(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters · 2010/4/9  · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (2024)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (1)

The Journal of the Utah Academy of Sciences, Arts, & Letters Volume 87 • 2010

Includes selected and refereed articles from the 2010 Annual Conference

held at Dixie State College

April 9, 2010 Editor Kristin L. Kraus

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (2)

Copyright 2011, Utah Academy of Sciences, Arts, & Letters. Copyright reverts to authors after publication. Printed in the United States of America by Brigham Young University Academic Publishing, Provo, Utah. Neither the editors nor the sponsoring organization assumes responsibility for statements of fact or opinion made by the contributors. ISBN 978-0-9815501-4-5 All Rights Reserved

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (3)

Board of Editors Art: Nichole Ortega Biological Science: Erin O'Brien Business: Jonathan H. Westover Education: Joyce Sibbett Health, Physical Education, and Outdoor Recreation: Shaunna McGhie Letters, Humanities, and Philosophy: Matias Martinez-Abeijon Letters, Language, and Literature: Steve Peterson Physical Science: Jean-Francois VanHuele Social Science: Rob Reynolds 2009-2010 Utah Academy of Sciences, Arts, & Letters Officers President-Elect: Nichole Ortega President: Spencer Blake Past President-Elect: Steve Turley General Secretary & Membership: CoCo James Treasurer: Karl Israelsen Publicity: Peter Kraus Member at Large: Dwight Israelsen Division Chairs Art: Nichole Ortega, Utah Valley University Biological Science: Erin O'Brien, Dixie State College Business: Jonathan H. Westover, Utah Valley University Education: Joyce Sibbett, Westminster College Health, Physical Education, and Outdoor Recreation: Shaunna McGhie, Utah Valley University Letters, Humanities, and Philosophy: Matias Martinez-Abeijon,

Southern Utah University Letters, Language, and Literature: Steve Peterson, Snow College Physical Science: Jean-Francois VanHuele, Brigham Young University Social Science: Rob Reynolds, Weber State University Member at Large: Dwight Israelsen, Utah State University Cover Photo: Andrew Bishop

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (4)

Utah Academy of Sciences, Arts, and Letters History: Founded 3 April 1908, the Utah Academy of Sciences was organized "to promote investigations and diffuse knowledge in all areas of science." Beginning in 1923, the Academy started publishing the papers presented in its annual meetings in Proceedings. In June 1933 at the annual meeting, the Academy was enlarged to include arts and let-ters, and the name was changed to the Utah Academy of Sciences, Arts, and Letters. Articles of incorporation and non-profit organization status were accepted by the Academy membership at the spring meeting in April 1959. In 1977, the name of the journal of the Academy was changed from Proceedings to Encyclia. It became a refereed journal at this time. In the mid 1980s, the scope of the Academy was expanded further to include (1) business, (2) education, (3) engineering, (4) li-brary information and instruction, and (5) health, physical education, and recreation. Beginning with the 1998 issue, the journal became The Journal of the Utah Academy of Sciences, Arts, and Letters. Annual Meeting: The Academy's annual meetings are normally held in the spring on one of the Utah campuses of higher education. The plenary session is called the Tanner Lecture, endowed by Mr. O.C. Tanner in 1986. Best Paper Awards: The best paper presented in every division is given a cash award, which is presented at the Academy's "Awards Eve-ning" held the following fall. Distinguished Service Awards: The Academy recognizes outstanding contributions to teaching and scholarship by means of annual Distin-guished Service Awards, alternating every other year between disci-plines. Membership: When the Academy was founded in 1908, membership was by nomination, ratified by the Council, and elected by a "three-fourths votes of members present." Today, the Academy's membership is available by application. Institutional Members: All Utah institutions of higher education are members of the Utah Academy. The Academy appreciates their patron-age.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (5)

The Journal of the Utah Academy of Sciences, Arts, & Letters 5

PUBLICATION POLICY Papers published in The Journal of the Utah Academy of Sciences, Arts,

and Letters are drawn from papers presented by members in good standing at the annual conference of the Utah Academy. To qualify for publication, the papers must be recommended through a refereeing system.

Presenters are encouraged to publish their paper in The Journal of the Utah Academy. The Journal’s criteria are that a submission is (1) fresh, mean-ingful scholarly insight on its subject; (2) readable and well written; and (3) of general interest for an academic readership beyond the author’s field.

If you wish your paper to be considered for publication in The Journal, please send one hard copy of your paper and abstract to Spencer Blake, Sociol-ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three copies to the chair of your division by May 1, 2010. All submitted papers will be considered for an Outstanding Pa-per Award. Include both your institutional and home addresses and phone numbers, email address and fax number. Papers will be peer reviewed. Please suggest possible appropriated referees, including names, telephone numbers and addresses.

At the time of acceptance for publication, manuscripts must be submitted as an attachment in Microsoft Word via email, also attach a PDF. Figures, diagrams and photographs must be saved as TIFF files and should be no larger than 5 x 7. Papers must conform to the style of the paper’s discipline: MLA, APA, Chicago, CBE, or AIP. Papers should be between ten and twenty dou-ble-spaced pages.

The Journal of the Utah Academy is a refereed journal. Editorial re-sponses will be forthcoming after the resumption of school the following fall when referees have returned their comments to the division chairs.

Detailed publication guidelines are available at the Utah Academy web-site: www.utahacademy.org.

Among the bibliographic services listing at Bowker Serials Bibliogra-phies and The Standard Periodical Direction. Indexing and abstracting services that cite articles in the journal include Arts and Humanities Citation Index, Biosciences Information Services, Current Geographical Publicatoin, Chemical Abstracts, Mathematical Reviews, MLA Biography, Sociological Abstracts, Excerpta Botanica, Social Planning, Policy and Development Abstracts, Lan-guage and Language Behavior Abstracts, Index to Scientific Technical Pro-ceedings, and Index to Social Sciences, and Humanities Proceedings.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (6)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (7)

The Journal of the Utah Academy of Sciences, Arts, & Letters 7

The Journal of the Utah Academy of Sciences, Arts, & Letters—2010 AWARDS Distinguished Service Award 11 Academy Fellow 2010 13 John and Olga Gardner Prize 14 Tanner Lecture 15 Awards Evening Lecture 16 Honorary Member 17 2010 Best Paper Awards 19 ARTICLES ARTS

World War in the Wasatch Mountains 23 Stephen B. Armstrong, Dixie State College

InterPlay: Performing on a High-Tech Wire (Collaborative, Real-Time, Distributed, Surrealistic Cinema) 29

Elizabeth Ann Miklavcic and Jimmy Miklavcic, Another Language Performing Arts Company University of Utah Center for High Performance Computing

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (8)

8 The Journal of the Utah Academy of Sciences, Arts & Letters

BIOLOGICAL SCIENCES

Emerging Infectious Disease Chytridiomycosis and the Significance of the Absence of Batrachochytrium dendrobatidis on Hyla arenicolor in Zion National Park 49

Allystair D. Jones, Daniel J. Sumko, and Curt Walker, Dixie State College

BUSINESS

The Risk That Wasn’t There: Understanding the Role of Derivatives on Reducing and Creating Risk 57

Leo Chan, Utah Valley University

Complex Job Structure and Intelligence: A Research Proposal 69

Christopher Michael Nelson, Utah Valley University

Engaged Learning and the Entrepreneurial Mind Set 87 Peter B. Robinson, Utah Valley University

EDUCATION

The Weakening of Tenure and Post-Tenure Review: An Issue Analysis 111

John Hill, Salt Lake Community College

Westminster College’s Master of Arts in Teaching and YouthCity: An Effective After-School Partnership 121

Joyce Sibbett, Shamby Polychronis, and Elizabeth Robinson Rich, Westminster College

ENGINEERING

3-D Numerical Simulations of Liquid Laminar Flow at Re=1 over Super-hydrophobic Surfaces with Post Geometries 129

Abolfazl Amin, Utah Valley University

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (9)

The Journal of the Utah Academy of Sciences, Arts, & Letters 9

HEALTH, PHYSICAL EDUCATION, AND RECREATION

A Correlation between Collegiate Baseball Players’ Posture and Individual Baseball Statistics 145

Bret Boyer, Corey Rankin, Leoni Lobendahn, Jason Slack, Mike Bohne, Utah Valley University

Comparable Study: Running the 1.5-mile Run on a Treadmill Vs. Running the 1.5-mile Run on an Indoor Track 151

M. Vinson Miner and Jason Slack, Utah Valley University

LETTERS—PHILOSOPHY

Pedro Salinas’s Theory of Tourism 157 Andrew Bishop, Brigham Young University

The Women in Parzival: An Experiment in Jungian Literary Criticism 197

James W. Harrison, Southern Utah University

Parzival and the Hero Cycle 225 Jessica Pierce, Southern Utah University

LETTERS—LITERATURE

Victory of the Ash Buttocks: The Role of Hybridity in Colonization, Decolonization, and Postcolonization 235

Jennifer Gibb, Dixie State College

A Mean and Ungentlemanly Act: Casaubon’s Passive Aggressive Maneuvering in George Eliot’s Middlemarch 245

Randy Jasmine, Dixie State College

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (10)

10 The Journal of the Utah Academy of Sciences, Arts & Letters

PHYSICAL SCIENCES

Measurement of the Imaginary Index of Refraction of UOx in the Extreme Ultraviolet 255

Heidi M. Dumais, R. Steven Turley, and David D. Allred, Brigham Young University

Persistence of Magnetic Domain Memory Through Field Cycling in Exchange Bias Thin Films 267

Joseph Nelson, Brian Wilcken and Karine Chesnel, Brigham Young University

SOCIAL SCIENCES

Rare, Though it Shouldn’t Be: A Virgin's Perspective on Sexual Activity 275

CoCo James, Andrea Santurro, and Spencer Blake, Salt Lake Community College

Americanization of Russian Culture and Its Effects on English Language Acquisition in that Country 283

Olga A. Pilkington, Dixie State College

Reassessing American Foreign Policy Amidst the Maelstrom: The Last Superpower? Revisiting the Paradigm of Imperial Decline 293

G. Michael Stathis, Southern Utah University

The Economics of Geographical Ward Boundaries in the LDS Church 317

Daniel Robertson and Tyler Bowles, Utah State University

ABSTRACTS 337

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (11)

The Journal of the Utah Academy of Sciences, Arts, & Letters 11

DISTINGUISHED SERVICE AWARD

Dr. Harold McNamara Brigham Young University D. Harold McNamara was born in Salt Lake City and was educated in Salt Lake City schools. He attended the University of California, Berkeley, where he received his B.A. (1947) and Ph.D. (1950). During his career, Dr. McNamara was a professor at Brigham Young Univer-sity from 1955 until 2007, a Guest Investigator at many different ob-servatories, and Managing Editor of two different publications. He has authored or co-authored more than 100 publications and has presented in different countries around the world. Dr. McNamara received the Karl G. Maeser Research Award in 1966, the Fourth Distinguished Annual Faculty Lecture from Brigham Young University in 1967, the Wesley P. Lloyd Memorial Award in 1982-83, and the George Van Biesbroeck Prize in 2000. Dr. McNamara also served in the United States Navy during World War II (1943–1946), and retired as a Lieu-tenant JG. He is the father of 3 children and grandfather of 19 grand-children.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (12)

12 The Journal of the Utah Academy of Sciences, Arts & Letters

DISTINGUISHED SERVICE AWARD

Dr. Andrew Barnum Dixie State College Dr. Andrew H. Barnum was born in Mesquite, NV, and moved to St. George as a child. He attended Dixie Jr. College (A.S.), Brigham Young University (B.A. and M.A., summa cum laude for both), and Iowa State University (Ph.D.) and completed post-doctoral studies at Arizona State University. Dr. Barnum has been a part of the Dixie State College of Utah community since 1959. During his tenure at Dixie State College, Dr. Barnum has been a professor, Division Director of Biological Sciences, Dean of Natural Sciences, Dean of Administra-tion, and Vice President and Director of the College's Natural History Museum. He was also recognized by the U.S. Department of Agricul-ture as one of the three top entomology specialists in the United States. He has made significant contributions to BYU through donations of a valuable collection of beetles and another of grasshoppers, each num-bering more than 10,000 specimens, to be used in advanced study and research. Since Dr. Barnum’s retirement in 1995, he has worked as an unpaid volunteer for the college, running the Department of Biological Sciences introductory laboratory classes and continuing his work as director of the Museum. In addition, Dr. Barnum volunteers his time identifying cases of West Nile Virus for Washington County and classi-fying orthopteroid insects for both the Monte L. Bean Museum (BYU) and the C.P. Gillette Museum of Arthropod Diversity (Colorado State). Dr. Barnum published one of his first papers with the Utah Academy in 1953.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (13)

The Journal of the Utah Academy of Sciences, Arts, & Letters 13

ACADEMY FELLOW 2010

Dr. Ted Warner Brigham Young University Dr. Ted J. Warner, Professor Emeritus of History at Brigham Young University, received his B.A. and M.A. at BYU and his Ph.D. at the University of New Mexico. He taught history at BYU for 32 years. Altogether he taught for 39 years, including two years at the College of Eastern Utah, one year in London, one year in Madrid, one year in China, and two years at the Joseph Smith Academy in Nauvoo, Illinois. His major area of teaching and research was the Spanish Borderlands— that part of Northern Mexico and the Southwestern part of the United States that the Spaniards explored, colonized, and exploited. Dr. War-ner served in administration duties at BYU as History Department Chairman, Dean of the College, and Director of International Programs. He has been married for 56 years to Dr. Doris S Warner, a retired teacher who taught for 42 years!

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (14)

14 The Journal of the Utah Academy of Sciences, Arts & Letters

JOHN AND OLGA GARDNER PRIZE

Michael Ballum Utah Festival Opera Michael Ballam has received critical acclaim with the major opera companies of the U.S. and a recital career in the most important concert halls of every continent. His operatic repertoire includes more than 600 performances of over 70 major roles, sharing the stage with the world's greatest singers. At the age of 24, Mr. Ballam became the youngest recipient of the degree of Doctor of Music with Distinction in the his-tory of Indiana University. An accomplished pianist and oboist, he is the Founder and General Director of the Utah Festival Opera, which is fast becoming one of the nations major opera festivals. A Professor of Music at Utah State University, he is the author of over 40 publications and recordings in international distribution, has a weekly radio program on Utah Public Radio, starred in three major motion pictures and ap-pears regularly on television, and serves on the Board of Directors of 12 professional arts organizations.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (15)

The Journal of the Utah Academy of Sciences, Arts, & Letters 15

TANNER LECTURE

Power, Place and Prejudice W. Paul Reeve University of Utah “By 1866, the power for making space in southwestern Utah Territory shifted far afield from local Mormon, miner, or Paiute control to the halls of Congress. A hierarchy of power emerged that privileged Ne-vada's mining frontier over Mormons and Paiutes and that built bor-ders to enforce its prejudices. . . . The mere promise of silver hidden in a small spot of ground, possibly in Utah Territory, was enough to lift a 300 mile long border and toss it fifty miles east.” W. Paul Reeve is Associate Professor of History at the University of Utah and Associate Chair of the History department, where he teaches Utah history and history of the U.S. West. He is on the board of editors of the Utah Historical Quarterly, the governing board of the Mormon History Association, and the Faculty Advisory Council of the Univer-sity of Utah Press. The University of Illinois Press published his first book, Making Space on the Western Frontier: Mormons, Miners, and Southern Paiutes, in April 2007. The Mormon History Association awarded Making Space the Smith-Pettit Best First Book award in 2008. In 2007 Reeve was awarded a Mayers Research Fellowship at the Huntington Library in San Marino, California and a Virgil C. Al-drich Research Fellowship at the Tanner Humanities Center at the Uni-versity of Utah. He is researching 19th-century notions of Mormon physical otherness, including ways in which outsiders racialized Mor-mons and a corresponding Mormon effort to claim whiteness for them-selves. His future book on the subject, Religion of a Different Color: Race, Whiteness, and Mormon Bodies, is under contract with Oxford University Press. His Tanner Lecture explores the strange series of events touched off when a Southern-Paiute-Indian-agent-turned-prospector discovered silver in a remote Nevada desert in 1865. Before it ended, Congress intervened to make decisions that impacted southern Utah Mormons, Southern Paiutes, and the very shape of Utah.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (16)

16 The Journal of the Utah Academy of Sciences, Arts & Letters

AWARDS EVENING LECTURE

Dr. Brandie R. Siegfried Brigham Young University Dr. Brandie R. Siegfried is Associate Professor of English at Brigham Young University. She received her B.A. and M.A. in English and American literature at BYU. She went on to complete a Ph.D. in Eng-lish and American literature at Brandeis University, where she also finished an additional M.A. in Women’s Studies. In her 17 years pro-fessing 16th and 17th century English literature and culture, she has re-ceived numerous research and teaching awards. She specializes in Shakespeare but also teaches and publishes on a variety of poets, essay-ists, and dramatists of the Renaissance. Her various publications ad-dress topics such as the conflict between theories of chance and probability in the 17th century; the philosophies of art in 16th century drama, painting, and book illustration; and the theological implications of 16th and 17th century theories of science. One of her forthcoming books, ‘The Rational Soul’: Science, Philosophy, and the Idea of God in the Works of Margaret Cavendish, includes essays by several of the foremost current thinkers on the Cavendish circle’s influence on devel-opments in 17th century natural philosophy. In addition, Prof. Siegfried has served as President of the International Margaret Cavendish Soci-ety, an academic group which explores the interrelations of literature, art, and science in the later English Renaissance. She is currently president-elect of the Queen Elizabeth I Society. On a more personal note, she loves cycling, skiing, tennis, fencing, shooting, and knife throwing. She is an avid reader of detective fiction, enjoys R&B mu-sic, and is currently teaching herself classical guitar. Originally from Oregon, she occasionally misses the ocean, but finds the beauty of Mt. Timpanogos to be every bit as ravishing.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (17)

The Journal of the Utah Academy of Sciences, Arts, & Letters 17

HONORARY MEMBER Paul Rolly Salt Lake Tribune Paul Rolly is a life-long resident of Salt Lake City and graduated from the University of Utah with a B.S. in political science with a minor in journalism. He has worked at the Salt Lake Tribune since 1973, except for a three-year interruption in the early 1980s, when he joined the Salt Lake City bureau of United Press International as UPI's state govern-ment and political reporter as well as the Utah Correspondent for UPI's national political report. He also spent a year as bureau chief. When he returned to the Tribune, he was the state government, legislative, and political reporter. He was named business editor of the Tribune in 1990, but after a year was persuaded to start a column with JoAnn Jacobsen Wells, called “Rolly and Wells.” Since Wells retired in 2004, Rolly has written the column solo. He also writes a Sunday column for the Trib-une's Opinion section focused on local politics. He has been a corre-spondent for the Wall Street Journal and has taught a column-writing class at Weber State University. He also served on the board of the Utah Chapter of the National Society of Professional Journalists and served as its president for one year. He is married to Dawn House, who also works at the Tribune as a business reporter.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (18)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (19)

