Fig 2) are more headshot candidate type pictures which (Pew Research Center 2014). The media and in- make them less intimate when comparing them to Obama’s. When looking at the fol- Figure 2: Smartphone Ownership 2011-2014 lowers and supporters on three of Mitt Romney’s social network sites, his numbers were not astronomical 12 million Facebook friends, 1.7 million Twitter followers, and 36,000 In- stagram followers (Felix 2012). Mitt Romney’s campaign says that it is not accurate measure of their social media presence when you compare it to President Obama’s because Obama had four years to build a following (Burrus 2012). But the biggest issue for Romney was, social media as a strategy was not his campaigns top strategic priority (Burrus 2012). The way that Romney was trying to campaign was to show that President Obama was not performing as a good president due to the state of the economy and that Obama was not good fit for the country (Pew Research Cen- ter 2012). Romney and Ryan’s strategy was to come at President Obama and Vice President Biden through the debates and challenge what SOCIAL MEDIA AND PRESIDENTIAL CAMPAIGNS 69 they have actually accomplished for the coun- about Romney’s failed Bain Capital, labeling Rom- try in four years (Pew Research Center 2012). ney as a job destroyer and how Romney just wants to protect the wealthy (Kennedy 2012). This helped 2012- Mitt Romney Finance Committee: President Obama gain support of the lower and middle class people who were swaying into the other When we look into donations that Romney was direction. At President Obama’s field offices, they able to collect during his 2012 election, he raised focused on swing states, but they had tools that they a total of $992.5 million dollars (Ashkenas 2012). did not have in 2008, they had an enriched voter da- Romney got $994,782 dollars from PAC’s, $3 mil- tabase, and collected viewing habits from television lion dollars from other contributions, $52,500 dol- companies (Wilson 2012). With this information lars that he self- financed and got $384,901,892 the campaign knew where they had to place Presi- dollars from individual donors (Center for Re- dent Obama’s advertisements, it was with cheap ca- sponsive Politics 2012). Romney was able to raise ble buys on channels such as HGTV, ESPN, Tennis $282 million dollars through online donations from Channel and on the Spanish language networks in- his website, social media accounts and emails, stead of spending money on high cost news networks. which was the highest amount of online donations we have seen collected by online donations 2012- President Barack H. Obama when comparing 2012 to the election years of 2004 Finance Committee: and 2008 (Center for Responsive Politics 2012). President Obama’s campaign with the help of 2012- President Barack H. Obama the Democratic National Committee once again, they Reelection Campaign: were able to tap into a large individual donor market. Obama received $631,650,564 dollars with in- When President Obama and Biden started to dividual donations alone, $214 million dollars from run for reelection, they were prepared to battle via small contributions of $20 or less while the large social media and the internet so they rehired Ted- contributions were from donations of $200 or less dy Goff (Felix 2012). President Obama’s social (Center for Responsive Politics 2012). The president media had a large following already but he gained self-financed $5,000 dollars of his own money and more during the 2012 election. On three of his top collected $521,000 dollars from other funds (Cen- social media sites is followers were in the millions, ter for Responsive Politics 2012). For the overall Facebook was at 32 million friends, Twitter had 2012 election, President Barack Obama, and the 21 million followers and 1.3 million friends on In- Democratic National Committee raised a total of stagram (Pew Research Center 2012). President $1072.6 million dollars of that $690 million dollars Obama was able to use his brand once more and was from online donations (Ashkenas 2012). During appeal to the same voters and demographics he tar- the 2012 election, President Obama saw the big geted in 2008, including students, women and mi- surge of donors when his campaign sent out emails norities, because these were groups that Romney to his supporters letting them know that he was go- could not appeal to (Pew Research Center 2012). ing to be outspent by Mitt Romney (Wilson 2012). When using the Way Back Machine to look When we look at how President Obama and Mitt at the campaign sites for 2012, you can see that Romney stack up against one another it is easy to see Obama’s campaign did not change the way that they that President Obama used social media better and reach out to the voters. The only difference is that raised more money online then the Romney campaign. there were more of the attacks towards each other President Obama campaigned in 2012 the exact same on each of the campaign websites and social media way he did in 2008, by targeting certain groups with sites. Mitt Romney gained ground against Obama af- his brand and making himself more relatable and per- ter the first debate due to no preparation on the part sonable on social media and in general. Which was of President Obama; however, Vice President Biden something that Mitt Romney was unable to do, his was able to slam-dunk a debate against Paul Ryan, social media accounts were cold and did not seem as which evened the playing field once more (Kenne- personal like President Obama’s. It truly showed that dy 2012). This showed supporters how well Joe social media was not a top priority of the Romney Biden and President Obama work with one another. campaign; it was more of their priority to attack Pres- Due to the Republicans using these attacks on ident Obama’s policies, economics, national debt, the President, the Obama campaign came back at and jobs. Which backfired terribly when Mitt Rom- them with a vengeance. President Obama talked ney had a hard time relating to minorities, the middle 70 ALEXIS JORDAN OJINAGA class and especially women with certain comments cle, to his latest stunt with David Duke and the Ku such as his famous “binder full of women” comment. Klux Klan (Evans 2016). Even with all this “send- If Mitt Romney was to ever try again for the Oval Of- ing Tweets from the bedside” type of antics, Trump fice, maybe he will listen to the trends like President is still soaring in the polls. “The rise of social media Obama did and use tools like social media to make has forced us to forgive things that would’ve been a himself seem relatable instead of superior to his voters. death sentence to candidates in the past, and Donald Trump is just the first benefactor” (Evans 2016). It 2016- Presidential Primaries: is hard to tell if we as Americans have become for- giving of these events because of his celebrity status The presidential primaries began happening as pre-presidential candidate, but it seems like when during the final months of 2015 and are currently Trumps rants and has a fiery twitter speech that it is a happening now. As we have watched the Democrat- direct engagement to the voters (Evan 2016). Which ic and Republican parties thin the heard of potential in comparison to President Obama in 2008, is a much candidates, we are down to a much smaller number different way to appeal to voters and donors due to not in March 2016. There are two Democratic candidates relating to them but appealing to the anger or hatred running for the nomination, Hillary Clinton and Ber- of government that Trumps supporters are feeling. nie Sanders. While there are four Republican candidates running for the nomination, Donald Trump, 2016-Republican Candidate: Ted Cruz, Marco Rubio and John Kasich. As we get Donald Trump’s Finance: closer and closer to June 2016, the primaries are just getting heated up between the remaining candidates. One of the first things Donald Trump did in his While the younger generation is backing Ber- campaign was to denounce PAC support and declared nie Sanders and trying to push him past Hillary, the himself as a self-funding candidate and urged his op- Republicans are trying to stop Trump from obtaining ponents to do the same. Trump is gaining money from the number of delegates needed for the nomination. private donations, along with his own finances, but he This race is already proving to be legendary simply is also getting individual donations from supporters. due to the Republican party trying to stop Donald “Social media has completely shifted the balance of Trump. As we are seeing on the news and online power when it comes to funding a political campaign” daily, social media between the candidates is larger (Evans 2016). As of February 2016, Trump had a total than ever. For this thesis we will examine the out- of $3.9 million dollars raised through online donation liers from both parties to see how their social net- to his road to the nomination. Since this campaign is working tactics and financing strategies compare still happening, we will have to see how it unfolds to to President Obama’s winning campaign strategy. be able to completely compare Trump to Obama. But from what we have learned so far, Trump is using so- 2016- Republican Candidate: cial media to his every advantage and getting in front Donald Trump of a camera as often as possible, so in the way he reaches voters it is very similar to President Obama’s These days you cannot talk about the current strategy but he is not appealing to different groups 2016 election without someone mentioning Donald like President Obama’s campaign. He is alienating Trump. He is truly outlier for the Republican party, as the minorities due to his stance on immigrants and we can tell with the current “Stop Trump” campaign Muslims, alienating women on his stance on abortion, led by Mitt Romney. However, Donald Trump is an and alienating the Republican party with everything avid user of social media and we can look on his social that comes out of his mouth or on his twitter feed. networking sites and see that he has a large following that is growing daily. On Facebook Trump has 6 mil- 2016- Democratic Candidate: lion friends, 1 million followers on Instagram and 6.2 Bernie Sanders: million followers on Twitter (Evans 2016). During this campaign for the nomination, Trump has been in On the side, the Democratic candidate Bernie the hot seat a few times for statements made on his so- Sanders is gaining followers and speed on Hillary cial media sites, mainly Twitter. Trump has done such Clinton. He is standing out in this election due to outlandish things during his run for the nomination people viewing him a “socialist” and not a demo- then we have ever seen any other candidate do, from crat. However, Bernie Sanders is much like Barack mocking a handicapped reporter, to putting down a Obama in the sense of his use of social networking women reporter saying she was on her menstrual cy- and online strategies. When we look at Bernie Sand- SOCIAL MEDIA AND PRESIDENTIAL CAMPAIGNS 71 ers social media accounts between Figure 3: Bernie Sanders Meme his staff and himself they have a large presence on five different social media accounts. On Facebook Sanders has 2.8 million friends, between his staff’s twitter and his they have 2.9 million followers, his Instagram has 800,000 followers and his YouTube account has 100,000 followers. When we compare Sanders to Trump, the difference between the two is not that drastic but Trump has a larger following. Whether this is due to his pre-celebrity status or his super crazy posts as a presidential candidate, we will never know the truth. But what Bernie is doing different is using his social media to relate and appeal to his voters; he is targeting college students mainly. He is appealing to these individuals by using memes, and gifs to seem hip to the current trends of the college students. Memes are pictures with words describing a quote or a funny statement (Fig 3), while Gifs are pictures with moving images. This is a type of tactic he is to voters on social media will become the new replicating from Obama’s campaign, which is to type of normal for presidential elections to come. target trends of the youth and reach out to them using these types of strategies. Sander’s campaign is Conclusion: also making Bernie a brand like Obama was; they have created catchy slogans like “Feel the Bern”. Social media and the internet have already begun to alter the way the presidential campaigns are 2016- Democratic Candidate: being conducted. As we have learned with the dra- Bernie Sanders’ Finance: matic increase in accessibly to the internet and with the evolution of social media, people can connect When looking at Sanders financial strategy for with one another faster and easier than ever before. his campaign so far we can see that he is taking all the In 2008 Barack Obama and his campaign com- help from individual donors that he can. So as of Janu- mittee saw a trend that was increasing at a rapid rate ary 2016, Bernie Sanders has raised $96,356,657 dol- and jumped on it. In doing so, they were able to mar- lars for the campaign and $2.5 million dollars through ket Barack Obama as a different type of candidate, online donations (Center for Representative Politics something new, fresh, a brand. Barack Obama and his 2016). What political analysts are already starting to committee would have never seen the trend of social put together is that Bernie is receiving donations in networking evolving as rapidly as it did if President small denominations, similar to Barack Obama, in George W. Bush and John Kerry caught on in 2004. $20 or less (Center for Representative Politics 2016). The 2004 campaign was the foundation for a As the race continues, we will have to see if successful social media and internet based cam- the tactics that Sanders campaign is using from paign, without the knowledge that was learned from Barack Obama will help him surpass Hillary Clin- the 2004 campaign about this information highway ton for the nomination as Obama did in 2008. changing the way people view politics the 2008 Or if Donald Trump’s new style of reaching out campaign may have been totally different. But with 72 ALEXIS JORDAN OJINAGA

Figure 4: Bernie Sanders’ Crowdfunding Campaign

political analysts reviewing presidential campaign when candidates got more face time in with the voters and election years, we are able to catch trends and to now when they simple send a tweet, a snap, or a post. learn how to build upon them for future reference. Obama’s 2008 presidential campaign was so rev- The 2012 election, President Obama and his olutionary on how he was able to gain supporters and committee did not change a thing abput how they raise funds that future candidates have chosen to fol- wanted to campaign. They had found a strategy that low in his footsteps. Obama followed his own path in worked at getting supporters, appealing to voters 2012, and won his reelection because of it. His oppo- and raising money for the campaign. Mitt Romney nent Mitt Romney tried his own type of social media on the other hand used social media but that was not campaign hybrid, but networking took a backseat to his strong point in the campaign, he was out of date Romney’s other agendas, which cost him the race. As on how to stay fresh and cool on social networks, we can see in 2016, both of the candidate’s that this which just made him seem cold and not relatable. thesis covered are using President Barack Obama’s The 2016 election is still happening and things strategies for social media in some form but they are are changing every day. But one thing is for certain; slightly evolving to put their own unique twist on so- social media is changing politics, as we know it. cial media. We will not know the outcome of the 2016 Things that used to be taboo are now just overlooked election, but looking at the campaigns so far they and there are no repercussions. 2016 will be a model are choosing to replicate Obama’s 2008 campaign. year on how social networks have evolved presidential elections from how they used to be in the 1960’s

References Brookings Institution Press (2014). Billionaires: Re- flections on the Upper Crust. Can Rich Dudes Agarwal, A (2008). How old is the internet? Retrieved Buy an Election? 33-54. from: http://www.labnol.org/internet/favorites/ Burton, M. J., Shaw, D. R., (2007). The Race to 270: how-old-is-the-internet/6244/ The Electoral College and the Campaign Strate- Ashkenas,J. (2012). The 2012 Money Race: Compare gies of 2000 and 2004. Political Science Quarter- the Candidates. The New York Times. http://elec- ly. 122(3). 511-512. tions.nytimes.com/2012/campaign-finance Burrus, D (2012). Did social media play a role in Barkan, J (1972). Operations Research in Planning Obama’s Victory? The Huffington Post.- Re Political Campaign Strategies. Operations Re- trieved From: http://www.huffingtonpost. search. 20(5) 925-941 com/daniel-burrus/did-social-media-play-a- Barack Obama (2016) Retrieved From: https://www. r_b_2094145.html barackobama.com Campbell, J. (2012). “The Miserable Presidential Bergan, D., (2005). “Party Campaign Finance and Election of 2012: A First Party Term Incumbent Electoral Competition”. Northwestern Universi- Survives”. A Journal of Applied Research in ty. Proquest Dissertations. 129. Contemporary Politics. 10(4). 20-28. Bernie Sanders (2016). Retrieved From: https:// Campbell, J (2005). Why Bush Won the Presidential go.berniesanders.com/page/content/contrib- Election of 2004: Incumbency, Ideology, Terror- ute/ ism, and Turnout. Political Science Quarterly. SOCIAL MEDIA AND PRESIDENTIAL CAMPAIGNS 73

120 (2 ). 219-241 presidential campaigns use technology. Huff- César, J., Verlan, L. (2012). “The Presidential Elec- ington Post. Retrieved From: http://www. tion of 2012 by the Numbers and in Historical huffingtonpost.com/lindsay-hoffman/em- Perspective”. A Journal of Applied Research in bracing-the-medium-how-presidential-cam- Contemporary Politics. 10(4). 29-35 paigns-use-technology_b_1797550.html Center for Responsive Politics (2016). Open Secrets Kallen, T. (2009). “Campaign finance: background, for presidential election years 2004, 2008, 2012, regulations and reform.” Retrieved from http:// 2016. Retrieved from: https://www.opensecrets. site.ebrary.com/lib/csupomona/detail.action?do- org/pres16/candidate.php?id=N00000528 cID=10660203 Coffey, D. J., (2015). Sparking Debate: Campaigns, Keeter,S (2008). Young voters in the 2008 election. Social Media, and Political Incivility. Con- The Pew Research Center. Retrieved from http:// trolling the Message. NYU Press. 245-269. www.pewresearch.org/2008/11/13/young-vot- Cornfield, M (2005). Commentary on the impact of ers-in-the-2008-election/ the internet on the 2004 election. They Cyber Kennedy, K (2013). Use it or Lose it: Social Media education of John Kerry and other political ac- in the 2012 election. Pulitzer Center. Retrieved tivists. Pew Research Center. http://www.pew- From: http://pulitzercenter.org/reporting/social- internet.org/2005/03/06/commentary-on-the-im- media-role-young-voters-increase-future-US- pact-of-the-internet-on-the-2004-election/ elections-Obama-Facebook-Twitter Donald Trump (2016). Retrieved From: https://www. Klinkner, P., Schaller, T. (2008). “LBJ’s Revenge: donaldjtrump.com The 2008 Election and the Rise of the Great So- Edsall, T (2006). Ride in Online Fundraising ciety Coalition”. A Journal of Applied Research Changed Face of Campaign Donors. Washington in Contemporary Politics, 6(4), 1-17. Post. Retrieved from: http://www.washington- Luo, M. (2008). Small Online Contributions Ass post.com/wp-dyn/content/article/2006/03/05/ up to Huge Fund-raising edge for Obama. The AR2006030500816.html New York Times. Retrieved From: http://www. Eric, M (2004). George W. Bush-Campaign Financ- nytimes.com/2008/02/20/us/politics/20obama. es. Retrieved from https://www.gwu.edu/~ac- html?_r=0 tion/2004/bush/bushfin.html Malbin,M & Panagopoulous, C. (2007)Reviewed Ewing, K. (2009). “Virtual Social Capital in the Work: The Election after Reform: Money, Pol- Obama Campaign”. Michigan State University, itics, and the Bipartisan Campaign Reform Act. Proquest Dissertations. 91. Political Science Quarterly. 122 (1) 150-152 Evans,R. (2016). 5 Ways We got the Trump Cam- Malveaux, J., (2011). “What Trumped? Race, Class, paign Wrong: An insider explains. Cracked. Gender, Generation, the Economy, and the 2008 Retrieved From: http://www.cracked.com/blog/ Elections”. The Obama Phenomenon. University trump-will-be-nominee-5-inside-reasons-it-hap- of Illinois Press. 82-91. pened/ Mayer, W. (2012). “How the Romney Campaign Felix, S (2012). Side by Side: How Obama and Rom- Blew It”. A Journal of Applied Research in Con- ney’s social media battle stacks up. The Business temporary Politics. 10(4), 40-50. Inside. Retrieved From: http://www.businessin- Merriam-Webster. (2015). Social Media. Retrieved sider.com/winner-of-the-obamaromney-social- From: http://www.merriam-webster.com/dictio- media-campaign-2012-9?op=1 nary/social%20media George W. Bush (2004). Retrieved From: http:// Mitt Romney (2012). Retrieved From: http://www. www.georgewbush.com mittromney.com Gurian, P (1993).Campaign Strategy in Presidential Museum of the Moving Image.(2012). The Living Primaries, 1976-88. American Journal of Politi- Room Candidate. Retrieved from: http://www. cal Science. 37(1) 335-341 livingroomcandidate.org/commercials/2012 Handler, E., (1982). Business in politics; campaign Nice, D., (1984). Political equality and campaign strategies of corporate political action commit- finance in the American states. Social Science tees. Lexington, Mass.: Lexington Books. Quarterly. 65 (4). 1104-1111. Hendricks, J. A., Denton, R. E., (2010). Communica- Patil, B., (1968). Campaign Strategy and Voting Be- tor-in chief: how Barack Obama used new media havior. Economic and Political Weekly. 3(1/2). technology to win the White House. Lanham: 157-162. Lexington Books. Pew Research Center.(2012). The Media and Cam- Hoffman, L.(2012) Embracing the medium: How paign 2012. Project for Excellence Journal. 74 ALEXIS JORDAN OJINAGA

Retrieved from: http://www.stateofthemedia. Smith, A (2012). How Obama won social media. org/2013/special-reports-landing-page/the-me- Dragonfly Effect. Retrieved From: http://www. dia-and-campaign-2012/ dragonflyeffect.com/blog/dragonfly-in-action/ Pew Research Center. (2012). How the Presi- case-studies/the-obama-campaign/ dential Candidates Us the Web and Social University Authors Francisco, Apparicio(2006). Media. Retrieved From: http://www.jour- Campaign finance law, electoral competition, nalism.org/2012/08/15/how-presidential-candi- and economic policy. ProQuest Dissertations. dates-use-web-and-social-media/ George Mason University. Rainie, L (2005). The Internet and Campaign 2004. Way Back Machine (2016). Retrieved From: https:// The Pew Research Center. Retrieved From: wayback.archive.org http://www.pewinternet.org/2005/03/06/the-in- Wilson, S (2012). The Strategy that paved is a win- ternet-and-campaign-2004/ ning path. The Washington Post. Retrieved Rainie, L (2008). Partisan Story. The Internet and From: https://www.washingtonpost.com/pol- the 2008 Election. The Pew Research Cen- itics/decision2012/the-strategy-that-paved-a- ter. Retrieved From: http://www.pewinternet. winning-path/2012/11/07/0a1201c8-2769-11e2- org/2008/06/15/partisan-story/ b2a0-ae18d6159439_story.html Rice, A (2004). The Power of the Internet. Retrieved Wood, J (2016). Timeline: Social Media. Key dates in form campaignsonline.org http://www.cam- the evolution and increasing influence of social paignsonline.org/reports/1104.html media. Retrieved from: http://www.infoplease. Rosenthal, A. (1976). The Constitution and Cam- com/science/computers/social-media-timeline. paign Finance Regulation after Buckley v. Va- html leo. The Annals of the American Academy of Yaverbaum, E (2012). Obama is a master of social Political and Social Science. Political Finance: media-New app fuels his campaign. Huffington Reform and Reality. 425. 124-133 Post. Retrieved From: http://www.huffington- Samples, J., (2006). The fallacy of campaign fi- post.com/eric-yaverbaum/obama-social-me- nance reform. Chicago: University of Chicago dia_b_1564602.html Press.

In recent years, social media has had an increased influence on presidential campaigns and fundraising. Will popularity among social media users be a deciding factor in the 2016 elections? SOCIAL MEDIA AND PRESIDENTIAL CAMPAIGNS 75

Alexis Jordan Ojinaga

Alexis J. Ojinaga is a fifth year political science major. Her graduation date is June 2016. She plans on attending law school postgraduation to continue her career in academia. 76 TRAVIS BARRETT

The Egocentric Presidency: How Modern Presidents Use Language to Communicate with the American Public Travis Barrett California State Polytechnic University, Pomona

Modern presidential scholars have indicated that over the last eighty years, presidential speeches have become longer in length and less formal in language. This thesis aims to expand upon the findings of modern presidential scholarship by analyzing all State of the Union addresses from President Franklin D. Roosevelt’s address in 1934 to President Barack Obama’s most recent address in 2016. More specifically, by studying modern American presidents’ verbally delivered State of the Union addresses, this thesis aims to identify whether modern presidents have over time increased their use of “egocentric” language – or frequency of singular first person pronouns – in their addresses. In doing so, my thesis hopes to contribute to the notable scholarship of the “rhetorical presidency” and “anti-intellectual presidency.” Furthermore, this paper hopes to identify the general development of “egocentric” language in modern State of the Union addresses as well as observe and inspect how and why modern presidents use this language at all.

he President of the United States is seen as the cally looking at the use of “egocentric” language. For leader of the free world and the centermost the purpose of this paper, “egocentric” language is Tfigure in American politics. Due to the Ameri- language that a speaker uses to refer to himself or can presidency’s prestige and mystery, scholars have herself. More specifically, a speaker does this by us- always been interested in the institution since its for- ing singular first person pronouns. When a president mation in 1789. Much of presidential scholarship fo- is giving a speech, he is referring to himself by using cuses on the President of the United States as an icon, singular first person pronouns and is therefore us- or on the specific policies presidents enact during ing “egocentric” language. The singular first person their presidencies. Less focus is on the language pronouns that a president may use in a speech are: and rhetoric presidents use during their speeches to “I,” “my,” “me,” “mine,” and “myself.” In his 2016 the American public. This thesis aims to do just that State of the Union address, President Barack Obama, by contributing to a scholarly discussion about how when speaking to the United States Congress and the presidents use language in order to increase their own American people, refers to himself several times in favorability, gain more government influence, and order to make a profound statement about the future advance their policy goals. of the United States. “That’s what makes me so hope- While presidential scholars have examined the ful about our future. I believe in change because I rhetoric used by presidents, most evidently in a line believe in you, the American people. And that’s why of scholarship known as “the rhetorical presidency,” I stand here as confident as I have ever been that the (Tulis, 1987) these scholars have not done so specifi- state of our Union is strong” (Obama, 2016). This