The Journal of the Utah Academy of Sciences, Arts, & Letters 19

2010 BEST PAPER AWARDS

Arts

Interplay: Performing on a High-Tech Wire Elizabeth Ann Miklavcic and Jimmy Miklavcic University of Utah Biological Science

Emerging Infectious Disease Chytridiomycosis and the Significance of the Absence of Batrachochytrium dendrobatidis on Hyla arenicolor in Zion National Park Allystair Jones, Daniel J. Sumko, and Curt Walker Dixie State College Business

Engaged Learning and the Entrepreneurial Mindset Peter B. Robinson Utah Valley University Education

The Weakening of Tenure and Post-Tenure Review: An Issue Analysis John Hill Salt Lake Community College Health Sciences and Outdoor Recreation

Comparable Study: Running the 1.5-Mile Run on a Treadmill vs. Running the 1.5-Mile Run on an Indoor Track M. Vinson Miner and Jason Slack Utah Valley University

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (20)

20 The Journal of the Utah Academy of Sciences, Arts, & Letters

Physical Science

The Persistence of Magnetic Domain Memory Through Field Cycling in Exchange Bias Thin Films Joseph Nelson and Karine Chesnel Brigham Young University Letters: Literature/Language

A Mean and Ungentlemanly Act: Casaubon’s Passive Aggressive Maneuvering in George Eliot’s Middlemarch Randy Jasmine Dixie State College Victory of the Ash Buttocks Jennifer Gibb Dixie State College Letters: Humanities/Philosophy/Foreign Langauge

Pedro Salinas’ Theory of Tourism Andrew Bishop Brigham Young University

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (21)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (22)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (23)

World War in the Wasatch Mountains

Stephen B. Armstrong Dixie State College

Abstract In 1967, director Andrew V. McLaglen came to Utah to shoot a World War II adventure film with actors William Holden, Vince Edwards, and Cliff Robertson. Titled The Devil’s Brigade, the motion picture chroni-cles the efforts of American and Canadian troops as they struggle to drive Nazi forces out of the Italian Alps. For the picture’s climactic sequence, McLaglen and the film’s producer, David L. Wolper, set up their cameras in and around the Wasatch Front, exploiting the area’s soaring cliffs and sweeping views. This paper traces the production history of The Devil’s Brigade, providing information about the film-makers’ reasons for choosing the Wasatch region as a production loca-tion and the challenges they experienced shooting their movie in this rugged section of our state.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (24)

24 Arts

Released in 1968, The Devil’s Brigade is a World War II–era ad-venture film that follows a group of soldiers who train for and eventu-ally lead a pair of dangerous assaults in the Italian Alps. Much of the outdoor footage that appears in the picture was shot in the mountains that surround Salt Lake City, Utah.

A brief summary of the film’s plot may be helpful. The Devil’s Brigade opens in the summer of 1942, as Robert T. Frederick, a lieu-tenant colonel in the United States Army, is told to create a special fighting unit comprised of Canadian and American soldiers. Called the 1st Special Service Force, the group is charged with driving the Nazis out of Norway. Given only four months to prepare the men, Frederick faces numerous obstacles: While the Canadians are all exemplary sol-diers, the Americans are criminals and miscreants.

Training in Montana, the soldiers eventually become adept at hand-to-hand combat, skiing, and mountain climbing. Then Frederick learns that the mission to Norway has been cancelled. Hating to see his men’s efforts go to waste, the lieutenant colonel persuades his superiors in Washington to send the men to Italy to conduct a raid on a small mountain town held by the Germans. The attack is successful, and the soldiers bring back several prisoners. During an interrogation, a cap-tured officer refers to Frederick’s soldiers as devils, and thereafter the members of the 1st Special Service Force call themselves “The Devil’s Brigade.” The men’s prowess subsequently lands them another assign-ment. This time, they are sent to knock out a battalion of Germans who occupy a mountain along the route to Rome.

The Devil’s Brigade was directed by Andrew V. McLaglen, a pro-lific American filmmaker who may be best remembered for making Westerns like Shenandoah (1965) with Jimmy Stewart and Chisum (1970) with John Wayne. David L. Wolper served as the film’s execu-tive producer, his first venture into motion picture production. Previ-ously, Wolper had established himself as a television producer, with credits that included several notable documentaries about the Second World War: D-Day June 6, 1944 (1962); France: Conquest to Libera-tion (1965); and Prelude to War (1965).

In his memoir Producer, Wolper explains that he became inter-ested in making a feature about the 1st Special Service Force after “an agent sent me the manuscript of a book…entitled The Devil’s Brigade,” by Robert Aldeman and George Walton. “It was a terrific story and I made a deal with United Artists to produce it” (Wolper, 161). It should be noted that Aldeman and Walton’s book was based on actual events. For the script, Wolper hired William Roberts, who had written the screenplay for John Sturges’s The Magnificent Seven (1960), which, like The Devil’s Brigade, tells the story of a unit of fighting men who

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (25)

The Devil’s Brigade 25

face a nearly impossible challenge. Wolper and McLaglen managed to put together an all-star cast for the film, signing Vince Edwards, Cliff Robertson, and William Holden, who played the lead role of Lt. Colo-nel Frederick.

The filmmakers arrived in Utah to shoot their picture in the spring of 1967, drawn by the state’s stunning Wasatch Front area. The Mon-tana camp where Frederick first organizes his men, for example, is in fact Camp W.G. Williams, a training facility administered by the Utah National Guard in Riverton, and the Italian mountain where the soldiers subdue the enemy in the movie’s climactic sequence was actually shot east of Draper in the Lone Peak Wilderness Area, on Lone Peak’s mountain summit. The Salt Lake Tribune notes that Wolper and McLaglen “persuaded the Utah National Guard to grade a road up a steep ridge to the spectacular Jacob’s Ladder area on Lone Peak’s south slope.” (“Andrew McLaglen Keeps Control at all Times”; “Cops Break Out Heavy-Duty Machines”). The road was used to transport cast, crew, and equipment to the mountaintop. The producers leased a heli-copter as well (Thomas, 160).

Salt Lake City served as home for the cast and crew when they weren’t shooting. The film’s director Andy McLaglen was an enor-mous boxing fan, and on his first night in town, after checking into his hotel, he headed out to the Valley Music Center in Bountiful to watch West Jordan native Don Fullmer in a bout. After the match, McLaglen approached the fighter and invited him and his brother Gene, another boxer, to appear in the picture. The two accepted the offer and can be seen in a barroom brawl sequence that appears about a third into The Devil’s Brigade. This sequence, incidentally, was filmed in the Na-tional Guard armory in Lehi (“Now Meet Andy McLaglen”).

Although conditions on the mountains were windy and cold when the filmmakers were photographing exterior sequences, shooting gen-erally went smoothly. Leading man William Holden, however, was an alcoholic, which proved to be an occasional problem for McLaglen. The director recalled that “when the actor was drinking, his whole per-sonality changed. He became garrulous, talkative, loud, outgoing. His performance, which at most times would be a hundred percent, became inept. He tottered on his feet, steeling himself to say the dialogue. Usu-ally he made it through. I had to reshoot only one scene because he was drunk’” (Personal interview). Ironically, the scene that McLaglen had to reshoot follows the barroom brawl sequence in which the Fullmer brothers appear. Holden’s character actually scolds the soldiers for be-ing intoxicated. When the production moved to Italy later that spring to complete the production, Holden’s drinking became more serious. At one point, he got so drunk that he became irate during a scene and

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (26)

26 Arts

turned a machine gun he was carrying on a crowd of bystanders and fired. Fortunately, the gun was loaded with blanks, not live ammunition (Thomas, 161; Capua, 132).

There was one other dilemma for the filmmakers, albeit a minor one, that surfaced during the Utah shoot. For a sequence in which Fre-derick’s soldiers are taught to ski, some students from the University of Utah showed up and sneaked themselves into the picture. An article that appeared in the Deseret News explains: “Pam Richards and Kim Powley, both co-eds at the University of Utah, heard that David L. Wolper’s ‘The Devil’s Brigade’ was filming ski training scenes…near Salt Lake City. They decided to become extras in the picture….There was just one hitch: There were no females in the scenes, just stars Wil-liam Holden, Cliff Robertson and Vince Edwards, plus the busy extras, all members of the National Ski Patrol. It was this last that made it easy—the girls simply climbed into the baggy white parkas and ski pants worn by the Ski Patrol, acted as much like males as possible, and weren’t discovered till [sic] the parkas came off at lunch. Had they been trying to crash the movies, Director McLaglen asked. ‘Gosh, no!’ Pam said. ‘We’re not interested in Hollywood. We just wanted the $15 a day you pay—and a chance to meet all those boys’” (“Money Lured Them to the Screen”).

The Devil’s Brigade received mixed reviews and stumbled at the box office upon its release in May 1968 (“Cinema: The Devil’s Bri-gade”). [The film had its premiere screening in Salt Lake City at the Lyric Theater near Temple Square, (“‘Brigade’ Has Humor, Action”).] Many critics faulted the picture for bearing too close a resemblance to Robert Aldrich’s The Dirty Dozen (1967), which also focuses on misfit soldiers who undergo rigorous training before they head out for battle. The review in Time, for instance, noted, “Last year it was The Dirty Dozen. This year it is the filthy 1,500, a mixed bag of World War II regimental rejects who hate the brass en masse. As in Dozen, they are given a last chance to shape up or ship out.” Wolper, however, claims that he and McLaglen had no intention of mimicking the earlier film; he argued that the parallels between the two pictures were coincidental and that rather than being helped by its likeness to The Dirty Dozen, The Devil’s Brigade suffered: “Unfortunately, [our picture] came out just a few months after the release of The Dirty Dozen, which was the same kind of story. It was a big hit and it killed us. We got lost in the wind” (Wolper, 164).

The Devil’s Brigade may have had a poor run at the box office, but in the decades since its release, it has nevertheless found an audi-ence of admirers, thanks in part to frequent broadcasts on cable televi-sion. Notably, director Quentin Tarantino has cited the feature as an

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (27)

The Devil’s Brigade 27

influence on his Oscar-winning blockbuster Inglourious Basterds. (“Pulp and Circ*mstance”). The outdoor sequences in Tarantino’s lauded film, however, were shot in Germany and France, and while the landscapes in this picture are often scenic, they lack the grandeur that characterizes the jagged peaks and sprawling valleys that surface in The Devil’s Brigade (“Bunch of Guys on a Mission Movie”). Might In-glourious Basterds have been a stronger film if Tarantino had shot it in Utah? We can only guess.

Works Cited Capua, Michelangelo. William Holden: A Biography. Jefferson, NC: McFarland, 2010.

Greenberg, Abe. “Now Meet Andy McLaglen.” Citizen News. 24 Feb. 1968.

Hohennadel, Kristin. “Bunch of Guys on a Mission Movie.” New York Times 6 May 2009: AR15

McLaglen, Andrew. Personal interview. 10 Mar. 2010.

Pearson, Howard. “‘Brigade’ Has Humor, Action.” Deseret News [Salt Lake City] 20 May 1968: 2B.

Staff. “Andrew McLaglen Keeps Control at all Times.” Ottawa Citizen [Can.] 3 June 1967: 20.

Staff. “Cinema: The Devil’s Brigade.” Time 31 May 1968.

Staff. “Money Lured Them to Camera.” Deseret News [Salt Lake City] 26 Dec. 1967: 8A.

The Devil’s Brigade. Dir. Andrew V. McLaglen. Perfs. William Holden, Vince Edwards, Cliff Robertson. 1967. DVD. United Artists, 2002.

Tarantino, Quentin. “Pulp and Circ*mstance: Tarantino Rewrites History.” Fresh Air. National Public Radio. KNPR, Las Vegas. 27 Aug. 2010.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (28)

28 Arts

Thomas, Bob. Golden Boy: The Untold Story of William Holden. New York, St. Martin’s, 1983.

Ure, John. “Cops Break Out Heavy-Duty Machines to Retake Ravaged Corner Canyon.” Salt Lake Tribune 2 May 1994: D1.

Wolper, David L., with David Fisher. Producer: A Memoir. New York: Scribner, 2003.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (29)

InterPlay: Performing on a High-Tech Wire (Collaborative, Real-Time, Distributed, Surrealistic Cinema)

Elizabeth Ann Miklavcic and Jimmy Miklavcic Another Language Performing Arts Company Uni-versity of Utah Center for High Performance Com-puting

Abstract This paper will describe the InterPlay form and discuss its process and structure through the investigation of eight InterPlay performances. It will analyze some of the issues that have been encountered and sur-mounted and those that require continued examination. It will also dis-cuss subjects such as distributed collaboration, communications, production elements, real and virtual venues, and the layered develop-ment of works within this innovative art form.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (30)

30 Arts

Introduction InterPlay, a Telematic Performance Form

Telematic performance maintains connections to early Fluxus events of the 1960s and 1970s by artists such as John Cage and Alan Kaprow (Bukoff 2006). In the 1980s, artists such as Roy Ascott began integrating computer, networking, communications technology, and infrastructure into what is now defined as telematic art, with works like La Plissure du Texte (1983) (Shanken 2003). In the new millennium, artists and technologists in academic institutions have taken advantage of the latest network and computer advances to investigate the creative possibilities in merging dance, music, visual arts, and theater with the global network infrastructure to create innovative collaborative works. Another Language Performing Arts Company (ALPAC), in partnership with the University of Utah (UU) and the Center for High Performance Computing (CHPC), is among the leaders in telematic performance.

InterPlay is a multifaceted, real-time, collaborative digital per-formance event that occurs simultaneously at multiple sites throughout the world. Artists and technologists from several academic institutions synchronously perform and collaborate in real-time, streaming digital cinema and audio while using media and technologies of various forms, such as computer animation, remote Musical Instrument Digital Inter-face (MIDI) control, motion capture, interactive distributed virtual real-ity, and Access Grid®.

Electro-acoustic musicians, dancers, actors, digital graphic artists, virtual reality designers, video artists, motion control engineers, and a variety of creative technologists come together, integrating their ideas into this large-scale, distributed performance. Each performance site generates two or more video and audio streams, using the Access Grid video communications technology, and transmits them onto Internet2. These video streams are collected, processed, combined into the digital mix at the host site, and then transmitted back onto the network. This multimedia content is integrated into each site’s local performance, creating a live, distributed, cinematic performance event.

The first InterPlay performance premiered in March 2003 with In-terPlay: Intransitive Senses. Since then, there have been seven addi-tional InterPlay productions.

The Process and Structure

The collaborative creative process and the technological structure of an InterPlay performance is a complex undertaking that involves distributed creative collaboration, digital communication, technological

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (31)

InterPlay 31

and network infrastructure support, production elements, rehearsal, and performance. Each of these elements possesses several challenges that require close attention by the directors of the host site. The host site is responsible for the execution of the entire project. This also includes scheduling weekly distributed video conference meetings, testing new technologies and integrating them into the project, network trouble-shooting, systems support, communication, overall publicity, documen-tation, rehearsals, direction, and post production. The University of Utah CHPC was the host site for the InterPlay performance series, codirected by Elizabeth and Jimmy Miklavcic from 2003 through 2010.

Distributed Collaboration The InterPlay begins with an artistic concept as a foundation on

which all participants can build. Artists and technologists at each site interpret the artistic concept and create a performance based on their particular discipline and technological infrastructure. The host site guides, directs, and assists the participants in the development of each site’s creative contribution to integrate that work into the entire artistic event.

The coordinators of the participating sites are responsible for all local creative and technological contributions to the project. They work closely with their regional artists and technologists, schedule local meetings and testing sessions, monitor creative and technical progress, generate local publicity, and are responsible for other activities at their site.

Communications

The InterPlay form is built on an infrastructure of internet proto-col (IP)-based telecommunications. ALPAC and all collaborating sites use the Access Grid technology for telecommunications and perform-ance activities The level of communication necessary to create a coor-dinated piece over long distances is extensive. Constant communication with all participating sites is crucial to the success of the production; this process consists of videoconference meetings, telephone calls, emails, wikis, and web blogs. To coordinate and develop a project, no single form of communication is sufficient in this collaborative process. For example, to create a fully integrated piece such as InterPlay: Nel Tempo di Sogno (2007), three or four meetings a week with individuals and groups, telephone calls, web blogs, as well as more than 500 e-mail messages were required to coalesce the six participating sites.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (32)

32 Arts

Technology and Network Infrastructure Jimmy Miklavcic, with the assistance of Sam Listen at CHPC,

adapted the Access Grid technology for use as a performance system, modeling the venue server, artgridvs.chpc.utah.edu, after a theater space. The virtual Lobby has access to a Black Box, a Café, a Theatre, and two Studios. Through the Theatre, there is access to the Back Stage, Green Rooms, and other virtual areas. The goal is to one day map the virtual theatre to physical theatrical spaces, connecting com-ponents of several theaters distributed globally.

The Access Grid software is scalable and can operate on a single laptop or expand to a larger Enhanced Performance Grid. The En-hanced Performance Grid is an environment of as many as 20 various systems that, together, supports the InterPlay event. It consists of streaming, broadcast, display, video-capture, recording and venue serv-ers, an audio control system, streaming collectors, video effects proces-sors, and text-chat systems. The heterogeneous computational environment creates a highly distributed event, taking into account all the participating sites.

Production Elements The technological tools used during the InterPlay performance are

crucial. Professional video cameras, high-fidelity microphones, com-puters, lighting design, and a detailed layout of the performance space are used to provide high-quality content. A team of creative technicians at each site is necessary: Minimally, this includes a cinematic display operator, a lighting technician, several camera operators, an audio en-gineer, and a performance manager. Communication with the site’s network personnel is essential, and some understanding of the back-bone network topology is helpful.

During performances, the camera is a portal into the artist’s world. Awareness of the quality of the streamed video and its framing is imperative. Providing useful content is achieved by having knowl-edge of camera technique and effective lighting. Regardless of the qual-ity of each site’s live performance, if it is not visually comprehendible through the camera, then the work is lost within the scope of the Inter-Play. Providing high-quality visual imagery is important even if the main component supplied by the participating site is audio. Some con-siderations include close, medium, or wide shots to produce compelling imagery enhancing the overall InterPlay production.

Lighting and audio design is critical for an interesting and techni-cally executed performance. Each site’s local performance needs a

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (33)

InterPlay 33

lighting plan that encompasses both a well-lit theatrical design for their live audience and a cinematic lighting design for the camera to benefit the network audience.

Providing high-fidelity audio is a primary component and the most pronounced challenge of working within this form. There are many components in the audio design that can malfunction, and trou-bleshooting such problems is complex. The audio equipment required includes an echo canceling system, audio transmission software, a sound card’s software mixing system, microphones, audio mixer, and local/remote sound systems.

Performance Venues Performance venues exist in two forms, the physical and the vir-

tual. The physical performance venue is the space that houses each site’s live performance and its audience. The virtual performance venue is the place where the Internet viewer can experience the performance.

There are very few traditional performance venues that have the cyber infrastructure required to support an InterPlay event. In Utah, ALPAC uses a lecture hall in the Intermountain Networking and Scien-tific Computation Center (INSCC) at the UU. Other examples include the Electronic Visualization Lab at the University of Illinois, Chicago, and the Discovery Lab in the Arctic Region Supercomputing Center (ARSC) at the University of Alaska, Fairbanks (UAF).

The Access Grid technology provides the best virtual view of the InterPlay event, for the Internet audience, with its multiple video and audio streams. The viewer is able to see all simultaneous content, including the digital mix. A live QuickTime stream of the digital mix is also available on ALPAC’s web site, www.anotherlanguage. org/interplay.

During the 2007 InterPlay performance, an uncompressed 30 megabit-per-second digital video stream using the Digital Video Trans-port Systems (DVTS) was provided. This video stream was only avail-able to users that connected through professional or educational facilities with the appropriate bandwidth and infrastructure. As of 2009, the performances have been streamed into Second Life at the UU Mar-riott Library Island, and in 2010, the UU Information Technology De-partment established a live Flash broadcast.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (34)

34 Arts

Rehearsals InterPlay rehearsals include individual site testing and experimen-

tation followed by a progression into multi-site rehearsals. Scheduling involves the coordination of local and remote teams. This requires awareness of the time zone differences and the schedules of each site’s participants. Differences in time zones can result in confusion, so it is helpful if the schedule specifies the appropriate times for each zone.

The rehearsals function as test sessions and technical trials, where performers interact with the technology. These preparations are critical in determining what technologies can be incorporated into the project. This is the time for troubleshooting multicast network issues; testing and integrating software and hardware development, utilizing new au-dio–video streaming systems, adjusting human–technology interfaces, researching other emerging technologies, and, most importantly, inte-grating the artistic contributions from each site into the overall Inter-Play event. InterPlay Performances

ALPAC, in partnership with the UU CHPC, hosted, created, and produced eight InterPlay projects in collaboration with 16 institutions and research labs across North America, Canada, and the United King-dom from 2003 to 2010. The following project descriptions will high-light many of the structural concepts of the InterPlay process. More information and videos of these performances can be seen at www.anotherlanguage.org/interplay.

InterPlay: Intransitive Senses (2003) InterPlay: Intransitive Senses, directed by Jimmy Miklavcic,

premiered on April 19, 2003, was an investigation that concurrently streamed four simultaneous performances and processed the video streams as found objects. The overall goal was to weave a distributed tapestry of kinetic imagery. It incorporated four performances from four locations on the first floor of the INSCC building. This prototype project provided an opportunity to understand the constructs needed to expand the collaboration process into a larger, more complex distrib-uted event. Intransitive Senses included four simultaneous perform-ances by five artists, Elizabeth and Hanelle Miklavcic (performance artists), Flavia Cervino-Wood (violinist and performance artist), Harold

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (35)

InterPlay 35

Carr (bassist and poet), and Alex Caldiero (poet and sonosopher). A camera operator was assigned to each performance location in the building, and the corresponding video feeds were mixed, processed, and transmitted onto the Internet.

InterPlay: Intransitive Senses was performed a second time for the Symposium in Science and Literature at the UU on October 10, 2003. Artists for this performance were Elizabeth and Hanelle Mik-lavcic, Alex Caldiero, Sam Liston (guitarist), and Kate Macleod (vio-linist). In this performance, Elizabeth and Hanelle’s performance was placed on the third floor of the INSCC building to simulate a remote site and to test the reliability of video, audio, and communications over a longer distance.

Embedded Performance (Utah) - Tea Party Elizabeth Miklavcic investigated the development of embedded

performance works within the InterPlay form. In the first four Inter-Plays, Elizabeth conceived the embedded performance as an anchor event for the local Utah audience and as a foundation to the shape of the overall InterPlay event. In InterPlay: Intransitive Senses, she cre-ated Tea Party.

As one of the UU’s four simultaneous performances of InterPlay: Intransitive Senses, it was a performance/installation that depicted a cross-generational place of play and sharing within the simple con-structs of a tea party. It was a very gentle piece that focused on accep-tance, by allowing the tea party guests (Elizabeth and Hanelle Miklavcic) to play through the fantasy of color and design.

(Left) Video still from InterPlay: Intransitive Senses. Pictured: Flavia Cervino-Wood, Alex Caldiero. (Right) Hanelle Miklavcic in Tea Party

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (36)

36 Arts

Magical bags were filled with a variety of items and hung from the ceiling. The bags depicted the magic of discovery; once the con-tents were exposed, they were then explored and incorporated into the ever-changing environment of the tea party installation. The sequence of actions by the partygoers was predetermined, but the conversation and some of the events were left open to improvisation. By the time the tea party came to a conclusion, the whole environment had been trans-formed by the interaction of the two people spending time together.

InterPlay: Hallucinations (2004)

InterPlay: Hallucinations debuted on April 23–25, 2004. This performance, for the first time, incorporated remote sites: the UAF and the ARSC, with artists Miho Aoki (computer graphics), Scott Deal (percussion), and Paul Mercer (technologist); the University of Mary-land (UMD), with artists Nadja Masura (video) and Brian Buck (dance); and ALPAC at the UU.

(Left) Video still from InterPlay: Hallucinations. Pictured Mary Larimer, Brian Buck. (Right) Aaron Henry, Tony Larimer and Beth Miklavcic in The Surface

of Things.

Hallucinations explored various types of social, commercial, and political hallucinations. Each site interpreted the concept through sev-eral different performance and media forms. Artists from UMD inves-tigated commercial and political brainwashing through dance and video, UAF investigated the delusion of communication through music and computer animation, and UU dealt with social hallucinations through computer animation and the theatrical performance of Eliza-beth Miklavcic’s The Surface of Things.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (37)

InterPlay 37

Embedded Performance (Utah) - The Surface of Things The Surface of Things focused on stereotypes of first impressions

and assumptions that are in direct conflict with the real personae. The work consisted of a younger man, Opponent A (Aaron Henry), and an older woman, Opponent B (Elizabeth Miklavcic), and a mediating Judge (Tony Larimer). Opponents A and B vocalized assumptions based on outward appearances. They directed video cameras at each other and used the projected video images as ammunition for their mis-informed statements. Images were projected on the scrim and hanging sheets of frosted Plexiglas. Two full-length mirrors hung on the walls and a hand-held mirror allowed the opponents to examine their own surface. The Judge, as an outside observer, recognized the encounter and became the instrument that empowered the two opponents to drop their assumptions and see clearly for the first time.

Flash animations (created by Elizabeth) played during pauses in the exchange. The animations served as an abstract apparition of the inner voice. The Surface play served as a statement examining the hu-man tendency to make assumptions. As the play resolved and the op-ponents became friends, two new opponents appeared with a new judge and the assumption dance began again.

InterPlay: Loose Minds in a Box (2005) InterPlay: Loose Minds in a Box was performed March 31–April

2, 2005. Participating institutions included UAF and ARSC, UMD, CHPC at the UU, ALPAC, University of Illinois, Chicago (UIC), the Envision Center for Data Perceptualization (ECDP), University of Montana (UMT), and Purdue University (PU).

This InterPlay explored aspects of multiple personalities or schizophrenia. Approached abstractly, the concept allowed for a broad interpretation of the psychological theme. The performance structure was divided into six scenes that featured different artists and technolo-gists individually or in groups of two or more. Miho Aoki (UAF) de-veloped a plan to represent each scene by color. From this, a dramaturgy was developed to organize the progression through the scenes. Each scene contained different background designs and geo-metrical arrangements of the live video windows. These were placed in real-time by the display operator to evoke a dynamic kinetic progres-sion of the cinematic display.

Timothy J. Rogers (PU), a motion capture engineer, worked with dancer Joe Hayes (PU) and choreographer Carol Cunningham (PU) to map and translate the dancer’s movements into MIDI data that was

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (38)

38 Arts

transmitted to the other sites, controlling audio and video processing. Dioselin Gonzalez (PU), a virtual environment engineer developed a software module for the Access Grid called AG Juggler. This program allowed audience members at all participating sites to manipulate ava-tars in Purdue’s visualization lab. Miho Aoki and David Sigman (PU) created the three-dimensional graphics for the virtual environment.

(Left) InterPlay: Loose Minds in a Box. Mixed Stream; Dancer Joe Hayes in-side the Box. (Right) InterPlay: Loose Minds in a Box. Pictured: Elizabeth

Miklavcic (Utah) and Joe Hayes (Purdue) in the virtual environment

The final InterPlay: LMIB scene was an excellent example of site integration. It featured Charles Nichol’s (UMT) recordings of The Blue Box haiku, written by Nadja Masura (UMD). He created an interactive composition that was manipulated by dancer Joe Hayes. Recorded readings of the haiku by Dwight McKay (PU), Tina Shah (UIC), Nadja Masura (UMD), and Jimmy and Elizabeth Miklavcic (UU) were proc-essed through MAX/MSP and controlled by Hayes’ movements at PU. Timothy Rogers captured the X and Y coordinates of Hayes’ move-ments and converted them to MIDI control parameters. These data were sent over the Internet to UMT, using a transport program written by Rob King and facilitated by Many Ayromlou from Ryerson University in Toronto, Ontario, Canada.

InterPlay: Loose Minds in a Box was performed again for SIG-GRAPH 2005 at the Los Angeles Convention Center on August 3 and 4 and for Supercomputing Global 2005 in Seattle, Washington, on No-vember 17.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (39)

InterPlay 39

Embedded Performance (Utah) - Dressers Dressers was an endeavor to coordinate a specific idea among

sites. Remote performers from different locations worked with the con-cept of the restrictions or freedoms of external costumes. The structure for dressing began with sedate or normal clothing and worked toward a more outlandish or fantastic presentation.

The premise of Dressers was based on readily observable external changes in appearance as indicators into affiliations such as class, status, wealth, intelligence, mental health, etc. The exploration involved a philosophical premise of personalities in constant fluid motion like a lava lamp. The analogy of each heat-activated floating bubble inside the lamp represented a personality skill set revealed by external dress, which at times morphed, split, and combined according to the events of any given moment within the performance. Dressers was designed to show the evolution of personality through a manifestation of matching the external with the internal, through the process of dressing in differ-ent outfits and exploring physical actions influenced by these outfits.

In Utah, Elizabeth explored a variety of characters during the six InterPlay scenes. In Scene 1, The Void in the Corner, she became “Church Lady” sitting in a pew of imagination listening to a sermon and surveying the congregation’s myriad of fashion statements. Scene 2, The Imprisonment of Thought, introduced “Red Bandit” and “Dragon Lady.” The red satin costume was a visual and textural experience that affected movement and attitude.

(Left) Madeline Unprocessed Image. (Right) Madeline Mixed Image

In Scene 3, The Air Inside our Head, “Madeline” donned a 1970s polyester suit jacket, sky-blue Lycra modern dance skirt, thick blue mittens, a blue hat, and a wool scarf that tied the hat down as if to keep a chilly wind from blowing it off. Scene 4, One is None, focused on imprisonment and deformation, where the ceiling and front cameras were mixed together creating a perception that “Masked Witch” was

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (40)

40 Arts

falling through the floor. In Scene 5a, How Many Are We?, and 5b, Let Loose the Mind, “Party Crasher” used layers of unique color, outland-ish sparkle, and freedom from restraints for the purpose of joyful ex-pression, symbolizing the conscious choice to free the mind and reveal the concealment of different personalities.

(Left) Crone unprocessed image. (Right) Crone mixed image.

In Scene 6, The Blue Box, Elizabeth portrayed “Old Crone” with a maroon velveteen cape and held a carved wooden box. Ending the per-formance as an aged, mysterious crone depicted a journey, a lifetime in miniature that flashed inside a little world, inside a magic box. InterPlay: Dancing on the Banks of Packet Creek (2006)

The March 31–April 2, 2006, InterPlay: Dancing on the Banks of Packet Creek concept addressed the rising trend of tenuous devotion towards the inundating wave of digital information and dependence on non-experiential knowledge. Packet Creek depicted the Internet with its flow of disassembled pieces of data that course throughout the world like schools of spawning salmon. Dancing on the Banks represented the exposed ritualistic gyrations of searching, acquiring, disseminating, creating, and believing in this electronic epistemological knowledge. There were five participating sites; UAF/ARSC; Boston University (BU); UMD; PU/ECDP; and UU/CHPC and ALPAC.

The performance began with a video of a simulated Linux system booting up and graphics from UAF. The text of the Linux boot se-quence was replaced with a poem by Elizabeth Miklavcic and was ar-ranged to invoke the sense of a beginning, an awakening through a visual introduction symbolizing the ubiquitous transmission of data.

Through 10 scenes, the artists, musicians, and performers forged a slow Bolero style build that came to a complete stop when the system crashed. Sam Liston (UU) added a three-dimensional element to the cinematic display. The operating system of the center display provided a desktop feature that allowed the operator to map video windows onto

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (41)

InterPlay 41

the outside or inside surfaces of a cube. The video windows would ei-ther slide across the surface to remain in the front while the cube was rotated or moved with the surface, revealing new video window con-figurations with the rotation of the cube. The arrangement of the win-dows on the scrim defined the visual and kinetic spirit of the overall piece. Each scene was designed to evoke a different quality, and the display structure followed a Bolero dynamic, of tension and energy, which built the layered, distributed performance events until, at the climax, all of it ended abruptly. Then the poetic boot sequence engaged once more, representing the never-ending reoccurrence of the process.

The digital mix was placed in the center of the display. It tied the various offerings together by combining different moments from each of the sites. At various moments in the piece, video from all five sites intersected in the digital mix on the cinematic display.

Embedded Performance (Utah) - Mind Waves Elizabeth created a piece about personal and universal explora-

tions of visual spirituality. First, she broke down the words of the In-terPlay title: dancing—movement as expressive spiritual life force; banks—the representation of an edge, the place where elements meet and transitions exist, places of magic; packet—packets as enclosed matter, or bounded information; creek—water, flow, force, life, sensa-tion, reflection, an element that must be respected.

Inspiration came from the Great Salt Lake and an earthwork cre-

ated by Robert Smithson in 1970, located on the northeast side of the lake. These influences were brought indoors through the building of a Zen garden and with images of the Salt Lake projected using a visuali-zation cluster.

(Left) The southwest shore of the Great Salt Lake, Utah. (Right) The Spiral Jetty at Rozel Point, Great Salt Lake, created by Robert Smithson in 1970

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (42)

42 Arts

A dynamic component of Mind Waves was the kinetic building of a string web that symbolized the formation of the World Wide Web and the entanglement of our complicated lives. Utah performer, Kate Brad-ford (eight years old) strung the room while Elizabeth Miklavcic con-structed the Zen Garden. At BU, Robert Putnam (Access Grid Node Operator), Junko Simons (Cellist) and Jacqueline Combs (Performer), incorporated the web idea into their performance creating a visual con-nection between Utah and Boston.

(Left) Junko Simons performing in Boston. (Right) Elizabeth Miklavcic per-forming in Utah

This visual effect connected both sites literally and figuratively. It was as if the strings extended across the country. The harmonious mu-sical and visual connections between the textures of Junko’s cello and the quiet approach of creating the Zen Garden tied the sites together, creating a quartet between the two sites. In Mind Waves, the action of filling the room with string was a symbolic representation of the Inter-Play concept as the performers became more and more entangled in their self-created web. InterPlay: Nel Tempo di Sogno (2007)

InterPlay: Nel Tempo di Sogno (In the Dream Time) was per-formed on March 30–April 1, 2007. Co-directed by Elizabeth and Jimmy Miklavcic, InterPlay: Nel Tempo di Sogno was a work of un-precedented integration among sites. It incorporated 32 artists and technologists and six institutions, UU/CHPC and ALPAC, UAF/ARSC, BU, University of Illinois at Urbana-Champaign, UMD, and PU.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (43)

InterPlay 43

(Left) InterPlay: Nel Tempo di Sogno. Pictured: Travis Eberhard and Utah Time Line. On Screen: Peter Rogers. Photograph: Rusty Kirkpatrick. (Right) InterPlay: Nel Tempo di Sogno. Chun-Chen Chang and Travis Eber-

hard in Scene 12

Elizabeth crafted artistic contributions into an integrated statement involving all contributors rather then the framework of autonomous embedded performance works. Elizabeth Miklavcic coordinated nine actors from three distributed sites (Utah, Alaska, and Maryland) into a cohesive expression examining temporal experiences. A widow from Victorian England mourned the passing of a loved one, a French aristo-crat told her horrific experiences living through the French Revolution, a mid-century Cardinal struggled to tend to his flock of believers, and a talking televangelical head spouted rhetorical half-truths about the mo-rality of time. Those and others, intersected through different moments in time, interacted and communicated with each other as they examined how their lives had slipped through time.

The multi-framed cinematic display incorporated background flash animations by Miho Aoki that ran behind the various video win-dow arrangements. More than eight video streams of performers, musi-cians, and computer animations were distributed in different groupings across the display.

InterPlay: Carnivale (2008)

InterPlay: Carnivale was performed March 28–30, 2008, and co-directed by Jimmy and Elizabeth Miklavcic, and written by Elizabeth Miklavcic. This work was an examination of the mystery of the per-forming soul through an amalgamation of a variety of celebratory per-formance forms such as circus, Mardi Gras, carnival, amusem*nt park, fair, and arcade. This live, distributed, real-time, surrealist, cinematic performance was crafted as if the viewer entered a memory of by-gone circuses, carnivals, parks, and fairs. The performance began as if frozen in time, the carnival awakened and the parade began.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (44)

44 Arts

Carnivale incorporated 33 artists and technologists and four insti-tutions, UU/CHPC and ALPAC, University of Illinois at Urbana-Champaign Technology, Research, Education and Commercialization Center (TRECC), Rochester Institute of Technology (RIT) in New York, and Cardiff University Welsh e-Science Center, UK.