Undergraduate Journal of Political Science, Vol. 1, No. 1, Spring 2016, Pp. 76–93 © 2016, Political Science Department, California State Polytechnic University, Pomona THE EGOCENTRIC PRESIDENCY 77 thesis aims to evaluate modern American presidents The Egocentric Presidency use of the singular first person pronouns. In order to be efficient in this paper and to avoid redundancy, In this paper, what does the term, “egocentric this thesis utilizes the term “I+” to refer to the use presidency,” actually mean and what argument is this of the all singular first person pronouns (“I,” “my,” paper attempting to make with the term, “egocentric?” “me,” “mine,” and “myself”). Additionally, through- Certainly, this paper is not attempting to call or claim out the remainder of this paper, if a specific singular that some modern American presidents are self-cen- first person pronoun is being addressed – for exam- tered or narcissistic. Rather, this paper is an attempt ple, “me” – this paper will make it explicitly clear to study how presidents invoke more “egocentric” that only that pronoun is being observed. language in their speeches. Moreover, egocentrism in The question that this paper aims to answer is: this thesis simply refers to modern presidents’ use of have modern American presidents referred to them- “I+” words in their speeches. For this study, a presi- selves in State of the Union addresses more over dent’s level of egocentrism is evaluated based on how time? By evaluating modern presidents use of “I+” often he referred to himself in his speeches in relation pronouns in State of the Union addresses, this paper to how often other modern American presidents refer seeks to answer this question. This paper is based on to themselves. The “egocentric presidency” is a study the belief that over time, modern American presi- of the American presidency by solely examining how dents have gradually become more comfortable with presidents use language to refer to themselves in their the language and rhetoric they use, and therefore are speeches. This paper does not examine a president’s more copious with the use of “egocentric” language personality or behavior while in office to determine and with referring to themselves. The foundation of his level of egocentrism, only his language during this argument will be further explained in this paper’s speeches. literature review. Within presidential studies, it is essential to study In order to successfully examine this study’s American presidents’ use of language and rhetoric research question and argument, this thesis is divid- – the “rhetorical presidency” – in order to properly ed into five parts following the introduction and an understand the presidency. Additionally, studying in-depth explanation of what the “egocentric presi- presidential language and rhetoric provides necessary dency” is. First, this paper will examine the schol- insight into the presidency as a whole as well as helps arly literature on the “rhetorical presidency” and the to detect changes in the office. For instance, without “anti-intellectual presidency” in a literature review. taking a close look at presidential language, scholars This literature review will better explain the founda- would not have recognized the change in relationship tion for this paper. Additionally, within the literature between the President of the United States and the review, presidential case studies will be utilized in American public, as presidents at the beginning of the order to best illustrate the “rhetorical presidency” 20th century began to appeal to the public much more and “anti-intellectual presidency.” Second, follow- in order to increase their favorability with the public ing the literature review, the paper’s hypothesis will and to gain governmental influence. This study, by be laid out. Third, the methodology used within this establishing a new facet to the “egocentric presiden- study in order to properly test this paper’s research cy,” will advance this line of scholarship further and question and argument will be explained. Utilizing contribute to presidential scholars understanding of SPSS to run a scatter plot and correlation test, this modern presidential language and rhetoric. study largely uses a quantitative approach to test the research question and argument. Fourth, this paper Literature Review reveals and examines the results of the study. Simply, this study will divulge the outcome of the scatter plot This literature review intends to underscore the and correlation test, but will then take a qualitative academic discourse between scholars over the history look at several modern State of the Union addresses of presidential language and rhetoric in two sections. in order to give the reader a descriptive and in-depth The first section will highlight the “rhetorical pres- explanation of the “egocentric” language used by idency” and “anti-intellectual presidency” through modern American presidents. Lastly, the paper will studies that examine how and why presidents use the close with a conclusion section, which will recognize rhetoric they do when speaking to the American pub- several implications of this new line of scholarship lic. The second section of this literature review will and will identify what future research is needed in recapitulate studies that examine the “rhetorical pres- order to properly advance this scholarship. idency” and “anti-intellectual presidency” through 78 TRAVIS BARRETT specific examples from recent presidential adminis- short, leaving Tulis’ model to remain valid. “In sum, trations. although Laracey and Tulis operate in the same arena and make use of similar tools, they are really playing The Rhetorical Presidency different games, and it creates analytical confusion to conflate the two scholarly projects” (Crockett, 2009). The main scholarship on the “rhetorical presi- Crockett argues that Laracey is comparing apples to dency” began with Jeffrey Tulis’ book, The Rhetor- oranges in order to dispute Tulis’ book. ical Presidency (1987), which looks at the rhetoric In order to accurately understand the American presidents use and the possible meanings or reasons presidency and its evolution, it is important to un- behind it. Tulis (1987) finds that a significant shift derstand the office based on the behaviors of mod- in presidential rhetoric and behavior occurred during ern presidents as well as the power created based Woodrow Wilson’s presidency from 1913 to 1921. on their behaviors. Teten (2003) finds that the State During this time, Wilson deviated from the behavior of the Union addresses from George Washington to of past presidents by communicating directly to the Bill Clinton have significant “structural and rhetor- American public. Before Wilson, previous U.S. pres- ical changes” throughout American history (Teten, idents refrained from making speeches to the public 2003). Using content analysis, this study suggests as it was frowned upon as such acts were seen as that there are three specific eras of the State of the demagoguery or ruthlessly appealing to the public’s Union address based on its rhetorical evolution. emotions in order to gain power. Wilson’s behavior These three eras are: founding, traditional, and mod- resulted in a massive presidential shift, in which all ern. Predictably, Teten states the founding era began presidents since his presidency have felt comfortable with President Washington as the State of the Union addressing the public directly. In essence, Wilson address “was little more than an update on the mili- split the American presidency into two rhetorical pe- tary situation of the day and was very brief” (Teten, riods based on an evolving constitutional understand- 2003). Not long after Washington’s presidency, the ing of the presidency and what relationship the pres- State of the Union moved from the founding era to ident is supposed to have with the American public. the traditional era with President Jefferson. “[W]ith The first period is called the founding period, where the swearing in of Thomas Jefferson, the state of the presidents refrained from appealing to the public ful- union would change for almost 113 years” as Jeffer- ly and instead, focused on fostering a strong relation- son felt delivering a speech to Congress was like “a ship with Congress. The second period is called the king’s pronouncement” or the act of a tyrant (Teten, modern period, where presidents speak directly to the 2003). Due to this, Jefferson “ended the live delivery public in order to obtain more authority and support. of the address and sent it instead in letter form for the Contrary to the beliefs of Tulis, Laracey (2009) legislative branch to read. He felt this move would makes a direct argument against Tulis’ book, The end a ‘speech from the throne’ and simplify the way Rhetorical Presidency. In Laracey’s study, he high- the federal government operated (Teten, 2003). Like lights seven presidencies during Tulis’ founding Tulis (1987), Teten finds that the modern period of period, such as that of Zachary Taylor, where the presidential rhetoric began with President Wilson. president communicated directly with the American This period is distinguished by having shorter State of public – such as through speeches or newspapers – the Union addresses and by presidents’ uses of more regarding policy. Lacarey argues that Tulis’ study “group words” (Murphy, 2008). Perhaps, the most inaccurately makes a general observation in regard important finding of this study is that “[t]he- mod to how “premodern” presidents acted, expressing ern president speaks as one of the audience” (Teten, that according to Tulis’ study, all “premodern” presi- 2003). This study indicates that a president “goes dents had absolutely “no communication to the pub- public” as Kernell (1997), suggests by speaking as lic about policy matters” (Laracey, 2009). Crockett if he is simply any other American in the audience in (2009), in reviewing the disagreement between Tulis order to successfully appeal to those he is ultimately and Laracey, contends that Laracey’s study is want- speaking to. Kernell (1997) finds that the president ing severely in three ways. Firstly, Crockett finds that uses “going public” as a way of pandering to the pub- the evidence presented by Lacarey is “unconvincing lic in order to achieve a desired result, which was not and open to question” (Crockett, 2009). Secondly, attempted before Wilson, according to Tulis (1987) Laracey’s disagreement with Tulis’ book is mainly and Teten (2003). Kernell (1997) argues that “going over defining terms rather than the actual conclusions public” has drastically transformed the relationship Tulis makes. Lastly, Crockett expresses that the mod- between the presidency and the legislative branch, as el Laracey created to dispute Tulis’ study comes up the president no longer relies completely on Congress THE EGOCENTRIC PRESIDENCY 79 for validation of power and legitimacy. party of “progress and change” make reference to the Contrarily to Teten’s assertion that the modern future much more often than Republican presidents change in presidential rhetoric of State of the Union do, while Republican presidents, profess reference addresses began with Wilson, Murphy (2008) sug- to the past much more often than their Democratic gests that the “enduring change in rhetorical styles counterparts (Hart & Lim, 2011). Coleman and Man- occurred during Franklin D. Roosevelt’s adminis- na (2007) find that presidents consistently use party tration” (Murphy, 2008). In a more recent study by references in their speeches in order to appeal to their Teten (2008), perhaps in response to Murphy, Teten party’s constituents rather than to “portray a states- argues that many scholars of the rhetorical presidency man-like image above the political fray” (Coleman frequently examine only the modern period of pres- & Manna, 2007). Even when presidents “go public” idential rhetoric because they believe rhetoric of the in order to gain the support of the American people, founding and traditional period is too dissimilar to they put more rhetorical emphasis on political parties modern rhetoric, therefore making it useless to better than on being an unbiased politician, who is above understanding the presidency today. Teten suggests the partisan game. that this practice is unscholarly and marked with im- As public opinion has become increasingly more propriety as scholars opt for “easier handles” to make important to presidents, Shapiro and Jacobs (2001) their arguments within the study of presidential rhet- find that this reality does not mean presidents are oric (Teten, 2008). Additionally, failing to evaluate more likely to be responsive to the beliefs and atti- the rhetoric of presidents during the founding and tra- tudes of the American public. Instead, presidents aim ditional periods falls short in detecting how similar to “manipulate public opinion” in order to achieve a the language is between these two periods and the desired result rather than to listen to the true opin- modern period. Teten’s study earnestly suggests that ions of American voters. Through polling, presidents scholars must look to all periods of presidential rhet- collect data regarding the attitudes of the American oric in order to properly evaluate the office’s history public, but use this data to formulate a plan on how as a whole. to best and most effectively influence the public. Due Ever since presidents have decided to “go to this, Shapiro and Jacobs make a strong case that public,” their reliance on the public opinion of the presidents do not pander to the American public, American people has become more and more mean- but rather tailor desired policy to popular opinion. ingful. Due to this, presidents have crafted creative Likewise, Simon and Ostrom Jr. (1988) find that the and sophisticated means to determine their popular- president’s increased interest in public opinion has ity amongst the public. According to Jacobs (2005), caused a “politics of prestige,” in which the support presidents rely on the “collection of data – accurate, of the public determines, in no small way, the actions detailed, and extensive profiles of voters and, espe- and behavior of the president. Similar to Shapiro and cially, critical slices of the electorate” (Jacobs, 2005). Jacobs, Simon and Ostrom Jr. find that a president Rhetorically, Jacobs expresses that the president has cares about public opinion not because of a genuine the role of conveying his devotion to the national in- interest in the beliefs of the American public, but terest of Americans. Jacobs argues that the president, rather because he cares to gain support for a desired in order to appeal to the public as effectively as possi- outcome. Instead of sincerely listening to the Ameri- ble, uses comprehensive polling data which helps his can public, “presidents have an incentive to manage, administration generate the best strategies to commu- manipulate, or otherwise control” public opinion of nicate with the American people. Americans (Simon & Ostrom Jr., 1988). Although the In addition to polling, the President of the United President of the United States looks at public opin- States uses keywords in his speeches in order to hone ion for political gain, the public merely influences the in on a specific audience. In doing so, the president rhetoric presidents use to influence the opinions of panders to that audience in order to achieve a desired the American people. result, such as to gain support for a specific policy In eight short case studies, Zarefsky (2004) il- agenda. Keywords and phrases used in presidential lustrates the power of presidential rhetoric and its speeches differ not only based on the audience, the ability “to alter public conceptions of political reality, forum or mostly importantly, the president, but also thereby shifting the ground” (Zarefsky, 2004). Zaref- based on the political party of the president. Hart and sky uses case studies to best explain the effect presi- Lim (2011) find that there is a very distinct difference dential rhetoric has on public opinion. For example, between the language Republicans use compared to in order to reduce the federal spending on welfare that of Democrats. This study suggests that Demo- programs, Ronald Reagan “described isolated but cratic presidents, which are seen as the leader of the egregious cases of welfare fraud, distinguishing the 80 TRAVIS BARRETT perpetrators from the ‘truly needy’” which proved lic for both power and legitimacy. The president uses successful as Reagan stayed popular among the ma- a variety of tactics in order to manipulate public opin- jority of Americans (Zarefsky, 2004). Through the ion in his favor. One of the earliest presidents to use calculated use of rhetoric, the president can sway the modern media to pander to the public was President public by shaping an issue or policy in such a manner Franklin D. Roosevelt. In what historians explain to that is beneficial for his administration. be “intimate exchanges between the president and Through appeals to the public, the President of the people,” President Roosevelt used the radio to the United States aims to gain support for not only facilitate his “Fireside Chats,” which enabled him himself as a politician, but for his entire party and to communicate with millions of Americans at once. their respective policy agenda. As specified by Sha- Through the use of content analysis, Lim (2003) finds piro and Jacobs (2001) as well as Simon and Ostrom that “the Fireside Chats were a harsher, more casti- Jr. (1988), the president has additional incentives to gatory rhetorical genre” (Lim, 2003). Lim suggests use strategies in order to manipulate the American that being a master of rhetoric, Roosevelt was able public’s political thought. Lim (2002) finds that there to convey an intimacy to the American people while have been “five significant changes in twentieth-cen- still speaking about important issues and policy that tury presidential rhetoric,” specifically, “presidential is normally interpreted as political and crude (Lim, rhetoric has become more anti-intellectual, more ab- 2003). There is no question that the advancements of stract, more assertive, more democratic, and more technology in the 20th and 21st century have creat- conversational” (Lim, 2002). In an effort to be- re ed greater means of communication for presidents, ceived clearly and positively by the American public, which enables them to appeal to the public more fre- presidents pander by using rhetoric that is deemed quently, effectively, and to a wider audience. more easily understandable, informal, and colloqui- Just as Lim argued that President Roos- al. In doing so, presidents aim to communicate to evelt’s Fireside Chats were less intimate than previ- the American public that they are not elitist and are ously believed, Osbourne (1980) argues that Presi- instead “just regular people with whom the average dent John F. Kennedy used rhetorical strategies, such American might want to have a beer with.” as anti-intellectualism, in his speeches in order to One significant line of scholarship mentioned by make them more understandable for his audiences. Lim (2002) is the anti-intellectualism of presidential This study breaks Kennedy’s 68 major speeches into rhetoric, which Shogan (2007) explains is rhetoric four equally numbered and distinct categories based that “disparages the rational complexity associated on audience. Through content analysis, Osbourne with intellectual pursuits” (Shogan, 2007). In its pur- (1980) finds that Kennedy tailored his speeches to est form, President George W. Bush – when speaking the audience and forum he was speaking in. Not at a graduation ceremony at Yale – used anti-intellec- surprisingly, Kennedy’s speeches exhibited rheto- tual rhetoric in order to cater to “the hisses and boos” ric patterns, such as preferences to “end his national that welcomed him to the stage. Bush, instinctively talks with appeals for God’s help” while preferring to assessing the crowd, used the power of rhetoric and open his speeches to college and business audiences self-deprecating humor in order to control the speech with humor (Osbourne, 1980). Along with President and the attitudes of the graduates, successfully leav- Franklin Roosevelt’s rhetorical patterns, President ing the stage with a sincere applause. Shogan (2007) Kennedy’s patterns help scholars better understand finds that not only is there anti-intellectualism in the how presidents pander to the public. American presidency, but there is anti-intellectualism Like the studies before evaluating Roosevelt’s in everyday American life that contributes to its pres- and Kennedy’s rhetorical strategies, Jacobs, Page, ence in presidential rhetoric. According to Shogan, Burns, McAvoy, and Ostermeier (2003) found that there is poor relationship between American intellec- President Nixon also tailored his speeches specifi- tuals and the political elites, in which elites use what- cally to his audiences. This study argues that Nixon ever means necessary to hold influence, power, and changed the subject matter of his speeches based on legitimacy. Sadly, anti-intellectualism is prevalent in the news and current events. For instance, the rate modern presidential rhetoric because it is effective of unemployment dictated the amount Nixon would and remains beneficial for presidents to use. speak about the subject. When unemployment was high, Nixon spoke about it more often. Quite surpris- Specific Evaluations Of Presidencies ingly, the study suggests that Nixon focused a high percentage of his speeches on actual policy (Jacobs Since Woodrow Wilson to present day, the Pres- et al., 2003). In addition, according to Rottinghaus ident of the United States looks to the American pub- (2008), Nixon used public opinion polls to gauge his THE EGOCENTRIC PRESIDENCY 81 overall public opinion. Alternatively, Nixon would fluence, and improved opportunity at achieving his also use “public opinion mail periodically to demon- administration’s goals. Additionally, as recognized in strate to the public that the White House’s position the “anti-intellectual” presidency, modern presidents was congruent with the position of the concerned are pandering to the public by using language in public and, correspondingly, to persuade the public speeches that is less formal and more colloquial. This that their position was popular” (Rottinghaus, 2008). “anti-intellectual” language is easier for the Ameri- Nixon is a perfect example of a president using sev- can public to understand and is much more conver- eral mediums to assess popularity as well as manage sational, which increases a president’s favorability as public opinion. the American public feels they know the president on Although every modern president has used “go- a more personal level. The argument in this study is ing public” to his advantage, it is interesting to assess that modern American presidents have begun to use which presidents were better at it than others. Under- “I+” pronouns more often over time because presi- standably, there are a variety of factors that determine dential language as a whole has evolved into a less whether or not a president effectively uses rhetoric. formal and more “anti-intellectual” institution. From Ronald Reagan and Bill Clinton are two of the most this, the following hypothesis can be made: of recent and most effective orators to occupy the White House in modern history. Sigelman, Lee, and H1: Over time, modern American pres- Whissell (2002) used content analysis of Reagan’s idents have gradually increased their use of and Clinton’s Saturday morning radio addresses and “I+” pronouns in State of the Union address- determined that Reagan’s language was closer to reg- es in relation to the total word count of their ular everyday American speech. Additionally, Rea- addresses. gan was “the less long-winded and more plain-spo- ken of the two,” contributing to the idea that he was Conversely, the null hypothesis for this paper is “someone they [Americans] felt they knew well and that modern American presidents have not gradually someone with whom they would feel capable of, increased their use of “I+” pronouns in State of the and comfortable in, sitting a while for a conversa- Union addresses in relation to the total word count of tion” (Sigelman, Lee, & Whissell, 2002). Although, their addresses. Clinton was less successful according to Sigelman, Lee, and Whissell, both his and Reagan’s rhetoric Methodology indicates that they aimed to speak in a familiar and understandable manner in order to be perceived pos- The methodology used for this thesis is fairly itively by the American public. straightforward and simple. In order to test this pa- The scholars mentioned within this literature per’s research question and hypothesis, it was essen- review have contributed greatly to the study of the tial to analyze whether there is a significant correla- “rhetorical presidency” and “anti-intellectual presi- tion between the frequency of a modern American dency.” Without their insight and expertise, this the- president’s use of “I+” pronouns in a State of the sis would not have been possible. This paper aims Union address and the year that State of the Union to expand upon these two lines of scholarship and address was given. To test this relationship, I collect- delve into a new, undiscovered field by evaluating ed the number of times a president used “I+” pro- the American presidency through modern American nouns in every verbally delivered State of the Union presidents’ use of singular first person pronouns in address since President Franklin D. Roosevelt’s first State of the Union addresses. in 1934 to President Barack Obama’s final and most recent in 2016. Additionally, I collected the total Hypothesis word count of each of these addresses in order to create a ratio with the amount of times an “I+” pronoun According to scholars, who study the “rhetorical was said divided by the total amount of words said in presidency,” modern American presidents use lan- the address. Just as this paper utilizes the term “I+” to guage and rhetoric in a manner unlike that of their refer to the use of all singular first person pronouns, predecessors when addressing the public. Modern for the remainder of this study, the term “I+”/WC will presidents have shifted their use of language in wide- be utilized to refer to the use of “I+” pronouns over ly publicized speeches in order to appeal or – pander the total word count of an address. The term “I+”/WC – to the public. By doing this, a president is attempt- calculates the frequency in which a president uses ing to increase his favorability among the American “I+” pronouns, not simply the total number of times populous, in turn leading to more governmental in- an “I+” pronoun is used. This can be more thoroughly 82 TRAVIS BARRETT explained with an example. ly transferred the information collected by this word In 1987, President Ronald Reagan used “I+” count tool into a spreadsheet. The spreadsheet was pronouns a total of 61 times in his State of the Union organized into four columns, 1 the president who de- address, but used a total of 3,774 words in the entire livered the State of the Union address, 2 the year the address. The “I+”/WC ratio for Reagan’s 1987 ad- address was given, 3 the number of “I+” pronouns dress is 0.01616, which means “I+” pronouns make used in the address, and 4 the total number of words up 1.616 percent of all words Reagan said in this said in the address. Then, this spreadsheet was im- address. In comparison, in 2012, President Barack ported in SPSS, which was then able to analyze the Obama used “I+” pronouns a total of 103 times – relationship between two variables; each address’ which is much larger than Reagan’s 61 – in his State “I+”/WC ratio and the year each address was given. of the Union address, but used a total of 7,028 words More specifically, these two variables were presented – which is nearly double Reagan’s 3,774 words – in in a scatter plot, which plots these variables on an X, the entire address. The “I+”/WC ratio for Obama’s Y axis in order to compare their relationship. Addi- 2012 address is 0.01466, which means “I+” pronouns tionally, in a study that involves “time” – or years make up 1.466 percent of all words Obama said. – a scatter plot is able to show the general trend of When simply comparing the raw numbers of these the second variable over time, which in this study is two addresses without observing the “I+”/WC ratio, presidents’ use of “I+”/WC or “egocentric” language. it is obvious that Obama used more “I+” pronouns In addition to using a scatter plot to analyze the two as well as more words in total, but when comparing variables’ relationship, this study ran these variables the “I+”/WC ratio of both addresses, it is obvious through a correlation test. By doing this, this study that President Reagan used a higher frequency of aims to discover whether the relationship between I+/ “I+” pronouns. Reagan’s “I+”/WC ratio was 0.01616 WC and year is correlated. compared to Obama’s 0.01466. Before delving into the results portion of this By creating the “I+”/WC ratio, this study can study, there are several important notes that must be compare these speeches together and determine who made in order provide clarity and precision within is more “egocentric.” If I were to determine “egocen- this paper. Firstly, as specified earlier in the method- trism” simply based on the amount of “I+” pronouns ology, this paper only utilized the verbally delivered used, President Obama is far more “egocentric” in State of the Union addresses since President Franklin his 2012 address compared to President Reagan in D. Roosevelt’s first on January 3, 1934 to President his 1987 address. Regrettably, this would not account Barack H. Obama’s last on January 12. 2016. It is of the word length of each speech and in turn would important to note why President Franklin D. Roos- not calculate the frequency at which a president uses evelt was the appropriate president to begin this study “I+” pronouns. It is important to use frequency of with. This thesis aims to evaluate only the “egocentric “I+” rather than total amount of “I+” used because presidency” with regard to modern American pres- it accounts for how often a president uses “I+” pro- idents, so I used presidential literature to determine nouns, not simply the number of times they were who was the first modern president in a study such as used. Using the “I+”/WC ratio, we are able to receive this. As established in the literature review, presiden- a better evaluation of which presidents are the most tial scholars openly argue that the modern rhetorical “egocentric” when comparing them to one another. presidency began with President Woodrow Wilson or More precisely, I was able to collect the num- President Franklin D. Roosevelt. For the purpose of ber of times “I+” pronouns were used in State of this study, President Franklin D. Roosevelt is deter- the Union addresses as well as the total word count mined to be the first modern president, as Murphy of these same addresses by using the University of argued, because this study aims to evaluate widely California, Santa Barbara’s “The American Presiden- publicized speeches through a variety of mediums cy Project” website, (http://www.presidency.ucsb. (radio, television, etc.). When President Woodrow edu/index.php). This website gave me access to all Wilson was the President of the United States from State of the Union addresses delivered since George 1913 to 1921, presidential speeches had not yet been Washington’s first in 1790. With access to all of the broadcast on the radio or on the television. Because State of the Union addresses, I was able to ‘copy’ of this, President Wilson was not speaking to as large and ‘paste’ each address into an online word count of an audience as later presidents would, which may tool (http://wordcounttools.com). This tool automat- have dramatically changed the language and rhetoric ically collected the number of times “I+” pronouns he used. Instead, I chose to begin my study with the were said as well as the total word count of these State of the Union addresses of President Franklin D. State of the Union addresses. From here, I manual- Roosevelt because as Murphy suggests, the modern THE EGOCENTRIC PRESIDENCY 83

“rhetorical presidency” coincides “with the increased the seventy-nine addresses included in this paper “are use of technology by the president and Congress and technically not considered to be “State of the Union” the expansion of the audience for the State of the addresses” (Peters). Moreover, “the five most recent Union speech,” which had completely occurred by presidents (Reagan, Bush, Clinton, G.W. Bush, and President Roosevelt’s time in office (Murphy, 2008). Obama) addressed a joint session of Congress short- The second important point to note is to provide ly after their inaugurations but these messages” are why this paper utilizes State of the Union addresses not truly State of the Union addresses (Peters). Peters and not other presidential speeches. Firstly, State of (2016) argues that although the addresses are not tru- the Union addresses have occurred nearly every year ly State of the Union addresses, it is safe to consid- in verbal form thus allowing for this study to have er them as such for research purposes. What is most consistency as to the audience the president speaks important is that the audiences of these five speeches to. Additionally, it is important to express that the are the same as traditional State of Union addresses. State of the Union address is “mandated by Article II, Additionally, Peters explains “the impact of such a Section 2 of the United States Constitution” (Peters, speech on public, media, and congressional percep- 2016). More specifically, the United States Constitu- tions of presidential leadership and power should tion stipulates, “He [the President] shall from time to be the same as if the address was an official State of time give to the Congress information of the state of the Union” (Peters). The five speeches that are in- the union, and recommend to their consideration such cluded in this study that are not technically State of measures as he shall judge necessary and expedient” the Union addresses, but for research purpose might (United States Constitution, 1787). Because the State as well be, are President Reagan’s 1981 “Address of the Union address is addressing Congress and Before a Joint Session of the Congress on the Pro- then broadcast out to the American public, this event gram for Economic Recovery,” President George H. provides a unique opportunity to evaluate the use of W. Bush’s 1989 “Address on Administration Goals presidential language and rhetoric. Due to the intend- Before a Joint Session of Congress,” President Clin- ed purpose of the State of the Union address, presi- ton’s 1993 “Address on Administration Goals Before dents tend to speak about issues of more substance a Joint Session of Congress,” President George W. and importance than in speech given in other forums Bush’s 2001 “Address Before a Joint Session of the and to other audiences. For this paper, State of the Congress on Administration Goals,” and President Union addresses were chosen to be the speeches to be Obama’s 2009 “Address Before a Joint Session of analyzed because they provide a standard of consis- the Congress.” In the next section, this thesis will re- tency and due to their unique audience. Additionally, veal and examine the results regarding this study’s it must be noted that this study does not utilize State research question; have modern American presidents of the Union addresses that were delivered as written referred to themselves in State of the Union addresses messages, such as President Franklin D. Roosevelt’s more over time? address in 1945 or President Dwight D. Eisenhower’s address in 1956. The chief reason for excluding these Results written messages is because the audiences of these written addresses are much different from the audi- Within this section, I will divulge the findings ences of verbally delivered addresses. In this study of the research question and hypothesis. As hy- and in all studies regarding “the rhetorical presiden- pothesized earlier in this paper, I expected to find cy,” the audience to which the president is addressing that modern American presidents have gradually is crucial to the language and rhetoric the president increased their use of “I+” pronouns in State of the chooses to use. For instance, the audience during a Union addresses compared to the total word count verbally delivered State of the Union address would of those addresses. By running my data in a scatter be all individuals in attendance, anyone watching the plot using SPSS in addition to testing this data in a address on the television, and anyone listening to the correlation test, I was able to determine that modern address over the radio. Contrariwise, the audiences American presidents have increased their use of “I+”/ of written State of the Union addresses only include WC in State of the Union addresses. More simplisti- individuals who have access, time, and interest in cally, using these two measures – the scatter plot and reading them. In order to provide consistency and rel- correlation test – I was able to determine that modern evance, this thesis only evaluates verbally delivered presidents have referred to themselves at a greater State of the Union addresses. frequency in State of the Union addresses over time. The last note that must be made before exploring Specifically addressing this paper’s hypothesis, I can into the results portion of this study is that five of say with certainty that its assertion was correct. In 84 TRAVIS BARRETT

Table 1: Scatterplot (x-axis: “Year,” y-axis: “I+/WC)

the next several pages I will use a number of tables the beginning of the modern State of the Union ad- and diagrams in order to effectively explain how this dress – the average “I+”/WC ratio was approximately study was able to determine that my hypothesis is 0.0075. By the 1970s, Table 1 shows that there was a true and was proven. gradual incline in the average “I+”/WC ratio, which Table 1, on the next page, is a scatter plot that at this time was approximately 0.010. In the 2010s, plots the points of two variables, the “I+”/WC ratio this scatter plot shows that the average “I+”/WC ra- of all 79 State of the Union addresses that this thesis tio has continued to gradually increase and hovers has studied and that addresses corresponding year. around 0.014. By simply looking at the average “I+”/ By using this scatter plot, I was able to show the gen- WC ratios of State of the Union addresses over the eral pattern of State of the Union addresses in relation last eighty years, it is clear that modern presidents to the use of “I+”/WC over time. In Table 1, it is im- have gradually increased the use of “I+”/WC. This portant to note that my “I+”/WC variable is repre- scatter plot is just one measure used to show the rela- sented on the y-axis and the “State of the Union year” variable is represented on the x-axis. When viewing Table 1, it is apparent that there is a gradual incline Table 2: Correlation Test in the use of “I+”/WC in relation to the State of the Union years. Additionally, because the general trend Between “Year” and “I+”/WC is increasing from left to right on the scatter plot, the relationship and correlation between these two variables is positive or direct. Table 1 supports this paper’s hypothesis that over time modern American presidents have referred to themselves more often. More precisely, Table 1 shows that in the 1930s – at THE EGOCENTRIC PRESIDENCY 85 tionship between modern presidents’ “I+”/WC ratios two variables is significant when the output is less and the year presidents gave their addresses. Next, I than 0.05. Clearly, 0.00 is less than 0.05, conclusive- will support my findings with a correlation test run ly showing that the relationship between “Year” and in SPSS. “I+”/WC is significant. 0.00 indicates that the rela- Running a scatter plot shows the general trend tionship between these two variables is significant between two variables, but does not show or indicate and therefore is not random. In addition to Table 1, the level of correlation and significance between the Table 2 supports this paper’s hypothesis as there is a variables. In order to do this, SPSS was utilized in correlation and significance between the year a State this study to run a correlation test, which tests both of the Union address was given and the increased use the correlation between “I+”/WC ratios and State of “I+”/WC. Next, I will discuss two tables, which of the Union years. Table 2 shows the output of the show the actual “I+”/WC ratios of modern American correlation test run for this study. When looking at presidents. The first table (Table 3) ranks all modern Table 2, the two most important statistics to note are presidents based on the average “I+”/WC ratio of all the “Pearson Correlation” output between “Year” their speeches. In other words, Table 3 ranks modern and “I+”/WC and “Sig. (1-tailed)” between these presidents from most “egocentric” to less “egocen- same variables. The output for this test’s “Pearson tric.” The second table (Table 4) displays the top ten Correlation” was calculated to be 0.406, which indi- State of the Union addresses from modern presidents cates that there is a “moderate” relationship between based on highest “I+”/WC ratios. In other words, Ta- “Year” and “I+”/WC. Perhaps more importantly, the ble 4 shows the ten most “egocentric” modern State level of significance between “Year” and “I+”/WC of the Union addresses. was calculated to be 0.00. The relationship between

Table 3: Ranking the Modern Presidents Based on Average “I+”/WC 86 TRAVIS BARRETT

The first two tables support this paper’s- hy ratio (0.0235) together and then divide this sum by pothesis by demonstrating that there is both a direct the number of addresses President Ford verbally de- correlation and significance between the increase in livered in total (3). President Ford’s average “I+”/ State of the Union address’ “I+”/WC ratio and the WC ratio of all his addresses is 0.02023. In addition, year the State of the Union address was delivered. Ta- in order to make Table 3 easier to interpret, I multi- ble 3 does not aim to support this hypothesis further, plied the average “I+”/WC of all 13 presidents by the but rather aims to display the results of which mod- number 1,000. By doing this, Table 3 is more visually ern American presidents are actually most “egocen- digestible and succinct, allowing the reader to effort- tric” by this paper’s standards. Quite simply, Table lessly recognize the variances in averages and under- 3 is a ranking of the 13 modern American presidents stand the intent to which some presidents were more included in this study based on their average “I+”/ or less “egocentric.” Specifically regarding the pres- WC ratio for all their State of the Union addresses. In idents’ rankings in Table 3, President Ford is judged order to calculate the average “I+”/WC ratio of each to be the most “egocentric” in language as his aver- president, I added all the “I+”/WC ratios of all their age “I+”/WC is largest. Following Ford, the next four addresses and divided that sum by the number of most “egocentric” presidents are President George addresses they gave. For instance, President Gerald H.W. Bush, President Bill Clinton, President Lyndon Ford gave 3 State of the Union addresses from 1975 B. Johnson, and President Barack Obama. The mid- to 1977. To calculate President Ford’s average “I+”/ dle four modern presidents with regard to “egocen- WC ratio, I added his 1975 “I+”/WC ratio (0.0179), trism” are President Richard Nixon, President Ron- 1976 “I+”/WC ratio (0.0193), and 1977 “I+”/WC ald Reagan, President George W. Bush, and President

Table 4: Top 10 “I+”/WC State of the Union Addresses Since 1934 THE EGOCENTRIC PRESIDENCY 87