Travis Eberhard in Scene 3 of InterPlay: Carnivale

Original music compositions were created, performed, and streamed live by Joe Reitzer from TRECC. The work by Joe Geigel and Marla Schweppe at RIT included compositing three-dimensional graphic characters from their three-dimensional virtual puppet control system with live performers in Utah. Mike Daley at Cardiff University developed a Java-based video display interface for the Access Grid system called AG Carousel. The animation of the cinematic display has been a long-term goal in this research, and this was a step toward see-ing the automated movement of the video windows. Unfortunately, the upgrade from the h.261 video codec to h.264 video streaming six weeks before the performance created an incompatibility with Mike Daley’s Java video display interface.

InterPlay: AnARTomy (2009) InterPlay: AnARTomy was performed March 27–29 and April 3–

5, 2009. The concept of this project centered on the human body as a complex system of thought and action where the simplest impulse gen-erates the most amazing human motion. The subject of AnARTomy was an exploration into this very personal receptacle as a connector through which humans operate, activate, and live.

AnARTomy incorporated 29 artists and technologists from seven institutions, UU/CHPC and ALPAC, UAF and the ARSC; Brigham Young University in Provo, Utah; Indiana University–Purdue Univer-sity Indianapolis (IUPUI) and the Donald Tavel Arts and Technology Center; Long Island University in Brooklyn, New York; Cardiff Uni-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (45)

InterPlay 45

versity’s Welsh e-Science Center, Wales, UK; and the Human Interface Technology (HIT) Lab at the University of Canterbury, New Zealand.

Scene 3 of InterPlay: AnARTomy. Pictured: Ben Spruce, Theresa Kulikowski, Patrick Barnes, and Big Robot

Two dancers in Utah, Theresa Kulikowski and Patrick Barnes, performed as moving sculptures, while simultaneously, Ben Spruce, a mime in Cardiff, Wales, responded to their movements. Artists sketched the dancers, and three-dimensional skeleton animations were sent live in response to the dancers’ movements. Elizabeth Miklavcic created the structure of this work; she wrote and performed poetry that textured the tone of the three scenes, Female Form, Male Form, and Joining Forms. The digital mix, manipulated in real-time by Jimmy Miklavcic, tied the converging videos into an added dimension, com-bining artistic relationships existing in the virtual space.

The upgrade to high-definition (HD) recording and streaming cre-ated a series of problems, not the least of which was getting HD to run within the Access Grid toolkit. Nathan Gardiner and ChangHyeok Bae from the HIT Lab worked on the code to incorporate HD video stream-ing for InterPlay: AnARTomy. There were seven HD video streams in this production, and there were times when the display system had dif-ficulty decoding the amount of HD video data that it was receiving. The HD video streams would digitally “break up,” with artifacts from pre-vious frames remaining on the screen and mixing in with the current frame. In light of the difficulties in the display system, the amount of HD video data being transmitted among the sites had very little impact on the network infrastructure. The live broadcast was available at www.anotherlanguage.org and was streamed for the first time in Sec-ond Life at the UU Marriott Library Island.

InterPlay: Event Horizon (2010) InterPlay: Event Horizon was performed March 26–28 and April

2–3, 2010, at the UU INSCC. The concept of Event Horizon was based

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (46)

46 Arts

on the exploration of the unknown future. The participating artists ex-plored their interpretation about the discovery of what is just beyond sight or knowledge.

Co-directed by Elizabeth and Jimmy Miklavcic, participants in-cluded Carrie Baker (UAF) who performed original poetry and move-ment at the ARSC Discovery Lab; Miho Aoki, living in Tokyo, Japan, at the time, who contributed processed digital video; Diana Hsu, musi-cian and actress, who was filmed in Los Angeles performing original flute compositions, Lexie Levitt, who created four original music com-positions and performed live in Utah, and Elizabeth Miklavcic, who performed interpretive movements live in the Visualization Lab at the UU. Additional artistic elements included digital video, digital photog-raphy, and the animated background.

The display problems experienced in the InterPlay: AnARTomy project persisted, and the animation of the cinematic display continued to be an unsolved research aspect.

InterPlay: Event Horizon. Pictured: Lexie Levitt, Carrie Baker and Elizabeth Miklavcic

The prevailing artistic question in the midst of this development process for the InterPlay performances remains: How does one ap-proach or attempt to work within an emerging medium, where constant upgrades change the landscape of creation?

The open-source nature of the Access Grid Toolkit lends itself to constant development. Additional components are developed and inte-grated by various developers. These components are completed but are hardly ever maintained on an ongoing basis. For example, software

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (47)

InterPlay 47

packages such as Access Grid Video Conference Recorder (AGVCR) were developed at Indiana University. The developer of this event re-cording system has since moved, and there is no attempt to keep this package up to date with changing video formats.

Time-intensive software development is necessary to keep the many coexisting programs that make up the Access Grid Toolkit func-tioning. Nonetheless, the Access Grid is extremely flexible and there are very few videoconference software packages that can allow unlim-ited participation (the limitation only exists within the hardware sys-tem’s specifications). The Access Grid’s viability remains with the specialized skills of the technologists and artists that work with and use this software package.

References Bukoff, Allen 2006. The Fluxus Portal for the Internet. Fluxus.org

Shanken, Edward A. 2003. Telematic Embrace. University of California Press

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (48)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (49)

Emerging Infectious Disease Chytridiomycosis and the Significance of the Absence of Batrachochytrium dendrobatidis on Hyla arenicolor in Zion National Park

Allystair D. Jones, Daniel J. Sumko, and Curt Walker

Dixie State College

Abstract Chytridiomycosis, an infection caused by the chytrid fungus (Batracho-chytrium dendrobatidis), has become a global concern threatening the stability of amphibian populations and has spread rapidly across the United States since 1999. The fungus infects the skin of amphibians and may result in death. Recent numbers suggest that more than 30% of the world’s amphibian populations have already been affected. We provide the first data on whether this dangerous infective agent has migrated into the populations of the canyon tree frog (Hyla arenicolor) in the canyon systems of Zion National Park (ZNP) in southwestern Utah from the infected population in Arizona. To test for the presence of the chytrid fungus, epidermal swabs were collected from 69 frogs, and the

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (50)

50 Biological Sciences

samples were tested for DNA markers associated with the chytrid fun-gus as well as universal fungal markers. The PCR did not show the presence of the chytrid fungus in ZNP at this time. We propose that this population be continually monitored in this area to gain insight into the spread of this disease.

Introduction The chytrid fungus Batrachochytrium dendrobatidis is a serious

threat to amphibians, infecting populations globally with the disease chytridiomycosis (Berger et al. 2004). The first identification of a specimen infected with B. dendrobatidis was found in South Africa in 1938 (Weldon et al. 2004). Upon infection, chytridiomycosis quickly kills frogs, and it has been responsible for extinctions of at least 30 populations of frogs (Kilpatrick et al. 2010). B. dendrobatidis has in-fected Hyla arenicolor (Canyon tree frog) in Arizona, and deaths have been reported (Bradley et al. 2002; Schlaepfer et al. 2007). B. dendro-batidis is able to move easily from host to host through water, and the initial spread of the disease is thought to be from the transportation of frogs from one location to another either through the pet trade or for zoos (Weldon et al. 2004)

Of the 6000+ vertebrate species, amphibians are among the most vulnerable to disease and population decline (The Global Amphibian Assessment, http://www.iucnredlist.org/amphibian), with 32.5% of amphibian species threatened. Ninety-two percent of the critically en-dangered populations are in decline due to B. dendrobatidis (Stuart et al. 2005). With the population declines associated with B. Dendrobati-dis, it is imperative that we understand how this disease enters and spreads through populations, both in infected populations and in vul-nerable populations that have yet to be infected (Kilpatrick et al. 2010).

B. dendrobatidis was first described in 1998 (Berger et al. 2005). The fungus has a simple life cycle and can be contracted by skin to skin contact or contact with infected water. B. dendrobatidis needs water to survive, and desiccation will kill the fungus and break the life cycle. The sporangia produced from the zoospores infect the host. Two differ-ent mechanisms result in host mortality. An enzyme that B. dendro-batidis secretes is absorbed by the frog through its semi-permeable skin, damaging neural cells. The second mechanism is damage to the skin that results in a disruption in cutaneous respiration or in water and electrolyte imbalance (Berger et al. 2005). The exact mechanism under-lying these symptoms in the frog’s skin is not well known at this time (Berger et al. 2005).

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (51)

Tracking Chytrid Fungus in Zion National Park 51

There are a few classic symptoms to identify if a frog has been in-fected. PCR is needed to confirm infection, but many host frogs will present with a red coloration of the underbelly, loss of coordination and directionality, and lethargy and unwillingness to flee from predators. This makes the frog vulnerable and will kill a frog that otherwise would have been able to avoid predation.

Hyla arenicolor is found in the Southwestern United States and northern parts of Mexico. It is well adapted to a desert environment and is prevalent in most waterways in this geographic region. The canyon tree frog is a member of the Hyla genus that is the second largest fam-ily of amphibians, with 861 species and 42 genera. They are character-ized by large toe pads and intercalary phalangeal elements that make them excellent climbers (Wiens et al. 2005). The canyon tree frogs usually climb out of the ephemeral pools or steams where they live and sun themselves all day perched on rocks, eating insects. This behavior is thought to help control bacterial infections (Kluger 1977) as well as help rid the frogs of unwanted parasites (Cagle 1950). The broad range and ability to disperse make this hylid an ideal model to use for the study of how B. dendrobatidis spreads.

Many studies and extensive sampling have shown the negative ef-fect this fungus has on infected populations. This study describes a vul-nerable population that is not yet infected. Finding and describing a population of frogs that has not yet been infected but is susceptible to this disease will provide valuable information about the disease (Kilpatrick et al. 2010). This study investigates whether B. dendrobati-dis has infected the canyon tree frog population in Zion National Park. Locations with heavy foot traffic, many different waterways, large frog populations, and in close proximity to infected populations make this an ideal area to sample for B. dendrobatidis (Skerratt et al. 2008). If B. dendrobatidis is found in Zion National Park then we will gain insight into how far the disease had traveled, assuming it comes from Arizona. If B. dendrobatidis is not found, then we would have an uninfected but presumably vulnerable population to study to help us understand what protects such a population, and for how long.

Methods

Field Methods We were unable to find any published information on the pres-

ence of B. dendrobatidis in Zion National Park. With permits from Zion National Park, The Utah Department of Division of Wildlife Re-sources, and the Bureau of Land Management, we sampled the north-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (52)

52 Biological Sciences

western population of H. arenicolor to see whether the disease has spread from Arizona. We sampled 69 different frogs throughout eight different slot canyons in Zion National Park. These slot canyons were Behuinin, Subway, Taylor Creek, Sprie, Misery, Keyhole, Pine Creek, and Leap Creek. When possible, we noted GPS location and time of day. Traversing slot canyons is difficult and required climbing and rap-pelling expertise because of the towering canyon walls and narrow pas-sages. To collect samples from the frogs we used pre-established swabbing protocols (Skerratt et al. 2008).

A new pair of vinyl gloves was worn for each capture as these gloves may kill the fungus (Mendez et al. 2008). The gloves were kept in a waterproof container with a shoulder strap to keep them sterile as we traversed the canyons or while we were rappelling. All other mate-rials used to take the samples were kept in a waterproof and shatter-proof container. No nets or other items were used to capture the frogs to prevent cross contamination. All captures were attempted to be done with minimal harm and stress to the animal.

Once the frog was captured, five ventral surfaces were swabbed with five strokes each. These swabs covered the stomach area, the groin, the sides, the manus, and pes. The infection intensity of B. den-drobatidis varies over the body surface, and these areas are the most likely to be infected (North and Alford 2008). The swab was then cut and stored in a 2-ml vial with a snap cap according to recommended procedures (CSIRO Livestock Industries, Australian Animal Health Laboratory, Greelong, Australia). The vial was stored in a waterproof, shatterproof container in a backpack and transported to a freezer within 12 hours, where it was stored at -4°C (Skerratt et al. 2008) until analy-sis.

Lab methods

To begin testing, we cut the tip of the swab off with a razor blade. The blade was sterilized between each swab with sodium hypochlorite (Cashins et al 2008). We then cultured the tip in a solution containing glucose that would grow the fungus (Boyle et al. 2004). Swabs were cultured for two days at 25°C in sealed 50-ml test tubes. The tubes were rocked as they cultured. We cultured a yeast fungus in the same manner to use as a control to prevent false negatives.

We tested the samples with PCR using a general fungus primer. The samples that showed positive for a general fungus were then tested with the specific PCR primers for B. dendrobatidis following a modi-fied version of the protocol described by Boyle et al ( 2004). The only alteration was that we used touchdown PCR (Korbie and Mattick

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (53)

Tracking Chytrid Fungus in Zion National Park 53

2008). The primers we used were BdLa/Bd2a (Annis et al. 2004), which would give us a 300-base-pair sequence if a positive was found.

Results Of the 69 samples, 18 were positive for a general fungus. None of

these 18 samples tested positive for B. dendrobatidis.

Discussion The absence of the chytrid fungus in our study canyons was a sig-

nificant finding, suggesting that the population in these canyons is not currently infected by B. dendrobatidis. With further study, a timeline can be established should this population become exposed to and in-fected by B. dendrobatidis. We know that the chytrid has infected H. arenicolor in Arizona (Bradley et al. 2002) and that B. dendrobatidis can spread very rapidly once it infects populations (Lips et al. 2006). This means there is a need for monitoring this disease in Zion National Park on an annual basis. In addition, the movement patterns of this spe-cies should be monitored to let us know how the disease will spread if this population does become infected. The annual testing and move-ment studies will help us understand how the disease spreads or what makes populations resistant to B. dendrobatidis.

The absence of the infection also makes H. arenicolor an ideal model, as this population may show some resistance to chytridiomyco-sis because of their desert environment adaptations. Because these frogs produce a mucus that allows them to almost dry their skin, they may also be able minimize parasitic infections in general. This would mean that even though there have been infections in Arizona, the frog population may not decline as rapidly as other more susceptible hosts. However, even highly resistant hosts of the fungus may contain spo-rangia and zoospores once infected (Pounds et al. 2007). Resilience and low mortality rates of infected frogs may, however, cause the popula-tion in Zion National Park to become a vector for disease. Tourists en-tering the park and then returning to their home state might carry the fungus with them on their shoes or gear.

H. arenicolor will secrete mucus that helps prevent cutaneous wa-ter loss (Preest et al. 1992). This allows the frog to sun itself for most of the day and may kill any blood parasites that have attached them-selves to the host (Preest et al. 1992). Basking raises the body tempera-ture of this frog to 35.8°C (Wylie 1981), and high temperatures can inhibit the fungus from growing as well as kill the fungus at 37°C (Woodhams et al. 2003). If H. arenicolor is resistant to the disease and

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (54)

54 Biological Sciences

monitoring of the disease does not continue, these frogs may act as a reservoir for the fungus to spread to other native species and further.

Chytridiomycosis dies when exposed to high temperatures (Woodhams et al. 2003), and it is unclear how global warming will aid or impede this disease. It has been shown that warm years are linked to outbreaks of this fungus (Pounds et al. 2006); however, questions have arisen as to the validity of the correlation between warmer years and outbreaks of the fungus.

Frogs are an indicator species that can be used to assess the health of an ecosystem. As such, the importance of the continued study of the canyon tree frog in Zion National Park is clear. This study sets a foun-dation for an opportunity to understand how this particular disease spreads. We need to continually monitor this disease and learn how these frogs move from canyon to canyon. If we lose this species in Zion National Park, we lose a charismatic species for the ecosystem of this majestic park.

References ANNIS, S. L., DASTOOR, F. P., ZIEL, H., DASZAK, P. AND LONGCORE, J. E. 2004. A DNA-based assay identifies Batrachochytrium dendrobatidis in amphibians. J. Wildlife Dis., 40, 420-428.

BERGER, L., HYATT, A. D., SPEARE, R. AND LONGCORE, J. E. 2005. Life cycle stages of the amphibian chytrid Batrachochytrium dendrobatidis. Dis. Aquat. Organ., 68, 51-63.

BERGER, L., SPEARE, R., HINES, H. B., MARANTELLI, G., HYATT, A. D., MCDONALD, K. R., SKERRATT, L. F., OLSEN, V., CLARKE, J. M., GILLESPIE, G., MAHONY, M., SHEPPARD, N., WILLIAMS, C. AND TYLER, M. J. 2004. Effect of season and temperature on mortality in amphibians due to chytridiomycosis. Aust. Vet. J., 82, 434-439.

BOYLE, D. G., BOYLE, D. B., OLSEN, V., MORGAN, J. A. T. AND HYATT, A. D. 2004. Rapid quantitative detection of chytridiomycosis (Batrachochytrium dendrobatidis) in amphibian samples using real-time Taqman PCR assay. Dis. Aquat. Organ., 60, 141-148.

BRADLEY, G. A., ROSEN, P. C., SREDL, M. J., JONES, T. R. AND LONGCORE, J. E. 2002. Chytridiomycosis in native Arizona frogs. J.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (55)

Tracking Chytrid Fungus in Zion National Park 55

Wildlife Dis., 38, 206-12.

CAGLE, F. R. 1950. The life history of the slider turtle, Pseudemys scripta troostii (Holbrook). Ecol. Monogr. 20, 31-54

CASHINS, S. D., SKERRATT, L. F. AND ALFORD, R. A. 2008. Sodium hypochlorite denatures the DNA of the amphibian chytrid fungus Batrachochytrium dendrobatidis. Dis. Aquat. Organ., 80, 63-67.

KILPATRICK, A. M., BRIGGS, C. J. AND DASZAK, P. 2010. The ecology and impact of chytridiomycosis: an emerging disease of amphibians. Trends Ecol. Evol., 25, 109-118.

KLUGER, M. J. 1977. Fever in the frog Hyla cinerea. Thermobiology, 2,79-81.

KORBIE, D. J. AND MATTICK, J. S. 2008. Touchdown PCR for increased specificity and sensitivity in PCR amplification. Nat. Protoc., 3, 1452-1456.

LIPS, K. R., BREM, F., BRENES, R., REEVE, J. D., ALFORD, R. A., VOYLES, J., CAREY, C., LIVO, L., PESSIER, A. P. AND COLLINS, J. P. 2006. Emerging infectious disease and the loss of biodiversity in a Neotropical amphibian community. Proc. Natl. Acad. Sci. USA, 103, 3165-3170.

MENDEZ, D., WEBB, R., BERGER, L. AND SPEARE, R. 2008. Survival of the amphibian chytrid fungus Batrachochytrium dendrobatidis on bare hands and gloves: hygiene implications for amphibian handling. Dis. Aquat. Organ., 82, 97-104.

NORTH, S. AND ALFORD, R. A. 2008. Infection intensity and sampling locality affect Batrachochytrium dendrobatidis distribution among body regions on green-eyed tree frogs Litoria genimaculata. Dis. Aquat. Organ., 81, 177-188.

POUNDS, J. A., BUSTAMANTE, M. R., COLOMA, L. A., CONSUEGRA, J. A., FOGDEN, M. P. L., FOSTER, P. N., LA MARCA, E., MASTERS, K. L., MERINO-VITERI, A., PUSCHENDORF, R., RON, S. R., SANCHEZ-AZOFEIFA, G. A., STILL, C. J. AND YOUNG, B. E. 2007. Ecology - Pounds et al. reply. Nature, 447, E5-E6.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (56)

56 Biological Sciences

PREEST, R. M. DOUGLAS, G. BRUST. WYGODA, L. M. 1992. Cutaneous water loss and the effects of temperature and hydration state on aerobic metabolism of canyon treefrogs, Hyla arenicolor. Herpetologica, 48, 210-219.

SCHLAEPFER, M. A., SREDL, M. J., ROSEN, P. C. AND RYAN, M. J. 2007. High prevalence of Batrachochytrium dendrobatidis in wild populations of lowland leopard frogs Rana yavapaiensis in Arizona. Ecohealth, 4, 421-427.

SKERRATT, L. F., BERGER, L., HINES, H. B., MCDONALD, K. R., MENDEZ, D. AND SPEARE, R. 2008. Survey protocol for detecting chytridiomycosis in all Australian frog populations. Dis. Aquat. Organ., 80, 85-94.

STUART, S. N., CHANSON, J. S., COX, N. A., YOUNG, B. E., RODRIGUES, A. S. L., FISCHMAN, D. L. AND WALLER, R. T. 2005. Response to comment on "Status and trends of amphibian declines and extinctions worldwide". Science, 309, 1999.

WIENS, J. J., FETZNER JR, J. W., PARKINSON, C. L., AND REEDER, T. R. 2005. Hylid frog phylogeny and sampling strategies for speciose clades. Syst. Biol., 54, 719-748

WELDON, C., DU PREEZ, L. H., HYATT, A. D., MULLER, R. AND SPEARE, R. 2004. Origin of the amphibian chytrid fungus. Emerg. Infect. Dis., 10, 2100-2105.

WOODHAMS, D. C., ALFORD, R. A. AND MARANTELLI, G. 2003. Emerging disease of amphibians cured by elevated body temperature. Dis. Aquat. Organ., 55, 65-67.

WYLIE, S. R. 1981. Effects of basking on the biology of the canyon treefrog, Hyla arenicolor Cope. Ph.D. Dissertation, Arizona State University, Tucson, Arizona

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (57)

The Risk That Wasn’t There: Understanding the Role of Derivatives on Reducing and Creating Risk

Leo Chan Utah Valley University

Abstract Traditional finance teaching on derivatives suggests that they can be used to reduce portfolio and market risk. Such outcome hinges on the assumptions that derivatives are used as risk management tools and that there is at least one true hedger in the transaction. In the absence of hedgers, however, the trading of derivatives actually creates greater risks for the market. This paper explains how derivatives can reduce overall portfolio risk when used as hedging, and how their use could create greater risk if there are only speculators trading derivatives among each other.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (58)

58 Business

Introduction Derivatives have been in the news often since the collapse of the

credit market in 2008. Most of the information about derivatives pre-sented by the media is misleading at best, if not altogether wrong. This, in part, is due to the complicated nature of derivatives. It is difficult enough for an average person to understand a simple financial asset. It is far more difficult to under the assets in which these financial assets are base on. The other major contributing factor is the lack of clarity about the true nature of derivatives in financial education, both in aca-demic settings and the mass media. The objective of this paper is to contribute to our understanding of the true nature of derivatives as a risk management tool, as well as potential risk-inducing financial in-strument.

Derivatives have been portrayed as a risk management tool in academic research articles and finance textbooks. The central argument has been that a portfolio that includes derivatives could reduce the overall risk. Most textbooks (e.g., Hull 2008; Jordan and Miller 2009; Strong 2009) also show that trading stock options requires a lower ini-tial capital and thus has the potential of achieving higher returns. De-rivatives contracts have been use as examples of how users and producers can reduce their risk by entering into these contracts. These portrayals, however, are incomplete because they all assume the deriva-tives markets are used mostly by true users and hedgers. The third player in the derivatives market is the speculators. In an efficient mar-ket, the number of speculators is assumed to be small relative to true users and thus can be ignored. The markets for most derivatives are anything but efficient (Davis 2008). The explosion of new derivatives products and spikes in trading volumes for some of the existing prod-ucts in recent years point to markets that is full of speculators (Gilbert 2010).

In this paper, I will present a brief analysis of how derivatives can be used as risk management tool and the impact of speculators on the overall risk of the derivatives markets. The rest of the paper is organ-ized as follow: In the next section, I will present a brief introduction and general argument for using derivatives to reduce risk. In the third section, I will present a more complete picture of risk when speculators dominate the various derivatives markets. Next, I will discuss more complex derivatives and how they can affect the market risk. I will conclude with a discussion of complex derivatives, such as the many credit default swaps (CDSs) American Insurance Group (AIG) entered into and the speculations in oil futures that have created a riskier mar-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (59)

Derivatives and Risk 59

ket, and how to improve education and understanding of the derivatives market. Introduction to Derivatives

Derivatives are so named because the value of these assets derives from other assets. The underlying assets for derivatives can be tangible (commodity derivatives) or intangible (financial derivatives). There are also derivatives of derivatives (options on futures) that are very popular among traders. In recent years, exotic derivatives, such as weather de-rivatives and CDSs, have been engineered to meet the needs of traders and possible hedgers.

The first derivative contracts traded in the U.S. were forward con-tracts among producers and users of agriculture commodities, started in 1833 (Besant 1985) to deal with demand and supply imbalances that lead to large loses for producers. A forward contract is an agreement between two parties (possibly the true producer and the end user) to sell a certain amount of goods for a specific price at a future date. By agree-ing to this arrangement, both parties avoid any possible price fluctua-tions between the actual transaction took place. To see how this transaction reduces the risk for both sides, let’s consider the following example: A cattle farmer has 1000 heads of cattle that will be ready for the market in 6 months. Assuming that each cattle can produce 200 pounds of meat, the cattle farmer has 200,000 pounds of meat he must sell in 6 months. Assume that the current wholesale price for meat is $2 a pound. The future price is unknown. There is a possibility that the wholesale price could go up to $2.30 or drop to $1.90 a pound, with 50–50 possibility for each price. The expected price is $2.10. If the cattle farmer waits until the end of the sixth month, he is subject to two possible incomes: $460,000 if the price is at $2.30 a pound, or $380,000 if the price is $1.90 a pound. The expected income is $420,000 and a standard deviation of $40,000. The same dilemma is faced by the end user of meat. Both parties can enter into a forward contract that will require the producer to deliver 200,000 lbs of meat at $2.10 a pound in 6 months to the end user. Under such agreement, the producer is certain to get the $420,000 and the cost to the end user is also $420,000. There is no price risk to either party.

Since the start of the first forward contract, the market has seen a significant growth, both in number of participants and variation of con-tracts. An organization exchange was formed to standardized these con-tracts and facilitate trading of these contracts. The standardized contracts being traded in the exchange are called futures contracts. Within the exchange, there is a third player involves in the trading of

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (60)

60 Business

these contracts: speculators. Harris (2003) and Bekaert et al. (1995) argue that speculators are necessary for an efficient market because they will drive down the bid–ask spread. Market efficiency theory also argues that speculators are relatively few in number and the volume of the contracts in which they buy and sell are relatively small so they cannot affect the price in a significant way.

In theory, it is free to enter into futures position, although the ex-change requires both parties to put up an initial deposit called initial margin (less than 20% of the contract value for most contracts) when they enter into the position. The margin requirement reduces the possi-bility that a speculator with a small amount of funds will be able to have too big of an influence on the market price, as well as a guarantee that both parties could fulfill their obligation to each other. However, there was no formal limit on the position value of a particular investor prior to the 2010 financial reform. Therefore, an investment company that has large amount of funds to speculate in the futures market could have significant impact on the trading activities, and thus price volatil-ity.

The second type of simple derivative contracts is call and put op-tions. An option gives the holder of the option to buy (call) or sell (put) an asset at a specific price at specific date. There are two types of op-tions in terms of the ability to exercise. The American option allows early exercise (single stock options), while the European option can only be exercised at the date of expiration (index options). For exam-ple, a June $30 Microsoft (MSFT) call gives the holder of the call the right to buy MSFT for $30 until the third Friday of June. If the holder of the call does not exercise the option until the end of the third Friday, the contract will be exercised if the option is in the money (when strike price is below the current market price). For example, if the MSFT price in the third Friday of June is $33, the option is worth $3. If the price of MSFT is below $30, the value of the option is $0.

Most finance textbooks teach the impact of options in three dif-ferent possible scenarios: a portfolio with stocks only, a portfolio with options only, or a portfolio with options equal to the number of stocks that would equal the number of shares under the stock-only portfolio and investing the rest in risk-free asset. Bodie et al. (2009) argue that a portfolio with call options and Treasury bills (T-bills) would produce the lowest level of risk because the most an investor would lose is the option premiums. This argument, however, is incomplete. If all inves-tors are rational, they would not purchase the underlying asset and thus making the asset worthless. A stock that is worthless has no option con-tract, and the investors would be investing in T-bills only. A portfolio with options only is the riskiest portfolio.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (61)

Derivatives and Risk 61

There are many other possible combinations of options and the underlying asset (see Hall 2008). A portfolio with a long (short) posi-tion on the underlying asset and a put (call) option is a protective posi-tion. A protective position involves buying a put to limit the downside risk of the long position in the underlying asset, or a long position on calls to protect a short position in the underlying asset. There are other possible use of options and underlying assets combinations. For exam-ple, the long position holder of the underlying could write a call option to generate income from the option premium if the portfolio manager believes the stock price will remain within a certain range (below the exercise price). This combination limits the upside potential for the portfolio if the stock price goes above the strike price of the call on which they are written. The Impact of Speculations on Portfolio Risk

Ross (1976) pointed out that the existence of options contract completes a market, thus improving market efficiency and reduces market risk. The Black-Scholes (1973) option pricing model uses the volatility of the underlying asset as one of the factors affecting option price. Nothing in the literature discusses the possibility of options af-fecting the volatility of the underlying assets. However, there is evi-dence that points to possible manipulation of underlying assets by large holders of options contracts to affect the spot price to gain from the sudden, large price fluctuations. Davis (2008) pointed out that an in-vestment firm, the Vitol Group, held $8 billion worth of crude oil in one day, more than 3 times the daily consumption in the U.S. Hoarding such a large amount of the underlying asset for crude oil future would allow the holder of oil futures contracts to drive up spot (and thus fu-tures) price, resulting in large gain for the long position holder. This practice is commonly known as cornering the market. While it is illegal to corner the market, it is very difficult to prove any particular firm’s participation in cornering the market.

There are many other ways a large position holder could manipu-late the market to reap large gains. For example, a writer of call options could benefit from the calls being expired worthless. A large holder of short position in a stock with relatively small trading volume could drive the price down by shorting a relatively small amount of stocks to drive the price down, benefiting both from the expiration of the calls and the short position. Similar actions could be taken by holder of large short position in put options. Holders of a short position on puts can buy the underlying assets, thus driving up the price and profit from the put being expired worthless, and long position on stocks. These types

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (62)

62 Business

of manipulations will drive up the volatility of the underlying assets. It is particularly true if the underlying asset is a thinly trade asset or there are large number of speculators in the options market.

The potential for risk reduction by using derivative contracts only applies if the derivatives are used for hedging purpose. When specula-tors are introduced into the mix, the risk could go up, potentially very significantly if the volume is small. Take the cattle futures market ex-ample we used in the previous section. If there is no end user in the market, the speculators who enter into the forward position with the cattle farmer would absorb the price risk. In this case, the risk has not been eliminated by the futures contracts, it has simply been transferred from one party to another party. Now, if we extend the example by assuming that both the long and short position holder are speculators, the risk is not eliminated as in the case of the true user and producer. The risk of speculators on both sides of the contracts could increase the risk of the market considerably since the initial capital requirement for derivative contracts is much smaller.

Most textbooks on investment or derivatives only discuss options as potential substitute for the underlying asset, or protection for the value of a portfolio. All of them show all of the potential gain/loss of the option/underlying combinations. None of them show the potential for risk reduction if the underlying asset reached a certain price level in expiration. I will demonstrate with the following example: Suppose you purchased 10,000 share of DOW index ETF (The Diamond Trust, DIA) for $120 a share. There is a 50% probability that the ETF price will be $150 by the end of the year. There is also a 50% chance that the ETF will be worth $110 at the end of the year. The expected price of the stock is $130. The expected return for holding the ETF until the end of the year would be 8.34%, with a standard deviation of 23.65% for the expected return. Next, we assume that the portfolio manager is cau-tious about large declines in the portfolio and wants to buy protective puts. Assume that the price for the $120 put that matures in one year is $5. The total cost of the underlying asset and the put option is $125. If the ETF price turns out to be $150, the put would expire worthless and the ETF would be worth $150. The investment return would be 20%. If the ETF price falls to $110, the option would be worth $10. The next loss of the option and ETF combination would be -$5. The investment return would be -4%. The expected return would be 8% and a standard deviation of 12%. The protective put portfolio produces lower risk for this particular portfolio.

The above discussion, however, is incomplete because it ignores the risk that is being transferred to the put option writer. The option writer would make 100% profit if the stock price is $150 and would

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (63)

Derivatives and Risk 63

lose 100% if the stock price is $110. The expected return for the option writer is 0%, with a standard deviation of 100%. Since the total invest-ment of these two counter parties combined is $125, the option writer’s share is $5 (or 4%). Therefore, the contribution of the overall risk from the option writer is 4%. The combined risk is 16%, still much lower than the 23.8% of a portfolio that consists of stocks only. However, each additional unhedged option contract would contribute 8% (4% × 2) more risk to the market. All else being equal, it would take just 100 unhedged put options to create a greater risk for the market. The impact of call options to overall market risk can be analyzed in similar manner. In markets in which derivative trading is relatively small compared with the trading activities of the underlying assets, derivatives can in-deed reduce market risk. However, when a market is dominated by speculators (or investors who used only derivatives), the market risk can be greatly increased as a result of the derivatives trading (Soros 2008).

Another largely ignored impact of option trading is the implied volatility calculated by Black-Scholes Equation (Black and Scholes 1973). While the volatility of the underlying asset is a factor in deter-mining the price of the option, future price volatility is not observed and thus can be obtained by given option prices. Thus, an increasing demand for option that drives up the price of options would also drive up future volatility. On April 8, 2010, former Treasury Secretary Robert Rubin told a Senate Panel investigating the credit market col-lapse in 2008 that the Treasury knew of potential large spillover of risk from derivative markets as early as 1987, during the market crash in October of that year. Yet nothing has been done to prevent such spill-over effect more than two decades after the fact. Meanwhile, Long Term Capital Management managed to expose itself to more than $1 trillion of derivative bets in 1997 that almost brought down the world’s financial markets.

Speculative activities in derivatives markets not only did not de-cline after the Long Term Capital Management failure, it grew substan-tially because the government refused to increase regulation in derivatives markets. There are at least two derivatives markets in which speculations had led to large increase in spot price for the underlying asset, or created substantially more risk in the market.

The first example is the crude oil futures market. Oil futures can be used by many producers that require petroleum products or byprod-ucts. One such candidate is the airline industry. There is no jet fuel fu-tures market. To hedge their exposure to fluctuating oil price, an airline can enter into oil futures contracts to offset gains/losses from higher/lower jet fuel price. The oil futures market, however, saw an

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (64)

64 Business

increase in trading volume of over five times in just a few years (2004 to 2009). From 1984 to 1994, the number of oil futures contract trade daily remained flat (under 100,000 contracts). From 1994 to 2004, the number of contracts trade grew by 50% (under 150,000 contracts daily). By 2009, the average daily volume exceeded 600,000 contracts (400% growth in just 5 years versus 50% over the previous 20 years). Theory suggests that increases in trading activities should reduce price volatility. The spike in trading activities in the oil futures market had exactly the opposite effect (Bekiros and Diks 2007).

After oil prices reached more than $60 a barrel shortly after Hur-ricane Katrina devastated New Orleans, portfolio managers started add-ing oil futures in their portfolio to participate in the oil commodity market. The spike in trading activities caused the basis to be negative (cash price lower than futures price), volatilities greatly increased and oil price hit all time high in 2008 and has the most spectacular fall in prices in the same year. A plot of increases in trading volume and in-creases in oil price show a very strong correlation from 2005 onwards.

The unintended consequence of the spikes in crude oil future prices is higher food prices (Masters 2008). Because of the artificially high oil prices, ethanol (substitute for gasoline) usage increased drasti-cally from 2005 to 2008. Since most ethanol derives from corn, a large amount of farmland was used to plant corn, thus reducing available land for other crops. Corn is also a main feed for hogs, cattle, and chicken. As a result, volatility in futures markets for many commodities went up drastically from 2005 to 2008.

The second example is AIG’s involvement in the CDS market, which most believed had contributed greatly to the credit market crash in 2008. A CDS is an agreement between two parties to exchange cash flows. The buyer of CDS is generally lenders/creditors who want to protect the cash flows from their loans. The writer of CDS can be any large financial company that has large enough capital to underwrite. The buyer agrees to pay a certain percentage to the writer when the loans perform normally. When any of the loans is in default, the writer agrees to assume the cash flows the borrower is obligated to pay the lenders. The writer will get the cash flows from the now defaulted loans. CDS is essentially an insurance policy for lenders to be compen-sated in the event that the borrowers default on their loans. As long as the borrowers do not default on their loans, the underwriter can collect the insurance premiums and increase the company’s profit. The CDS market allows lenders to become somewhat reckless and generate loans that they would not generate if they were no CDS available to them.