Jimmy Carter. The bottom four modern presidents Predictably, in Table 3, these three presidents are the – who are deemed by this study as being the least three most “egocentric.” Next, this paper will briefly “egocentric” – are President Dwight Eisenhower, look at several of the most “egocentric” State of the President Franklin D. Roosevelt, President John F. Union addresses listed in Table 4 in order to show Kennedy, and President Harry Truman, in descend- how and why these modern presidents might have ing order. Although the bottom four presidents in this “egocentric” language in their State of the Union ad- table are not in perfect chronological order, they are, dresses.1 at the very least, the least recent presidents to be in In order to provide a more in-depth and exten- office. The bottom four presidents provide a reveal- sive explanation to this study, it is essential to delve ing point as they support this paper’s thesis that mod- into several modern State of the Union addresses, ern presidents have over time increased their use of where the “egocentric” presidency is in full display. “I+” pronouns in relation to their address’ total word For the remainder of this results section, this paper count. Eisenhower, Roosevelt, Kennedy, and Truman will look at the rhetoric and language used by modern referred to themselves in their State of the Union ad- American presidents in their addresses. Specifically, I dresses at the lowest frequency of all modern presi- will be analyzing five of the most “egocentric” mod- dents. It must be noted that in the remainder of the ern State of the Union addresses. All five of these rankings, the results are varied in order as Ford is at addresses were listed in Table 4, indicating that they the top, although he was the President of the United are in the top ten most “egocentric” addresses. More States in the mid to late 1970s. Nevertheless, this the- precisely, I will be examining the following five State sis argues that there has been a gradual increase in the of the Union addresses: Lyndon B. Johnson’s 1969 president’s use of “I+” pronouns in State of the Union address, Nixon’s 1974 address, Ford’s 1977 address, addresses. Therefore, this thesis did not expect to find H.W. Bush’s 1992 address, and Clinton’s 1993 ad- that every president was more “egocentric” than his dress, in that order. predecessors and less “egocentric” than his succes- The first State of the Union address this thesis sors. If that were the case, this thesis would have aims to analyze in order to demonstrate how mod- hypothesized that President Barack Obama was the ern American presidents use “egocentric” language most “egocentric” president while President Franklin is President Lyndon B. Johnson’s January 14, 1969 D. Roosevelt was the least “egocentric.” address. This 1969 address was the very last of Pres- Table 4 utilizes the same approach as Table 3 did ident Johnson’s five State of the Union addresses to determine the average “I+”/WC ratio of modern while in office. Additionally, this address came just presidents’ State of the Union addresses. But this ta- six days before President Johnson would leave office ble displays the top 10 State of the Union addresses and President-elect Richard Nixon would assume the based on each addresses’ “I+”/WC ratio. Table 4 does presidency. In this speech, President Johnson’s “I+”/ not include an address from every modern president WC ratio is 0.0281, which means “I+” pronouns con- as not all presidents had an address with a high “I+”/ stitute 2.81% of all words used in the speech, mak- WC ratio. Additionally, there are several presidents ing it the second highest out of all modern State of that had more than one address that landed in the the Union addresses. In this address, Johnson uses top ten, which is generally cogent when considering language such as “I believe” and “I think” count- where they ranked based on average “I+”/WC of all less times in order to recommend policy initiatives their addresses in Table 3. As indicated in Table 4, without using more forceful, and therefore nega- President George H.W. Bush’s 1992 is deemed to be tive, language. For instance, Johnson stated, “I be- the most “egocentric” State of the Union address in lieve that we should resume the talks with the Soviet the modern presidential era. Following this, President Union about limiting offensive and defensive missile Lyndon B. Johnson’s 1969 address is the second most systems” (Johnson, 1969). It is clear that President “egocentric.” The next four addresses based on lev- Johnson is advocating for the United States to resume el of “egocentrism” are President H.W. Bush’s 1989 communication with the Soviet Union in relation to address, President Ford’s 1977 address, and President missile systems in order to promote global peace, but Clinton’s 1993 address and 2000 address, in descend- he does so in a passive manner as to avoid being per- ing order. The seventh to tenth most “egocentric” ceived as authoritarian. Perhaps, the main use of “I+” addresses are as follows; President Ford’s 1976 ad- by President Johnson in this address is seen when he dress, President Nixon’s 1974 address, President W. Bush’s 2001 address, and President Ford’s 1975. In the top ten, three modern presidents are listed more 1 Table 5 tests other external factors that may affect the “I+”/ than once, which are Ford, H.W. Bush, and Clinton. WC ratio of State of the Union addresses. 88 TRAVIS BARRETT reminisces on his time as a public servant and as he Representatives – I have known most of the humbly thanks his fellow statesmen for their friend- men pretty well who walked them. I know ship. Although indicating that he had several reserva- the questions that you face. I know the con- tions about giving a final State of the Union address flicts that you endure. I know the ideals that just days before leaving office, President Lyndon B. you seek to serve.” Johnson states, In this quote, although, President Johnson seems “Now, my friends in Congress, I want to be using his rhetoric in a modest manner, his use to conclude with a few very personal words of “I+” pronouns may be more appropriately attribut- to you. I rejected and rejected and then fi- ed to an attempt by Johnson to improve his lasting nally accepted the congressional leader- legacy as President of the United States. Moreover, ship’s invitation to come here to speak this as this is Johnson’s final widely publicized speech farewell to you in person tonight. I did that as president, he may be using “egocentric” language for two reasons. One was philosophical. I in order to passively recommend policy and display wanted to give you my judgment, as I saw it, more modest behavior to the American people. More on some of the issues before our Nation, as specifically, as Johnson leaves office and Nixon as- I view them, before I leave. The other was sumes office, the transfer of presidential power is not just pure sentimental. Most all of my life as simply from one man to another, but this transfer is a public official has been spent here in this additionally from one political party to another. As building. For 38 years – since I worked on President Johnson leaves office he understands that that gallery as a doorkeeper in the House of this is his final opportunity, as President of the Unit- ed States, to strengthen his legacy. Lastly, Johnson knows that under President Table 5: Regression (Evaluating External Factors Nixon’s and the Republican for the Increase in “I+”/WC) Party’s leadership, the direction of the United States may drastically change from the direction he supports. Therefore, Johnson uses “egocentric” language in his last attempt to argue that his beliefs and the Democratic Party’s beliefs are best for the country. The second State of the Union address this thesis will use to examine the “egocentric presidency” is President Richard Nixon’s 1974 address. In this address, which was delivered on January 30, 1974, President Nixon was under heightened scrutiny as the Watergate Scan- dal had persisted for over a year. More specifically, this speech is the seventh most “egocentric” modern State of the Union address as Nixon’s “I+”/WC ratio was 0.0186. The main use of “I+” pronouns in this ad- THE EGOCENTRIC PRESIDENCY 89 dress revolve around making a direct appeal to the from the Republican Party to the Democratic Party, public when addressing Watergate. Moreover, Nixon as he uses his “egocentric” rhetoric to focus on the – with the use of “I+” pronouns – attempts to ease the successes of his presidency. It must also be men- concerns of the American people with regard to the tioned that President Ford assumed the presidency national scandal. For instance, during the later por- after then President Richard Nixon resigned due to tion of this address, Nixon states, “I would like to Watergate. Following Nixon’s resignation, the Amer- add a personal word with regard to an issue that has ican people deeply distrusted the government, more been of great concern to all Americans over the past specifically the presidency. During President Ford’s year. I refer, of course, to the investigations of the so- time in office, he attempts to restore the American called Watergate affair” (Nixon, 1974). By speaking people’s trust in the American government and in his about the scandal head on, Nixon hopes the American administration, which he makes perfectly evident in people will consider his behavior to be aboveboard this State of the Union address. In fact, Ford clever- and forthcoming. Just moments after speaking directly makes reference to his 1975 and 1976 addresses ly about Watergate to the American public, he once in order to show how – under his leadership – the again appeals to the public as well as to Congress by country and presidency has improved. Specifically, stating, President Ford states,

“Another point I should like to make “In January 1975 I reported to the Con- very briefly: Like every Member of the gress that the state of the Union was not House and Senate assembled here tonight, good…A year ago I reported that the state I was elected to the office that I hold. And of the Union was better – in many ways a lot like every Member of the House and Senate, better – but still not good enough… Now, when I was elected to that office [the Pres- after 30 months as your President, I can say idency], I knew that I was elected for the that while we still have a way to go, I am purpose of doing a job and doing it as well proud of the long way we have come togeth- as I possibly can. And I want you to know er.” that I have no intention whatever of ever walking away from the job that the people Using “egocentric” language, President Ford elected me to do for the people of the United aims to stress the good he has provided the country States.” and argues that the presidency is in better shape than it was when he took office. Following this, Ford – With the use of “egocentric” language, President lacking modesty – states, “I am proud of the part I Nixon attempts to demonstrate his authenticity, integ- have had in rebuilding confidence in the Presidency, rity, and intention to fulfill his duties as the President confidence in our free system, and confidence in our of the United States. Ironically, only seven months future” (Ford, 1977). Contrary to President Johnson’s after Nixon delivered this address to Congress and use of “egocentric” language, President Ford does the American public, he resigned from office. His not care to be seen as humble, but rather, vigorously resignation helped him avoid impeachment stem- aims to improve his legacy by stressing the successes ming from the events of the Watergate Scandal. of his presidency. President Gerald Ford’s 1977 address is the third President George H.W. Bush’s 1992 State of the State of the Union address to be examined within Union address is the fourth address this thesis will this thesis. Ford spoke to Congress and the American use to assess modern president’s use of “egocentric” people for the last time as President of the United language. This address delivered on January 28, 1992 States on January 12, 1977 and this address ranks has an “I+”/WC ratio of 0.0303, making it the most as the fourth most “egocentric” modern State of the “egocentric” modern State of the Union address as Union address, as his “I+”/WC ratio was 0.0235. As 3.03% of the speech’s words were “I+” pronouns. with President Johnson’s 1969 State of the Union ad- More so than the three addresses analyzed earlier, dress, this 1977 address is very much about the last- this address uses “I+” pronouns to make general ing legacy of the president as a new president has appeals to the American public by stressing his ad- been elected and will take office in only a matter of ministration’s genuineness and truthfulness. For in- days. In this case, Republican President Ford is leav- stance, President Bush states, “Let me tell you right ing the White House, as Democratic President-elect from the start and right from the heart, I know we’re Jimmy Carter will take office. In this address, Ford in hard times. But I know something else: This will is very cognizant of the transfer of executive power not stand” in an attempt to pander to the public (Bush, 90 TRAVIS BARRETT

1992). Essentially, President Bush is informing the right by this country, I do not care who gets the credit American public that he is fully aware that many for it” (Clinton, 1993). As shown in this quote, Clin- Americans have fallen on hard times, but eventually, ton is using “egocentric” language to express that it he is confident that those times will end, and prosper- is the responsibility of all of the American public to ous times will follow. Additionally, in order to stress get the country back on track and he will help lead to Congress and the American public that his inten- this change. Additionally, Clinton uses “egocentric” tions are impartial and unbiased, he states, language in this address to convey to the American middle class that he will be their champion and their “Let me level with you. I know and lives will improve under his presidency. “To middle you know that my plan is unveiled in a po- class Americans who have paid a great deal for the litical season. I know and you know that ev- last 12 years and from whom I ask a contribution erything I propose will be viewed by some tonight, I will say again as I did on Monday night: in merely partisan terms. But I ask you to You’re not going alone any more, you’re certainly not know what is in my heart. And my aim is to going first, and you’re not going to pay more for less increase our Nation’s good. I’m doing what as you have too often in the past” (Clinton, 1993). In I think is right, and I am proposing what I this address, Clinton is masterful at pandering to the know will help.” American public that he will be the president to lead the country into the future and into the right direction. Just in this short quote, President Bush uses “egocentric” language masterfully, using a total of Conclusion twelve “I+” pronouns. President Bush’s use of “egocentric” language in this address is very much like This thesis aimed to study the “rhetorical presi- President Lyndon B. Johnson’s 1969 address as both dency” and “anti-intellectual presidency” by creating presidents aim to convey to the American public a new facet in these two lines of scholarship. More and to Congress that they are modest, but genuine specifically, it was this thesis’ mission to study mod- in achieving their administrative goals. Moreover, in ern American presidents – from Franklin D. Roos- this address, Bush is clearly making an appeal to the evelt to Barack Obama – and their use of “egocentric” American public for their support. language in State of the Union addresses. Precisely, The last State of the Union address this thesis this paper set out to answer whether these presidents will utilize in order to examine “egocentric” lan- have over time referred to themselves more in their guage is President Bill J. Clinton’s 1993 State of addresses. Based on the conclusions made by past the Union address. On February 17, 1993, President presidential scholars, this thesis hypothesized that Clinton – having been in office less than a month – over time, modern presidents would refer to them- addressed Congress and the American public in his selves more because these presidents have become first State of the Union address. This address has an more and more comfortable with the language they “I+”/WC ratio of 0.0197, making it the fifth most use in order to communicate the American public. “egocentric” modern State of the Union address. This By analyzing all 79 modern verbally delivered State address is different from the first four addresses ana- of the Union addresses, this study was able to cre- lyzed in this paper because this is a speech given just ate a ratio of “I+” pronouns over the total number of after taking office. The first four were the last State words in a speech. This approach allowed for me to of the Union addresses for the respective presidents; compare these addresses against one another and then Johnson, Nixon, Ford, and H.W. Bush. Nevertheless, rank them from most “egocentric” to least “egocen- President Clinton uses “egocentric” language in this tric.” Additionally, using a scatter plot and correla- address to explain the current state of the presidency, tion test, I was able to run the “I+”/WC of all modern as his two Republican predecessors had left it, and addresses against the year of the address in order to to speak about what he hopes to achieve in the next properly and effectively test my research question four years. Moreover, early in this address, President and hypothesis. In the end, I am able to conclude that Clinton warns the American public that the country is over time, modern American presidents have referred not prospering as well as it should be, after the Rea- to themselves more in State of the Union address- gan and H.W. Bush presidencies, but under his lead- es. Furthermore, using several modern State of the ership the country is pushing forward. Clinton goes Union addresses as examples, this thesis was able to on to state, “I did not seek this office to place blame. I examine actual presidential applications of “egocen- come here tonight to accept responsibility, and I want tric” language. This paper found that there has been a you to accept responsibility with me. And if we do gradual, but steady increase in the use of “I+”/WC by THE EGOCENTRIC PRESIDENCY 91 modern American presidents. It is essential to state that although the year a use of “I+” pronouns over time in State of the Union State of the Union address was delivered can un- addresses. The first implication I draw is that mod- doubtedly help presidential scholars approximate ern presidents are using “egocentric” language as a the use of “I+”/WC for that speech, there may be clear and direct way to communicate their goals to additional factors that contribute to this gradual rise Congress. By using this language, the president aims in “egocentric” language over the last eighty years. to strengthen their relationship with the legislature in Some external factors that could perhaps be valuable order to advance their administrative goals. The sec- to test in depth in future studies with regard to the ond implication for this study is that modern Amer- “egocentric” language of modern American presi- ican presidents are using “egocentric” language as a dents are the political party of the president, the state way of pandering to the public in order to increase of the U.S. economy, the president’s approval rating, their approval ratings and in turn increase their gov- and the majorities in the House and Senate. Apart ernment influence. By using “I+” pronouns to refer from institutional factors that may affect a modern to themselves in addresses, American presidents are president’s use of “egocentric” language might be appealing to the public by shaping their rhetoric to based on his personality or rhetorical style. In both resemble a conversation with the American public cases, this thesis could benefit from an interdisciplin- rather than a more formal policy speech. This study ary approach to study the “egocentric presidency.” does not conclude that modern American presidents Lastly, there are two implications I have drawn from are becoming progressively more “egocentric,” but this study regarding possible explanation as to why rather that their language is. modern American presidents have increased their

References Jacobs, L. R., Page, B. I., Burns, M., McAvoy, G., & Ostermeier, E. (2003). ‘What Presidents Talk Bush, G. H.W. (1992). ‘Address Before a Joint Ses- About: The Nixon Case’, Presidential Studies sion of the Congress on the State of the Union’, Quarterly, 33(4), 751-771. The American Presidency Project, Online by Johnson, L. B. (1969). ‘Annual Message to the Con- Gerhard Peters and John T. Woolley, http://www. gress on the State of the Union’, The American presidency.ucsb.edu/ws/?pid=20544. Presidency Project, Online by Gerhard Peters Clinton, W. J. (1993). ‘Address Before a Joint Ses- and John T. Woolley, http://www.presidency. sion of Congress on Administration Goals’, The ucsb.edu/ws/?pid=29333. American Presidency Project, Online by Ger- Kernell, S. (1997). ‘Going Public’, CQ Press, Wash- hard Peters and John T. Woolley, http://www. ington, D.C. presidency.ucsb.edu/ws/?pid=47232. Laracey, M., (2009). ‘‘The Rhetorical Presidency’ Coleman, J. J. & Manna, P. (2007). ‘Above the Fray? Today: How Does It Stand Up?’ Presidential The Use of Party System References in Presi- Studies Quarterly, 39(4), 908-931. dential Rhetoric’, Presidential Studies Quarterly, Lim, E. T. (2002). ‘Five Trends in Presidential Rhet- 37(3), 399-426. oric: An Analysis of Rhetoric from George Crockett, D. A. (2009). ‘’The Rhetorical Presidency’: Washington to Bill Clinton’, Presidential Studies Still Standing Tall’, Presidential Studies Quar- Quarterly, 32(2), 328-366. terly, 39(4), 932-940. Lim, E. T. (2003). ‘The Lion and the Lamb: De-my- Ford, G. R. (1977). ‘Address Before a Joint Session thologizing Franklin Roosevelt’s Fireside Chats’, of the Congress Reporting on the State of the Rhetoric and Public Affairs, 6(3), 437-464. Union’, The American Presidency Project, On- Murphy, C. (2008). ‘The Evolution of the Modern line by Gerhard Peters and John T. Woolley, http:// Rhetorical Presidency: A Critical Response’, www.presidency.ucsb.edu/ws/?pid=5555. Presidential Studies Quarterly, 38(2), 300- Hart, R. P. & Lim, E. T. (2011). ‘Tracking in Lan- 307. guage of Space and Time, 1948-2008’, Journal Nixon, R. M. (1974). ‘Address on the State of the of Contemporary History, 46(3), 591-609. Union Delivered Before a Joint Session of the Jacobs, L. R. (2005). ‘Communicating From The Congress’, The American Presidency Proj- White House: Presidential Narrowcasting the ect, Online by Gerhard Peters and John T. National Interest’ in The Executive Branch, eds. Woolley, http://www.presidency.ucsb.edu/ J. D. Aberbach & M. A. Peterson, Oxford Uni- ws/?pid=4327. versity Press, New York, NY. 92 TRAVIS BARRETT

Obama, B. H. (2016). ‘Address Before a Joint Ses- Sigelman, L. & Whissell, C. (2002). ‘‘The Great sion of the Congress on the State of the Union’, Communicator’ and ‘The Great Talker’ on the The American Presidency Project, Online by Radio: Projecting Presidential Personas’, Pres- Gerhard Peters and John T. Woolley, http://www. idential Studies Quarterly, 32(1), 137-146. presidency.ucsb.edu/ws/?pid=111174. Simon, D. M. & Ostrom Jr., C. W. (1988). ‘The Pol- Osborne, L. L. (1980). ‘Rhetorical Patterns in Presi- itics of Prestige: Popular Support and the Mod- dent Kennedy’s Major Speeches: A Case Study’, ern Presidency’, Presidential Studies Quarterly, Presidential Studies Quarterly,10(3), 332- 18(4), 741-759. 335. Teten, R. L. (2003). ‘Evolution of the Modern Rhe- Peters, G. & Woolley, J. T. (2016). ‘State of the torical Presidency: Presidential Presentation Union Addresses and Messages’ The American and Development of the States of the Union Presidency Project, Online by Gerhard Peters Address’, Presidential Studies Quarterly, 33(2), and John T. Woolley, http://www.presidency. 333-346. ucsb.edu/sou.php Teten, R. L. (2008). ‘The Evolution of the Rhetori- Rottinghaus, B. (2008). ‘Opening the President’s cal Presidency and Getting Past the Traditional/ Mailbag: The Nixon Administration’s Rhetorical Modern Divide’, Presidential Studies Quarterly, Use of Public Opinion Mail’, Presidential Stud- 38(2), 308-314. ies Quarterly, 38(1), 61-77. Tulis, J. K. (1987). ‘The Rhetorical Presidency’, Shapiro, R. Y. & Jacobs, L. R. (2001). ‘‘Source Ma- Princeton University Press, Princeton, New Jer- terial’: Presidents and Polling: Politicians, Pan- sey dering, and the Study of Democratic Respon- Word Count Tool - A Free Word Counter Online. siveness’, Presidential Studies Quarterly, 31(1), (n.d.). Retrieved January 10, 2016, from http:// 150-167. wordcounttools.com/ Shogan, C. J. (2007). ‘Anti-Intellectualism in the Zarefsky, D. (2004). ‘Presidential Rhetoric and the Modern Presidency: A Republican Populism’, Power of Definition’, Presidential Studies Quar- Perspectives on Politics, 5(2), 295-303. terly, 34(3), 607-619.

All about me? Not really. Modern presidents who communicated most frequently using the pronoun “I” were George H.W. Bush, Lyndon Johnson, Gerald Ford, Bill Clinton, Richard Nixon and George W. Bush. THE EGOCENTRIC PRESIDENCY 93

Travis Barrett

Travis William Barrett is a fourth year political science major with an emphasis in American politics, more specifically the American presidency. Travis will graduate in June 2016 and plans to pursue a doctoral degree in American politics in hopes of becoming an esteemed presidential scholar and eventually an advisor to the President of the United States. U.S. – Saudi Relations: The George W. Bush Era Thomas Davis California State Polytechnic University, Pomona

A detailed analytical perspective into the foreign policy relationship between the United States and Saudi Arabia during the post 9/11 George W. Bush Era has revealed that these two global powerhouses has remained steady and clandestine. The Saudi attackers on 9/11 caused conservative foreign policy such as the Patriot Act to be passed while the Saudi Monarchy simultaneously made great efforts to appear independent from U.S. influence. Domestic constituencies supported increasingly conservative policies and the rise of global conflicts such as the Israeli-Palestinian Conflict forced these two countries to have private interactions that continued to fortify the status-quo relationship of oil for security. Saudi Arabia continued to supply the United States with foreign oil, while the United States aided Saudi Arabia in its continuous quest for firearms. The literature suggests that states are inherently self-interested and despite global events, are still governed by state interest. The relationship between the United States and Saudi Arabia is not an aberration from the norm and will continue to prosper, even if hidden from public eyes.

he attacks on September 11th, 2001 were facts of the case, why did the United States continue a complete shock to the United States and to be allies with Saudi Arabia during the George W. Tto the rest of the world (Bahgat, 2004). The Bush era? United States citizenry would have never been able After September 11th, The United States has es- to fathom an attack that was successfully completed tablished domestic policies that benefits and appeases on American soil. There is no doubt that the Unit- their own constituencies, while Saudi Arabia contin- ed States citizenry lost their sense of security due to ues to comply with U.S. demands (Al Faisal, 2013; these atrocious attacks. As time evolved, a substantial Bahgat, 2003; Bahgat, 2004; Chanin et al., 2004; amount of information and intelligence was gathered, Cordesman, 2006; Gause, 2002; Hoveyda, 2002; this information led to a growing divide in the po- Long, 2002). The United States has been synony- litical alliance between Saudi Arabia and the Unit- mous with the Patriot Act, and Saudi Arabia has been ed States of America (Bahgat, 2003; Bahgat, 2004; making great efforts to concede to the demands of the Bremmer, 2004; Chanin et. al., 2004; Cordesman, United States in an effort to continue the relationship 2006; Hoveyda 2002; Long 2004). The consensus of between the nations (Bahgat, 2003; Bahgat, 2004; the intelligence concluded that 15 of the 19 attackers Chanin et al., 2004; Cordesman, 2006; Gause, 2002; that orchestrated the terrorist attacks on September Hoveyda, 2002; McCarthy, 2002). There are many 11th were in fact Saudi Arabian citizens (Bahgat, areas of contention between Saudi Arabia and the 2003; Bahgat, 2004; Bremmer, 2004; Chanin et al., United States, some of them being the policies cre- 2004; Cordesman, 2006; Hoveyda, 2002). Given the ated and enacted, the philosophy of people, and the

94 U.S. – SAUDI RELATIONS: THE GEORGE W. BUSH ERA 95

Israeli-Palestinian conflict (Bahgat, 2003; Bahgat, Saudi Kingdom and it increased scrutiny in a vari- 2004; Chanin et al., 2004; Cordesman, 2006; McCar- ety of levels such as foreign financial transactions, thy, 2002). The harsh reality is that the United States visas, and foreign exchange students (Bahgat, 2003; and Saudi Arabia remain important allies based on Bahgat, 2004; Chanin et al., 2004; McCarthy, 2002). mutual interests, and the status quo relationship of The major concern of the United States was foreign trading oil for security remains the cornerstone of a financial transactions as well as the state funding of fruitful and bountiful closed door relationship (Bah- non-profits along with the state funding of schools; gat, 2003; Bahgat, 2004; Chanin et al., 2004; Cordes- many of the United States populace (including a large man, 2006; Gause, 2002; Hoveyda, 2002). majority of legislators and political officials) accused Saudi Arabia for funding terrorist organizations United States Policy Towards Saudi Arabia through blanket non-profits and promoting terrorism Following September 11th through schools or mosques (Bahgat, 2003; Bahgat, 2004; Chanin et al., 2004; Cordesman, 2006; Gause, When the United States government was enlight- 2002; Hoveyda, 2002). Although no apparent links ened by the wealth of intelligence regarding the Sep- could ever be found directly linking Saudi Arabian tember 11th attacks, the relationship between Saudi citizens to funding terrorist organizations, the Unit- Arabia and the United States began to grow distant ed States had to enact policy that it felt appeased (Bahgat, 2003; Bahgat, 2004; Bremmer, 2004; Cord- the American citizenry and secured its position as esman, 2006; Chanin et al., 2004; Hoveyda, 2002; not taking any role or relationship with a sponsor of Long, 2004). Many pieces of monumental legislation terrorism (Bahgat, 2003; Bahgat, 2004; Cordesman, began to be passed; much of this legislation caused 2006; Gause, 2002). Saudi Arabian citizens much hardship (Bahgat, 2003; Bahgat, 2004; Chanin et al., 2004). The most promi- Saudi Arabian Policy Towards the United nent uniform legislation that is synonymous with the States Following September 11th gaping divide between these two global super powers was the enactment of the United States Patriot Act After the attacks on September 11th, it was clear (Bahgat, 2003; Bahgat, 2004; Chanin et al., 2004; that Saudi Arabia had to take a defensive policy to the McCarthy, 2002). allegations and policies passed by the United Sates. In an effort to understand how the Patriot Act Saudi Arabia was blamed and criticized for many of affected the relationship between Saudi Arabia and the details of the attacks on September 11th, but it the United States, some scholars suggest that the was also blamed for being instrumental in the forma- historical relationship between the two countries has tion and promotion of terrorism through state funded to be examined. Since the administration of Pres- schools, the lack of political dissent in the kingdom, ident Franklin Delano Roosevelt, the United States and the role of the zakat (Bahgat, 2004; Chanin et al., and Saudi Arabia had a very economically sound 2004; Gause, 2002; Hoveyda, 2002). relationship (Bahgat, 2004). Forty subsequent years The attacks on September 11th caused the status since Franklin Delano Roosevelt’s administration, it quo relationship of trading oil for security between was clear the that the United States established a very the United States and Saudi Arabia to appear to be simple agreement between them, trading oil for pro- over; in an effort to re-establish that relationship, tection (Bahgat, 2003; Bahgat, 2004; Chanin et al., Saudi Arabia began to adhere and cooperate with the 2004; Gause, 2002; Long, 2004). This relationship demands of the United States (Bahgat, 2003; Bah- has historically glued these two countries together, gat, 2004; Chanin et al., 2004; Cordesman, 2006; and some scholars argue that this historical relation- Gause, 2002; Hoveyda, 2002). Following the gripes ship is now over because of the attacks on September and complaints of the United States, Saudi Arabia 11th (Chanin et al., 2004; Long, 2004). Yet the grand demonstrated a large effort to re-build trust and confi- majority of scholars and the literature suggest that the dence between the two states (Bahgat, 2003; Bahgat, United States and Saudi Arabia will uphold the sta- 2004; Chanin et al., 2004; Cordesman, 2006; Gause, tus quo relationship of oil for security (Bahgat, 2003; 2002; Hoveyda, 2002). According to Gawdat Baghat Bahgat, 2004; Gause, 2002). (2004) in an article titled “Saudi Arabia and the War When the Patriot Act was passed, Saudi Arabian on Terrorism,” Bahgat explains that Saudi officials citizens were greatly affected (Bahgat, 2003; Bahgat, tried to prove that the Saudi citizenry did not par- 2004; Chanin et al., 2004). The stipulations placed take in the funding of terrorist organizations. Bahgat by the Patriot Act and other legislation such as the (2004) continues the article by discussing the mea- Bank Secretary Act began to financially constrain the sures and argument taken by the Saudi regime stating 96 THOMAS DAVIS that there were 4 main arguments presented by the conflict (Bahgat, 2003; Bahgat, 2004; Chanin et al., Saudi officials; firstly, Saudi Arabia has a large -for 2004; Cordesman, 2006; McCarthy, 2002). eign labor community, and most of the transactions As discussed earlier, the Patriot Act was one of that deposit their money into foreign accounts are first the greatest measures taken by the United States that ran through American or European banks. Secondly, essentially became the model for both domestic and the role of the Zakat as a pillar of Islam proscribes a foreign policy in the United States, especially in its mandatory offering that each Muslim gives to those role in the U.S.-Saudi relationship (Bahgat, 2003; in need of financial help (Bahgat, 2004). Thirdly, the Bahgat, 2004; Chanin et al., 2004; Jervis, 2003). The regime froze every single asset and blacklisted every Patriot Act was passed six weeks after the attacks on account flagged by the United States Treasury (Bah- September 11th, and it unfastened the regulatory role gat, 2003; Bahgat, 2004). Lastly, the Saudi kingdom of the United Sates government in areas of security implemented a series of investigations that helped (McCarthy, 2002). Some of the stipulations within prove Saudi Arabia was not funding terrorist organi- the Patriot Act that adversely affected Saudi Arabian zations (Bahgat, 2003; Bahgat, 2004). citizens were the denial of visas to students, the ex- One of the greatest policies that exemplify the tended wait periods to receive visas, the creation of willingness for Saudi Arabia to continue to be allies the TSA and their role in discriminatory check points with the United States, which naturally reinforces in airports and other means of transportation, finan- the status quo relationship of oil for security, is the cial tracking, and the expansion of intelligence pro- effort Saudi Arabia has taken to combat terrorism. grams within the United States government (Bahgat, Before the attacks on September 11th, the Saudi Ara- 2003; Bahgat, 2004; Chanin et al., 2004; McCarthy, bian government was known to financially support 2002). the Taliban; this was in most part due to the role of Associated with the policies passed by the Unit- religion within the Saudi state (Bahgat, 2004; Hov- ed States were the philosophies of the government eyda, 2002). After September 11th, the Saudi Ara- in both the United States and Saudi Arabia. The at- bian Monarchy began to distance itself as much as tacks on September 11th were extremely influential possible from organizations like the Taliban (Bahgat, in the introduction to the Bush Doctrine (Jentleson, 2004; Hoveyda, 2002). Saudi Arabia was also gener- 2007; Jervis 2003). Both Bruce Jentleson (2007) and ous during the invasion of Iraq, the regime allowed Robert Jervis (2003) agree that the United Sates, un- the United States to establish a military base in the der the George W. Bush administration, took a very country, even with extreme discontent among the doctrinal approach to the issues introduced by the populace (Chanin et al., 2004; Cordesman, 2006; attacks on September 11th. Jentleson (2007) argues Gause, 2002; Al Faisal, 2013; Long, 2004). Neither that George W. Bush emphasized the global role of the United States nor Saudi Arabia benefit from the the United States as the first country to intervene or spread of terrorism, and President George W. Bush’s meddle in every occasion that happens on the global Global War on Terror has allowed the United States stage. He argues furthermore that the United States and Saudi Arabia to cooperate and collaborate to end has to recede from its hegemonic or uni-polar role terrorist threats (Bahgat, 2003; Bahgat, 2004; Chanin in the international system to one of inclusion of et al., 2004; Gause, 2002; Halter, 2002; Long 2002). the global powers (Jentleson, 2007). With Jentleson In a public statement offered by George W. Bush, the (2007) arguing that the role of the United States has President announces the important role that Saudi always been one of intervention and force, Robert Arabia plays in the Middle Eastern Region, and he Jervis (2003) argues that the very role of the Unit- acclaims the relationship between the two countries ed States in other affairs has only been increased and of being allied (Bahgat, 2003). re-enforced by the Bush Doctrine. Jervis (2003) argues that there are pillars within the Bush Doctrine; Areas of Contention first, the doctrine calls for the spread of democracy. Secondly, the United States is continually threatened Trading oil for security may be one of the cor- by terrorism and it must implement a preventive role nerstones of the relationship between Saudi Arabia in the international system (Jervis, 2003). The Bush and the United States, but there are large contentious Doctrine has introduced a greater effort to prevent policies, philosophies, and current events that affect terrorism with greater force and that is exactly what the relationship between these two countries. In a Jentleson (2007) argues should be avoided because broad sense, the main areas of contention between of the exclusionary nature of the policies the Bush these two nations are the Patriot Act, the influential Doctrine adopts. role of constituencies, and the Israeli-Palestinian U.S. – SAUDI RELATIONS: THE GEORGE W. BUSH ERA 97