The price for the CDS is supposed to be directly related to the credit quality of the borrower’s credit worthiness. As it is a relatively

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (65)

Derivatives and Risk 65

new derivative product and the housing market was in a bull market, the CDS contracts were greatly underpriced. If this derivative contract is only used by true hedgers, AIG will be the only speculator in this market and the total risk would be far less than what now realized. The problem was AIG was writing CDS contracts to just about anyone will-ing to buy. Speculators were able to short the financial instruments (mortgage-backed securities) that were not being traded. The end result was AIG was underwriting far greater CDS than it should and, as the housing market started to collapse, the true risk AIG was exposed to was realized in 2008. Although the value of the subprime mortgage market was less than $2 trillion by the end of 2007, the value of all CDS contracts exceeded $4 trillion. It was essentially a market full of speculators. Not only did the CDS market not reduce or redistribute risk, it created far greater risk, and most of the risks were concentrated in one financial institution. Without the intervention by the Federal government, AIG would have collapsed and could have created a far more devastating effect on the credit market than the collapse of Leh-man Brothers. Conclusion

In this paper, I have presented some examples of how derivatives can reduce market risk when use appropriately. I also demonstrated the potential for derivatives to contribute greater risk to the market when it is mostly used as speculative instrument. The theoretical argument that derivatives can reduce risk assumes an efficient market with many true users and relatively few speculators is largely an academic argument. In reality, speculators will flood the markets that are easy to manipulate. Gilbert (2010), Soros (2008), and Masters (2008) provide ample evi-dence that the world in practice is greatly different from the academic world. The collapse of AIG from participating in the CDS market sug-gests that even large financial institutions with supposedly smart re-searchers could not understand the real risk these contracts presented. This suggests that perhaps we should rethink how derivatives contracts are being presented in finance textbooks. Speculation in derivatives market is common in practitioner’s world. Let’s study the derivatives market where speculators have larger influences on risk.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (66)

66 Business

References Bekaert, Geert, Marcio G.P. Garcia, and Campbell R. Harvey, 1995, “The Contribution of Speculators to Effective Financial Markets,” Catalyst Institute.

Bekiros, Stelios and Cees G.H. Diks, 2007, “The Relationship between Crude Oil Spot and Futures Prices: Cointegration, Linear and Nonlinear Causality,” Universiteit van Amsterdam CeNDEF Working Paper #07-11

Besant, Lloyd, 1985, Commodity Trading Manual, Chicago Board of Trade, Chicago, Illinois

Black, Fischer, and Myron S. Scholes, 1973, “The Pricing of options and Corporate Liabilities,” J. Polit. Econ., 81, 637–645.

Bodie, Zvi, Alex Kane, and Alan Marcus, 2009, Investments, 8th edition, McGraw-Hill Irwin, New York, New York

Davis, Ann, 2008, “Vitol Lays Out Role in Oil Market”, The Wall Street Journal, December 24, 2008.

Gilbert, Christopher L., 2010, “Commodity Speculation and Commodity Investment,” Global Commodities Forum, Geneva, March 2010

Hull, John C., 2008, Options, Futures and Other Derivatives, 7th edition, Prentice Hall, Upper Saddle River, New Jersey

Harris, Larry, 2003, Trading and Exchanges: Market Microstructure for Practitioners, Oxford University Press, New York

Jordan, Bradford D., and Thomas W. Miller, 2009, Fundamentals of Investments, 5th edition, McGraw-Hill Irwin, New York, New York

Masters, Michael W., 2008, Testimony before the U.S. Senate Committee of Homeland Security and Government Affairs, Washington, DC, 20 May 2008.

Ross, Stephen A., 1976, “Options and Efficiency,” Q. J. Econ., 90, 75–89.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (67)

Derivatives and Risk 67

Soros, George, 2008, Testimony before the U.S. Senate Commerce Committee Oversight Hearing on FTC Advanced Rulemaking on Oil Market Manipulation, Washington D.C., 4 June 2008.

Strong, Robert A., 2009, Portfolio Construction, Management and Protection, 5th edition, South-Western College, Mason, Ohio

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (68)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (69)

Complex Job Structure and Intelligence: A Research Proposal

Christopher Michael Nelson Utah Valley University

Abstract While engaging in complex activities, there is an increase in fluid intel-ligence. This increase in intelligence is facilitated by neural plasticity which takes place within the Lateral Prefrontal Cortex. This paper is a research proposal that will either support or not support the relation-ship between complex job-like activities and fluid intelligence, as facili-tated by neural plastic mechanisms in the Lateral Prefrontal Cortex. This proposal outlines literature to support this thesis, methods for testing neural plasticity and intelligence, possible participant qualifica-tions, and other details that will be useful when conducting this study. The information gained from this study may result in greater awareness of the importance of engaging in complex activities; specifically those found in the workplace.

Introduction In Aristotle’s Nichomachean Ethics, the use of one’s reason is es-

sential in achieving and sustaining well-being (Jackson 2007). The use

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (70)

70 Business

of reason can be seen as using one’s intellect or intelligence, and it is the use of the intellect that increases one’s well-being. Well-being is expressed empirically by the absence of physiological and psychologi-cal strain, decreased somatic complaints, and decreased depression (Shaw 2004).

Because many adults spend the majority of their lives at work, it logically flows that having a complex job, one that requires the intellect to be used, would be beneficial to one’s well-being. This paper outlines a research model whereby the relationship between complex job struc-ture and intelligence may be empirically observed. For years, complex job structure and intelligence have been studied separately; however, there has never been a specific study designed to link the two. This paper provides evidence in support of the idea that a correlation be-tween complex job structure and intelligence does exist, as observed by neural plasticity. Definition of Complex Job: Dependent on the Individual

The definition of a complex job makes it a concept that is tailored to the individual. Based on the individual’s skills, attributes, handicaps, and other factors, a job may be termed as being complex. Thus, when we talk about a complex job, it is not contained within a specific indus-try or exclusively one that requires extreme intelligence; rather it is one that uses the full capacity of the individual (Klimoski and London 1975). To one individual, a complex job may consist of complex mathematical theory and the designing of intricate structures using en-gineering principals; however, to another individual, the use of basic mathematics and elementary teaching principles may be just as com-plex. Consequentially, the pairing of individuals with jobs appropri-ately complex to them is more important than the type of job chosen (Carless 2005). If a job is overly complex it may have the opposite ef-fect on well-being (Carless 2005). This may be the most difficult aspect of this study—the pairing of individuals with a job that to them is con-sidered complex.

Complex jobs have been described in the literature for decades (Klimoski and London 1975; Ganzach 1998; Shaw 2004), and a com-posite definition can be developed from several of the definitions. Job complexity is the extent to which a job challenges and requires the skills, knowledge, autonomy, social intractability, and responsibility for resources, both human and nonhuman, of the individual, as well as the extent to which it challenges and requires the individual’s ability to produce novel ideas and formulate objectives and strategies that lead to

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (71)

Complex Job Structure and Intelligence 71

the initiating and completing of specific tasks. Job complexity is also determined by the extent to which it promotes the further development of the abilities and attributes previously mentioned. In short, job com-plexity is defined by the extent to which it uses the full capacity of the individual (Klimoski and London 1975).

Person–Job Fit and the Consequences of Misfit on Well-Being

The results of this study are expected to be consistent with the theory of person–job fit. Person–job fit describes the effects of the fit or misfit between one’s abilities and the requirements, or complexity, of one’s job (Carless 2005; Ehrhart 2006). The greater the misfit be-tween one’s abilities and the job’s complexity, the more the individual will experience a lack of well-being. Conversely, the greater the fit, the more that job will contribute to the individual’s well-being (Carless 2005; Billsberry 2005).

The Gravitational Hypothesis states that “…individuals will move over time to occupations that match their cognitive ability…” (Wilk and Sackett 1996). This theory adds depth to the theory of person–job fit in that it shows how one’s person–job fit will most likely become more accurate over time and with the attainment of each new job. A common problem with hiring is that often a poor person–job fit is not perceived by the employer or employee, and thus some employers offer individuals jobs that are not a good fit, and individuals accept jobs that are a poor fit. If the relationship between person–job fit and well-being is better understood, then there may be more caution taken when ac-cepting a job and extending a job.

The Peter Principle, otherwise known as occupational incompe-tence, occurs when “[an] employee [has] been promoted from a posi-tion of competence to a position of incompetence” (Peter and Hull 1994). The Peter Principle has relevance in the study of job complexity and well-being because it is an example of a common problem regard-ing person–job misfit. As seen by the Peter Principle, there is a limit to how much complexity in a job will lead to well-being. At a certain point, one’s abilities will not be adequate to perform according to the job’s level of complexity, and a decrease in well-being will result (Car-less 2005; Ehrhart 2006).

From these theories involving job complexity and well-being, it is apparent that having an appropriate fit between one’s abilities and one’s job complexity plays a key role in well-being. Since no job will fit the exact abilities of a specific individual, there is a need for the in-dividual to bridge the gap between his or her abilities and the job’s

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (72)

72 Business

complexity. Positive job performance is the factor that allows one to experience well-being from a somewhat close, although imperfect, job fit (Shaw 2004). If the mismatch between employee ability and job complexity is too great, not even positive job performance can bridge the gap. On one hand is occupational incompetence, the job being too complex for the individual’s abilities, and on the other hand is occupa-tional overcompetence, the individual’s abilities far exceeding the complexity of the job. Both of these misfits hinder the individual’s well-being. Defining Complex Activity and Non-Complex Activity

In this study, two activity sets have been created to test the differ-ent effect each activity set has on the participants. One activity set will be defined as being complex, administered to the treatment group, whereas the other will be defined as being noncomplex, administered to the control group.

Earlier in the paper, complex activity was simplified to be defined as the extent to which it uses the full capacity of the individual (Klimoski and London 1975). Complexity will vary with each individ-ual because of the skills, attributes, and mental capacities they contain. Participants in this study will be selected from similar employment backgrounds, which will require that only two activity sets be used in the study—one that is complex, and another that is noncomplex. Ac-tivities were chosen that would be similar to activities done in the of-fice for administrative assistants, except that the activities for one group will be more complex than those for the other.

The complex activity set will consist of activities that include concept formation, goal setting, problem solving, decision making, unitizing, relating, creating, and ordering (Van Gigch 1970). The vari-ety and integration of the activities will ensure that the participants are not simply acting by routine but that they are being required to develop new skills and deepen existing skills. This “…higher level of integra-tion implies more complexity of mental function and hence a higher rate of information processing” (Van Gigch 1970).

The noncomplex activity set will consist of activities that facilitate an environment where “[n]o learning or judgment is involved.” (Van Gigch 1970), and likely one that is more simple than each participant’s own work environment. These activities are not meant to challenge the mind, require unique responses or actions, or be particularly interesting to the individual. These activities will be used to show the difference between engaging in complex activities as opposed to noncomplex ac-tivities on the lateral prefrontal cortex’s development.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (73)

Complex Job Structure and Intelligence 73

Relevance of Intelligence The impact that using one’s intelligence has on one’s well-being

is important when considering the amount of stress and depression pre-sent in modern-day Western societies (Greenwald 2009). If one is not able to apply intelligence in meaningful ways throughout one’s life, how will this affect that person’s well-being over time? Based on Aris-totle’s logic, and as has been discussed previously regarding the Per-son–Job Fit theory, that person’s well-being will be seriously compromised.

Each individual’s unique neural makeup is due in large part to the memories they have acquired over a lifetime (Thompson 1986). “Last-ing changes in behavior resulting from prior experience can be charac-terized as the result of learning, memory, and retrieval processes” (Thompson 1986). Intelligence cannot be termed as simply as one es-sence or a single factor; instead, it is the sum of many cognitive abili-ties (Das 2002). Intelligence can be thought of as the accumulation of and interrelatedness of planning processes, attention or arousal, simul-taneous processing, and successive processing or integrating stimuli (Das 2002). Memory and learning are components of each of these fac-tors of intelligence. The following section shows how neural plasticity mechanisms facilitate the acquisition of intelligence as stimuli are en-countered.

Fluid intelligence, “…reasoning and novel problem solving abil-ity…” (Gray and Thompson 2004), is the specific kind of intelligence being discussed in this paper. This kind of intelligence relates to a spe-cific area of the brain that will be described later on. Fluid intelligence is associated with working memory, “[a] cognitive/neural system for maintaining information actively in mind (storage) and manipulating it (executive processing), or hold it in mind despite potential distraction or interference (control of attention)” (Gray and Thompson 2004), whereas some definitions of intelligence (i.e., crystallized intelligence) relate to static knowledge and do not focus on the adaptability of intel-ligence. “Performance on [measures of working memory capacity] predicts performance on a wide range of higher-order cognitive tasks…including reading comprehension, complex learning, and rea-soning” (Engle 2002).

Neural Plasticity: Facilitating the Acquisition of Intelligence

The mechanisms of neural plasticity make the acquisition of new knowledge, and the organizing of existing knowledge, possible

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (74)

74 Business

(Ansermet and Magistretti 2004). Neural plasticity is complex, and our understanding of it is expanding constantly. In this paper, neural plasticity will be considered and referred to often as the mechanism that allows for fluid intelligence to be developed; however, some of the specific mechanisms of neural plasticity will be focused on only briefly.

Activity, regardless of its complexity or relevance to productivity, causes neural plastic mechanisms to create changes within the neural structure and function of the brain (Ansermet and Magistretti 2004, Rubinov et al. 2009). Even after activity is translated into a change in the brain, by way of neural plastic mechanisms, these “memories” are adjusted so they are in closer connection with more similar “memories” and in less close connection with less similar memories (Rubinov et al. 2009). Thus, as time goes by, acquired memories are organized, in-volving them in functional networks with more ordered characteristics (Rubinov et al. 2009); however, memories that are not accessed often may be discarded over time (Massey and Bashir 2007).

Complex job-like activities are the stimuli used in this study to spur the neural plastic mechanisms. Complex job-like activities will be contrasted with noncomplex job-like activities to provide evidence for a disparity between the affects of each upon the individual’s neural de-velopment. The mechanisms of long-term potentiation, long-term de-pression, synaptogenesis, neurogenesis, and homeostatic and intrinsic plasticity will be described briefly below. The brain uses multiple neu-ral plastic mechanisms simultaneously to create organization and stabil-ity within its plethora of neural networks. “Somehow these mechanisms must work together to allow the brain to learn efficient representations for the various tasks it is facing. They shape the neural code and form the foundation on which our higher cognitive abilities are built” (Lazar et al. 2009). Some neural plastic mechanisms are directly involved with the allocation and storage of memories (Silva et al. 2009) and are thus of great importance to this study.

Long-term potentiation (LTP) is the neural plastic mechanism that causes synapses to be retained in neural networks (Morris 2003). Syn-apses that experience increased activity are retained by the mechanism of LTP (Zukin et al. 2009). LTP is exhibited as “[a] brief tetanic elec-trical stimulus…to certain pathways [which] induces an increased syn-aptic excitability” (Thompson 1986). LTP is of particular interest in this study because it is connected to memory: “…the persistence of LTP correlate[s] with the persistence of memory…” (Morris 2003). As synapses experience increased activity, indicating that they are used often and that they are important to the brain’s functioning, LTP facili-tates that those synapses be protected and experience growth (Morris

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (75)

Complex Job Structure and Intelligence 75

2003). This LTP also facilitates that the synapses nearby the synapse, experienced increased activity, be potentiated as well (Silva et al. 2009).

One of the roles of long-term depression, on the other hand, is es-sentially to eliminate synapses, as directed by neural activity. Synapses that have remained inactive for some time may experience a silencing and reduction in size because of LTD (Lisman 2003, Zukin et al. 2009, Minerbi et al. 2009). LTD contributes to the removal of old memory traces as they are no longer needed and as new memories are being stored (Massey and Bashir 2007).

“The combination of [LTP and LTD] contributes to the essential brain function of learning and memory. Impaired synaptic activity al-most certainly results in impaired mental development.” (Zukin et al. 2009). Over time, as synapses are incorporated into neural networks, they experience a phenomenon known as drift. Synaptic drift is ob-served as synapses increase or decrease in size partially as a result of activity and also as a result of a lack of activity. Synaptic drift “…promot[es] the convergence of synaptic sizes on some optimal size distribution” (Minerbi et al. 2009). A network may also drift in relation to its function. This network drift can be seen as “…an ‘exploratory’ process that that allows networks to explore the space of synaptic con-figurations in search of appropriate synaptic input levels or functionally ‘useful’ or ‘successful’ configurations” (Minerbi et al. 2009).

The birth of new synapses is called synaptogenesis. This is not an uncommon phenomenon since “…new, small synapses are continually formed at a constant rate…” (Minerbi et al. 2009). These new synapses begin their existence without strong connection to any specific neural network; however, as time goes on, and as activity guides the need for new synapses, these synapses are stabilized, most likely by forming interactions with nearby neurons (Minerbi et al. 2009). As even more time goes by, if the neural networks that these new synapses are incor-porated into experience an adequate amount of activity, the synapses will grow and become mature (Minerbi et al. 2009).

Neurogenesis, the birth of new neurons both in the child’s brain and the adult’s, is a far less common experience when compared to synaptogenesis. These new neurons are highly excitable, have high levels of synaptic potentiation, and are more susceptible to being incor-porated into new memory traces, and as a result are believed to play an important role in memory development and storage (Silva et al. 2009). These new neurons have sufficiently mature synapses and overall physiology at four weeks old to be involved with connections leading to memory allocation and storage (Silva et al. 2009). The storage of

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (76)

76 Business

memories is thought to take place in the synapses of neurons, specifi-cally when the neurons are newly formed (Silva et al. 2009).

The constantly changing functional and structural networks of the brain, enacted by its own self organization, will lead to neural chaos unless homeostatic plasticity mechanisms are in place (Turrigiano and Nelson 2004, Lazar et al. 2009). “The key to the brain’s solution to [this neural chaos] may be the synergistic combination of multiple forms of neuronal plasticity” (Lazar et al. 2009). Homeostatic mecha-nisms are believed to be the means of regulating the constant neuronal changes taking place on the synaptic level, whereas intrinsic plasticity mechanisms regulate plasticity at the neuron level (Lazar et al. 2009). These regulatory forms of neural plasticity allow the networks in the brain to learn to better organize themselves, remain efficiently organ-ized as new stimuli are incorporated into the network, and execute pre-diction tasks better than if there were no regulatory mechanisms in place (Lazar et al. 2009). Homeostatic and intrinsic plasticity mecha-nisms are vitally important to the brains ever-changing, but continually stable, state. Without these mechanisms the brain would likely exhibit seizure-like bursts of activity and/or amnesia (Lazar et al. 2009).

We will refer to neural plasticity as being positive when it in-creases the “…integrity, structure, and function of the lateral prefrontal cortex” (Gray and Thompson 2004). This correlates to a greater view of positive neural plasticity—that it is neural plasticity that increases the individual’s memory, learning, and fluid intelligence, aiding in the ac-complishment of goals, tasks, and ultimately, success. The term “posi-tive neural plasticity,” as it has been defined in this paper, applies only as a descriptive term and is not documented in other related literature and/or studies. Lateral Prefrontal Cortex: Area of Interest Regarding Intelligence

The areas of the brain being monitored in this study are found within the lateral prefrontal cortex. This general area has been specu-lated as being a good indicator of fluid intelligence. “Overall, intelli-gence in the sense of reasoning and novel problem-solving ability is consistently linked to the integrity, structure and function of the lateral prefrontal cortex and possibly to that of other areas.” (Gray and Thompson 2004).

The frontal cortex shows activation when the individual under-goes “…feature binding […] creation of an organized structure […] generation of images based on words […] and integration of informa-tion in working memory” (Nyberg 2003). The lateral prefrontal cortex

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (77)

Complex Job Structure and Intelligence 77

is an area of the brain that deals with fluid intelligence and will be this study’s indicator of participant level of fluid intelligence. An increase in the mass and structure of the lateral prefrontal cortex will indicate an increase in participant fluid intelligence, whereas a decrease will indi-cate a decrease in participant fluid intelligence.

When completed, this study will provide evidence that either sup-ports or does not support a relationship between complex job structure and increased fluid intelligence. Following is a research plan that out-lines the procedures that may be used to determine this correlation in a meaningful way. Following the research section is a description of methods to be used in the research process, as well as a rough estimate of costs to be expected.

Research Model

Selecting Participants For the research to be consistent and for a single model to be fol-

lowed, participants must be drawn from similar employment. Selecting participants based on their employment will allow for the same activity sets to be used for each group of participants. This will help to ensure that the amount of fluid intelligence increase is related to the complex activities being performed. It is also important to note that the neurons in the prefrontal cortex (the area of the brain being monitored in this study) are “…susceptible to age-related change, as these cells show a decrease in dendritic branching in…humans” (Burke and Barnes 2006) as well as “…decreases both [in] excitability of neurons…and the rates of neurogenesis…” (Silva et al. 2009). Hence, participant age will be of concern, as this may decrease the amount of neural plasticity seen in general, not as a result of the activity sets.

The type of employment used as a filter for participants will be administrative assistants. An individual that has been employed as an administrative assistant for at least 2 years, and that is under the age of 55 (Nyberg et al. 2003), will qualify to participate in the study. Indi-viduals must also be currently employed as administrative assistants to qualify for participations. Participants will be selected from a single county to control for the distance they will need to travel to participate.

A questionnaire will be sent out to workplaces who hire adminis-trative assistants, requesting the participation of these individuals. In-dividuals under the age of 55 that have been employed as an administrative assistant for at least 2 years and under the age of 55 will be invited to participate. As a preface to the questionnaire, a letter will include information regarding the nature of the study (basic outline with hypothesis, techniques, and compensation). The questionnaire is

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (78)

78 Business

the initial filtering process and will require information discussed above, as well as participant’s date of birth, sex, years of formal educa-tion, and race. Although these additional questions will not be used directly in this study, they will allow the information gathered to possi-bly be more useful to other studies. After the selection process is com-pleted, it is hoped that there will be at least 30 qualified participants available, 15 for each group.

Participants will be divided into two groups: those undergoing complex activities and those undergoing noncomplex activities. Each group will contain the same amount of participants. who will be ran-domly assigned to the groups. Each group will undergo the same num-ber of activity sets and will receive the same information, working environment, etc. Participants in each group will undergo a positron emission tomography (PET) scan upon completing each set of activi-ties, and data/images from these scans will be used later to detect changing brain activity correlating with the different activity sets. Resources Available to Each Group

Each participant will be provided with a workspace that includes a chair, desk, and computer. A set of documents will also be provided both in hard-copy form and digital form. This set of documents will consist of a standard organization chart, the organization’s mission statement, value statement, goals, and an employee information list. Both the complex and the non-complex activity sets were derived from the “Mental Therbligs and Levels of Integration” model described in van Gigch’s article “A Model for Measuring the Information Process-ing Rates and Mental Load of Complex Activities” (van Gigch 1970).

Complex Activity Set

The complex activity set consists of 3 activities that participants will be required to perform. This activity set is unique because there are elements of creativity and personal reasoning that are required. There may be many ways to accomplish each task effectively, and it is up to the participant to use his or her skills, knowledge, and attributes in a way that fulfills the requirements for each task. • Organizing the Contact Information: The participant is assigned

to organize contacts, found on the contact information sheets, by four criteria: department, position, years experience in organiza-tion, and date of birth. This document is available in hard-copy form as well as digital form. The digital copy of the document is

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (79)

Complex Job Structure and Intelligence 79

stored on an Excel sheet and may be manipulated by the partici-pant if desired.

• Compile Minutes: The participant is required to compile the available company minutes, showing where there is integration between sets of minutes. The format should include indication of the following: task assignment and follow up, goals and achieve-ment, problems and resolutions, and innovative suggestions and integration of innovation.

• Creating Teams: The participant is required to create five differ-ent teams based on the information present in the available docu-ments. Teams may consist of as many or few individuals as desired and may serve any purpose desired. The creation of each team should have a well-thought-out purpose. The participant is required to write a description of how teams were formulated and what purpose they serve in the company.

Noncomplex Activity Set

The noncomplex activity set is designed to allow the participant to remain occupied with “forced pace and overlearned activities” (van Gigch 1970). These activities require little, if any, creativity, reasoning, or complex skills of any kind. Each task requires the participant to do something that, in essence, only has one route to completion and only one outcome. Each participant will posses the skills, knowledge, and attributes necessary to accomplish these tasks. • Reading Documents Aloud: The participant reads each document

available aloud, word for word. The participant should not at-tempt to make sense of the documents except to simply recite what is written.

• Retype Documents: The participant retypes each document avail-able, word for word. The participant should not change the for-matting of the forms, but should completely replicate the format of the original document.

• Adding Numbers: The participant adds together each number on a single document, including the contact lists. The participant then adds together the total from each document to produce a grand total.

Detecting Changes in Intelligence

Positron emission tomography scans will be used to detect the use of and changes in participant intelligence as described previously. PET scans detect gamma rays being emitted from isotopes that have been

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (80)

80 Business

injected into the patient. These gamma rays allow the PET scan to de-tect and image many of the body’s processes, including areas of the brain experiencing increased metabolism (Kapur et al. 1994). In this study, the PET scan will be able to provide a four-dimensional image of brain activity, by way of changing blood delivery to specific areas of the brain. The area of most importance in this study is the lateral pre-frontal cortex.

Methods

Condition of Participants During the Procedure The participant will perform the activity sets in a well-lit, com-

fortable room with an observation window and intercom system. Each participant will be monitored by an observer (i.e., a research assistant or student aide) to ensure that any questions the participant might have are addressed. The participant will be provided with a cubicle-like desk and computer to emulate a natural setting in which the participant would actually perform their work. If the participant needs a drink, snack, or to use the bathroom, they will have access to an intercom and can request such from the observer. The observer should not interfere with the creative processes of the participant; however, if the partici-pant requires clarification regarding an activity then the observer may assist the participant. Administering Activity Sets

The observer will review each activity with the participant prior to starting. Once the participant has begun the activity set, the observer will keep the participant informed as to when it is time to move to a new activity. If the participant has a need or request the observer will facilitate this break, although it is hoped that no breaks will be needed. Upon concluding the activity set, the observer will escort the partici-pant to the PET scan, and following the scan, will set up the next ap-pointment. PET Scans

A PET scan will be administered to each participant upon comple-tion of each activity set. Each participant will undergo three PET scans.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (81)

Complex Job Structure and Intelligence 81

Compensation for Participants Participants will be given $60 each time they complete an activity

set, resulting in $180 per participant in compensations over the length of the study. This will result in $5,400 spent on participant compensa-tion for this study. Participant Consent and Ethical Awareness

A consent form will be given to each participant before an agree-ment is requested to participate in the study. This form will comply with the Institutional Review Board’s (IRB) requirements, and will present each potential participant with the information needed to make an informed consent to participate in the study. The IRB’s initial re-quirements that must be met before a review will be done are that the “[r]isks to subjects are minimized” that the “risks to subjects are rea-sonable in relation to anticipated benefits” and that “[i]nformed consent will be sought from each prospective subject or the subject’s legally authorized representative, in accordance with, and to the extent re-quired by the Code of Federal Regulations, Title 45, Part 46 §116” (UVU IRB Handbook 2008).

The Utah Valley University Institutional Review Board requires that procedures involving PET undergo an expedited review by the executive review board (UVU IRB Handbook 2008). This procedure requires that each participant undergo PET scans throughout the study, thus the number of PET scans and a description of a PET scan will be provided on the consent form along with information regarding poten-tial health threats regarding each of these.

The consent form will describe the potential threats of the PET scan, as well as the potential strains the activity sets may cause the par-ticipant. The primary concern regarding the PET scan is exposure to ionizing radiation. The activity sets may require participants to remain mentally engaged in activities for multiple hours at a time. This has the potential of placing stresses on the participant that are not present in his/her daily experiences.

The consent form will also address the potential benefits gained through this study. Although there are no benefits that apply directly to the participants, there are benefits for the workforce as a whole. This study will provide evidence that complex jobs are important to the well-being of those filling them. It is hoped that employers will be-come more aware of the importance of complex jobs and person–job fit, and that in turn there will be more meaningful and beneficial em-ployment made available. A monetary compensation will be made to

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (82)

82 Business

each participant each time he or she completes an activity set and set of scans. The amount of this compensation will be $60 for each activity set and scan, resulting in $180 in compensation for the duration of the study for each participant.

The participants will be made aware that their personal informa-tion will be kept confidential, and at any point during the study they are free to discontinue their participation for any reason. The nature of the data will not require that specific participants or their personal informa-tion be named in the results of the study. Code names and other forms of separating data from participants will be applied to protect the iden-tity of the participants (UVU IRB Informed Consent Letter)

If the project is deemed by the IRB as being too dangerous for human participants because of the radiation received from the extensive PET scanning, the project may be modified by searching out other methods of neural scanning.

If the project is changed to discard the use of PET scans, then de-tails throughout the project must be changed as well. Details in the procedure, method, and results would need to be changed so as to eliminate the use of PET scans as well as the data that would result from these scans, and any other aspects of the study deemed unethical by the IRB.

The above structure for the ethical portion of the study has been derived and modified from the UVU IRB Handbook and the UVU IRB Informed Consent Letter. Acquiring Funds

Funding for this project may be acquired by way of a grant. Grants are offered by the U.S. Federal Government and also by private foundations. Applying for these grants will need to take place before this project can commence. Conclusion

The expectations for this study are that PET scans will show a re-lationship between complex job structure and fluid intelligence. The concept of positive neural plasticity is used in this study to differentiate between neural plasticity taking place in the lateral prefrontal cortex during complex job-like activities as opposed to other parts of the brain due to other stimuli.

The procedures outlined in this research proposal are expected to be reasonable and effective. There are many variables within this study that can be changed to produce possible better results; however, it is

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (83)

Complex Job Structure and Intelligence 83

important to note that where there is a change in the participant popula-tion, there must also be an appropriate change made to the activity sets.

The information gathered from this study may result in a greater awareness of the importance of engaging in complex activities, includ-ing and especially, in the workplace. This kind of activity helps not only in neural development, but also in the achieving and sustaining of well-being. This study may have many valuable implications and ap-plications regarding employment as it relates to employee well-being.

Job enrichment, the designing of a job that “provide[s] sufficient variety and challenge, and require[s] enough skill to engage the abilities of the worker” (Klimoski and London 1975), plays a key role in the possible results of this study. If the hypothesis, that complex job struc-ture, when properly fitted to the individual, increases fluid intelligence and as a result increases well-being, is supported, then it is hoped that employers will have greater evidence to provide complex employment. The focus of an employer should be to offer jobs that are complex, ac-cording to the abilities of potential employees, and consequently to provide opportunities for appropriate gravitation into job positions within the company that will keep current employees in a close person–job fit. This will improve employee retention, development, and loy-alty. In this way, the employer can benefit the lives of those that he or she employs, and in return, the employer gains their best resource, that of an increasingly intelligent and skilled pool of employees.

References Ansermet, F., Magistretti, P. (2004). Biology of Freedom : Neural Plasticity, Experience, and the Unconscious. Other Press.

Billsberry, J. (2005). Some suggestions for mapping organizational members’ sense of fit. J. Bus. Psychol. Vol. 19, No. 4 (Summer, 2005), pp. 555-570.

Burke, S.N., and Barnes, C.A. (2006). Neural plasticity in the ageing brain. Nat. Rev. Neurosci., Vol. 7, No. 1 (January 2006), pp. 30-40.

Carless, S.A. (2005). Person-job fit versus person-organization fit as predictors of organizational attraction and job acceptance intentions: a longitudinal study. J. Occup. Organ. Psych., Vol. 78 (September 2005), pp. 411-429.

Das, J.P. (2002). A better look at intelligence. Curr. Dir. Psychol. Sci.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (84)

84 Business

Vol. 11, No. 1 (February 2002), pp.28-33.

Ehrhart, K.H. (2006). Job characteristic beliefs and personality as antecedents of subjective person-job fit. J. Bus. Psychol., Vol. 21, No. 2 (Winter 2006), pp. 193-226.

Engle, R.W. (2002). Working memory capacity as executive attention. Psychol. Sci., Vol.11, No. 1 (February 2002), pp.19-23.

Ganzach, Y. (1998). Intelligence and job satisfaction. Acad. Manage. J., Vol. 41, No. 5, pp. 526-539.

Gray, G. R., Thompson, P.M. (2004). Neurobiology of intelligence: science and ethics. Nat. Rev. Neurosci., Vol. 5, pp. 471-482.

Greenwald, J. (2009). Employers grapple with rise in workplace suicides. Bus. Insur., Vol. 43, Issue 30, pp. 1-22.

Jackson, R. A. (2007). Aristotle on what it means to be happy. Richmond J. Philos., 16 (Winter 2007).

Kapur, S., Craik F.I.M., Tulving E., Wilson, A.A., Houle, S., Brown, G.M. (1994). Neuroanatomical correlates of encoding in episodic memory: levels of processing effect. Proc. Natl. Acad. Sci. USA Vol. 91, No. 6 (Mar. 15, 1994), pp. 2008-2011

Klimoski, R. J., London, M. (1975). A study of perceived job complexity. Pers. Psychol. Vol. 28, pp. 45-56.

Lazar, A., Pipa, G., and Triesch, J., (2009). SORN: a self-organizing recurrent neural network. Front. Comput. Neurosci., Vol.3, Article 23, October 2009.

Lisman, J., (2003). Long-term potentiation: Outstanding questions and attempted synthesis. Philos. T. R. Soc. B, Vol. 358, pp. 829-842.

Massey, P.V., and Bashir, Z.I., (2007). Long-term depression: multiple forms and implications for brain function. Trends Neurosci., Vol. 30, No. 4, pp. 176-184.

Minerbi, A., Kahana, R., Goldfield, L., Kaufman, M., Marom, S., and Ziv, N.E. (2009). Long-term relationships between synaptic tenacity, synaptic remodeling, and network activity. PLOS Biol., Vol. 7, Issue 6

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (85)

Complex Job Structure and Intelligence 85

(June 2009), e1000136.

Morris, R.G.M. (2003). Long-term potentiation and memory. Philos. T. R. Soc. B, Vol. 358, No. 1432, pp. 643-647.

Nyberg, L., Sandblom, J., Jones, S., Stigsdotter, N., Petersson, K.M., Ingvar, M., and Backman, L. (2003). Neural correlates of training-related memory improvement in adulthood and aging. Proc. Natl. Acad. Sci. USA. Vol. 100, No. 23 (November 2003), pp. 13728-13733.

Peter, L.J., Hull, R. (1994). The Peter Principle, The London Souvenir, pp. 19-27

Rubinov, M., Sp*rns, O., Leeuwen,C.V., and Breakspear, M., (2009). Symbiotic relationship between brain structure and dynamics. BMC Neurosci., 2009, Vol. 10, pp. 55.

Shaw, J.D. (2004). Job complexity, performance, and well-being; when does supplies-values fit matter? Pers. Psychol., Vol. 57, 847-879.

Silva, A.J. et al. (2009). Molecular and cellular approaches to memory allocation in neural circuits. Science, Vol. 326 (16 October 2009), pp. 391-395.

Thompson, R.F., (1986). The neurobiology of learning and memory. Science, Vol. 233, No. 4767, pp. 941-947.

Turrigiano, G.G. and Nelson, S.B. (2004). Homeostatic plasticity in the developing nervous system. Nat. Rev. Neurosci. ,Vol. 5 (February 2004), pp. 97-107.

Utah Valley University Institutional Review Board Informed Consent Letter. http://uvu.edu/irb/lib/includes/Sample%20Consent%20Form.pdf

Utah Valley University Institutional Review Board Investigator’s Handbook for Research Involving Human Subjects. (2008). Revised January 12, 2009. http://uvu.edu/irb/lib/includes/IRB%20Handbook %20%28pdf%29.pdf

van Gigch, J.P., (1970). A model for measuring the information processing rates and mental load of complex activities. CORS Journal, Vol. 8, Issue 2, p. 116-128.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (86)

86 Business

Wilk, S.L., Sackett, P.R. (1996) Longitudinal analysis of ability-job complexity fit and job change, Pers. Psychol., Vol. 49, Issue 4 (Winter 1996), pp. 937-967.

Zukin, S.R., Richter, J.D., and Bagni, C. (2009). Signals, synapses, and synthesis: how new proteins control plasticity. Front. Neural Circ., Vol. 3, Article 14, October 2009.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (87)

Engaged Learning and the Entrepreneurial Mind Set

Peter B. Robinson Utah Valley University

Abstract While some argue that entrepreneurship cannot be taught, it is usually the entrepreneurial mindset they would insist is not teachable. This mindset is often based on older theories that are usually outdated or inconsistent with current theories and assumptions. This paper presents a conceptual and empirical tie between engaged learning and the en-trepreneurial mindset using a model of the mindset based on current attitude theory, as exemplified by the Entrepreneurial Attitude Orienta-tion (EAO) as an example of entrepreneurial mindset. Engaged learn-ing models are explored in terms of both (1) the elements of good engaged learning and (2) the steps involved in engaging students in the learning process. Finally, two examples of engaged entrepreneurship education are provided and related back to the elements of engaged learning.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (88)

88 Business

It Just Can’t Be Taught: an introduction to entrepre-neurial mindset

On December 20, 2009, Derrick Rose of the Chicago Bulls had what was described as “A Dream Shake.” He drove hard to the basket, pushing the defender back, he slid to the side, stepped back, spun, and jumped, nailing two points, and there was virtually nothing the de-fender could do. It was a pressure shot at a key point in the game, and he made it. That move sparked an interesting conversation on the Fan Shot - Comments page of the Blog-a-Bull web site (Dec 20, 2009).