In the country of Saudi Arabia, the philosophy consistently grew from the September 11th attacks, has been one of victimization, but also one of spread- there has been an increased area of contention for the ing ideals within the region (Bahgat, 2003; Bahgat, relations between the two countries (Bahgat, 2004; 2004; Chanin et al., 2004; Hoveyda, 2002). The vic- Chanin et al., 2004; Cordesman, 2006; Gause, 2002; timization comes in the form of the predatory policies Hoveyda, 2002; Long, 2002). passed by the United States, such as the expansion of By extension, the role of the constituencies the Global War on Terror and most especially the Pa- has even affected large complex global political is- triot Act (Bahgat, 2003; Bahgat, 2004; Chanin et al., sues such as the Israeli-Palestinian conflict (Bahgat, 2004; Gause, 2004; McCarthy, 2002). The predatory 2003; Bahgat, 2004; Chanin et al., 2006; Cordesman, policies adopted by Saudi Arabia are actually fun- 2006). The summit between the United States and damental catalysts in spreading inflammatory ideals Saudi Arabia documents the heated debate over the within the region. Saudi Arabia is synonymous with issue of Palestine, each of these two countries taking the Sunni religion, more emphatically; they are syn- opposite sides; the United States strongly supports onymous with the spread of the Wahhabi tradition, a Israel, while Saudi Arabia strongly supports a sover- state religion that aims to abide to the original nature eign Palestinian state (Bahgat, 2003; Bahgat, 2004; of the Quran (Bahgat, 2003; Bahgat, 2004; Gause, Chanin et al., 2006; Cordesman, 2006). Although 2004; Grasiowski, 2014; Lee, 2013). Saudi Arabia has each country supports opposite regimes in the con- a vested interest in the spread of their Sunni religion, flict, Saudi Arabia recognizes that the United States which is exemplified by the backing of Palestine but can be very influential in the solution to the conflict, also the financial support it provides to the Taliban but if it were to help Saudi Arabia and the Palestinian (Bahgat, 2004; Gause, 2004). This has caused coun- people, the American citizenry would be extremely tries like the United States to increase scrutiny on the unhappy and Israel would be infuriated, so the issue country in areas such as the financial sector, which remains a tempestuous area of the relationship (Bah- has led the country to concede to U.S. demands at gat, 2003; Bahgat, 2004; Chanin et al., 2006; Cord- the price of receiving large discontent with their do- esman, 2006). mestic constituency (Al Faisal, 2013; Bahgat, 2003; Bahgat, 2004; Chanin et al., 2004; Cordesman, 2006; Reality Gause, 2002; Hoveyda, 2002; Long, 2002). As the most influential area of contention, the U.S.-Saudi relations during the George W. Bush role of constituencies within each country has greatly era has been very much surrounded by the global is- affected the relationship between the United States sue of terrorism and the announcement of the Global and Saudi Arabia (Al Faisal, 2013; Bahgat, 2003; War on Terror (Hoveyda, 2002; Bahgat, 2003; Bah- Bahgat, 2004; Chanin et al., 2004; Cordesman, 2006; gat, 2004; Jentleson, 2007; Robert, 2003). The schol- Gause, 2002; Hoveyda, 2002; Long, 2002). Each in- ars emphasize that September 11th placed a strain on dividual has a distinct idea of what the policy of their the relationship between the two countries, howev- country should follow, the United States and Saudi er there is not much evidence to support this claim. Arabia are no exception to this. Clifford Chanin and When looking at the imports of oil from Saudi Ara- Gregory Gause (2004) document a summit in which bia, it is clear that the United States has not in any dignitaries from both the United States and Saudi Ara- form changed its imports of Saudi oil (Energy Infor- bia discuss the current state of U.S.-Saudi relations, mation Administration, 2015). Saudi Arabia contin- and how they could be improved. One of the largest ues to be one of the largest consumers of weaponry in recurring themes in the summit is the role constitu- the world, and the United States has continually pro- encies play in forming policy (Chanin et al., 2004). vided a steady and consistent supply (Bahgat, 2004; Scholars across the field agree that the citizenry in Chanin et al., 2002; Harjani, 2015). It is clear that the both countries significantly shape the relationship status quo has been very well sustained even during between the two countries, this being exemplified by the turbulent years during and after September 11th the passage of the Patriot Act, but also exemplified by (Bahgat, 2003; Bahgat, 2004; Chanin et al., 2004; the increasing contempt amongst the Saudi citizenry Cordesman, 2006; Gause, 2002; Hoveyda, 2002). that pushed the Saudi Monarchy to reduce their rela- For decades, the relationship between Saudi tions with the United States (Bahgat, 2004; Chanin et Arabia and the United States has been synonymous al., 2004; Cordesman, 2006; Gause, 2002; Hoveyda, with the trade of oil for security (Bahgat, 2003; Bah- 2002; Long, 2002). With the increased anti-western gat, 2004; Chanin et al., 2004). According to the En- sentiment of the public in Saudi Arabia and the in- ergy Information Administration (2015), the United creased anti-Saudi sentiment in the United States that States consistently imports thousands of barrels per 98 THOMAS DAVIS day from Saudi Arabia, a number that has not gone ideological perspective that aids the government in down at all since the attacks on September 11th. This pursuing the policy it sees as most prosperous for the signifies quite strongly that the United States and nation (Hoveyda, 2002; Long, 2002; Lee, 2014). This Saudi continue the status quo relationship and base is best exemplified when the United States and Sau- their relationship on mutual benefit rather than on di Arabian dignitaries discuss the increased need for public opinion (Bahgat, 2003; Bahgat, 2004; Chanin “track-two diplomacy” in an effort to forego public et al., 2004; Cordesman, 2006; Gause, 2002; Hovey- opinion and do what is best for the country (Chanin da, 2002). et al., 2004). The Saudi military is tiny, it cannot protect itself from countries like Iran or Iraq (Gasiorowski, 2014), Conclusion and the proliferation of terrorist organizations in the region has become a greater threat to the stability of U.S. – Saudi relations remain strong and the sta- the monarchy and the country itself, thereby forcing tus quo is being met. September 11th sent a shock Saudi Arabia to continue relations with the United wave in the international system and is seen as a great States. The status quo is met based on necessity with strain on the relationship between the United Sates Saudi Arabia facing extremists in the region, and the and Saudi Arabia, but the truth is, the relationship United States having an insatiable appetite for oil, has always been stable and has remained so during these countries trade freely in an effort to progress the post 9/11 Bush Era. Oil for security remains the domestically and internationally. cornerstone of U.S. – Saudi relations (Bahgat, 2003; Fereydoun Hoveyda (2002) states it best when Bahgat, 2004). Policy in the United States took a con- he argues that there are never friends in politics, but servative strive after the attacks on September 11th, rather just partners with a common interest. These the American citizenry were very suspicious and two countries need each other, they are mutual part- resentful towards Saudi Arabia because of the large ners in the war on terror and are substantially influ- amount of hijackers that were Saudi citizens (Bahgat, ential in the stability of the region. Saudi Arabia is 2003; Hoveyda, 2002). Saudi was scrutinized by the the key to oil, after all, they are the largest exporter United States, but their response was not one of de- and have the largest reserves than any country in the fense, but rather one of compliance and cooperation world (Gasiorowski, 2014). The monarchy holds the (Bahgat, 2003; Bahgat, 2004). The Patriot Act placed key to the black gold of the Middle East and North a strain on the relationship, but it was met with a Sau- African countries, especially with its esteemed role di Arabian response of tracking financial transfers as in the GCC (Gasiorowski, 2014). The principle in well as allowing the United States to establish a base international relations is that countries are natural- in the country during the invasion of Iraq (Bahgat, ly self-interested and do not base their relationships 2003; Bahgat, 2004; Gause, 2002; Long, 2004). on the basis of friendship, but rather that they make There are continued strains on the relationship of policies that aid them in staying in power, help them the country, which were only heightened after Sep- exert that power, and pursue the best policies that will tember 11th; however, the two countries never seemed serve their people (Hoveyda, 2002; Long, 2002). to stop the original trade of oil for security which is Scholars like Lee (2014) argue that religion, exemplified by the imports of Saudi oil and the pur- ideology, institutions, and identity are key to under- chases of weaponry by Saudi from the United States standing the politics of countries, but the in depth (Energy Information Administration, 2015). Many analysis of the literature empirically shows that the areas of development (the Bush Doctrine, increased relationship between nations comes down to com- anti-western sentiment, and the growing debate over mon sense, with common sense being the creation the Israeli-Palestine conflict) have been opportunities of policy that positively benefits the government in for these two countries to cut relations, but Hoveyda power (Hoveyda, 2002; Long, 2002). Wahhabism is (2002) is a reminder that politics is about self-inter- manipulated through the establishments of madrasas est, it is about power, politics is about getting what is and each Imam has his own philosophy or interpre- best for the country, it is not about ideals or appeasing tation (tafseer) of how religion should be exercised the masses. The increased role of “track-two” poli- (Gasiorowski, 2014; Hoveyda, 2002; Lee, 2014; cies exemplifies that government does not care about Long, 2002). Saudi and other countries throughout public opinion, but is rather aware that the public has the world manipulate and interpret religion to legit- no idea of what the country needs, therefore hiding imize the political decisions they make (Hoveyda, relationships and agreements is the safer and less 2002; Long, 2002; Lee, 2014). They use these schools troublesome alternative (Chanin et al., 2004). or madrasas to indoctrinate the polity into a certain U.S. – SAUDI RELATIONS: THE GEORGE W. BUSH ERA 99

Saudi Arabia is a strong ally to the United States, the United States have built a façade of non-cooper- the Global War on Terror has increased the relation- ation in an effort to appease their domestic constit- ship between the two countries in the form of in- uencies, but the fact is that the two countries have creased cooperation. Sharing intelligence, targeting increased their track-two politics and are increasingly terrorist cells, and continuing to trade oil for secu- influential in the continuation of the Global War on rity has strengthened and solidified the relationship, Terror. George W. Bush and King Abdullah do not even if it upsets the domestic constituencies (Bahgat, benefit from terrorism, they do however benefit from 2004; Chanin et al., 2004; Gause, 2004; Hoveyda, oil and security. 2002; Long, 2002). In conclusion, Saudi Arabia and References Gause, F. (2002). Be Careful What You Wish for: The Future of U.S. – Saudi Relations. World Al Faisal bin Abdul Aziz Al Saud, T. (2013). Saudi Policy Journal, 19(1), 37-50. Arabia’s Foreign Policy. Middle East Policy, Halter, K. (2002). U.S.-Saudi Relations: Views From 20(4), 37-44. the Kingdom. (Waging Peace). Washington Bahgat, G. (2003). Oil and Militant Islam: Strains on Report on Middle East Affairs, 21(3), 91. U.S. – Saudi Relations. World Affairs, 165(3), Harjani, A. (2015, March 8). World’s Top Weap- 115-122. ons importer Now in Middle East. Re- Bahgat, G. (2004). Saudi Arabia and the War on trieved May 5, 2015, From http://www. Terrorism. Arab Studies Quarterly, 26 (1), 51- cnbc.com/id/102486802 63. Hoveyda, F. (2002). Saudi Arabia: Friend or Foe?. Bremmer, I. (2004). The Saudi Paradox. World Poli- American Foreign Policy Interests, 24(6), cy Journal 21(3), 23-30. 491-504. Chanin, C. & Gause, F. (2004). U.S. –Saudi Rela- Jentleson, B. (2007). Americas Global Role After tions: A Rocky Road. Middle East Policy, Bush. Survival (London, England) [H. W. 11(4), 26-36. Wilson – SSA]. 49(3), 179. Cordesman, A. (2006). Saudi Arabia: Friend of Foe Jervis, R. (2003). Understanding the Bush Doc- in the War on Terror?. Middle East Policy, trine. Political Science Quarterly, 118(3), 365- 13(1), 28-41. 388. Energy Information Administration, U.S.. (2015, Lee, R. (2014). Religion and Politics in the Middle April 29). U.S. Imports from Saudi Arabia of East: Identity, Ideology, Institutions, and At- Crude Oil and Petroleum Products. Retrieved titudes (Second ed., pp. 1-360). Boulder, Colora- May, 8 2015, From http://www.eia.gov/dnav/ do: Westview Press. pet/hist/LeafHandler.ashx?n=PET&s=MTTI- Long, D. (2004). US-Saudi Relations: Evolution, MUSSA2&f=M Current Conditions, and Future Prospects. Gasiorowski, M. (2014). Kingdom of Saudi Arabia. Mediterranean Quarterly, 15(3), 24-37. In The Government and Politics of the Middle McCarthy, M. (2002). U.S.A. Patriot Act. Harvard East and North Africa (Seventh ed., pp. 91-120). Journal on Legislation, 39(2), 435-453. Boulder, Colorado: Westview Press.

Former President George W. Bush and Saudi Arabian King Abdullah bin Abdulaziz Al Saud enjoyed a close relastionship. Some might consider this a conflict of interest, but others consider it essential for national security. 100 THOMAS DAVIS

Thomas Davis

Thomas Davis is a fourth year Political Science major who is highly invested in academia and plans to obtain a graduate degree in the near future. Europe’s Migrant Affairs: How Varying Factors Contribute to the Rise of Radical Party Leaders Melissa Petersen California State Polytechnic University, Pomona

This thesis examines the impact of migration on European politics through a binary logistic regression of countries within the Schengen Area from the beginning of the implementation of the Schengen Agreement in 1995 till 2014. By examining the historical and recently impactful influx of migrants streaming into and throughout the Schengen Area, I clarify the implications a growing population of foreigners has on their caretaker countries. The time period studied includes each Head of State’s migration policies and humanitarian actions aligned or unaligned with the United Nations High Commissioner for Refugees and each country’s refugee population in three logits. Some scholars view the economy as the propelling agent for the successes of political parties, however, during mass movements of refugees, radical parties gain substantial support from both the public and opposing parties. This thesis challenges the argument that a country’s economy has the biggest influence on the public’s choice of political representatives. Therefore, the time series logit also includes gross domestic product, unemployment percentages, year, and European Union membership. Data has been collected from archives, international polls, interviews, data reports, news media and public works. The likeliness of a radical party leader gaining enough traction to become Head of State, in many cases, results from an influx of migrants, the efficiency of a country’s asylum system and residential anti-immigration sentiment.

urope is more than a year into the largest mi- ity to stay united, and most countries’ antiquated sys- grant crisis since the Second World War. The tem of asylum registration and refugee recognition, EEuropean Union’s (EU) external border force, the issues surrounding the current and historic flood Frontex, monitors the different routes migrants use of migrants has assembled political parties and social and the amount arriving at Europe’s borders. Frontex activists for and against the acceptance of refugees. found that in 2015 more than 1.8 million had crossed. Such opposing forces has encouraged a bureaucratic The mass movement of migrants affects not only the environment. migrants themselves but the countries where they While many theorists and researchers believe in seek refuge. Both are the living testament of pho- multiple causations convincing voters to become in- tos, videos, and stories of young migrants attending creasingly conservative, I argue that voters choose to schools in canvas shelters; criminal victimizations become more conservative because of one source – stemming from cultural differences; and protests em- the fear of societal disturbances as result of migrants. bodying voices of outrage and horror that the rest of Swedish writer, political commentator and professor the world casually scrolls by in the media. With the of sociology Jens Rydgren (2011) has prescribed a United Nation’s (UN) calls to action, the EU’s inabil- number of theories as to why individuals support

101 102 MELISSA PETERSEN far-right political parties. One of these theories is an’s already put on refugees. Furthermore, the suicide the ethnic competition hypothesis. In “Voting for the bombing attack in Istanbul in January 2016, or the Radical Right in Swedish Municipalities: Social Mar- September 11 attack in the United States persuades ginality and Ethnic Competition?” Rydgren (2011) a patriotic consciousness in which the public’s im- suspects that individuals support far-right political pression of a migrant alters. In such moments, many parties because they wish to reduce competition from protest that no migrant, of any kind, is believed to immigrants over scarce resources such as jobs, hous- have the right to infiltrate European society with a ing and welfare benefits. Furthermore, according to foreign religion, custom or language. On the other this theory, support for the far-right should be higher hand, during times of despair and fear other adver- in areas where there are more immigrants and low- saries come together with a communal understanding er-educated and lower-skilled voters who would face that the migrants who have fled war and discrimina- competition from them. In light of the current refu- tion are surely innocent from acts of such large-scale gee crisis, history tells us that it is expected of native violence. inhabitants to feel an innate disregard for migrants. Even before the attacks in Paris, Marine Le In spite of this assumption, the prevailing refugee Pen, the president of the far-right National Front crisis has upheld the anti-immigration appeal of radi- party, was gaining traction by transforming the fear cal parties steering voters to be more conservative in of Islam, migrants and open door policies into po- their values toward migrants. litical support (Nossiter, 2015). While in anger and In many cases right-leaning parties favor the mourning, France, and the rest of Europe, witnessed slowing or halt of migration, yet in my findings, not the strengthening voice of the far-right. Seizing the all parties on the right side of the political line defend opportunity to expand her appeal, Le Pen demanded anti-immigration policies and not all left wing parties a “crackdown” on Islamists in the country while suc- are necessarily pro-immigration. Hence my choice ceeding to force the main center-right party to adopt of using the label “radical” parties rather than “right a stronger anti-immigration stance and convincing wing” parties in order to stray away from the idio- President Francois Hollande, a Socialist, to subse- syncrasies of the media as it points only to radical, quently adopt her radical agenda (Nossiter, 2015). In right wing parties as the culprits of anti-immigration another part of Europe, a surge of people volunteered rhetoric. Due to the multitude of parties carrying a to open the doors to their homes in pursuance of ful- variety of unique, political agendas, it would have filling the detrimental needs of refugees. “Fluchtlinge been inaccurate of me to assume that a conservative, Wilkommen”, or Refugees Welcome, is a German religiously-based, and/or capitalist party is against housing organization that has created a skeletal repli- the migration of asylum seekers into its borders. This ca of the well-known housing rental company “Airb- predicament is necessary to consider as the thesis nb”. Al Jazeera’s Humanitarian Crises section states moves forward on the discussion of party leaders’ that to accommodate refugees without fully depend- viewpoints on migration. No matter the political asso- ing on the government’s housing methods, Jonas Ka- ciation, a leader from a liberal, conservative, centrist, koschke found a way to welcome refugees into Ger- or extremist party faces a difficult challenge during man households (2015). All in all, this takes cultural a time of increasingly large, foreign movements and integration to a new level. Refugees integrate with acts of terrorism. the German culture, and the Germans form an under- Although the political split on refugee initiatives standing of the refugees’ cultural beliefs, yet German and human rights concerns has been a longstanding politicians are beginning to question the timetable of issue, terrorist attacks on caretaker countries’ soil this assimilation continuing. grants further discrimination toward foreign new- It is worth detailing historical sentiments toward comers. An event such as the Paris attacks in Novem- refugee populations. In January 1939, well after the ber 2015 exemplified the scapegoat method Europe- events of Kristallnacht, Gallup’s American Institute

ACKNOWLEDGEMENTS

To my professors for supporting my endeavors while I lived in Washington D.C., to my fellowship for advising me on my thesis topic, to my roommates who accepted my inability to enjoy the outdoors during the last couple weeks of writing and editing, to my friends who checked in on me when they knew I reached my highest level of stress, to my family who helped me research and edit, and to James for letting me rant on all things migration and my hopes in making the world a better place. EUROPE’S MIGRANT AFFAIRS AND RISE OF RADICAL PARTY LEADERS 103 of Public Opinion published a poll asking Americans: gration” (2014). Likewise, the SVP’s former anti-im- “should the U.S. government permit 10,000 mostly migrant campaign illustrates white sheep kicking Jewish refugee children to come in from Germany?” black and yellow sheep out of Switzerland and black Turns out two-thirds of Americans said they would crows pecking at the country (Stcherbatcheff, 2014). not take in 10,000 German Jewish refugee children Xenophobic rhetoric also prevails in television ads. (as cited in Tharoor, 2015). Ishaan Tharoor had also Producer David Vaverčák oversaw an ad for “HYZA noted that “no matter the alarming rhetoric of [Adolf] vs Imigranti” in May of 2015 portraying a “Slovak Hitler’s fascist state…popular sentiment in Western family rejecting foreign and diseased chickens, opt- Europe and the United States was largely indifferent ing instead for well-bred domestic chicken” (Frej, to the plight of German Jews” (2015). It took de- 2015). Such rhetoric is also prevalent in the mindset cades of convincing reports and authenticated docu- of Slovak Prime Minister Robert Fico. Prime Minis- mentation before refugees from Nazism were widely ter Fico is convinced that “migrants arriving in Eu- perceived as genuine. Europe and the U.S. are once rope do not want to stay in Slovakia. They do not again in a debate over streaming refugees through have a base for their religion here, their relatives, their borders making it hard to ignore the mix of un- they would run away anyway” (Frej, 2015). To unveiled bigotry and sympathy echoing from the past. derstand the grand scheme of the effects migration The pronounced enhancement in technology crises are having on European countries, including from the old refugee crises till now has made a sub- the heightening developments of politics, culturally stantial mark in the way in which refugees travel and mixed communities, and unfamiliar economic values communicate. Facebook, a social media platform the thesis will use a time series logit and follow with that has given people a voice and a place to arrange pertinent explanations to answer the following: What protests, currently facilitates a place for refugees to factors of Europe’s migrant affairs mobilize radically publicly share photos, videos and thoughts with their political agendas? friends and foes. With refugees’ widening access to smartphones and WiFi connection, Facebook pages, Literature Review like the “Zaatari refugee camp”, have the ability to give real-time updates to fellow migrants on rec- It has become apparent that throughout Europe- ommended travel routes, places to sleep and reports an history an influx of migrants crossing Europe’s regarding the war, border patrols and political initia- borders has caused an increase of support for radical tives affecting migrants. The Office of the United Na- parties. The once anti-semitic and racist morale of tions High Commissioner for Refugees has handed Europe’s 20th century parties has grown into today’s out 33,000 SIM cards to Syrians in Jordan and 85,704 anti-Muslim and anti-immigrant radical parties. This solar lanterns, which are used to charge cellphones facet of Europe’s political party system capitalizes on (Goldberg, 2015). Access to critical technology and its hip bigotry. Unlike years before, in this day in age finding accountability in GPS services, such as Goo- it is unacceptable to discriminate Jews and blacks; gle Maps, has reinvented the way in which refugees yet on the contrary, the push for policies defending search for safe zones and helped pinpoint the where- anti-Muslim sentiment is quite easily accepted. These abouts of family members. Additionally, the political instances of minority groups being discriminated by advertisements surrounding the events of the refugee political figures and public backlash is resolved, in crisis has also captured the eyes of the public. many cases, by either the course of time or a source Citizens are communicating their views, notably of collective, humane efforts declaring the rights of discontent, on the influx of migrants. More specifi- the particular targeted group. Although party leaders cally, Switzerland’s extremist groups have created an usually affirm an informal agreement in order to halt engaging and stream-lined campaign of ads market- the progressive stigmatization of unique sets of peo- ing anti-immigration positions. In the months leading ple based on his or her religion, ethnicity, and cultural up to the Swiss vote on a referendum that limits the beliefs, the first wave of cultural animosity produced influx of foreigners, which essentially violates the by European citizens and politicians is in most cases European Union’s core treaties of the free movement unstoppable and virtually inevitable. of people, the Swiss People’s Party (SVP) plastered Research and scholarship educates its audiences fear-inducing posters which Barbara Stcherbatcheff on the clash of cultural beliefs between immigrants of Newsweek describes them to be depicting a black, and European citizens during European migrant cri- menacing apple tree with tentacle-like roots crushing ses. However, there has not been enough discussion Switzerland into little pieces, with the accompanying on the crisis’ relational boost of radical followers as message: “Excessiveness harms! Stop mass immi- the fear of job loss, fundamental rights and social 104 MELISSA PETERSEN inequality seize the minds of concerned voters. This and religious practices (Nielsen 2015, p. 375). Such thesis does not include an in-depth list of literature discussion must be furthered with scholarship on the on alternative factors influencing voters’ opinion to interaction of Islamic militancy, new forms of Euro- vote either left or right. This thesis investigates the pean nationalism, and racism and ethno-pluralism. rise of radical and extremist parties that are depen- However, there is an assortment of scholarship on the dent upon the European migrant crisis. As such, it is deeper historical parallels of migration, such as Sa- unnecessary to list and address every element of the fran’s (1986, p. 99) comparison of “post-war Muslim political agendas and policy plans conceived by vari- migration northward from the Middle East and North ous political parties. A thorough examination contin- Africa with the prewar Jewish immigration westward gent of the impending European migrant crisis and from Poland, Russia and Romania.” Underlying val- its effect on right wing party support is, therefore, the ues, social relations, customs and overall outlooks concentration for this thesis as literature recogniz- differ significantly among civilizations (Huntington, es the European migrant crisis as a broad inclusion 1998), thus such a comparison is “analytically useful influencing both cultural and economic issues (Pew because it points…to the existence of universal pat- Research Center, 2014). terns in the relationship between immigrant and host The following literature review examines three society and to the importance of time and context in themes of research reports and scholarship. The first shaping such relationships” (Safran, 1986, p. 99). category prioritizes the development of anti-immi- Unlike a majority of literature, Huntington’s (1997) grant sentiment and policy adjustments as a result of analysis explains the major difference of politics and new, cultural identities. Additionally, a look into the economic development deeply rooted in contrasting digital use of right wing parties (Simpson & Druxes, cultures. This type of realization validates Bach’s 2015) provides a level of political influence unex- (1986) attempt to examine the economic progress of amined by works of previous crises due to the lack new immigrant groups and members of the capitalist of technological infrastructure. The literature review class born into an industrial state. Therefore, the lit- in the second category investigates public backlash. erature presumes that when Muslim immigrants enter Public opinion has been an influential element in Western societies, unfamiliar economic interests will western governments’ inability to successfully in- begin to shift the host country’s economic develop- tegrate refugees. Because the public has become an ment (Bach 1986 & Huntington 1997). Other than effective broadcaster of right wing party beliefs, this the fear of reduced occupational opportunities, there category includes designated polls on the subject of is an uneasiness on the integration of newcomers as the historical and current migrant crises. The third they may alter a nation’s one dimensional economy category examines the challenges of humanitarian into a multicultural economy. aid during a period in which caretaker countries and The social and cultural changes in response to its citizens lose faith in foreigners’ ability to integrate immigration has raised a political storm between into a society unlike their homeland. right and left wing parties. Although a large portion of literature considers the economy to be the staple Right Wing Policies and Strategies of political discussion between liberal and conserva- Disabling Cultural Integration tive parties, Art (2011) expresses an alternative staple — anti-immigration. Art (2011) argues that the “dominance of economic issues across Europe in The amount of public controversy linked to Mus- 2008 [did not] allow radical right parties to play their lims in Europe has become increasingly overwhelm- strengths”, and as a result, they have taken the op- ing. Nielsen (2015, p. 374) highlights the period of portunity to address a culturally, sensitive issue that the “Danish cartoons of the Prophet”, the “burqa offers an emotional appeal (p. 134). This is evident bans in Belgium and France”, and the “regulations in in French workers’ sympathy to the xenophobia of two Austrian provinces [preventing] the building of the French National Front (FN) and opposition to minarets” as a time where controversies were “lim- FN leader Marine Le Pen’s proposed management ited in their effects” and scope. Now, controversies of the French economy (Art, 2011). The maneuver- are merging into a transnational European phenom- ing within radical right wing parties’ political agenda enon. It is the international community’s duty to in- plays a significant role in Adams and Somer-Topcu’s tegrate and recognize Muslims as a normal part of (2009) study on the policy adjustment by parties in society, yet Europe’s contradictory legal discussion response to rival parties’ policy shifts in post-war on freedom of expression, “civility” and “common democracies. The relationship between parties’ pol- decency” has granted the removal of visible mosques icy agendas during a period of panic and resolution EUROPE’S MIGRANT AFFAIRS AND RISE OF RADICAL PARTY LEADERS 105 heightens the intensity of party system dynamics land, topics like the building of mosques in Germany, and political representation (Adams & Somer-Top- the burqa or the headscarf, and the erosion of immi- cu, 2009). For instance, in a period reeking with an- grants’ citizenship rights will cause further resistance ti-foreign sentiment, party dynamics enter a mode and rejection of European assimilation with foreign of either accepting cultural diversity or escaping the immigrants of non-western values (McCorkindale, threat of cultural diversity (Semyonov, Raijman, & et al., 2013; Koopman, 2012; Simpson & Druxes, Gorodzeisky. 2007). Semyonov’s et al. (2007) work, 2015). and the extension of it by Wilkes, Guppy, and Farris, Public Backlash identifies the intensity of anti-foreign sentiment in “places where the size of the out-group population is The European migrant crisis has rallied public relatively large and where economic conditions are backlash in favor of right wing ideologies. Euro- relatively suppressed” from 1988 to 2000 (p. 841). peans have become decreasingly supportive of ref- Within a similar time period of research, Koopman, ugees entering their borders (Pew Research Center, Michalowski, and Waibel (2012) produce original 2014; “Islam in Europe”, 2015), thus making them data on ten European countries from 1980 to 2000 the biggest promoters of the radical right. Accord- and found no evidence of cross-national conver- ing to Pew Research Center (2014), “many [Euro- gence. Citizenship rights were once inclusive, yet in pean Union nations] believe that immigrants do not 2002 a stagnation occurred. Immigrants are not born want to adopt their new country’s customs and ways into the political community of their country of desti- of life, and many think immigrants are taking jobs nation, therefore it is expected of states to formulate away from native-born citizens” (Most Support Lim- rules and conditions for how immigrants can acquire iting Immigration section, para. 2). This is especial- rights (Koopman et al., 2012; Bach, 1986). Howev- ly prevalent among the public in Italy, Germany and er, the electoral mechanisms of long-standing policy France (Pew Research Center, 2014). Savage (2004) traditions have permitted right wing parties to slowly, appeals to a formal commitment agreed upon by both yet ultimately reverse the aspiring liberalizations of Europeans and Muslims to facilitate a prosperous re- the immigrant electorate (Koopman, et al., 2012). lationship that does not undermine the dignity of Eu- Media coverage on political party tactics is a rope’s collective identity and Islamic communities. newer element in academia. Lara Mazurski’s contri- Furthermore, Savage (2004, p. 25-26) breaks down bution to Digital Media Strategies of the Far Right the “European-Islamic nexus” as a collection of new in Europe and the United States, “Right-Wing Cam- phenomena which includes, “the rise of terrorism; paign Strategies in Sweden”, unveils the campaign the emergence of a new anti-Semitism; the shift of advertisement of the Sverigedemokraterna (Sweden established European political parties to the right; the Democrats, SD) during the 2010 parliamentary elec- recalibration of European national political calcula- tion. According to Mazurski, the “advertisement as- tions; additional complications for achieving an ever sociated immigration and Islam with the economic closer European Union; and a refocusing, if not a re- failings of Swedish society” thus energizing a “new formulation, of European foreign policy.” The Euro- embodiment of Swedish identity” and a conceptual- pean Union’s (EU) complex bureaucratic processes ization of “‘the Other’” (Simpson & Druxes, 2015, p. and the European Parliament’s undemocratic nature 10). The arrival of social networking accelerates the has paved a path for right wing extremists (Polychro- format of new radical right groups and allows right- nious, 2009, p. 28). The rise of extremist ideologies wing activists to organize around an anti-immigra- is a mirror image of Europeans’ disregard for voting tion agenda that authorizes pushback on the increase in the EU election demonstrated by an abstention rate of migration flows and rejection of multiculturalism of more than 55 per cent in total across EU member (Simpson & Druxes, 2015; Art, 2011). Being that the states (Polychronious, 2009, p. 28-29). European migrant crisis has taken up extensive me- A survey design on public opinion paired with a dia coverage throughout news sources and social me- deliberate explanation as to why the public came to dia platforms, the connection millennials have with their conclusions, equips crisis observers with view- their social media accounts, such as Facebook, and points of those personally affected. This is especially the groups and organizations they decide to follow, evident in the research methods and polling reports plays a key role in the development of political party of Rubinstein (1997), “Islam in Europe” (2015), Wil- engagement and feedback (McCorkindale, DiStaso, heim (2015), Blinder (2015), Pew Research Center & Sisco, 2013). While radical right wing blogs, opin- (2014), Wike (2014), International Organization for ion sites, and social media accounts feed the popu- Migration (2015), and Esipova, Publiese, and Ray lists’ outrage of contemporary changes in their home- (2015). Rubinstein (1997) showcases the American 106 MELISSA PETERSEN publics’ anti-immigration sentiment during pre- humanitarian organizations address the expectations World War II through polls. This study coincides of sustainable aid. Although there is a pursuit for with Wike’s (2014) research on anti-immigrant and aid effectiveness, humanitarian organizations rarely anti-minority sentiments, especially felt on the po- publish sustainability reports (Haavisto & Koyacs, litical right. Wike (2014) notes, “in Germany and 2014). The lack of assessment on humanitarian op- France, respondents who place themselves on the erations places an uncontrollable hole in researcher’s right side of the political spectrum are more than study of humanitarian aid as such information is not twice as likely as those on the left to say they have available to analyze and evaluate. Furthermore, right an unfavorable opinion of Muslims” (para. 7). Wil- wing party leaders challenge the use of humanitari- heim (2015) strengthens Wike’s (2014) results with a an aid within their own countries and create political more intimate study focused on the views of over one agendas that aim to forfeit the attention given to ref- thousand Germans. The first part of the study focuses ugees with a simple financial donation to countries on the participants’ personal opinions concerning the neighboring places of conflict. Without a concrete increased number of refugees entering Germany and method or negotiation of a resolution benefitting both an evaluation of their personal level of engagement, refugees and countries touching the borders of places such as donations or time spent volunteering (Wil- infested with war and conflict, the European migrant heim, 2015). The second part covers an evaluation crisis will continue with no avail (Stafford, 2013). of Germany’s role in addressing the refugee crisis Countries that are in proximity of conflict are inherit- verses that of the EU or United Nations (UN), and ing the unfortunate headache that follows an uncon- an opinion on how peace in Syria could be reinstat- trollable flow of refugees (UNHCR, 2014). Stafford ed (Wilheim, 2015). Wilheim’s (2015) key findings (2013) finds that the amount of financial assistance included: 51 per cent of the population thinks that used to support the various infrastructures and gov- Germany should host fewer refugees than it does mo- ernmental coordination by neighboring countries is mentarily; almost one-half of the population thinks not enough to exterminate the barriers preventing that hosting refugees will have a negative impact on reasonable accommodations and relief for the ref- the German economy (47%) and culture (50%) and ugee population. More specifically, Syrian refugee over one-half of the population (52%) has never met camps have turned minor cities into major cities, and a refugee who arrived during the current crisis. the strain on local communities has made it impossible to provide education, water, food, and health care A Humane Response to Asylum Seekers (Stafford, 2013). The future cannot be predicted with certainty; however, when the former UN Under Sec- The structure and processes of humanitarian aid retary General and former Commissioner-General of is in need of a major overhaul. The United Nations the UN Relief and Works Agency for Palestine Ref- High Commissioner for Refugees’ (UNHCR) (1999) ugees in the Near East (UNRWA) Karen AbuZayd uses the public’s sour outlook of UNHCR efforts to (2015) tells her audiences that in Syria over 220,000 create a forthright report describing the international have been killed, 6.5 million are internally displaced community’s devaluation of humanitarian support. and tens of thousands have been forcibly disappeared The amount of time and effort made by politicians or tortured in detention within, one can only hope that and world leaders to demonstrate humanitarian aid in this new millennium strengthens field personnel who places that have the most appeal, for instance dissem- are willing to put themselves at risk to help refugees bling the systems permitting child soldiers in Uganda (UNHCR, 1999). and prostitution in Thailand, has become obnoxious. Literature reveals a political pattern continues to Although such causes are necessary, the UNHCR transpire in European history. In addition, literature (1999a) explains that the crises that gain the most finds that when an influx of migrants enter European attention and funding contain the “sexiest” human- borders Europe’s far right parties gain leverage in the itarian operations. The issue in today’s humanitarian political arena. A discussion can proceed with a close challenges is the lack of motivation to provide stabili- examination of the various factors of the European ty and financial support toward the victims of conflict migrant crisis ushering in a rise in right wing party in any given situation (UNHCR, 1999). Unfortunate- support. Considering historical references, such as ly, it has come to a point in which the humanitarian the UN 1951 Refugee Convention which asserted the system is consistently misguided or untouched, and need for European countries to accept refugees and consequently leading international assistance and re- asylum from WWII and other war-ravaged areas, the lations to be ineffective (Malloch-Brown & Barder, current climate of migration issues will pronounce 2015). Haavisto and Kovacs (2014) analyze how well the ability of extremists to essentially ignore the UN’s EUROPE’S MIGRANT AFFAIRS AND RISE OF RADICAL PARTY LEADERS 107 call to action which is echoed in today’s European The countries and years collected in my analysis migrant crisis. On September 22, 2015, EU leaders are based on the countries that agreed to the terms of met in Brussels to discuss the ongoing refugee and the Schengen Area, as well as the year the Schengen migration crisis, in what the UN cautions “may be the Area began in 1995. I decided to collect data on the last chance to create a coherent repossess to end the countries of the Schengen Area because of the per- suffering and exploitation of refugees and migrants” petrating challenges its Member States are facing (UN News Centre, 2015, para. 1). The UN High from the influx of migrants and potential terrorists Commissioner for Refugees Antonio Guterres argues taking advantage of the dysfunctional border con- that this crisis combined with the lack of European trols and asylum systems. The Schengen Area, also unity is resulting in a “management mayhem” (UN known as the Schengen zone, allows travel across News Centre, 2015, para. 2). European politicians’ Member States’ common borders without passports tough response is largely due to radical right wing or customs controls. It essentially functions as a sin- ideologies – which oppose the cultural integration, gle country for international travel purposes with the gain strength from populations hostile to the influx cooperation of a mutual visa policy. Totaling 26 Eu- of migrants, and deny refugees and asylum seekers ropean countries, the Schengen zone encompasses access to basic humanitarian aid. 22 of the 28 EU Member States. The Schengen Area began in 1985 as the Schengen Agreement through Methodology the cooperation of five EU Member States from the European Economic Community. In 1990, the Schen- The time series logistic regression analysis uti- gen Convention implemented the Schengen Agree- lizes data collected by the World Bank’s data catalog ment and set forth a process to abolish internal border from 1995 to 2014. Statistical data for 2015 and 2016 control (“The Schengen area”, n.d., p. 14). In addi- are in progress and, therefore, not available for inclu- tion, the Convention aimed to “strengthen external sion in my analysis. The World Bank Open Data, a border checks, define procedures for issuing uniform free and open database allowing access to data about visas, establish a Schengen Information System and development in countries around the globe, provid- take action against drug trafficking” (“The Schengen ed the gross domestic product (GDP) at market price area”, n.d., p. 14). The implementation of the Agree- (constant U.S. dollars) calculated by the World Bank ment began on March 26, 1995 with the establish- national accounts data and Organization for Eco- ment of the Schengen Area. By 1999, the Schengen nomic Co-operation and Development National Ac- Area grew in membership and led to the integration counts data files, unemployment total (percentage of of the Agreement into the legal framework of the total labor force) curated by the International Labor EU. Considering the recent attention on the migrant Organization, and refugee population by country or crisis and the Paris attacks, Schengen Area countries territory of asylum formulated by the United Nations have reintroduced temporary border controls. The High Commissioner for Refugee’s (UNHCR) and the European Commission’s report on the “Temporary United Nations Relief and Works Agency for Pales- Reintroduction of Border Control” explains that the tine Refugees in the Near East. The refugee popula- “Schengen Borders Code provides Member States tion indicator excludes asylum seekers – people who with the capability of temporarily reintroducing bor- have applied for asylum or refugee status and who der control at the internal borders in the event that have not yet received a decision or people who are a serious threat to public policy or internal security registered as asylum seekers. has been established” (2016, para. 1). As a result of The GDP and unemployment percentages vari- the migrant crisis, Denmark temporarily reintroduced ables are meant to measure any significance regard- border controls in the context of the events “requiring ing the strengths and weaknesses of a country’s econ- immediate action”, while Belgium, Austria, France, omy and its influence on anti-immigration policies. Germany, Norway, and Sweden have imposed con- Due to numerous scholarship identifying politicians’ trols in the context of “foreseeable events” (“Current- economic policies as a main force in the progression ly Temporarily” section, para. 4). or degradation of their political party, I find it is nec- As the data is revealed, it should be duly noted essary to include GDP and unemployment in the log- that according to the UNHCR, the terms refugee and it analysis. Residents’ instinctual and collective fear asylum seeker are often confused. The 1951 Refugee has been contingent upon decreases in job availabil- Convention defines a refugee as someone who “ow- ity and adjustments in their country’s economy and, ing to a well-founded fear of being persecuted for thereby, underscores political parties’ transition to reasons of race, religion, nationality, membership of anti-immigration initiatives. a particular social group or political opinion, is out- 108 MELISSA PETERSEN side the country of his nationality, and is unable to, political action in human rights and cultural accep- or owing to such fear, is unwilling to avail himself tance. of the protection of that country” (UNHCR, p.14) In many cases, an asylum seeker is someone who says Category Zero he or she is a refugee, but whose claim has not yet been definitively evaluated. National asylum systems Category zero represents Heads of State who are meant to decide which asylum seekers qualify advised an anti-immigration stance in the creation of for international protection (“Asylum Seekers”, n.d., strict migrant policies for the purpose of dismissing para. 2). After a properly administrated procedure, refugees from their borders. State leaders violating those who are judged not to be refugees, nor to be basic human rights according to Refugee Internation- in need of any other form of protection, can be sent al, the EU, UNHCR, and the general mission and held back to their home country. As such, the efficiency beliefs of the UN are also designated category zero. of the asylum system is critical. With a swift and fair asylum system, “people who know they are not refu- Category One gees have little incentive to make a claim in the first place, thereby benefitting the home country and the Category one represents leaders who welcome refugees for whom the system is intended” (“Asylum refugees but only through a system of equitable bur- Seekers”, n.d., para. 3). During a mass movement of den-sharing. These individuals are not particularly refugees, the capacity to conduct individual asylum clear or forthright in their beliefs on migration, yet interviews for everyone who has crossed the border they demand that before agreeing to shelter and care will never exist, nor is it even necessary due to the for the hundreds of thousands of refugees traveling circumstances forcing them to flee. Such groups are to their borders, there must be a reliable resolution “often declared ‘prima facie’ refugees” (“Asylum amongst European countries that the influx of - mi Seekers”, n.d., para. 4). grants will be shared equally. Some political leaders Throughout my readings and data searches it suggest a quota system, such as Foreign Minister Pe- was apparent that the current registration processes ter Szijjarto of Hungary, in order to uphold a sturdy are incapable of accurately calculating and determin- and fair means of regulation. However, in Hungary’s ing not only who is an asylum seeker or refugee but particular situation, a new kind of burden-sharing a migrant worker or even terrorist. Much of the con- plan was devised by Szijjarto. In hopes of relieving fusion is due to the fact that national asylum systems Europe of the insurmountable progression of mi- will simply depend on word of mouth and not prop- grants, Budapest aims to implement a quota on “ma- erly share documented information across European jor players” around the world to bear some of the countries. With the EU unable to reach a consensus burden facing Hungary and all of Europe (O’Grady, on a successful standard formulation of best methods 2015). Additionally, the European Commission’s in refugee registration, the tallying of refugees will plans for “permanent and binding” quotas as urged by continue to pose a problem for the EU and its Mem- Berlin and Brussels. The proposal applies to the EU’s ber States, the Schengen Area and its Member States, passport-free Schengen zone and the EU asylum pol- and the electability of party leaders who oppose an- icy, which allows countries like the United Kingdom ti-immigration agendas. to opt out “saying it will not take part in any pro- Lastly, I categorized the political stance of each posed European refugee-sharing scheme” (as cited in Schengen zone country’s Head of State. The political Traynor, 2015, para. 4). The Commission’s plan has stance represents a Head’s of State voiced opinion triggered resistance by 15 of the 28 EU countries (as and political actions in migrant affairs. Although a cited in Traynor, 2015, para. 3). Prime Minister or Chancellor does not have the direct vote of the people, he or she is a representative of the Category Two State’s majority party which usually gains its seats by a direct public vote. By examining the beginning Category two includes Heads of State who wel- of the Schengen Area enactments in 1995 till 2014, I come refugees with open arms. These leaders are determined each Head’s of State stance on migration open to the integration of foreigners and have taken using the categories zero, one and two. These levels upon themselves the responsibility to provide quality of measurement account for governments preventing aid for refugees. Category two Heads of State include refugee admissions and disregard the involvement leaders like Finnish Prime Minister Juha Sipila of- of State action in foreigner’s societal assimilation to fering his private home in Northern Finland (Uras, governments that fully welcome migrants and foster 2015) and ex-Prime Minister Antonio Guterres of EUROPE’S MIGRANT AFFAIRS AND RISE OF RADICAL PARTY LEADERS 109

Portugal elected to High Commissioner for Refugees by the UN General Assembly from 2005 to 2015. Table 1. Logit between While awaiting further instruction from the EU and anti-immigration stance (0) and UN, these State leaders enforce protection policies on the refugees’ behalf in order to preserve human rights burden-sharing stance (1) and cultural harmony within society. Results Refugee Population .000

I determined the political stances through the use .000 of international and national news articles, reports GDP .000 made by think tanks and distinguished news media, speeches given at UN, EU and state-wide confer- .000 ences, campaign websites, and academic books and journals. The task at hand was to identify the differ- Unemployment Rate -.104* entiating opinions of the political leaders without be- .039 ing blinded by the false interpretations of the media and misleading dialogue. For instance, what the Head Year -.057* of State may say to their political party advisors and .029 supporting constituents might contradict a conversation taking place among members of the UN. Ulti- EU Membership 4.297* mately, it was up to me to decide if level zero, one or 1.039 two was the best fit for the political leader currently under investigation. In addition, it should be kept in Constant 110.574* mind that the data does not showcase the political 57.149 gains of extremist parties. Although, in most cases, extremist party members have been unable to gain enough political stamina to achieve Head of State, * Indicates significance value under .05. they have been elected to multiple seats in a country’s parliamentary division and city government. If extremists are not earning seats, they are surely influ- ment rate, year and EU membership, and not signifi- encing the political agendas of current and potential cant for refugee population and GDP. Heads of State. The economic concerns surrounding unemploy- To assess the effects of GDP, unemployment, ment rates could have intimidated voters into switch- refugee population, years, and EU membership on a ing the political party in power. If individuals are Head of State’s political stance concerning migration losing jobs in a decreasingly dependable job market affairs, I find it appropriate to use the binary logis- the blame, in many cases, is set on the current Head tic regression. This political stance variable does not of State. In order to readjust the job market, voters consist of a large range of categories. Consequently, attempt to change the party leader and sometimes suc- the following results will take into account only two ceed which can explain the stated significance for the of the three categories of political stances in order to year. Certainly, the political stances on migration cor- perform a binary logistic regression resulting in three relate with the political stances on economic policies different logits. A logit works well in this- method affecting unemployment rates and EU membership. ology as the dependent variable encompasses only The EU expects authorities of each member country two categories at a time. Moreover, the methodolo- to correctly implement EU legislation into national gy features the beta coefficient (top), standard error law, and the international community and European (bottom), and identifies the significance (*) of each countries look to the EU as it is a symbol of security independent variable as it compares to the categories and fiscal worth. When Member States remain com- of political stance. pliant to the establishments and regulations of the EU, Table 1 illustrates the effect refugee population, then the EU’s topical resolutions on migration and GDP, unemployment rate, year, and EU membership economic policy will signal to voters that there is a has on political stance categories anti-immigration sense of stability amongst each Member State. On the stance (0) and burden-sharing stance (1). The logit other hand, Europe’s disjointed and arbitrary handling between zero and one is significant for unemploy- of the migrant crisis and the growing debate on EU 110 MELISSA PETERSEN referendums symbolizes EU’s instability. Therefore, HCR’s Emergency Preparedness and Response” the EU’s contested stability in economic and migra- (2000) reports that the Kosovar refugee crisis came tion laws influencing voters and their leader’s politi- to a point of near-disaster in which the refugees were cal stance is a cause for significance. trapped at the Blace crossing point on the border be- The beta coefficient explains that as the unem- tween Kosovo and FYR Macedonia. FYR Macedonia ployment rate and year increase, the political stance was refusing to admit massive refugee flow unless it moves from burden-sharing stance (1) to anti-immi- had reasonable assurance of the aid in other States. gration stance (0). This indicates that as the unem- As a result, a ‘burden-sharing program’ based on the ployment rate goes up, and as time moves on, the UNHCR’s “underlying premise that protection is a political party in power is stricter in its policies and common responsibility of states” (Main Conclusions less inclusive of foreigners moving into their coun- section, para. 3) went into action. “Governments try. For instance, over the course of the 20th century, rather than [the] UNHCR took the initiative in these Denmark of nearly six million became home to refu- [burden-sharing] programs, particularly the United gees and immigrants from the Soviet bloc, Balkans, States of America [another non-EU member]” (Main and Middle East. As discussed by Edward Delman Conclusions section, para. 3). The logit, along with of The Atlantic, “today, immigrants and their descen- this example, illustrates that EU membership is un- dants account for ten per cent of [Denmark’s] total necessary to combat an anti-immigration stance. population” (2016, para. 2). Also, having been an advocate for refugees and asylum-seekers, Denmark was one of the first countries to become a party to Table 2. Logit between a the 1951 UN Refugee Convention, and fully funds the humanitarian group Danish Refugee Council. burden-sharing stance (1) and Even so, within 2015, 21,000 people sought asylum welcomes refugees stance (2) in Denmark causing the welfare state to respond with a series of dramatic steps aiming to dissuade migrants from entering (Delman, 2016, para. 3). At the beginning of 2016, the Danish parliament passed a Refugee Population .000 bill empowering authorities to seize assets exceed- .000 ing $1,450 from asylum seekers in order to help pay for the migrants’ subsistence in the country (Delman, GDP .000 2016, para. 1). Over time, voters are more trusting of political leaders who believe in this manner and who .000 are also efficient in boosting job security. Unemployment Rate .061 As countries become EU members, the political stance moves from anti-immigration stance (0) to .041 burden-sharing stance (1). This demonstrates that the Year -.020 shift moves toward a political party that is somewhat inclusive in scope yet will agree only to terms that in- .026 clude a burden-sharing strategy. While in pursuance of a quota system based on the concept of equitable EU Membership -3.257* burden-sharing, the countries of the Schengen zone 1.025 depend on EU laws and regulations to reach a consensus on overcoming the effects of migrant crises Constant 43.427 and assembling stability. However instances exist in 52.185 which a non-EU member country successfully solves a crisis without the use of EU laws and regulations. * Indicates significance value under .05. Consider the Former Yugoslav Republic of Macedo- nia (FYR Macedonia). The FYR Macedonia was not a candidate for Table 2 represents the effect refugee population, accession to the EU during the Kosovar refugee cri- GDP, unemployment rate, year, and EU membership sis and has still not yet entered into accession nego- has on political stance categories burden-sharing tiations. The refugees of Kosovo generally received stance (1) and welcomes refugee stance (2). The logit adequate assistance. The UNHCR’s “The Kosovo between one and two is significant for only EU mem- Refugee Crisis: An Independent Evaluation of UN- bership. EUROPE’S MIGRANT AFFAIRS AND RISE OF RADICAL PARTY LEADERS 111

It is important to define a separation between ing stance (1). Therefore, EU member countries are burden-sharing stance and welcomes refugees stance. more willing to agree upon a burden-sharing stance. In all phases of European refugee policy to date, the EU member countries depend on fellow members to question of sharing the burdens of refugee protection share a similar burden in sheltering and assimilating has played an important role. The Dublin Regulation refugees into European society rather than expanding of 1990 was a turning-point in the development of a open-door policies. European asylum policy. The Regulation established a hierarchy of criteria for identifying the Member State responsible for the examination of an asylum Table 3. Logit between a claim in Europe. The hierarchical criteria were based on family links followed by responsibilities assigned burden-sharing stance (1) and on the basis of the State through which the asylum welcomes refugees stance (2) seeker first entered (European Council on Refugee and Exiles, para. 1). In the Amsterdam Treaty of 1997, “the Member States agreed to jointly address important aspects of asylum and immigration poli- Refugee Population .000 cies, and draft uniform norms and procedures within .000 five years” (Angenendt, Engler, & Schneider, 2013, p. 1). At its meeting in “Tampere in 1999, the Europe- GDP .000 an Council formally approved the establishment of a .000 shared European asylum system” (Angenendt, et al., 2013, p. 1). The following two examples will further Unemployment Rate -.027 explain my reasoning in designating two seemingly similar categories into one logit. .024 As the Syrian, Afghan and Iraqi migrant crises Year -.047* became more troubling, various party leaders agreed to allow refugees into their borders. However, pres- .020 sure from the EU, UN and neighboring countries may EU Membership .828* have been the true force pushing political leaders to be more willing to allow refugees to enter their coun- .259 try’s borders. If it was up to Prime Minister Joseph Muscat of Malta, he would not have allowed as many Constant 93.144* refugees into his borders; yet, with the promising 39.794 declarations of the EU to disperse asylum seekers to other nations and to alleviate financial and hous- * Indicates significance value under .05. ing burdens from Malta, Prime Minister Muscat was more willing to allow those seeking asylum to enter. Secondly, the Slovenia Press Agency explains that Table 3 illustrates the two most distinct catego- Interior Minister Vesna Györkös Žnidar set out his ries of political stance. The effect refugee population, case against binding quotas on EU Member States to GDP, unemployment rate, year and EU membership accept refugees in the bloc via the Mediterranean (as has on political stance categories anti-immigration cited in “Slovenia Opposed”, 2015). Slovenia has al- stance (0) and welcomes refugees stance (2) are dis- lied with a group of ten Central and Eastern Europe- played in Table 3. The logit between zero and two is an countries calling for voluntary quotas, while Ger- significant for GDP, year and EU membership, and many and France lead a group of countries favoring not significant for refugee population and unemploy- binding quotas. A formula that considers the size of ment rate. urban centers, existing capabilities for handling refu- Considering that Table 3 demonstrates the most gees, historical migration flows, and financial avail- drastic logit of the three, the significance of each vari- ability is necessary to properly apply burden-sharing able is the best indicator in resolving my thesis ques- measures – whether through voluntary or binding tion. The refugee population in this logit reached the quotas – to all member countries. closest to a significance value under .05 unlike the pre- Based on the negative beta-coefficient, as EU vious logits. As such, this logit does show that when membership is fulfilled, the political stance moves there is an increase in refugees entering a country, from welcomes refugees stance (2) to burden-shar- there is a developing comparison between a Head’s of 112 MELISSA PETERSEN

State political stance and their country’s refugee pop- influx, residents are also willing to approve the gov- ulation. In October 2015, the far-right Freedom party ernments intake of refugees. of Vienna, Austria achieved a record result in a city From an economic standpoint, it was peculiar to election after concentrating its campaign on Europe’s see significance for GDP yet no significance for un- refugee crisis. Tens of thousands of refugees had employment. Due to the many residential complaints passed through Vienna throughout the progression regarding the inability to acquire jobs and with the of the campaign. Their sudden arrival prompted an abrupt inclusion of refugees who are assumed to di- outpour of sympathy and fears of rising immigration minish job security, one would think unemployment dismembering the national security of Austria. Reu- would have carried significance. The Hungarian gov- ters reports, “The election had increasingly become ernment has taken a strong stance on the migrant a personal contest between the mayor of 20 years, numbers entering its borders by means of excluding Michael Häupl, and the head of the Freedom party, migrants and taking on an anti-immigration approach. Heinz-Christian Strache, who has repeatedly called The Hungarian Free Press explains Prime Minister for Austria to build a border fence to keep migrants Fidesz Viktor Orbán’s government continued to print out” (“Refugee crisis fuels”, para. 2). Furthermore, in 333 billboard-size posters reading: “If you come to February 2014, the Dutch lower house of parliament Hungary, you can’t take away the jobs of Hungari- approved a controversial bill from the center-right ans,” after activists of the Y-GEN wing of the Együtt government to expel 26,000 asylum seekers. Accord- opposition party were arrested for defacing the gov- ing to BBC News, “the plans would force the failed ernment’s xenophobic billboards (Adam, 2015, para. applicants, many of whom have lived in the Nether- 2). In addition, the Stratfor Global Intelligence’s lands for years, to leave [within] a three-year period” “Sweden’s Electoral Season Reveals Growing Con- (2004, para. 1). The political gains in Austria and the cern with Immigration” (2014) report recognizes the Netherlands are two examples of the rise in radical effects growing migration and faltering economies views dominating authorities of the State. Such ex- have on major political elections. amples on the expansion of migration movements Stratfor’s (2014) research initiates a discussion and boost in radical support prove that the logit and on Sweden’s newest issue during the 2014 electoral its comparison to refugee population will lead to a debates: growing immigration and its financial and value closer to significance. cultural impact. Despite Sweden’s sturdy economic On the other hand, Prime Ministers of the Social performance kept by Prime Minister Fredrik Rein- Democratic party in Lithuania have made it a point feldt of the liberal conservative Moderate Party, the to aid migrants even in increasingly delicate times of country began to move onto issues related to the vio- massive migration and threats of illegal immigrants. lent riots shaking Stockholm’s immigrant-heavy sub- In September 2015, the Seimas of the Republic of urbs, revealing Sweden’s struggle to integrate immi- Lithuania held a debate “On the Approach of the State grants into mainstream society. Stratfor (2014) states of Lithuania to the Refugee Crisis” which included that although “Swedes still largely support the idea the attendance of Social Democrat Prime Minister of living in a country that is open to asylum seek- Algirdas Butkevičius and Minister of Foreign Affairs ers, they are [equally] worried about the economic Linas Antanas Linkevičius. Foreign Minister Linkev- and cultural impact of increased immigration” (para. ičius “pointed out 95 percent of Syrian refugees are to 8). This is one of the factors driving the significant be regarded, under the terms of the Geneva Conven- support for the anti-immigration Sweden Democrats tion, as refugees in need of protection”, and countries (SD). Garnering 5.7 percent of the Swedish Parlia- like Italy, Greece and Hungary, that have set up the ment votes in 2010 followed by polling at around initial registration points, should put great focus on ten percent in 2014 illustrates the SD’s new electoral migration management centers (“Seimas discussed”, weight. Prime Minister Reinfeldt said that he would 2015, para. 2). In response to a recent study show- continue to exclude the SD in deals on issues such ing that 51 percent of residents of Lithuania would as asylum and immigration, yet he seeks cooperation agree that Lithuania should take in refugees and 23 from them on other policy issues (Stratfor, 2014). Re- percent would oppose such a decision, Prime Minster infeldt’s acknowledgement of the SD is yet another Butkevičius addresses a strategic plan to bring coop- milestone in the party’s rapid growth. eration amongst government agencies and working The relationship between the discriminate po- groups to draft a description of procedures that will litical stances and EU membership is significant. serve as a basis for the thorough screening of refu- The recent migration crisis has supplied addition- gees as the number of admissions increase (“Seimas al reasoning for referendums on whether to remain discussed”, 2015). Accordingly, during a migration in the EU or not. Canadian economist, Governor of EUROPE’S MIGRANT AFFAIRS AND RISE OF RADICAL PARTY LEADERS 113 the Bank of England, and Chairman of the G20’s Fi- same time the amount of refugees increase from year nancial Stability Board Mark Carney makes the case to year. that EU membership delivers economic benefits be- When countries assume membership to the EU, cause it makes the economy “open” (Kirkup, 2015). the political stance moves from zero to two. One In Carney’s view, economic benefits rest in part on of the fundamental criteria towards becoming an EU immigrants: “It’s vital that we remain in the EU EU Member State is possessing “stable institutions in order to go on enjoying the benefits of hundreds guaranteeing democracy, the rule of law, human of thousands of foreigners coming to live and work rights and respect for and protection of minorities” here” (Kirkup, 2015, para. 11). Therefore, in accor- (Membership criteria section, para. 2). By assuming dance to Carney, migration has a positive impact responsibilities of membership, the EU members of for EU members and in assuring economic benefits. the Schengen Area have demonstrated welcoming Whether opponents like it or not, Carney appeals to characteristics concerning their borders, thus the beta the admission of migrants. correlation moves away from an anti-immigration As time passes and data is made available from stance (0) to a welcome refugees stance (2). 2015 and 2016, the year and political stance compar- Throughout my research, I found barriers that ison might reach a significance value below .05. The may have caused some discrepancies in my analysis. role a year plays into a political party’s agenda on To represent the political stance, I collected the spe- migration policy holds importance as time fluctuates cific stances of each Head of State for each country with various political, social and economic issues of of the Schengen Area. This led me to understand the concern. For instance, the manner in which German changes in the public’s thinking based on the gov- Chancellor Angela Merkel handles the progression of ernment’s majority party at the time, however, the the migrant crisis, among other issues, will determine data misses the rise in voter turnout for radical and whether she will be victorious in her fourth consec- extremist groups that failed to achieve Head of State. utive German general election in 2017 – that is if In addition, the data is missing new extremist par- she does not resign beforehand. Reuters (2016) finds ties that had not been created until recently due to during 2015, Merkel was plummeting in approval the migrant crisis. For instance, Finland’s Soldiers of ratings, yet starting in February 2016, Merkel and the Odin, a new far-right citizens group, has multi- her conservative bloc rose in voter support while the plied in members as the country has become gripped anti-immigrant far-right Alternative für Deutschland with “fear and paranoia” after multiple sex assaults (AfD) party fell (“For the first”, 2016). Such situa- allegedly committed by asylum seekers on December tions in which a Head of State is winning and losing 31, 2015 (Faiola, 2016). Furthermore, the data col- support from 2015 to 2016 as a result of the current lected ends in 2014 and the additional numbers are migrant crisis cannot be fully diagnosed in the logit, not to be released until mid-2016 and mid-2017 for because data from 2015 and 2016 are not yet avail- the years 2015 and 2016, respectively. This dilem- able. ma prevented me from analyzing changes in political The GDP’s beta coefficient has a weak effect. agendas closer to the recent crisis. A large amount Despite GDP being significant, a value of .000 is of research was put into understanding the true, dis- not strong enough to evaluate its impact on political tinct beliefs of political leaders. What is said during stance. This proves that the theorists and research- a United Nations conference may be different than ers, who believe that the GDP is the deciding factor what is said during a national conference. Therefore, in convincing voters to elect a radical party as the what I came across during my research may have State’s majority, are misguided. Although I am un- slight deficiencies in accuracy. I exercised judgment able to prove that the refugee population has a signif- in determining if a particular leader was categorized icant influence on the State leaders’ political stances, as zero, one or two. To conclude, the data does not the logit does show that the push toward radicalism is tell us who voted for the leaders or who the Heads not entirely due to GDP. of State represent: youth, adults, retirees, minorities, The beta coefficient for the year reveals that as and/or social activists. Additionally, each country has time goes on, the political stance moves from wel- its own voting dates. The voting dates may or may comes refugees stance (2) to anti-immigration stance not coincide with migrant crises. Thus, the timing (0). Respectively, as the years progress the refugee could play a major role in the electability of political populations tend to increase. As a result, the evolv- parties. ing years emphasize the evolution of voters becoming more susceptible to radical parties, while at the 114 MELISSA PETERSEN

involvement to curb the flow of refugees into Europe Conclusion thereby reducing the impact radical parties have on domestic policies. Even with these developments, the Throughout my research, I found weaknesses in direction in which European leaders and international previous academia findings on the rise of Europe’s players are moving is uncertain. Whether or not the radical parties. The current and past refugee crises proposed resolutions and operations are effective, the have changed the minds of politicians and voters current migrant crisis, like all others, has left lifelong which academia tends to exclude. The urgency of wounds on asylum seekers and refugees, undermined vulnerable migrants streaming in at alarming volume Europe’s ability to collectively resolve cultural and from countries engulfed in war, civil unrest and dis- economic stigmas, and weakened the relationships criminatory practices places a strain on a host coun- between international entities such as the UN, EU try’s willingness and ability to aid refugees in need of and Schengen Area. welfare and safety. Migration policies have hardened An anti-immigration approach in a political in response to the more than 1.8 million refugees en- party’s agenda is enough to integrate extremist and tering Europe’s borders. Media coverage on the abus- nationalistic policies into society. State leaders have es committed by and toward refugees has increased. even sought radical politicians to aid in the creation Foreign cultures and religions have suddenly become of strong immigration policies and regulation. Over- a larger influence in European society as a result. all, as discussions of anti-immigration policies grad- Muslim refugees have obtained a reputation for ji- ually imbed into party agendas, Europe has seen less hadist actions and religious delusion. These charac- resistance from the usually moderate and humanistic terizing incidents, stemming from the migrant crisis, political parties. A case in point of this political phe- are substantially influential in a voter’s decision to nomena is the French Socialists’ indecisive methods choose politicians with radical political agendas over in dealing with the effects of immigration, such as more lenient party agendas on the matters of migra- unemployment or inadequate welfare state benefits. tion and refugee assistance. Marcus (1995) finds that the French Socialists’ strat- The future of the Schengen Area has been report- egy failed as it “quickly became clear that the real edly hanging in the balance as EU leaders are on the motor behind policy in this area [of immigration] verge of agreeing to a suspension as increasingly tox- was not so much the objective problems posed by ic relations between countries reach alarming dimen- immigration, but the public perception of these prob- sions. According to the European Commission, the lems” (as cited in Williams, 2006, 104). The National reintroduction of internal border controls within the Front had created an irrational fear that could not be Schengen Area will reduce EU economic output over diluted through moderate and rational policy action. a ten-year period between €500 billion and €1.4 tril- According to Michelle Hale Williams in “The Im- lion. In addition, the direct costs for border controls pact of Radical Right-Wing Parties in West Europe- will cost between €5 billion and €18 billion annually. an Democracies” the Socialist party’s tendency was As of early March, the European Commission inaction or to stand behind broad inclusive notions hosted a summit addressing the intension to confront of French citizenship which does not always bode migration pressures and save the established Schen- well with voters who believed the National Front gen Agreement. The Commission proposed the res- configured a better answer to the problems of immi- toration of a fully functional Schengen system that gration. Minkenberg (1998) argued that the pressure would lift all internal border controls by the end of to respond to the radical right prompted Socialist 2016. It also announced a pledge of €55 million to Prime Minister Lionel Jospin to actively contain the address the immediate needs of Syrian school-chil- National Front by responding with “actions such as dren in Turkey for access to formal education, and increased border patrols and also stopping foreigners €40 million in humanitarian aid through the World at the border and detaining them when they carried Food Program and Turkish Red Crescent (“Refugee invalid documentation for entry in 1997” (as cited in crisis”, 2016). The summit concluded with varying Williams, 2006, p. 104). solutions, yet the EU’s relocation idea of a “one in, Europe’s radical and nationalist parties have one out” migrant deal, strongly asserted by Chan- not accumulated enough strength to form a govern- cellor Merkel, is proceeding in an insensitive and ment of their own. Nevertheless, they maneuvered possibly illegal course of action according to UN their motives in way that has impacted the political officials (Rankin, 2016, para. 3). Aiming to instill agendas of moderate parties. In order to further their self-serving policies while balancing working rela- political evolution, radical parties must gain access tions with Turkey, the EU garners increased Turkish to ruling alliances. Even if the majority of European EUROPE’S MIGRANT AFFAIRS AND RISE OF RADICAL PARTY LEADERS 115 countries are far from reaching a point of complete ing, and not only in countries that have been hit hard- radicalism, the expansion of parties such as Swe- est by weakening GDP and unemployment rates, but den’s Social Democrats, Germany’s Alternative für by countries that have experienced the acceleration of Deutschland, Norway’s Progress party and France’s migration movement firsthand. National Front confirms that radical parties are grow-

References Executive Committee of the High Commissioner’s Programme. (2000, February 9). The Koso- Abuzayd, K., Sullivan, D. J., Akram, S. M., & Roy, vo Refugee Crisis: An Independent Evaluation S. (2015). The Syrian Humanitarian Crisis: What of UNHCR’s Emergency Preparedness and Is to Be Done? Middle East Policy, 22(2), 1-29. Response. Retrieved from http://www.unhcr. doi:10.1111/mepo.12125 org/3ae68d19c.html Adam, C. (2015, June 07). Activists arrested--Or- European Neighbourhood Policy and Enlargement bán’s police guard racist billboards using Negotiations. (2015, October 12). Retrieved surveillance. Retrieved from http://hungari- from http://ec.europa.eu/enlargement/policy/ anfreepress.com/2015/06/07/activists-arrest- conditions-membership/index_en.htm ed-orbans-police-guard-racist-billboards-us- Faiola, A. (2016, January 31). Fear and paranoia ing-surveillance/ lead Finns to form vigilante groups that ‘protect Adams, J., & Somer-Topcu, Z. (2009). Policy Ad- women’ from asylum seekers. Retrieved from justment by Parties in Response to Rival Parties’ https://www.washingtonpost.com/world/europe/ Policy Shifts: Spatial Theory and the Dynamics fear-and-paranoia-lead-finns-to-form-vigilante- of Party Competition in Twenty-Five Post-War groups-that-protect-women-from-asylum-seek- Democracies. British Journal of Political Science ers/2016/01/23/c16f8646-b943-11e5-85cd-5ad- Brit. J. Polit. Sci., 39(04), 825-846. doi:10.1017/ 59bc19432_story.html s0007123409000635 Frej, W. (2015, September 9). Here Are The Euro- Angenendt, S., Engler, M., & Schneider, J. (2013). pean Countries That Want To Refuse Refugees. European Refugee Policy. Pathways to Fairer Retrieved from http://www.huffingtonpost.com/ Burden-Sharing, 1-7. Retrieved from https:// entry/europe-refugees-not-welcome_us_55ef- www.swp-berlin.org/fileadmin/contents/prod- 3dabe4b093be51bc8824 ucts/comments/2013C36_adt_engler_schneider. GDP at market prices (constant 2005 US$). (2016). pdf Retrieved January 15, 2016, from http://data. Art, D. (2011). Inside the Radical Right: The De- worldbank.org/indicator/NY.GDP.MKTP. velopment of Anti-Immigrant Parties in West- KD ern Europe. New York: Cambridge University German volunteers launch ‘Airbnb for refu- Press. gees’ (2015, September 9). Retrieved from Asylum-Seekers. (n.d.). Retrieved from http://www. http://www.aljazeera.com/news/2015/09/ unhcr.org/pages/49c3646c137.html german-volunteers-launch-airbnb-refu- Bach, R. L. (1986). Immigration: Issues of Eth- gees-150909134156346.html nicity, Class, and Public Policy in the United Goldberg, E. (2015, September 10). Face- States. Transnational Migration and the Emer- book, Google Maps Are Saving Refu- gence of New Minorities, 485(1), 139-152. gees And Migrants From Traffickers. Re- doi:10.1177/0002716286485001012 trieved from http://www.huffingtonpost.com/ Data Team. (2015, January 7). Islam in Europe. The entry/facebook-google-maps-refugees-mi- Economist Newspaper. grants_55f1aca8e4b03784e2783ea4?cps=gravi- Delman, E. (2016, January 27). How Not to Wel- ty_2659_2227949700545108185 come Refugees. Retrieved from http://www.the- Haavisto, I., & Kovács, G. (2014). Perspectives on atlantic.com/international/archive/2016/01/den- Sustainability in Humanitarian Supply Chains. mark-refugees-immigration-law/431520/ Disaster Prevention and Management: An Inter- Dutch MPs approve asylum exodus. (2004, February national Journal Disaster Prev and Management, 17). Retrieved from http://news.bbc.co.uk/2/hi/ 23(5), 610-631. doi:10.1108/dpm-10-2013- europe/3494627.stm 0192 116 MELISSA PETERSEN

Huntington, S. P. (1996). The clash of civilizations Rankin, J. (2016). Turkey and EU agree outline of and the remaking of world order (1st ed.). New ‘one in one out’ deal over Syria refugee crisis. York: Simon & Schuster. Retrieved from http://www.theguardian.com/ Kirkup, J. (2015, October 22). Making the case for world/2016/mar/08/european-leaders-agree-out- EU membership means explaining the benefits lines-of-refugee-deal-with-turkey of immigration. Retrieved from http://www. Refugee crisis: Back to Schengen. (2016, March 4). telegraph.co.uk/news/newstopics/eureferen- Retrieved March 4, 2016, from http://ec.europa. dum/11947330/Making-the-case-for-EU-mem- eu/news/2016/03/20160304_en.htm bership-means-explaining-the-benefits-of-immi- Refugee crisis fuels record result for Austrian far- gration.html right in Vienna elections. (2015, October 11). Koopmans, R., Michalowski, I., & Waibel, S. (2012). Retrieved from http://www.theguardian.com/ Citizenship Rights for Immigrants: National world/2015/oct/11/social-democrats-win-vien- Political Processes and Cross-National Conver- na-election-despite-freedom-party-gains gence in Western Europe, 1980–2008. American Refugee population by country or territory of asylum. Journal of Sociology, 117(4), 1202-1245. (2016). Retrieved January 11, 2016, from http:// Malloch-Brown, L., & Barder, O. (2015). Old-World data.worldbank.org/indicator/SM.POP.REFG/ Humanitarianism Faces New- World Challeng- countries?page=5 es. Center for Global Development. Rubinstein, W. D. (1997). The Myth of Rescue: Why McCorkindale, T., DiStaso, M. W., & Sisco, H. F. the Democracies could not have Saved more (2013). How Millennials Are Engaging and Jews from the Nazis (pp. 48-55). London: Rout- Building Relationships with Organizations on ledge. Facebook. The Journal of Social Media in So- Rudaitis, R. (2015, October 22). Seimas Discussed ciety, 2(1). Lithuania’s Approach to the Refugee Crisis. Nielsen, J. S. (2015). Islam and Public Controversy Retrieved from http://www3.lrs.lt/pls/inter/w5_ in Europe Edited by Nilüfer Göle. Journal of Is- show?p_r=4028&p_d=161280&p_k=2 lamic Studies, 26(3), 374-377. doi:10.1093/jis/ Rydgren, J., & Ruth, P. (2011). Voting for the Radical etv045 Right in Swedish Municipalities: Social Mar- Nossiter, A. (2015, November 17). Marine Le ginality and Ethnic Competition? Scandinavian Pen’s Anti-Islam Message Gains Influence in Political Studies, 34(3), 202-225. doi:10.1111/ France. Retrieved from http://www.nytimes. j.1467-9477.2011.00269.x com/2015/11/18/world/europe/marine-le-pens- Slovenian Press Agency. (2015, June 16). Slove- anti-islam-message-gains-influence-in-france. nia Opposed to Binding Refugee Quotas in html?_r=0 EU. Retrieved from http://www.sloveniatimes. O’Grady, S. (2015, September 29). Hungary to U.N.: com/slovenia-opposed-to-binding-refugee-quo- Let’s Implement a Worldwide Quota System tas-in-eu for Refugees. Retrieved from http://foreignpol- Safran, W. (1986). Islamization in Western Europe: icy.com/2015/09/29/hungary-to-u-n-lets-im- Political Consequences and Historical Paral- plement-a-worldwide-quota-system-for-refu- lels. The Annals of the American Academy of gees/ Political and Social Science, 485(1), 98-112. Polychroniou, C. (2009). The European Union’s doi:10.1177/0002716286485001009 Sham Democracy. Economic and Politi- Savage, T. M. (2004). Europe and Islam: Cres- cal Weekly, 44(28), 28-29. Retrieved March cent Waxing, Cultures Clashing. The 07, 2016, from http://www.jstor.org/sta- Washington Quarterly, 27(3), 25-50. ble/10.2307/40279256?ref=search-gateway:e- doi:10.1162/016366004323090241 baa8b55107c7f0398a21ad02126bc16 The Schengen Area. (2008). European Commission. Reuters. (2016, February 26). For the first time in doi:10.2758/45874 months, voter support rises for Angela Merkel The Schengen area. (2010). Luxembourg: European and her party. Retrieved from http://www. Commission. businessinsider.com/r-support-for-merkels- conservatives-edges-up-in-benchmark-survey-2016-2 EUROPE’S MIGRANT AFFAIRS AND RISE OF RADICAL PARTY LEADERS 117

Semyonov, M., Raijman, R., & Gorodzeisky, A. Unemployment, total (% of total labor force). (2016). (2007). Reply to Wilkes, Guppy, and Farris: Retrieved January 15, 2016, from http://data. On the Relations between Right-Wing Par- worldbank.org/indicator/SL.UEM.TOTL. ties and Anti-Foreigner Sentiment. Amer- ZS ican Sociological Review, 72(5), 841-849. United Nations. (2014, March 21). UNHCR Report Retrieved from http://www.jstor.org/sta- Shows Leap in Asylum Applications for Indus- ble/10.2307/25472495?ref=search-gateway:5d- trialized Countries. Retrieved from http://www. 27083fb64b05a86ca10a4d849bb6cc unhcr.org/532afe986.html Simpson, P. A., & Druxes, H. (2015). Digital Media United Nations. (n.d.). The Editor’s Desk: 1999 - and Strategies of the Far Right in Europe and the the New Millennium. Refugees Magazine. Re- United States. Lexington, London. trieved December 1, 1999. Stafford, J. (2013). Protecting Human Rights Ac- UN agency warns European leaders of ‘last opportu- tivists and NGOs: What More Can Be Done? nity’ for response to refugee crisis. (2015, Sep- Washington Report on Middle East Affairs, tember 22). Retrieved from http://www.un.org/ 32(9), 58-59. apps/news/story.asp?NewsID=51935#.Vt2x- Stcherbatcheff, B. (2014, March 21). Switzerland’s Hs7MwUU Sudden Fear of Immigrants. Retrieved from UNHCR. (n.d.). Convention and Protocol Relating http://www.newsweek.com/switzerlands-sud- to the Status of Refugees. Retrieved from http:// den-fear-immigrants-232430 www.unhcr.org/3b66c2aa10.html Sweden’s Electoral Season Reveals Growing Con- Uras, U. (2015, September 5). Finnish PM offers his cern with Immigration. (2014). Stratfor Global Home to Asylum Seekers. Retrieved from http:// Intelligence. Retrieved from https://www.strat- www.aljazeera.com/news/2015/09/finnish-pm- for.com/analysis/swedens-electoral-season-re- offers-home-asylum-seekers-150905110149687. veals-growing-concern-immigration html Temporary Reintroduction of Border Control. (2016, Wilheim, A. (2015, November 4). Think Germans March 4). Retrieved from http://ec.europa.eu/ Love Refugees? Think Again. Retrieved from dgs/home-affairs/what-we-do/policies/bor- http://thechanger.org/community/think-ger- ders-and-visas/schengen/reintroduction-bor- mans-love-refugees-think-again der-control/index_en.htm Williams, M. H. (2006). The Impact of Radical Tharoor, I. (2015, November 17). What Americans Right-wing Parties in West European Democra- Thought of Jewish Refugees on the Eve of World cies. New York: Palgrave Macmillan. War II. Retrieved from https://www.washing- Wilsford, D. (1995). Political leaders of contempo- tonpost.com/news/worldviews/wp/2015/11/17/ rary Western Europe: A biographical dictionary. what-americans-thought-of-jewish-refugees-on- Westport, CT: Greenwood Press. the-eve-of-world-war-ii/

Syrian and Iraqi refugees arrive from Turkey to Skala Sykamias, Lesbos island, Greece. Spanish volunteers (life rescue team - with yellow-red clothes) from “Proactiva open arms,” Oct. 30, 2015. Photo used with permission from Ggia. 118 MELISSA PETERSEN

Melissa Petersen

Melissa Petersen completed her undergrad in March 2016 with a degree in political science as well as leadership experience with ASI’s Lobby Corp, the Political Science Club and awardwinning National Model United Nations team. She plans to continue her work at Los Angeles City Hall, complete her graduate degree abroad in international development or public policy and finish off her career serving the United Nations with a focus in education. Thank you Cal Poly Pomona for making my aspirations possible! Go Broncos! Women and Terrorism: Challenging Traditional Gender Roles

Natalie Reyes

California State Polytechnic University, Pomona

rom Jihad Jane to the Black Widow, wom- cioeconomic conditions as well as psychological fac- en’s involvement in terrorism is particularly tors help explain why terrorists act the way they do. Fintriguing as it’s typically viewed in defiance In the current scope of terrorism and especially after of traditional concepts of gender. Because of men’s the September, 11, 2001 terrorist attacks, “national involvement in the majority of acts of terrorism, politicians and United Nations officials were quick terrorism is associated with masculine traits such to identify poverty, global income inequality, unem- as strength, assertiveness, and dominance. Conse- ployment, and low levels of education as key causes quently, when women--whose gender is dictated by of terrorism” (Gottlieb 38). In a general sense, it’s feminine qualities such as passivity, sensitivity, and easy to point to poverty as the source of the world’s submissiveness--dedicate themselves to the same overwhelming problems, and adding the issue of ter- acts of terrorism that men do, it raises many alarming rorism to the world’s list of problems prompts world questions. Although there is a significant difference leaders to take poverty more seriously. Likewise, the in terms of masculinity and femininity, instead of an- psychological status of terrorists concerns many who alyzing female terrorists as merely female terrorists, wish to identify the origins of terrorist attacks. Al- I will attempt to analyze female terrorists as terrorists though most scholars typically don’t follow a “men- so that their agency and capacity to commit acts of tal illness model,” the psychological background and terrorism is fully recognized. Moreover, I will exam- behavior of terrorists also helps to explain their mo- ine the reasons in which women become involved, tivation to carry out attacks. Psychological damage their roles in perpetrating acts of terrorism, and the such as trauma during childhood sometimes triggers media’s coverage of women involved in terrorism in terrorists to “see the world in a grossly unrealistic order to thoroughly answer the question, “what is the light,” which ultimately pushes them to justify their significance of women’s participation in acts of ter- extreme violence (Mahan 13). These aspects lend us rorism?” in our understanding of the motivations behind ter- Without regard to gender, trying to understand rorist’s actions, but they are only small steps in re- the reasons that motivate terrorists to commit horrif- vealing the context of terrorist motivations. ic acts of violence is complex in and of itself. Many While looking at terrorist motivations irrespec- scholars who research terrorism hypothesize that so- tive of gender aids us in our understanding of terror-

119 120 NATALIE REYES ism as a whole, gender still provides a vital role in The normative social structures of her grasping the reality of terrorism. Specifically, many troubled daily reality were subverted by the feminist scholars use approaches such as the idea internet and the communitas she found in of relational autonomy to explain the motivation of extremist circles that shared her scorn for women involved in terrorism (Sjoberg 72). Other American society. In this new reality, she scholars in the field of terrorism use already existing was not only an important participant in a approaches such as the impact of traumatic events worldwide struggle encoded with profound and historical context and develop them further so transcendent status, but apparently valued that they apply to women’s involvement in terrorism romantically, which may reflect a longing (Jacques 305). for appreciation. (Halverson 143) The theory of relational autonomy critiques traditional concepts of autonomy. While autono- As LaRose engaged Islamic radicalism over the my brings up issues of self-awareness, individuali- internet, she found a new community that finally ty, and the ability to make decisions, autonomy as a welcomed her, which demonstrates that her prima- theory also aligns itself with notions of masculinity, ry motive in perpetrating a terrorist attack was more according to many feminist philosophers. Because personal than ideological. LaRose did not find -au masculinity stereotypes favor treating men as strong tonomy in her marriage or other parts of her life, but and independent and femininity stereotypes empha- she did find autonomy when she corresponded with size treating women as weak and dependent, the other marginalized individuals over the internet. Ulti- traditional view on autonomy lacks the perspective mately, LaRose’s feelings of marginalization plus her in which these stereotypes were historically used to access to an online community of radical Islamists employ oppression against women. Consequently, gave her a new sense of empowerment that was not the first question imposed on women involved in ter- previously granted to her. rorism usually wonders whether the terrorist woman or women were forced by a male authority or if they Historical Context actually had the capacity to commit and plan terrorist acts themselves: “Did she do it under influence? Other than relational autonomy, looking at the By ideology? To aid and abet?” (Huckerby). Yet, it’s historical context in connection to gender is import- actually almost impossible that anyone would ask a ant as well in trying to understand women’s moti- male terrorist whether they were forced by a woman vations to become terrorists. As previously men- to commit an act of terrorism. Thus, these questions tioned, gender stereotypes that place men as strong in connection to the theory of relational autonomy and active and women as weak and passive appear indicate the important role that power relations play in institutions throughout history, both domestically when trying to understand what motivates female ter- and internationally. Further, in the case of the Black rorists to dedicate themselves to terrorism. Widows of Russia, also known as Shahidka, women “joined the rebel group willingly in search of terror Jihad Jane groups or deepening their involvement with them in response to deeply traumatic events” (Griset 240). In the case of Colleen LaRose, also known as The Black Widows were not driven by ideology nor “Jihad Jane,” some of the theories covering the rea- alienation from society like LaRose but were driven sons in which she became an extremist through the by the fact that they had witnessed the death or tor- internet are particularly representative of the afore- ture of a family member during Russia’s harsh coun- mentioned ideas. Although LaRose certainly lived terterrorism campaign against Chechen separatists. an obscure life--since she married a 32-year-old man Russia as a state also conformed to gender stereo- when she was just 16 years old and dropped out of types as they tried to garner support from Russians high school, she committed minor crimes such as against the Black Widows “by telling Russians that writing bad checks, and she had a reputation as an Chechens sell their women into terrorism, and drug eccentric alcoholic who talked to her cats--her back- them to force them to carry out their missions,” even ground by itself does not necessitate a turn to ex- though no evidence supports their claim that wom- tremist violence. Rather, according to scholars Jeffry en were forced to commit acts of terrorism (Sjoberg Halverson and Amy Way, she found the online com- 72). Additionally, in terms of concepts of gender munity that supported Jihad terrorism to be one of the in the US, the Bush administration somewhat gave only places where she found consolation: force to these stereotypes about gender when “in the famous ‘axis of evil’ speech, one of the things that WOMEN AND TERRORISM 121 separated good and evil… was how civilized people in acts of terrorism because they want to overthrow treat women – which is not to involve them in ter- the traditional way societies mandate gender roles ror” (Sjoberg 72). While trying to gain support from completely fails to take into consideration the role of Americans to advance the war in Iraq, this comment sympathizers. from George W. Bush accepts the clash of civiliza- Along the same lines as sympathizers, “spies” tion theory, which believes that in this day and age, utilize gender stereotypes by having women partic- conflict will arise mainly due to a difference in cul- ipate as “decoys, messengers, intelligence gatherers, ture. Nevertheless, in times of conflict such as during and spies” (Griset 243). Although this role is more the Iraq and Afghanistan wars, when society at large direct than “sympathizers,” spies do not take an ac- acknowledges that women have little to no agency, tive role in the same manner that men of the group women will then seek ways so that society will rec- do when it comes to leading an attack. Spies carry ognize them. Empirically, most groups who experi- out attacks through dramatic exploitation of feminine ence oppression or poverty do not turn to terrorism. stereotypes. For instance, women will hide bombs in However, a perceived sense of oppression, whether baby carriages or even pretend to be pregnant to dis- or not that oppression actually occurs does not mat- guise explosives (Griset 243). Because of gender ste- ter, but the fact that a perception of oppression exists reotypes and the overwhelming conception that men might trigger a violent response from the oppressed. dominate the sphere of terrorism, no one suspects Thus, examining the historical context is significant women to commit terrorist acts. Accordingly, gender when determining the motivating factors of a woman stereotypes work against those who counter terrorist involved in terrorism. forces as stereotypes about femininity and masculinity actually help “spies” in their terrorist attacks. Role of Participants Additionally, Griset identifies a third category of participation among women terrorists: “warriors.” Similar to the “why?” question that scholars in Warriors, as the label suggests, play a direct role in the field of terrorism try to answer, it’s also import- executing the violence necessary to conduct a terror- ant to consider the roles of participants in terrorist ist attack. However, while “warriors” are vital in us- groups and adding the scope of gender to those issues ing weapons and incendiary devices against enemies, remains pertinent. As with many organizations who they do not lead the group as they “seldom have any ascribe to a patriarchal point of view, even if wom- say in the policies or plans they are carrying out” en wish to participate, terrorist groups themselves (Griset 243). Ultimately, warriors signify that men reinforce gender stereotypes with “men [being] the of terrorist groups are committed to widening the planners and decision makers and the women [tak- group’s appeal, but when it comes to women having ing] orders” (Griset 241). Because of the prevalence a say in their status, the leaders are reluctant. of gender stereotypes, women’s roles in terrorist In large contrast to the previous labels, Griset groups mostly keeps them on the sidelines of terrorist recognizes the “dominant forces” role, a small num- activity. Scholars Griset and Mahan of Terrorism in ber of women involved in terrorism who become Perspective provide four main labels that identify the key developers of “ideology, leadership, motivation, role of women terrorists: sympathizers, spies, war- and strategy” (Griset 243). Women rarely take on riors, and dominant forces. this position as a prominent leader, but when wom- Women who follow the “sympathizer” identity en become leaders of terrorist groups, they might indirectly support acts of terrorism. “Sympathizers” bring about even more fear than a man who leads a observe the traditional patriarchal order. When the terrorist group since “their actions are so far outside men of terrorist groups are busy planning, funding, the boundaries of traditional behavior expected from and strategizing attacks, the women help them by women” (Griset 243). Women who act as leaders of performing domestic duties such as cooking, sewing, terrorist groups, unlike sympathizers, spies, and war- and being at their disposal for sex (Griset 242). Albeit riors, confirm women’s sense of agency. Their lead- their form of participation does not serve a prominent ership also differentiates them from the other groups or superior role, sympathizers are “nevertheless cru- as women who lead terrorist groups are strongly cial to the success of terrorist attempts to disrupt the motivated by political ideology rather than personal social order” (Griset 242). Moreover, the sympathiz- experience. Moreover, the women who sustain “dom- er position challenges the myth that women partici- inant forces” in a terrorist group signify the capacity pate in acts of terrorism because they are a “product of women to direct their anger with gender inequity of women’s liberation and feminist ideas” (Griset towards militancy. Overall, the various ways women 247). Suggesting that women only want to take part engage in terrorism shows that terrorist groups must 122 NATALIE REYES consider what role, if any, women should partake in Likewise, the media utilizes women’s status as if they wish to achieve their goal. a wife, mother, or daughter to try to explain their involvement in acts of terrorism. In particular, when Media Coverage covering women terrorists, the media often empha- sizes their connection to family as a partial explora- Media coverage of women in general perpetu- tion; however, this emphasis on male family mem- ates stereotypes about gender, and the media’s atten- bers and their links to terrorist women indicate that tion towards terrorism also extends those stereotypes familial relationships, marriage especially, bear more to women involved in terrorism. As the media makes importance than other facts that could explain a wom- traditional gender roles apparent in its coverage of an terrorist’s motive. For example, the explicit nick- women, terrorists who adhere to those traditional naming of the Shahidka as Black Widows symbolizes roles go on to exploit them, i.e. “spies.” Further, in them as “vengeance-seeking widows who become a the same way media covers women in politics, me- terrorist because their husband was killed by Russian dia depicts women in terrorism with regard to their troops” (Nacos 253). Further, the media and other physical appearance, connection to family members, institutions refer to the Shahidka as Black Widows involvement due to love or romance, aggressive at- to directly compare them to the black widow spider. titude as feminists, and cluelessness (Nacos 255). Black widow spiders, known for killing their mate af- These depictions completely undermine and over- ter mating and also known for being one of the most look the reality that women in terrorism pose the dangerous spiders to humans, represent power and same threat as their male counterparts, and the media treat vengeance as a natural state of occurrence. So, evidently needs to take women’s contributions in ter- in comparison to terrorism, when the media reports rorism more seriously. on the “Black Widow” women involved in terrorism The media’s exaggeration of physical appear- it reduces their participation to a reaction to a mere ance in regards to women seems the most obvious personal grievance. in their perpetuation of stereotypes. Since media of- Another relevant framework, the involvement of ten deems women’s involvement in terrorism more women in terrorism due to love or romance, also me- newsworthy than men’s involvement, the media also diates stereotypes about gender. When the news me- has a huge interest in the way women “look and dia attempts to investigate the reasons for why wom- dress” (Nacos 252). In particular, the media espe- en participate in terrorism, they sometimes conclude cially evokes feminine imagery when describing the that “‘women join because they admire someone in way women terrorists look first and foremost: the terrorist movement’” (Nacos 254). For example, in the case of Colleen LaRose, news sources linked A newspaper article about Palestinian her enthusiasm for becoming a jihadist through the suicide bomber Wafra Idris began with the internet the same way a middle-aged woman fanta- sentence, ‘she was an attractive, auburn sizes about finding a spouse through internet dating haired graduate who had a love family and services. In fact, an editorial by Gwen Florio that was likes to wear sleeveless dresses and make- reproduced in several different news outlets describes up.’ In another report, Idris was described LaRose as “[using] the jihadist site and others almost as a woman with ‘long, dark hair tied back as a dating service… ‘like she was looking for a soul with a black-and-white keffiyeh. Another mate’” (Conway 16). While the news makes notice of report on the wave of Palestinian women women’s participating in terrorism because of love, suicide bombers headlined ‘Lipstick Mar- it’s particularly quiet about men’s participating in ter- tyrs: A New Breed of Palestinian Terrorists.’ rorism for the exact reasons. Ultimately, the media’s (Nacos 252) depiction of women--an emphasis on appearance, family, and love--serves to mislead and undermine The examples in which media sources portray the significance of women in terrorism. women and their value as terrorists in connection In conclusion, after illustrating women’s moti- to their feminine appearance truly seems infinite. vations, roles, and mediated outcomes of becoming Further, the media’s focus on women’s appearance involved in terrorism, the angle of gender in terrorism suggests that although women terrorists participate signifies a challenge to traditional gender stereotypes. in an “utterly male domain,” women still conform to their gender-specific role by maintaining a feminine appearance. WOMEN AND TERRORISM 123

References Jacques, Karen, and Paul J Taylor. “Male and Fe- male Suicide Bombers: Different Sexes, Differ- Conway, Maura, and Lisa McInerney. “What’s Love ent Reasons?.” Studies in Conflict and Terroism Got to Do with It? Framing ‘Jihad Jane’ in the [H.W. Wilson - SSA], 31.4 (2008): 304. US Press.” Media, War & Conflict, 5.1 (2012): Nacos, Brigitte L. “The Portrayal of Female Terror- 6-21. ists in the Media: Similar Framing Patterns in Griset, Pamala L., and Sue Mahan. “Women Terror- the News Coverage of Women in Politics and in ists.” Terrorism in Perspective. 3rd ed. Thou- Terrorism.” sand Oaks: Sage Publications, 2003. 239-61. Studies in Conflict and Terrorism, 28.5 (2005): 435- Print. 451. Rpt. Terrorism in Perspective. Ed. Pamala Halverson, Jeffry, and Amy Way. “The Curious Case L. Griset. Thousand Oaks: Sage Publications, of Colleen LaRose: Social Margins, New Media, 2003. 239-61. Print. and Online Radicalization.” Media, War & Con- Sjoberg, Laura. “Feminist Interrogations of Terror- flict, 5.2 (2012): 139-153. ism/Terrorism Studies.” International Relations, Huckerby, Jayne. “When Women Become Terrorists.” 23.1 (2009): 69-74. New York Times. N.p., 21 Jan. 2015.Web.

The random horror engendered by acts of terrorism are almost incomprehensible, but the existence of female terrorists runs counter to assumptions about male aggression. More and more frequently, the killers turn out to be women, and their roles and motivations can vary considerably. From left, Colleen LaRose, in a 1997 booking photo; Palestinian suicide bomber Wafra Idris; “Black Widow” 17-year-old Dzhennet Abdurakhmanova, who was a suicide bomber involved in the 2010 Moscow subway bombings; and Amanda Miller, who with husband Jared, carried out mass shootings in Las Vegas in 2014. 124 NATALIE REYES

Natalie Reyes

A native of Phillips Ranch, Natalie Reyes is a fourth year undergraduate student at California Polytechnic University, Pomona. She will graduate in June 2016 with a B.A. in political science and a minor in women’s studies. With extensive experience in political campaigns and governmental affairs of the San Gabriel Valley, Natalie plans to work for the California State Legislature upon graduation. Natalie enjoys reading Sylvia Plath, eating Mexican food, and spending time with her dog. The Athenian Representative Democracy: An Unintended Evolution Anthony Haddox California State Polytechnic University, Pomona

Athenian democracy has long been regarded as a system of direct democracy - rule by the people. Scrutinizing ancient Athenian society, however, has lead to the proposition of an alternative view; Athenian Democracy evolved into a representative system. To argue this view, we first examine Athenian history, social structure, and political institutions. Next, we perform an analysis of Plato’s The Republic, through a contemporary lens, to build an understanding of human nature, how governments are formed, and what constitutes a suitable government. Finally, the analysis of The Republic, coupled with the findings outlined in the literature review, are applied to ancient Athens to show that the Athenian democracy evolved into a system of representation..

emocracy is a form of government developed do-representative democracy despite the outward ap- by the ancient Greeks around 500-400 BC. pearance of being a direct democracy? Or does direct DA product of continual power struggles and democracy naturally evolve into a system of repre- changes in economic equality, democracy was a rad- sentation as the population scales upwards? ically different system of government by which the Given the historical accounts of ancient Athens people ruled collectively rather than a single indi- and the availability of knowledge about contempo- vidual or small group of individuals holding power. rary social and government institutions, we have After a series of conquests in Athens, democracy as a better ability to analyze past systems. To the Athe- form of government was replaced, however the con- nian philosophers, the type of government they were cept survived for several hundred years and regained developing was inclusive of all “essential” people. prominence near the formation of the United States Through the lens of contemporary social knowledge, in the late eighteenth century. The modern concept the Athenian form of democracy was very exclu- of democracy appears to be very different than that sive to a certain group of individuals. This, how- of Athenian democracy on the surface, however it ever, does not necessarily mean that the Athenians is possible that the idiosyncrasies of both forms of were intentionally excluding part of the population, democracy are more similar than previously thought. but it suggests that the Athenians were ignorant to This thesis provides an alternative way of examining their practice of democracy relative to what ideals it the concept of democracy; is it possible that Athenian expressed. For instance, to be a government of the democracy was unknowingly designed as a pseu- people, it follows that every sector of the population

should be able to participate in government; children racy as it is traditionally described. Following the re- and slaves are excluded from this aggregation to pre- view of literature about Athenian democracy we will serve the Athenian social and economic structure. perform an analysis on Plato’s The Republic through Instead, it was the free adult male population of Ath- a modern lens to arrive at a conclusion regarding our ens that was allowed to take part in government and alternative view of Athenian democracy and direct make decisions on behalf of the women and children democracy’s ability to function on a large scale. living in their household. The power held by Athe- Before beginning the literature review, there are nian males over their households is akin to that of several concepts and terms that must be defined to a legislative representative or a monarch, albeit in a allow for clearer analysis. Solon and Kleisthenes lesser capacity. This suggests that rather than being were Athenian rulers who put fort democratic-style a direct democracy, direct rule of and by the popu- changes in the lead up to the formation of democra- lation, Athenian democracy was more aligned with cy as a system of government. Solon developed the representative democratic theory. precedent for institutions such as the Council of Five The secondary focus of this thesis is to examine Hundred. Thucydides was a first-hand witness of the theoretical scalability of direct democracy and Athenian life throughout the democratic period. Thu- determine if it naturally evolves into a representative cydides’ The Peloponnesian War is a text in which democracy. The Athenian population after the Pelo- several telling accounts of Athenian democracy oc- ponnesian War totaled 385,000 including women, cur, more notably the funeral oration of Pericles. On children, resident aliens, and slaves; of this approx- the subject of tyranny in regards to Athens, it must be imately 30,000 were Athenian citizens (Rothchild, established that the Athenian conception of tyranny 2007). The logistics of gathering eligible citizens to dealt with a small group of individuals. Due to the po- participate in governance vastly overshadows the litical landscape of Greece in the years leading up to effectiveness of direct democracy rendering the con- the implementation of democracy, the Athenians did cept unusable on a large scale. One way to preserve not have much experience under the rule of a mon- aspects of democracy while maintaining legislative arch. As such, many of their notions of tyrannical or efficiency is by using a system of representation. malformed governments stemmed from oligarchic To develop this alternative view of Athenian rule. The term polis refers to the political population democracy, this thesis will first examine the history of a nation, but more specifically Athens in the con- of Athens before democracy was instituted. Subse- text of this thesis. Further definition of the polis will quently, we will put into context what democracy be elaborated upon later. Lastly, the term deme refers was and how citizens were involved in governance. to a district of Athens. To better structure our alternative view, we will look at some of the pitfalls surrounding Athenian democ-

ACKNOWLEDGEMENTS

First and foremost, I would like to thank my parents for ensuring my ability to attend and make it through college. My mother has been the biggest influence and motivation for me to pursue my degree in both Political Science and Computer Science. The knowledge she has passed onto me throughout the years has been invaluable. Also, the sacrifices that my father made have allowed me to continue my journey through college. The time I have spent with my father has shown me the need for hard work, dedication, and the importance of following through.

I would like to thank Asa Randolph and my aunt Melissa Tarpley for making me apply to four-year universities. Without them I do not know if I would have achieved what I have so far.

I would also like to give thanks to my grandparents. They were among the generation who paved the way so that I could reach the point I am at today.

Thank you to Dr. Guerrero for the constant help and encouragement throughout the thesis process. His help was instrumental in organizing the ideas in this document.

Lastly, I would like to thank William Chiu and the Santez house. ATHENIAN DEMOCRACY 127

Literature Review Athens Before Democracy

The concept of democracy was developed circa Before examining the concepts surrounding de- fifth century BC in the Greek city-state of Athens. mocracy, it is worth looking at the history of Athens The premise behind democracy was that the major- prior to the implementation of democracy. By under- ity of the people wielded the power of government standing Athenian history, it is easier to understand rather than a minority of the population ruling the the motivations which helped to develop the idea of many. In contemporary times, it appears that the democracy. Tribal governments, economic changes, governments of developed nations claim to possess and power struggles were all factors that contributed democratic tendencies as a measure of legitimacy. to the development of democracy as a feasible form Indeed, most tyrannical regimes claim to have free of government. and fair elections, a contemporary democratic ideal, City-states in ancient Greece shared a rather typ- while maintaining a stranglehold on political power. ical system of government with that of other civili- Although ideals such as free and fair elections or in- zations; Athens was a tribal government before the dividual rights have become tenets of contemporary changes instituted by Kleisthenes in 507 BC (Held, democracy, there was no such provision for elections 2006; Hansen, 1991). Athens was divided into four nor was there a true concept of individual rights in tribes, each of which sectioned into three ridings and ancient Athens. Because of the dichotomy between several further subdivisions (Hansen, 1991). The rul- Athenian and modern democratic ideals, I pose the ing class of Athens was primarily composed of land- questions: was the original intent of the Athenians to owners and their rise to power gave way to tyrannical develop the concept of direct democracy or was it ac- regimes (Held, 2006; Hansen, 1991); the words ty- tually a pseudo-representative democracy? If it was rannos and monarchos were synonymous words used not a pseudo-representative democracy, is it possible to describe “the sole ruler who is responsible to no that Athenian democracy naturally evolves into a sys- one other than himself, (Rosivach, 1988)” however tem of representative democracy as the population of changes in economic status for many Athenians led to a nation scales upward? shift in the balance of power favoring the small and Given the global influence of the United States, medium-sized farmers (Held, 2006). it follows that the state will attempt to continually Tracing the redistribution of power in Athens advance its own ideals. But is it prudent to call the shows the levels of instability the Athenians faced United States a democratic nation when it does not during the time period. Surrounding areas were exhibit the democratic qualities of ancient Athens? governed by either tribal governments or monar- Rather, the focus should not be on the United States’ chies. As Rosivach (1988) notes, Athenian democra- adaptation of democracy, but on ancient Athens. cy arose after the fall of the Peisistratids and other Through deeper analysis and interpretation, it seems groups imposing tyrannical rule over the city-state. that Athenian democracy was not so much the rule of Tribes evolved into aristocracies and as the families the people as a whole, but of a select group of people of former aristocracies were killed or expelled, there ruling from the top down, consistent with the defini- were other groups aiming to fill the vacuum of power tion of an oligarchy. I, however, see the Athenian sys- (White, 1955). As such, the power to rule moved con- tem of democracy as a pseudo-representative form of stantly from group to group prior to the rule of Solon democracy. I do not believe that it was intentional and Kleisthenes. Continually shifting alliances and that certain groups were excluded from participating positive economic influences of a burgeoning slave in government; in part, some of this must have been economy led to the elevation of lower economic a product of a patriarchal society. To begin, this liter- classes. This constant change facilitated a dissolution ature review will briefly examine Athens before the of the line between the rulers and the ruled. Keeping implementation of democracy. Following that, we in line with this brief discussion on tyranny and the will investigate some concepts surrounding Athenian Athenian city-state, it is important to note that during democracy and the role of the citizen in government. the democratic period of Athens, the Athenians did This discussion then leads to explaining structure of not have any direct experience with a tyrannical re- Athenian government, concluded by briefly examin- gime; the enemy of Athens was regression into an ing some critical views of democracy oligarchy rather than a monarchy (Rosivach, 1988). The eventual expulsion of tyrants from Athens did not necessarily mean the replacement of one form of government by another, bearing in mind the continual replacement ruling groups, but the opportunity for 128 ANTHONY HADDOX the form of government already in place to function a dichotomy between what democracy claimed to be in such a way that served the interests of those other and what democracy actually was begins to appear. than the tyrant (Rosivach, 1988). Democracy was not just a new form of govern- This brief look at Athenian history has provided ment, but a new way of thinking in regards to the role some insight into the social and political landscape of the citizen. Because of the importance of citizen which produced democracy. It can be observed that a participation, there was a shift in the thought behind rotating control of power amongst groups contributed who was allowed to participate in government. Eco- to the societal fear of oligarchs. An equalization of nomic differences amongst the polis had less bearing economic status, as well as a growing slave economy, on political participation. An increase in the econom- allowed Athenian citizens to realign their self inter- ic strength of small farmers circa 500 BC aided in this ests to involve more political activity. Alone, how- shift in ideology (Held, 2006; Hornblower, 1992). ever, this does not explain how Athenian democracy This meant that the poor Athenian citizen was not may have been structured like a representative de- prevented from making contributions to government mocracy. To make this connection requires analysis due to his lowly economic status (Winton, 2004). of Athenian democracy itself. Individuals of the polis were able to wield influence through fine oratorical skills used to communicate The Concept of Athenian Democracy to mass audiences (Ober, 1993). As Pericles points out, each individual was obligated to be interested in The idea of self-governance was unheard of in the affairs of the state in addition to their own, for he the ancient world. As previously discussed, Athens who minded only his own business had no business in was ruled by tribal governments prior to the rule of Athens at all (Thucydides, 1972). Each piece of evi- individuals such as Solon and Kleisthenes. Follow- dence points towards the integral role of the citizen in ing several reforms and a revised philosophy on hu- governing the Athenian state. mans and government, democracy took hold as the As mentioned previously, power was wielded preferred constitution of Athens. However, the way through careful use of public speech. Thucydides in which democracy functioned, as well as the ideas identified a relationship amongst public speech, facts, surrounding democracy, supports this paper’s claim and power itself (Ober, 1993). In the ekklesia, an of Athens being governed by a pseudo-representative Athenian institution which will be discussed shortly, democracy. there was no way for a speaker to know the social Given that the political systems in the ancient composition of his audience in advance (Ober, 1993). world were primarily monarchies or tribal govern- Without an individual being able to tailor their speech ments, the development of democracy as a form of to the audience at hand, especially an audience the government was a radically new concept. According size of the ekklesia, the onus was on the orator to to the funeral oration of Pericles, later transcribed by hone their rhetorical skills. The herald of the ekkle- Thucydides, the constitution of Athens was named sia would begin by asking the attendees who among a democracy, “because power is in the hands not them wished to speak (Kapparis, 1998) and an indi- of a minority but of the whole people (Thucydides, vidual would be allowed to speak upon an issue for 1972).” Held (2006) explains that the demos held the as long as his fellow citizens were willing to listen sovereign power to legislate and take part in judicial to him; when the members of the ekklesia grew tired function, however Winton (2004) disagrees, arguing of listening to a speaker they would shout him down that this widely held view seems implausible. It seems (Ober, 1993). Taken in context with an individual’s that Pericles gives a unique definition of the term de- economic status and the fact that the demographics mocracy based upon the meaning of the words kratos of the ekklesia were unknown to all participants, it and demos (Winton, 2004). Rather than purely defin- can be seen how the emphasis on oration and rhetoric ing what democracy is, Pericles is offering a contrast- played such an integral role in the influence of power ing definition based upon other constitutions of the in Athens. time period. The structure of monarchies and tribal A new system of governing, democracy put pow- governments placed power within the hands of one er in the hands of the people in an attempt to move or several members of society. The successful func- away from the oligarchic rule of the past. Rather than tion of democracy depended upon the involvement being simple peons, citizens became important po- of many people in day-to-day governance (Winton, litical actors in Athens. Due to the central role of the 2004). It is important to give thought to the context citizen, continuous participation of citizens became of phrases such as “the many” when examining the integral to the function of the state. An emphasis on works of ancient Greeks, as well as scholars, because deliberation led to the polis developing oratorical ATHENIAN DEMOCRACY 129 skills as a necessary tool in decision-making. After group of the many, specifically women, were barred examining the role of the citizen, we now shift our from government. focus to the concept of Athenian citizenship. Athenian Institutions Athenian Citizenship Given the premise behind democracy, a possible With the continual use of the term and focus on misconception about the structure of the Athenian the citizen, what exactly was a citizen in Athens? government would be that decisions were made by Ancient Athens was a patriarchal society which gave an aggregate of the polis, with no discernible insti- responsibilities and rights to males; rights is being tutions framing the Athenian governmental structure. used as a general term in this instance given that the Athens, however, contained institutions compara- modern notion of “individual rights” cannot be di- ble to those seen in contemporary times such as the rectly traced back to Athens (Held, 2006). Indeed, popular assembly and law courts, the ekklesia and Held (2006) and Ober (1993) explain that, “the dem- dikasteria respectively (Reiter, 2013); additionally os consisted entirely of free adult males of strictly there were positions in office which were filled by lot. Athenian descent,” to the exclusion of women and These institutions were developed in order to avoid a foreigners. It is with this definition of the Athenian concentration of power among state officials (Win- citizen that the premise behind democracy begins to ton, 2004). fail. How can a system of government claim to be Perhaps the most visible of the Athenian insti- “for the many” (Winton, 2004) when in fact only tutions, the ekklesia was regularly attended by ap- 10 to 20 percent of the population living in Athens proximately 5,000 to 8,000 citizens (Gomme, 1951; were classified as citizens during the time of Athe- Ober, 1993) and convened over forty times per year nian democracy (Reiter, 2013)? We will continue an (Held, 2006). Akin to the United States Congress, the investigation of this question shortly. ekklesia controlled finance, legislation, and foreign Ober (1993) argues against the notion that de- affairs, but rather than being expressly controlled by mocracy in Athens was fundamentally dependent representatives, the ekklesia was controlled by regu- upon slavery or the exclusion of women; for the lar citizens (Gomme, 1951; Held 2006). purposes of guiding this discussion, I will mainly The ekklesia contained a rather strange provision examine the argument in regards to women. Aris- in regards to speech and its attendees. The ekklesia totle noted that an Athenian household consisted of contained a law which gave priority to speakers over a master and slave, husband and wife, father and the age of fifty in debates (Kapparis, 1998). Looking children; these three types of relationships described back to the importance and power of public speech humanity in the eyes of the Greeks (Schaps, 1974). in Athenian society it is possible to see what sort of While there were distinct differences between free impact this may have had on institutional operations. Athenian women and slaves, the lack of women in This raises a question: were the older male Athenians the Athenian political process corroborates the idea a more powerful force than the younger males? At that a pseudo-representative democracy was the ac- first glance possibly; Kapparis (1998) explains that at tual constitution of Athens. Schaps (1974) does say the beginning of a speech given by the young Athe- that in extreme cases women were documented as nian Demosthenes, the speaker apologized for being engaged in mass action, yet they were still excluded the one to open debate on an issue. If we recall from from participation in the ekklesia or the Council of our earlier discussion, members of the ekklesia would Five Hundred. Rather, women were limited to main- shout down a speaker if they did not want to hear ly household duties while their husbands, fathers, or him speak. Given the fact that a young person could brothers were the heads of the household (Schaps, navigate around the formalities of age with a few 1974). Any political decision was made not by the apologetic words, it makes sense that the Assembly women, but the men. Through this we can see that moved away from these practices, a remnant of the the head of the household was king within the house, aristocratic state of the past (Kapparis, 1998). but a representative of the household in the ekklesia. Another political institution of Athens was the The adult male was the voice of the household inter- Council of Five Hundred. The Council was the ex- ests and he did not always have his wife’s interests or ecutive and preparatory body for the ekklesia, as de- his children’s in mind (Schaps, 1974). The argument clared by Aristotle (Hansen, 1991). There appears here is that calling the Athenian democracy a govern- to be some uncertainty on the composition of the ment of the many is disingenuous given that another Council of Five Hundred. Some scholars say that the Council was staffed by fifty members of the ten 130 ANTHONY HADDOX

Critical Views of Democracy tribes of Athens (Held, 2006), while other scholars Since the creation of democracy there has al- claim that representation on the Council was based ways been detractors to the system. The premise of on the 139 demes, or districts (Hansen, 1991). Nev- democracy required large numbers of citizen par- ertheless, each of the members chosen to represent ticipation, however the Athenians never had a full the tribes or demes were selected by lottery (Held, meeting of the citizen body (Carter, 1986). Thinking 2006). This system of representation based on tribe practically, it cannot be expected for the entire citizen or deme helps to support our assertion of Athens be- body to meet. If thousands of people are expected to ing a pseudo-representative democracy. Rather than participate, and the ekklesia only met forty times per meeting forty times per year, the Council met every year, how effective can ruling and decision-making weekday and performed more day-to-day operations be? Hobbes’ (1975) interpretation of Thucydides was than that of the ekklesia. Hansen (1991) points out that Athens functioned best when the constitution that the Council was more central to administrative was democratic in name, but actually a monarchy function rather than making decisions like ekklesia. under Pericles. Other scholars viewed democracy as But given that the Council met more frequently and chaotic, mob rule, with the power of the people be- served as a preparatory body for the ekklesia, it is dif- ing too excessive (Mitford, 1838; Saxonhouse, 1993; ficult to accept Hansen’s statement about the Coun- Stanyan, 1751). cil’s decision-making. While I will not claim that the This literature review draws upon historical ev- Council was the true source of power in the Athenian idence and scholarly analysis to show that the Athe- government without performing further research, I nian system of democracy may have been a repre- will propose the idea that the Council had more of an sentative system. By examining democracy from an impact on politics than Hansen explains. alternative prospective, this research allows scholar- Citizens were selected to staff the Council of ship to better draw parallels between Athenian de- Five Hundred and other offices through the use of mocracy and contemporary democratic ideals. Ana- the lot. The use of the lot rather than elections is im- lyzing Athenian democracy with a modern viewpoint portant to distinguish because Aristotle regarded the allows for a stronger basis for interpretation because lot as a democratic practice and voting as oligarchic of the possibility to see the evolution of democracy in (Taylor, 2007). Taylor (2007) questions if the lot was both ancient and contemporary times. actually democratic in its practice or if those who volunteered for the lot were only a small cross-sec- Analysis tion of society, such as the wealthy or those who lived close to the city; it appears that the latter was The purpose of this research is to develop an al- more likely. Wealth was an influential factor in polit- ternative way to examine Athenian democracy. This ical activity, with wealthy families represented more will be accomplished through logic and reasoning, heavily in many areas of political life (Taylor, 2007). examining the philosophy of Plato, and applying the Despite the attempt of democracy to equalize power, knowledge to historical facts about Athens. To begin, Athenian politics were riddled with corruption and we will lay the foundations of our reasoning by defin- bribery (Taylor, 2001). Similar to United States pol- ing several key terms central to the philosophy sur- itics, money sped up the political process in Athens. rounding our premise. Next, we will perform an anal- In a society of supposed equals, wealth held the same ysis on human nature to create an understanding of amount of influence on democracy as it held in aris- human motivations. After that, the reasoning behind tocratic societies (Taylor, 2001). the formation of governments will be explained, and Despite being collectively ruled by the people, subsequent to this, is we will perform a deconstruc- Athens was controlled by several institutions on a tion of Athenian democracy. Lastly we will expand regular basis. The Athenian assembly convened at upon how the concept of justice relates to govern- least forty times per year and was the central deci- ment, later arriving at a conclusion regarding ancient sion-making body of the polis. The Council of Five Athens’ status as a pseudo-representative democracy. Hundred set the agenda for the ekklesia and was staffed by the lot, taking on the appearance of an in- Laying the Foundation stitution which may be attributed to a representative democracy. Providing an alternative way of thinking about Athenian democracy is not a trivial undertaking. In order to adequately explain the reasoning, we must ATHENIAN DEMOCRACY 131 first clarify a few terms to allow for a more precise sive ideals such as same-sex marriage and abortion understanding. First we will discuss what it means rights. In contrast, a state such as California is sup- when something is just and what justice is. Follow- portive of those progressive ideals; this exemplifies ing that, we will define government and explain the several states a part of the same union expressing di- differences between government and constitution. vergent societal values. It follows that the definition It is of note that in the translation of The Republic, of what is just in the contemporary era can contrast the word constitution is used in place of entities we with that of Athens during the creation of democra- would commonly call governments; later in this pa- cy. Because of possible conflicts amongst definitions per we revert back to using government rather than of what is just, the definition of just for the scope of constitution to illustrate how constitutions are still this research will be, “preservation of an individual’s systems of rule and simultaneously systems of gov- general well-being.” By extension, the definition of ernment. unjust will be, “damaging an individual’s general Individuals acting in a just manner, or an in- well-being.” dividual experiencing justice, was a major part of The term justice is as variable as the term just Athenian society, and the Athenian philosophy be- due to the various ways of implementing justice and hind human action. Just can be defined as, “based on the outcomes justice produces. To illustrate this point, or behaving according to what is morally right and take the following example: when a person is caught fair” (Just: Definition of Just in Oxford Dictionary, stealing an item, it would be just for the thief to return 2016), while justice is defined as, “just behavior or the item or pay the owner the cost of the item. The in- treatment” (Justice: Definition of Justice in Oxford justice in this situation is the theft of an item and the Dictionary, 2016). The determination of what is con- returning or reimbursement of the item’s value would sidered “morally right” is the responsibility of soci- be justice being served. Through the triviality of this ety. Due to this, we must recreate the definition of example, we see that there are multiple ways to serve just to make it applicable towards the target entity, justice when an individual has suffered one unjust ac- ancient Athens. We can make the assertion that the tion. In this instance, the owner receives some sort of definitions of just and justice are largely based upon compensation to correct the injustice. reasonable individuals in a reasonable society. The Now consider a different example in which an determination of what is classified as reasonable, individual murders another individual. To rectify the however, is also dependent upon society and the so- situation, the murder could possibly be jailed, fined, ciety’s cultural values. or executed. Once again, there are multiple ways to To reinforce the necessity of societal values for serve justice in this situation, but are the outcomes determining what is reasonable, take into account the equal? Once taken, a life cannot be replaced, there- ages in which men and women marry and procreate. fore paying a fine may not cover the cost of a life. “The age of consent refers to the legally defined age Furthermore, executing the murderer only serves to at which a person is no long required to obtain pa- take yet another life from society, and imprisonment rental consent to get married... [and] it also refers to can serve the same purpose for the length of impris- the age at which a person is held to have the capaci- onment. At this point we must recall our definition of ty to voluntarily agree to sexual intercourse (Age of just: preservation of an individual’s general well-be- Consent Law & Legal Definition, 2016).” In the con- ing. By extending the definition of just and applying temporary United States, the age of consent in some it to society, we arrive at the definition of justice: the states is 16 years, while in others it is 18 years (Age preservation of society’s function and well-being. of Consent Chart For The 50 States & D.C., 2016). Justice is not necessarily about the fairness or equal- It is considered unjust to engage in sexual acts with ity of the outcome, but preserving a society and al- someone younger than the age of consent. Therein lowing it to function unimpeded. Of the ways to serve lies the issue; the age of consent varies from state to justice in the murder example, the adequate outcome state which suggests that the definition of what is just of preservation is determined by the society it occurs varies from state to state. in. By extension, the form and effectiveness of justice It is observable that cultural and societal values is determined by society. can vary amongst states even when they are bound Rather than developing a definition through together as a united entity in the same time period. reasoning, as was performed for justice, it is more For instance, the grouping of states known as the “Bi- useful to define government by looking at the ety- ble Belt” possess values which are heavily influenced mology of the word. There are several evolutions of by the religious teachings of Christianity. Bible Belt the definition, the earliest appearing in the late four- states are generally opposed to United States progres- teenth century being “an act of governing or ruling 132 ANTHONY HADDOX

(Harper, 2016).” In the 1550s the definition shifted Republic about human nature which do not provide to “[a] system by which a thing is governed.” Fur- a realistic representation of what is observable in the ther investigation reveals that government is an Old real world, however they will allow us to construct French word meaning “control, direction, [or] admin- a model which will ultimately help explain the dis- istration (Harper, 2016).” It appears that government parity between the function of ancient Athenian de- deals with ruling and controlling the population. mocracy and the purported ideals of democracy. This Taking the same approach for the word constitu- section will provide counterpoints to Plato’s claims tion leads to an interesting conclusion. Constitution to create a more realistic portrayal of human nature is a mid-fourteenth century word meaning “law, reg- and tendencies. ulation [or] edict,” stemming from the twelfth century Old French word constitucion and the Latin word “Surely then, no doctor, to the extent constitutionem meaning “act of settling, settled con- that he is a doctor, considers or enjoins what dition, anything arranged or settled upon, regulation, is advantageous for himself, but what is order, [or] ordinance (Haper, 2016).” The word later advantageous for his patient? ... Doesn’t it evolved in the 1730s to mean “[a] system of prin- follow that a ship’s captain and ruler won’t ciples by which a community is governed (Harper, consider and enjoin what is advantageous 2016).” The word constitution is concerned with laws for a captain, but what is advantageous for a and regulations versus government’s concern with sailor and his subject (Morgan, 2005)?” rule. To that end, The Republic outlines several systems of principles which govern communities. For In this excerpt, Plato holds a rather optimistic our purposes, government and constitution will be view of human nature. The premise of this point is interchangeable terms. While a constitution may be that when a person enters a profession, they will con- an aggregation of laws, government typically creates duct themselves in such a way that the outcomes of these laws to guide society towards what it deems their actions are of no benefit to them; the captain just. commands the ship for the advantage of their crew. We have developed several definitions which The premise holds to be partially true in the fact that will facilitate our discussion on Athenian democracy. there is a reason behind every human action, volun- It was shown how the definitions of just and justice tary or involuntary. Plato’s view, however, neglects are functions of the society in which they apply. This to account for a person’s want for gratification. It is gave way to the construction of a general purpose reasonable to believe that for every action, there is definition for both just and justice which differ from a personal stake in the matter. In the case of ruling, the Oxford Dictionary definition. Subsequent to that the possible outcomes are numerous: power, wealth, we examined the difference betweengovernment and honor, glory, influence over society, to identify a few. constitution, taking care to note that, in The Repub- It is optimistic, yet unreasonable, to expect people to lic, the translation exclusively used constitution rath- rule for the advantage of the people rather than for er than government. This illustrated how Athenians some advantage of their own. Even the end goal of were possibly more concerned with laws and regula- helping one’s fellow humans can provide positive tions rather than ruling the populous. Now that these self-fulfillment to the “soul”. terms are defined, the foundation of our argument has been formed. The next task is to explain human “But do you think that those who rule nature to better understand some of the motivations cities - the ones who are truly rulers - rule behind human actions. willingly?... But, Thrasymachus, don’t you realize that in other kinds of rule there is no Human Nature willing ruler? On the contrary, they demand to be paid on the assumption that their ruling An investigation into human nature must be con- will benefit not themselves, but their sub- ducted to adequately analyze the evolution of Athe- jects... And doesn’t wage-earning provide us nian government. Government is controlled, and giv- with wages, since that is what it is capable en legitimacy to, by the people within its sphere of of doing?... would you call wage-earning influence. Given this fact, a government will take on medicine, even if someone becomes healthy the form and function of the persons who control it. while earning wages? ... We are agreed then, Subsequently, society’s reception of said government aren’t we, that each craft brings its own spe- is based upon the competing natures of the rulers and cial benefit?” Each [craft] does its own work the ruled. There are several claims from Plato’s The and benefits that with which it deals. ... no ATHENIAN DEMOCRACY 133

type of craft or rule provides what is bene- er things that would make him like a god ficial for itself; but as we have been saying among humans (Morgan, 2005).” for some time, it provides and enjoins what is beneficial for its subject, and aims at what Humans are subject to temptation and tend to is advantageous for it - the subject... no one travel the path of least resistance when given the op- chooses to rule voluntarily and take on oth- portunity. This view on human nature is supported by er people’s troubles in hand and straighten some of the unjust actions taken by people who come them out, but each asks for wages (Morgan, into power, more notably those who build tyrannical 2005).” regimes. When some individuals experience power they commit injustice against other members of so- In this instance, Plato is continuing to work ciety. The ends which power can provide can tempt based off of the assumption of a perfect world, or that individuals to commit unjust actions they otherwise the men in his examples are just. While he does draw may not have. This raises the question, how do we examples from the real world, Plato seemingly does quell this temptation? One way to do so is to remove not apply his theories to real world scenarios. Plato the opportunities for the consolidation of power. By implies that one action leads to one outcome; he says diffusing the amount of power an individual can pos- that wage-earning provides wages and then goes on ses, the opportunities for individuals to wield power to connect wage-earning and medicine in a way that in an unjust manner decrease. asserts wage-earning is equal to practicing medicine. What has been described is essentially a demo- The mistake in Plato’s reasoning is not exploring the cratic system; power dispersed into the hands of many converse: practicing medicine is equal to wage earn- people. The issue with spreading power amongst the ing. populous is when the population begins to scale up- In order to do something that does not immedi- wards, power becomes vastly diluted. The typical cit- ately contribute to survival, such as hunting, gather- izen is likely to not regularly use their power or want ing, or farming, it takes will or some other form of to take the necessary steps to use their power. Partic- motivation. The doctor does not practice medicine ipation is an integral part of the democratic system, for no reason. The doctor receives something from however there are opportunity costs associated with the completion of the task, be it happiness, fulfill- participation. To maintain focus on the more pressing ment, or even profit. Simultaneously, the patient re- matters in their life, disinterested citizens will relin- ceives good health and well-being from the doctor’s quish this power to another individual, letting them treatment. This shows that a craft benefits both the make decisions on their behalf as best they can. Even craftsman and its subject, contrary to the philosophy if a citizen does not formally allow another to make of Plato. Similarly for those who rule, there is a com- decisions for them, lack of participation in a demo- ponent of willingness which influences their decision cratic system is equal to relinquishing power. This to continue ruling. Rulers possess an interest in the lack of participation and decision-making on the be- well-being of their subjects and the territory they half of others leads to a redistribution of power. This control, consistent with Plato’s reasoning. However, redistribution is akin to a system of representation. in addition to concern about territory and the city’s “... we are not all born alike. On the contrary, inhabitants, rulers enjoy the benefits of their position. each of us differs somewhat in nature from the others, We have already established that there are positive one being suited to one job, another to another (Mor- outcomes of ruling that directly benefit the ruler. It gan, 2005).” In general, people are naturally suited follows that those in power will do what is necessary for certain tasks. Whether or not this is a measure of to preserve the benefits that result from being the rul- human nature or if it is a product of a person’s envi- er, thereby providing what is beneficial for the ruler. ronment is debatable and beyond the scope of this research. A person who correctly and consistently per- “... no one, it seems, would be so in- forms an action will become better at that action; no corruptible that he would stay on the path person starts as a master of their craft. It takes years of justice, or bring himself to keep away of work for the mastery of a skill, and even with years from other people’s possessions and not of practice some people reach a plateau while others touch them, when he could take whatever continue to improve. Applying this to ancient Athens, he wanted from the marketplace with impu- those who were able to devote more time to honing nity, go into people’s houses and have sex their oratorical skills and participating in the ekklesia with anyone he wished, kill or release from would develop more skills in governance. Those with prison anyone he wished, and do all the oth- other obligations, or areas in their life which required 134 ANTHONY HADDOX more time and attention, would stagnate in their skills governing, not all individuals are suited and therefore of governance. For those who did not regularly par- tend to become disinterested in the political process ticipate, it is conceivable that the skills required for unless legislation directly affected their livelihoods. use in the ekklesia would deteriorate. Based upon information found in the literature review, the ekkle- Forming Government sia was not heavily frequented. Although we cannot determine who exactly attended the ekklesia or at First the discussion will cover how cities come to what frequency, it is reasonable to expect attendance exist; government requires an entity in need of rule. primarily by the higher skilled individuals. This sup- After that, the discussion will shift to why govern- ports Plato’s claim of individuals being suited to one ments are necessary. To aid in the discussion, we will job. develop a hypothetical model which helps explain the need for government. Next, the discussion will “But isn’t it of the greatest importance refer back to The Republic to explain the purpose that that warfare be carried out well? Or is fight- government fulfills and government’s role regarding ing a war so easy that a farmer, a shoemaker, citizens. or any other artisan can be a soldier at the “Well, then, a city comes to exist, I believe, be- same time, even though no one can become cause none of us is individually self-sufficient, but so much as good as a checkers player or each has many needs he cannot satisfy (Morgan, dice player if he considers it only as a side- 2005).” The basis of a city is bringing together people line and does not practice it from childhood to provide good and services. One person cannot pos- (Morgan, 2005)?” sibly provide everything needed for sustenance and live a comfortable life. As such, people will take on The question Plato raises in this case also per- specialist roles to promote efficiency. If someone is tains to ruling. How can one be good at governance not capable of a profession, it follows that they would if it is not one’s every day profession? We previously choose another. That being said, let us apply this to examined Plato’s claim of individuals being better human nature and government. suited to certain tasks compared to other people. This Contrary to Plato’s belief that people are natural- question is an extension of that claim. It is reasonable ly suited for one and only one task, humans can learn to assert that Athenian citizens had other professions to do several things proficiently. Proficiency amongst outside of the societal expectation of participating in abilities is not mutually exclusive. To determine if government. Those professions were the livelihoods a person is capable of a task, they must experience of those citizens. It follows that those citizens, if not some training in the area, as well as perform the task supplemented by another source of wealth or income, itself. It follows that those who excel at a task will be would devote a much greater portion of their atten- come well known and overshadow those with lesser tion to their profession. Contrary to the beliefs of ability. This does not necessarily preclude those with Athenian society, it is not reasonable for every per- lesser ability from continuing to practice the skill. son to have a stake in politics. Rather, the only prob- Reintroducing government into the equation, peo- able interest these citizens would have in politics is ple with experience and proficiency governing will in legislation that adversely affects their livelihoods overshadow the less experienced and less capable. or way of life. The lesser experienced will still be able to govern, Understanding human nature is an integral part possibly deferring to their betters in some situations. of analyzing Athenian democracy. Dissecting some Taking into account the structure of Athenian gov- of Plato’s philosophy regarding humans proved a ernment, older members had more experience and prudent place to begin. We began by showing that hu- more power. Athenian society functioned under the mans perform actions for the end of a form of gratifi- expectation that everyone was to participate in gov- cation. Furthermore, these actions require some form ernment. But from what we have discussed, we know of motivation in order for an individual to perform that not everyone is capable of governance, and of them. When humans gain an appreciable amount of those that are capable, not all share the same level of power, they are subject to temptation and corruption proficiency. This may have led to a system of defer- because of this power which leads to tyranny, in the ence towards elders and good orators, evident by the case of ruling. After this we showed that humans are findings in the literature review. diverse creatures and are naturally suited to differ- “In fact, that is why the craft of medicine has ent tasks, however they can become proficient at a been discovered - because a body is deficient and task given enough time and practice. In the case of it is not satisfactory for it to be like that (Morgan, ATHENIAN DEMOCRACY 135

2005).” Extending Plato’s logic, government has garchy and tyranny. The Athenian democracy has an been discovered and implemented because individu- identifiable side effect; rather than being the rule of alistic tendencies are not satisfactory. We previously all of the people, the way democracy was intended to discussed why cities are necessary, and the formation function, only a few people actually wielded power. of governments follows a similar line of reasoning. Issues can arise when people function independently “... those who have done and suffered of one another, or even when people come togeth- injustice and who have tasted both - the ones er as a city. Can society trust the interested parties who lack the power to do it and avoid suf- to settle disputes on their own? In certain situations, fering it - decide that it is profitable to come yes, disputes can be reasonably resolved. But in other to an agreement with each other neither to situations, such as matters of justice, it is not always do injustice nor to suffer it. As a result, they feasible for the parties to resolve the situation in a begin to make laws and covenants; and what just manner without the aid of an impartial mediator. the law commands, they call lawful and just. Let us apply this reasoning to a hypothetical That, they say, is the origin and very being city, starting with a population of ten people. Being of justice (Morgan, 2005).” individualistic, while potentially problematic, is not necessarily detrimental to the well-being of society. Government can be conceptualized simply as Resources and goods will be relatively plentiful giv- an agreement; government is a contract amongst cit- en the population size. Those who formed families izens. People form governments to benefit the whole will not have any notable obstacles in terms of claim- of society, which is evident through earlier examples. ing land other than the energy required to work and It is much more difficult for injustice to go unpun- maintain the land. While some professions require ished if there is a collective agreement on what is more work than others, ostensibly everyone will or is not considered to be just. To gain a better un- face similar hardships. Less disparity amongst the derstanding, examine government and justice from populous regarding standard of living will lower the a different view. If citizens believe a current society chances of individuals performing injustice towards or government is performing injustice, they will seek one another. ways to subvert or replace it. In the case of Athens, Now, let us revisit the city when the population democracy replaced oligarchy. Bearing in mind that has grown to one hundred citizens. Due to special- the entire concept of democracy was new and radical, ization in various areas, some individuals will have it is reasonable to believe that the Athenians were not a comparatively high standard of living to other indi- completely willing to change the entire system. To viduals. There will be more competition for resourc- maintain a sense of familiarity with government, it es, with wealthier individuals more able to acquire is conceivable that when developing democracy, the the resources they need. Additionally, those people Athenians retained some of the oligarchic tendencies with higher standards of living will conceivably exert of the past. less effort to maintain their way of life. More people and more possessions affords more opportunities for Deconstructing Government injustice, and subsequently more severe types of injustice. This brings us to another excerpt from The We have discussed human nature and some of Republic. the reasoning behind why individuals come together “Doesn’t it follow that medicine does not con- to form government. At this point we will shift our sider what is advantageous for medicine, but for the focus to deconstructing government. Through this body (Morgan, 2005)?” We can conceptualize gov- deconstruction we arrive at the crux of one of our ernment as the medicine and society as the body; arguments; the natural evolution of a direct democ- government is the medicine for society. On the sub- racy is a representative democracy. Furthermore, we ject of medicine, it is created to cure a specific illness, will apply the results of the deconstruction to ancient regardless of its form. We know that some medicines Athens. have side effects, and these side effects can manifest “... I think we should adopt the method of inves- differently in different people. While some of these tigation that we would use if, lacking keen eyesight, side effects are not noteworthy, other side effects we were told to identify small letters from a distance, can seem to rival or even trump the illness. In our and then notice that the same letters existed else- case, we are looking at democracy as the medicine where in a larger size and on a larger surface (Mor- for Athenian society. Democracy was the cure to the gan, 2005).” Through Socrates, Plato performs a par- previous illnesses experienced by the Athenians - oli- ticularly effective experiment in which he attempts 136 ANTHONY HADDOX to explain how a government comes to fruition by phenomenon of how a city is the sum of its parts and working on a smaller scale. Plato outlines the factors mirrors its foundations. which affect a person who would subsequently go on By applying the results of this example, we can to form certain types of governments. Working in a see the progression of ancient Athens. Surrounding smaller scale allows for an easier understanding of cities at the time were either tribal governments, concepts. We will replicate this experiment, albeit in managed by elders, or monarchies, controlled by a slightly different capacity. kings. In the case of Athens, the tribes evolved into A city is a modular unit formed, from largest aristocracies which created the foundation for future module to smallest module, by districts, communi- Athenian government. Although there were power ties, and families. Several families come together to struggles and new ruling families put into place, the form a community, communities to form a district, government remained oligarchic in nature. It was not and districts to finally form a city. To begin, consider until there was a sufficient upset to the status quo, a a family consisting of a mother, a father, several chil- restructuring of Athenian economic classes coupled dren, and a handful of servants, to keep consistency with continuous power struggles, that the oligarchy with the Athenian family structure. Given that Athens was supplanted with democracy. However, with re- was a patriarchal society, the father would be the fig- gards to both this example and the example in the urehead, the king of the family, responsible for the Forming Government section, we see that it was decisions which would affect the standard of living highly unlikely that Athens was able to remain a true of the household. The mother would be in charge of direct democracy. The growing population of Athens the well-being of the children, and the servants would would have prohibited the participation of all citi- be tasked with day-to-day upkeep of the family prop- zens; recall the fact that a citizen was an adult Athe- erty. nian male. Given the limitation of direct democracy Previously we discussed how cities are formed; due to population size, Athens would have evolved individuals come together because it eases the bur- into a large-scale representative democracy. Consis- den of providing for oneself. Taking the next step in tent with Rosivach (1988), the government changed building this city, consider several families coming to serve the interests of those other than the tyrant - together to form a community. Recalling how each the former aristocracy. family possesses a king, we are confronted with the issue of multiple kings to rule one community. There Justice are three ways the community can resolve the issue of who should rule: a member of the community Following our example on how government can assume kingship, the more powerful families, in evolves, it is helpful to reintroduce the concept of jus- terms of wealth, can assume control, or each head of tice into government. Justice is a major factor in why household can collectively rule the community. The people come together to form both cities and gov- first option is unlikely in a community with a small ernments. By further elaborating on what justice is number of families; the risks outweigh the returns and how it affects society, we can gain a better under- of a power struggle in a small community. After the standing of the evolution of Athenian constitutions. elimination of a single king, two options remain: oli- The following excerpts from The Republic cover tyr- garchy and democracy. However, in this case the use anny in regards to justice, the power of injustice, and of democracy is suspect. The contemporary defini- the fallibility of rulers and lawmaking. tion democracy posits a rule by all citizens. But given that the fathers of families are the decision makers, “... tyranny... uses covert means and their role shifts from king to representative, and de- force to appropriate the property of others... mocracy would then transition towards representa- When someone appropriates the possessions tive democracy. of the citizens, on the other hand, and then Expanding the scale of this example once more, kidnaps and enslaves the possessors as well, multiple communities would come together to form instead of these shameful names he is called a district, or perhaps even a small city. At this point happy and blessed: not only by the citizens in the venture, the city would be very resistant to a themselves, but even by all who learn that change in the form of government. Unless an individ- he has committed the whole of injustice. ual is able to mobilize enough resources to secure a For it is not the fear of doing injustice, but monopoly on power and become king, the city would of suffering it, that elicits the reproaches remain as a functioning oligarchy or representative of those who revile in justice. So you see, democracy. Through this example, it is an observable Socrates, injustice, if it is on a large enough ATHENIAN DEMOCRACY 137

scale, is stronger, freer, and more masterful Plato’s claim supports our assertion that the defi- than justice (Morgan, 2005).” nition of just is based upon society. It is unreasonable to believe that every law, constitution, or government Plato has Thrasymachus play the devil’s advo- will be just. Because the views of society evolve cate in regards to tyranny and injustice in this ex- with the passage of time, creating long lasting just cerpt. In a tyrannical system of government, if a rul- laws is an unpredictable action. For example, take er, or rulers, is able to perpetrate injustice on a large the Jim Crow laws following the reconstruction era enough scale, they can suppress any sort of resistance of the southern United States, leading into the mid by the ruled and retain all of the privileges that pow- 1960’s. The Jim Crow laws were deemed to be just er affords. Additionally, by holding so much power, by a majority of the political leaders and the Cau- tyrants are able to garner seemingly positive praise casian population of the southern states. However, from both citizens and those outside of their sphere those who were oppressed by the laws as well as of influence. Because of this, those who commit in- some other Americans felt the Jim Crow laws to be justice are fearful. Tyrants do not fear committing unjust. Southern society created laws that were ad- injustice, as it can provide for them the things they vantageous for those in power, consistent with Plato’s want, but they fear suffering some of the same types words. It took a century for the Jim Crow laws to be of injustice they perpetrate. unraveled, parallel with shifting societal views, however there remain individuals who believe the laws “Apparently, then, [the power of injus- were justified. tice] is such that whenever it comes to exist With the premise behind democracy requiring in something - whether in a city, a family, an vast citizen participation, it can be argued that those army, or anything else whatsoever - it makes who led the shift from oligarchy to democracy made that thing, first of all, incapable of acting in errors in their judgment. We have established that on concert with itself, because of the faction a large enough scale, direct democracy becomes un- and difference it creates; and, second of all, feasible; by society placing the onus on all citizens to an enemy to itself... (Morgan, 2005)” participate, those who did not or could not participate are, in some capacity, unjust. But given the historical Justice is an underlying principle which helps evidence of participation in the ekklesia, it is possible preserve the good in society. Injustice holds such a that society made a shift towards representation with- power that it becomes a corrupting influence when it out having to openly replace their constitution. Re- is present, slowly undoing the good that justice pro- calling the connection between medicine and govern- vides. When a person is just, it naturally follows that ment, democracy was the medicine to oligarchy, and they commit just actions. Furthermore, just actions representative democracy was the subsequent med- tend to create good outcomes. When a person has un- icine to the large scale direct democracy of Athens. just tendencies, these tendencies can overpower their just tendencies and actions. By nature, injustice has Connecting the Dots the ability to divide the populous and create factions; injustice affects everyone differently and it is in -hu After looking at several critical areas, we are fi- man nature to gravitate towards those who share sim- nally able to complete our new way to examine de- ilar interests. Multiple opposing factions can lead to mocracy. At the onset of this research, we took a look government becoming its own enemy. at literature surrounding historical Athens. Following this, the research explained how democracy became “Each type of rule makes laws that are the government of Athens. It was established that advantageous for itself... And so by legis- government revolved around citizens and their partic- lating, each declares that what is just for its ipation in Athenian institutions; who was considered subjects is what is advantageous for itself - to be a citizen in Athens was defined. At the end of the ruler- and punishes anyone who deviates the literature review, we briefly discussed some crit- from this as lawless and unjust... and are the ical views of democracy which helped to show how rulers in each city infallible, or are they lia- direct democracy on a large scale was impractical. ble to error? So, when they attempt to make After the literature review we began laying the laws, they make some correctly, others in- foundations of our argument by defining several correctly (Morgan, 2005).” terms. By defining these terms we were able to develop an understanding which would later help facilitate our discussion. Next we examined human nature to 138 ANTHONY HADDOX show what motivated their actions. Following this we the tribes consolidated power for themselves rather discussed why cities and governments are formed, than collective decision-making. Further consistent and subsequently ways how government may evolve. with our model and our discussions on justice, the Lastly, we performed a cursory investigation on how Athenians later diffused power through democracy. justice affects government and how this may have Recalling our example on government forma- influenced Athenian government. We will now con- tion, at a certain population size, a democratic form nect the evidence to determine if Athens was a pseu- of government must evolve into a system of represen- do-representative democracy and direct democracy tation. The initial Athenian democracy quite possibly evolves into a system of representation. was a direct democracy. Population growth means It is a necessity for individuals to form cities. more people can participate, but does not mean they Self-sufficiency is only sustainable on small scales; will. An individual’s personal matters require more when a society hopes to grow, people must choose attention, leaving them with little to no ability to gov- areas to specialize in. Our analysis of human nature ern, as may be evident by ekklesia attendance num- shows that some individuals are naturally suited for bers. Not participating in a direct democracy, by na- certain tasks, and by professions being distributed ture, concedes power to other people; the concept of among the population, individuals are able to deter- democracy is predicated on widespread participation. mine their natural task with little negative effect on Additionally, individuals may have possessed trust- their way of life. ed friends or associates speak at the ekklesia on their At this point, we see that when society comes behalf, recalling the emphasis on oratorical ability. together, problems begin to arise. Some professions Furthermore, a patriarchal society and slave economy are more profitable than others; the doctor will likely meant that women, children, and slaves had a default acquire more wealth than the baker due to the differ- representative - the head of household. ences in difficulty of their skill sets. By extension, Applying all of these results yields an interesting those individuals who are more wealthy are able to conclusion. It does not appear that Athens designed pursue more avenues of gratification and have more democracy as a pseudo-representative system. Giv- means to commit injustice. This inherent power they en the prior ruling systems of Athens and their mo- possess can at times augment their need for gratifica- tivations for political change, the Athenians seem to tion and increase their propensity for injustice. Re- have intended and expected widespread participation calling Athens before democracy, the oligarchs were by the citizenry. Women and foreigners were not al- those propagating injustice and the Athenians sought lowed to participate in ruling is a reflection of Athe- to remove their power. The remedy the Athenians nian societal values, rather than intentional exclusion. developed for oligarchy was a diffusion of power Consistent with our examples, it appears that Athens through democracy. did, however, evolve into a system of representation. We explored, through hypothetical examples, Furthermore, looking towards modern democracies how government forms and evolves. Families con- we see that they are all based upon representation gregate to form communities, which later form dis- and elections rather than total citizen participation. tricts, and subsequently form cities. When this model Citizens can generally participate through elect- is applied to ancient Greece, specifically Athens, we ing officials or running for office. Modern society see a similar type of formation. Families formed the is more complex and more interconnected, making original four tribes. These tribes eventually formed direct democracy impractical. Therefore, our newly the demes which composed the Athenian city-state. developed view on democracy is as follows: on the When Athens reached the size of a city-state, the small scale, democracy is a viable form of govern- tribes became the oligarchs. This maintains consisten- ment. When a population grows and the differences cy with our model. Our model states that people form amongst citizens become more apparent, democracy oligarchies or democratic systems when the families must evolve into a system of representation in order come together to form communities. In this instance, to efficiently remain as the government of society.

References Age of Consent Law & Legal Definition. (2016). Re- trieved February 18, 2016, from US Legal: http:// Age of Consent Chart For The 50 States & D.C. definitions.uslegal.com/a/age-of-consent/ (2016). Retrieved February 18, 2016, from Age Carter, L. (1986). The Quiet Athenian. Oxford: Clar- of Consent: http://www.ageofconsent.us/ endon Press. ATHENIAN DEMOCRACY 139

Census History Staff. (2015, November 3). 1790 Fast Ober, J. (1993, September). Public Speech and the Facts. Retrieved December 2, 2015, from U.S. Power of the People in Democratic Athens. PS: Census Bureau: https://www.census.gov/histo- Political Science and Politics, 481-486. ry/www/through_the_decades/fast_facts/1790_ Reiter, B. (2013). Classical Citizenship: The Political fast_facts.html and the Social. In The Dialectics of Citizenship: Gomme, A. W. (1951, January 31). The Working of Exploring Privilege, Exclusion, and Racial- Athenian Democracy. History, 12-28. ization (pp. 43-66). Michigan State University Hansen, M. H. (1991). The Athenian Democracy Press. in the Age of Demosthenes. Oxford: Black- Rosivach, V. J. (1988). The Tyrant in Athenian De- well. mocracy. Quaderni Urbinati di Cultura Classica, Haper, D. (2016). Retrieved Feburary 9, 2016, from 43-57. Online Etymology Dictionary: http://www.ety- Rothchild, J. A. (2007). Introduction to the Athenian monline.com/index.php?term=constitution Democracy of the Fifth and Fourth Centuries Harper, D. (2016). Retrieved Feburary 9, 2016, from BCE. Wayne State University Law School Re- Online Etymology Dictionary: http://www.ety- search Paper , 7-32. monline.com/index.php?term=government Saxonhouse, A. W. (1993, September). Athenian Held, D. (2006). Models of Democracy. Stanford: Democracy: Modern Mythmakers and Ancient Stanford University Press. Theorists. PS: Political Science and Politics, Hornblower, S. (1992). Democracy: The Unfinished 486-490. Journey, 508 BC to AD 1993. Oxford: Oxford Schaps, D. M. (1974). What Was Free about a Free University Press. Athenian Woman? Transactions of the American Just: Definition of Just in Oxford Dictionary. (2016). Philological Association, 161-188. Retrieved February 18, 2016, from Oxford Dic- Stanyan, T. (1751). The Grecian History. London: J tionaries: http://www.oxforddictionaries.com/ & R Tonson and S. Draper. us/definition/american_english/just Taylor, C. (2001, April). Bribery in Athenian Politics Justice: Definition of Justice in Oxford Dictionary. Part I: Accusations, Allegations, and Slander. (2016). Retrieved February 18, 2016, from Greece & Rome, 53-66. Oxford Dictionaries: http://www.oxforddictio- Taylor, C. (2007, April - June). From the Whole Citi- naries.com/us/definition/american_english/jus- zen Body? The Sociology of Election and Lot in tice the Athenian Democracy. Hesperia: The Journal Kapparis, K. (1998). The Law on the Age of Speak- of the American School of Classical Studies at ers in the Athenian Assembly. Rheinisches Mu- Athens, 323-345. seum für Philologie, 255-259. Thucydides. (1972). The Peloponnesian War. Har- Mitford, W. (1838). The History of Greece. London: mondsworth: Penguin. T. Cadell, Strand. White, M. (1955). Greek Tyranny. Phoenix, 1-18. Morgan, M. L. (2005). Classics of Moral and Polit- Winton, R. (2004). Thucydides 2, 37, 1: Pericles on ical Theory. Indianapolis: Hackett Publishing Athenian Democracy. Rheinisches Museum für Company, Inc. Philologie, 26-34.

Plato discusses the nature of humanity and governence with Aristotle in this detail from Raphael’s The School of Athens, 1509-1511. 140 ANTHONY HADDOX

Anthony Haddox

Anthony Wayne Haddox is a sixth year double majoring in political science and computer science. His expected graduation date is June 2017. After graduating, he plans to enter the technology sector as a software engineer. C.P.P. UNDERGRADUATE JOURNAL OF POLITICAL SCIENCE 141 ORGANIZATIONS

THE POLITICAL SCIENCE CLUB Established in 2005, the Political Science Club represents Political Science majors and those who enjoy politics. The club publicizes career opportunities for the major, offers post-graduate advising, provides a forum to discuss political matters, and contributes the betterment of the campus and surrounding communities. Meetings are held weekly on Thursdays at U-Hour (12:00 PM to 12:50 PM) in Building 5 Room 138.

New members are always welcome! »» Poli Sci Club Executive Board 2015-2016 MOCK TRIAL The Cal Poly Pomona Mock Trial team is an organization that brings interested students together to simulate the practice »» Mock Trial Team 2015-2016 of law in a mock trial. The organization competes at multiple tournaments against schools from across the country. Through trial simulations, the Mock Trial Team not only allows students to participate in an organization unlike any other on campus, but it also allows students to develop public speaking and critical thinking skills. In order to participate students must take the prerequisite PLS 308 and PLS 308 Activity courses where they will learn the basics of trial advocacy and they will have the opportunity to be invited to participate based off in-class participation and work product. NATIONAL MODEL UNITED NATIONS (NMUN) The Cal Poly Pomona NMUN team is a prestigious, award- » NMUN Team 2015-2016 » winning organization where students interested in the field of international relations come together to simulate the United Nations. Students will be assigned an UN committee and act as delegates for the assigned country. In NMUN, students hone in their research, writing, public speaking, and diplomacy skills through class exercises and NMUN simulations. NMUN offers students the opportunity to meet their peers from across the country and the world at the NMUN NY conference which is usually held in late March. Interested students can apply to join the NMUN team through an application which is available during fall quarter and go through an interview process. Once selected, students are required to sign up for a class during winter quarter.