A poster, “Option27,” posted the video with the comment “There’s just some things you can’t teach,” and the following thread ensued (word choice, punctuation, and spelling unedited).

tyger1147: Um... you think that's not something that can

be taught?

Option27: I honestly don't. That play displayed so much. Agility, natural athletic ability, speed, aware-ness, creativity and most of all, the pressure to make such an important shot whilst all the chaos involved in that play.

SoulEater7: I think it can be taught. But it takes Agility, natural athletic ability, speed, awareness, crea-tivity, and timing to pull it off.

Option27: If you have all those attributes, then yes . . . it can be taught. But those abilities are what cannot be taught. Got my point?

SoulEater7: Oh I thought you meant the move couldn't be taught.

Option27: I just meant the whole process of the play and what you would need to pull it off.

tyger1147: In that sense, nothing can be taught??? I real-ize I’m getting sucked into a vortex of the un-known here, but whatever.

Option27: That was deep.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (89)

Engaged Learning and Entrepreneurial Mindset 89

There have been similar discussions with regard to entrepreneur-ship. We could observe the founding of a company where the founders identify a great opportunity that nobody else had seen. They marshal the resources, raise the capital, and launch the successful venture while the larger community watches in awe as the pundits step in.

Pundit 1: There are just some things you can’t teach,

Pundit 2: You think that’s not something they teach at Utah State, BYU or the U?

Pundit 1: I honestly don’t. That displayed so much knowledge, foresight, gut instinct, innate ability and street smarts; to start that business under our current economic conditions, it just can’t be taught in an MBA class and certainly not at the under-graduate level.

Pundit 3: I think it can be taught but it takes knowledge, fore-sight, gut instinct, innate ability and street smarts to pull it off.

Pundit 1: If you have all those attributes, then yes . . . it can be taught. But those abilities are what cannot be taught.

Pundit 3: Oh I thought you meant that entrepreneurship couldn’t be taught

Pundit 1: I just mean the whole process of creativity, generat-ing ideas, identifying, evaluating and executing opportunities, and building a successful or-ganization, and the attributes you would need to pull it off can’t all be taught.

Pundit 2: In that sense, nothing can be taught. I realize I’m getting sucked into a vortex of the unknowable here, but whatever.

Pundit 1: That was deep.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (90)

90 Business

The Things That Can’t Be Taught There does seem to be some set of characteristics that set entre-

preneurs apart from managers, wage, and salary workers. Some set of at least quasi-innate abilities that can collectively be called the entre-preneurial mindset. The question then becomes, what is the entrepre-neurial mindset?

In the popular press there are as many definitions or formulas for the entrepreneurial mindset as there are consultants, researchers, and educators. A Google search turned up 250,000 results in 0.39 seconds, and while there was a great deal of redundancy, the list was impressive. Even when the search is limited to scholarly research on the entrepre-neurial mindset, there were over 23,000 results.

Just some of the attributes of the entrepreneurial mindset from both popular press and scholarly publications include (Google Scholar; Gibb, 2002):

Free thinkers,

Problem solvers,

Innovative in their approach to change,

Willing to fail to eventually win,

Take calculated risks,

Learn from failure,

Passionately seek new oppor-tunities,

Strong personal discipline,

Focus on execution,

Work through others,

Excel at planning.

A passion for business,

A product/customer focus,

Tenacity,

Execution intelligence,

Achievement motivated / ori-ented,

Alert to opportunities,

Creative,

Decisive,

Energetic,

Internal Locus of Control,

Risk taker,

Networking ability,

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (91)

Engaged Learning and Entrepreneurial Mindset 91

Persuasive,

Self confident,

Self-starter,

Strong work ethic, and

Tolerance for ambiguity

The list could go on indefinitely. The problems with the popular approach and often with scholarly research are:

First: It is often based on individual experience with

little or no empirical support.

Second: There is no theory base, and when there is a theory base, it often uses theories that are older not generally accepted in the home discipline.

Third: The characteristics or mindset, while it may be true that entrepreneurs in general posses the attribute, it does not distinguish them from managers, wage and salary workers, or the general population.

Finally: So what if entrepreneurs possess the attributes? Is it of any utilitarian value?

Focusing on the second problem, the lack of theory and use of older outdated information (Robinson and Shaver, 1995) noted that this has resulted in “a considerable amount of folklore and myth embedded in popular and some scholarly conceptualizations of the entrepreneur" (p.98). Older conceptualizations tend to be based on assumptions con-sistent with traits and personality types that are not in harmony with reality and more current social science theories. The lack of empirical support for traits and types has lead to a focus on firm level strategy and the behavior of the entrepreneur (Endres and Woods, 2006; Gartner and Carter, 2003; Ross and Westgren, 2006). The result has been the conclusions that “there are some things that just can’t be taught.”

This conclusion is true, if education is based on the older concep-tualizations and models in which entrepreneurs are considered to have innate characteristics such as a need to achieve, internal locus of con-trol, or a certain Myers-Briggs personality type. The resulting educa-tional programs would then be lecture- and text-based case studies, memorization of terms and concepts, story problems, and very little

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (92)

92 Business

practical application. The focus is on skill building, behavior parroting, and appropriate responses to outside stimulus.

This conclusion is false if education is based on newer conceptu-alizations and models of the human experience. This paper will ex-plore these newer conceptualizations and the type of education that will naturally arise from current social psychological theory. A New Approach Psychological “Things”

Before exploring the “things” of education and entrepreneurship, there must be some exploration of the “things” of psychology (theories and frameworks) and the “things” of entrepreneurship (Mindset).

Starting with psychological “things,” in 1989, Mitchell and James (1989) described “a new view [of psychology] that stresses the impor-tant attributes of people, their contexts, and their interactions.” They listed several points that defined the relationship between the person and the environment. These points are: (1) the person fitting into an environment; (2) both the person and the environment changing over time; (3) changes in the person causing changes in the environment and changes in the environment causing changes in people; (4) people be-ing both active and reactive with respect to these changes; and (5) peo-ple’s views of their past and future influencing whether they are active or reactive and how much or how little they change.”

Again, Mitchell and James state that, “what emerges is a human who is active psychologically and behaviorally, interacting in a dy-namic way with a changing environment. For the person, there is both stability and change, there is [pro] active and reactive behavior, [and] there are abilities and acquired skills that merge” (p. 147).

This view became part of the foundation of a more current stream of theories that provides for characteristics that must be dynamic, changing across both time and situations, that are learned through ex-perience, and that interact with the environment. The primary thrust of this line of research in entrepreneurship is attitude theory as conceptu-alized by Robinson et al. (1991). The “Things” That Need To Be Taught?

Next, the “things” of entrepreneurship, those things to be taught, depend on the conceptualization and definition of entrepreneurship. In 2000, Shane and Venkataraman (2000) examined the literature across multiple business disciplines looking for those activities that distin-guished entrepreneurship from every other business discipline (strat-egy, organizational behavior, organizational development, organ-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (93)

Engaged Learning and Entrepreneurial Mindset 93

izational theory, etc.), and they found three defining activities that were unique to entrepreneurship: (1) opportunity identification; (2) opportu-nity evaluation; and (3) opportunity execution.

This took entrepreneurship from a knowledge base or skill set to a process. It moved the “things” that define an entrepreneur from a static, stimulus response set of traits and behaviors to a dynamic, inter-active mindset consistent with the description of Mitchell and James (1989). It made it appear, at first, as though these “things” really couldn’t be taught. What it actually did was to clearly define what processes constitute the field of entrepreneurship and challenged the field to find ways to model, measure, and teach those processes.

It clarified what many had been advocating for some time. Mod-els of entrepreneurial characteristics must be based on current theory and founded on accurate assumptions of how people interact in their environment (Carsrud and Johnson, 1987; Robinson and Shaver, 1995). Entrepreneurship became an intention and an inclination, not just an action or set of behaviors. It had become a mindset not a skill set. The Entrepreneurial Mindset and Attitude Theory

Mindset is often defined as an established set of attitudes held by someone, that influences or predisposes an individual to interact (per-ceive and behave, act and react) with the world in a certain and consis-tent way. It is synonymous with an intention or inclination, a frame of mind, an approach or an outlook. Operationalizing constructs such as “mindset” has been the domain of social psychology for decades and is best embodied in research dealing with attitudes.

Attitude is the predisposition to respond in a generally favorable or unfavorable manner with respect to the object of the attitude (Ajzen, 1982; Huefner, 1991; Kristensen et al. 2001; Robinson et al. 1991; Rosenberg and Hovland, 1960; Shaver, 1987). Attitude is a dynamic construct, changing over time and acquired through experience. In the field of entrepreneurship the best embodiment of this framework is the Entrepreneurial Attitude Orientation (EAO) developed by Robinson (1987) as part of his doctoral dissertation. It is the most widely used and cited attitude measure in the field.

The EAO consists of a constellation of four related attitude scales the objects of which are a psychological construct representing a way of interacting with the world in the context of business. Together they constitute a measure of the entrepreneurial mindset. It should be noted that the EAO does not measure one’s attitude toward entrepreneurship. Rather it measures four business-based attitude scales that are highly related to entrepreneurship. These four scales are:

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (94)

94 Business

1. Achievement in business, referring to concrete results associated with the start-up and growth of a business venture.

2. Innovation in business, relating to perceiving and acting upon business activities in new and unique ways.

3. Perceived personal control of business outcomes, concerning the individual's perception of control and influence over his or her business.

4. Self-esteem in business, pertaining to the self-confidence and per-ceived competency of an individual in conjunction with his or her business affairs. Each subscale is measured using a tripartite model, which holds

that people interact with and learn from their environment in three dis-tinct but related ways, through their affect, cognitions, and conations. Attitude is a combination of all three types on interaction (Allport, 1935; Breckler, 1983, 1984; Carlson, 1985, 1994; Katz and Stotland, 1959; Kothandapani, 1971; Kristensen et al. 2001; Ostrom, 1969; Robinson, 1987; Rosenberg and Hovland, 1960; Shaver, 1987). The cognitive component consists of the beliefs and thoughts an individual has about an attitude object. The affective component consists of posi-tive or negative feelings toward the object. The cognitive or behavioral component consists of intentions, predispositions, or inclination to be-have in a given way toward the attitude object.

The EAO has been validated across dozens of studies across mul-tiple industries, cultures, and countries (Gibson et al. 2010; Harris et al. 2007/2008, 2009; Kasselmann et al. 2002; Kassicieh et al. 1996; Rasheed and Rasheed, 2003; Robinson et al. 2000; Shariff and Saud, 2009; Shepherd and Evans, 2002; Tam, 2009; Tam et al. 1996, 2009; Van Wyk et al. 2003; Walstad and Kourilsky, 1998). It provides a strong foundation for attitudes as a viable model of entrepreneurial characteristics and for the four sub scales as components of the distinct set of characteristics that set entrepreneurs apart from the general popu-lation. It measures the entrepreneurial mindset.

How The “Things” Could Be Taught: From Education to Mindset

This model of entrepreneurial mindset has strong implications for education and training, where the objective is to positively influence those “things” in the realm of entrepreneurship “that just can’t be taught.” With support from attitude theory, it seems that those “things”

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (95)

Engaged Learning and Entrepreneurial Mindset 95

that set entrepreneurs apart, may be taught after all, if done with the right pedagogy, context, and content.

With the change in perspective advocated by Shane and Venkata-raman (2000) and the adoption of a dynamic paradigm consistent with the mindset/attitude conceptualization of Robinson, learning then be-comes a “process whereby knowledge and understanding1 are created thought the transformation of experience within a realistic environ-ment” (Robinson and Malach, 2004, 2007). You can learn the “things” that define entrepreneurs by doing them and then learning from the doing.2

In education this is best achieved through actual performance of task relevant to the learning objectives (Specht and Sandlin, 1991) within a theory base or conceptual framework. This model has been a standard in the field of medicine for hundreds of years. Students of medicine are expected to learn through the “practice” of medicine, and this “practice” usually includes a “clinical setting” as part of the overall curriculum. It also follows that learning entrepreneurship would be best accomplished through undertaking entrepreneurial activities in a realis-tic environment.

Crosby (1995) indicated that the assumptions underlying experi-ential education are more reliable than those underlying traditional theories of education. By this she meant, “That students educated ac-cording to these assumptions are better prepared to deal with the world than are students educated according to traditional epistemologies (p. 4-5).”

At the foundation of this type of learning is a shift in the way stu-dents interact with their environment. Simply interacting with the envi-ronment is not enough for education. (Joplin, 1995) states that the process must include reflection. She provides a five-step model for how this interaction may be structured for maximum effect. These steps include:

Focus. This consists of presenting the task and isolat-

ing the attention of the learner for concentra-tion, preparing the individual for the

1 Defined as a quality of knowing going beyond cognitions such as facts, concepts, beliefsm and principles to include connation and affect. 2 Learning by doing and learning from doing are different process based on the structure of the pedagogy and the interaction with a conceptual framework. Learning from the doing is based in a theoretical frame-work that informs the actions of the learner.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (96)

96 Business

challenging action that is to follow.

Action. This stage places the learner in a stressful situation where he is unable to avoid the prob-lem presented, often in an unfamiliar environ-ment requiring new skills or the use of new knowledge. Actions may be physical, mental, emotional, and spiritual or any combination of several actions. Actions are student centered requiring a sustained effort in observing, sort-ing, ordering, analyzing, behaving, emoting, struggling, and in general interacting with the environment and the presented problem.

Support. Support provides security and protection for the learner giving them the confidence to try new things and stretch themselves in risky situations.

Feedback. Feedback provides information about the stu-dents’ performance relative to the task and gives some guidance for future actions.

Debrief. Here the learning is recognized, articulated and evaluated. The teacher is responsible for seeing that the actions previously taken do not drift along unquestioned, unrealized, uninterrupted, or unorganized.

The Link: Entrepreneurial Mindset and Engaged Learning

While past research has identified the elements of the entrepre-neurial mindset as embodied in attitude theory and the EAO, there has been research linking the entrepreneurial mindset to education. Start-ing as early as 2003, Rasheed and Rasheed (2003) found empirical evi-dence using a pre-test, post-test experimental design for a positive shift in the entrepreneurial attitudes of inner-city youth participating in an business education program focusing on entrepreneurship.

More substantial work is emerging linking entrepreneurship edu-cation to entrepreneurial mindset. Tam (2009; Tam et al. 2009) and others (Harris et al. 2007/2008; Rasheed and Rasheed, 2003; Souitaris et al. 2007) provided empirical evidence that education affect entrepre-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (97)

Engaged Learning and Entrepreneurial Mindset 97

neurial characteristics and particularly the entrepreneurial attitudes of the students, on top of imparting skills and knowledge embodied in a curriculum. Tam’s research went on to demonstrate that:

“Students became more entrepreneurial through the confi-dence gained from the real-world relevant content material and the application focus of the curriculum. The mix of having practice-oriented instructors capable of blending practice with theory, frequent exposure to reputable, practitioner guest-speakers with expertise in topical areas, learn by doing through hands-on projects in collaborative teams are contribu-tory factors.” (Tam, 2009)

This provides empirical evidence for the theoretical link between engaged learning and the entrepreneurial mindset. Based on this re-search we can conclude that in terms of entrepreneurship, yes, the things can be taught. Engaged Learning in Practice

Engaged learning activities are designed to teach complex princi-ples through the use of structured behavioral activities (Dutton and Stumpf, 1991; Thatcher, 1990). It is through these activities that the person–environment relationship with respect to cognitions, conations, and affect can be established or changed for a particular individual and a particular set of complex principles. The following are elements that will enhance the effectiveness of attitude change and thus are elements of good experiential education:

A balance of content and process: An examination of process is fundamental to experiential learning. How we solve the problem is as important as the solution in the learning process (Chapman et al. 1995; Joplin, 1995).

Student- rather than teacher-based: The teacher will create safe working boundaries and then get out of the way, placing the responsi-bility for learning squarely on the student (Joplin, 1995).

Personal not impersonal in nature: The learner as a perceiving, thinking, feeling, and behaving human being is placed under stress to perform in a specific situation. Individuals must be engaged in the process to bring all their faculties to bear on the problem. It must be-come personally relevant to them (Joplin, 1995).

Holistic rather than reductionist: Complex environmental situa-tions facilitate learning the complexity of relationships in real world settings. Solutions must take into account the rich diversity present in

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (98)

98 Business

realistic environmental situations. The whole is in reality greater than the sum of the parts (Chapman et al. 1995: Joplin, 1995).

Creates an emotional investment: Any experiential learning model that does not recognize the importance of emotional investment diminishes its potential effectiveness for the learner. The processes need to engage the learner to a point where what is being experienced strikes a critical central chord within the learner (Chapman et al. 1995; Joplin, 1995).

Reflection and self examination: Experience without reflection and examination is only interaction and not education. Learners must reflect on the processes and examine their reaction to the situation and their actions (Chapman et al. 1995).

Moving outside one’s comfort zone: Experiential learning often stretches the learner beyond their normal range of cognitive, conative, and affective responses. This enables them to examine their normal responses and learn new patterns of responding to situations (Chapman et al. 1995).

In summary, engaged learning is an approach whereby knowledge and understanding are acquired through a complex set of interactions between thinking, feeling, and behaving beings and a complex envi-ronment. Through this interaction relationships and theories can be explored and examined to create new insights into the practice of any specific field. Examples of Engaged Learning in Entrepreneurship

The following are two examples of engaged learning in the field of entrepreneurship. “The Challenge” is an in-class activity based in a simulation. “Start-a Business” is a five-week out-of-class activity based in reality. Both are designed to teach complex relationships in an entrepreneurial context.

The Challenge as Engaged Learning

“The Challenge” was adapted for entrepreneurship education from part of a larger set of experiential learning activities. It has also been used for over 20 years in entrepreneurship and has been integrated into both classroom and public seminar settings with participants ranging from high school students to postgraduate students and educators. A full description of the “The Challenge” can be found in Simulation and Gaming (Robinson, 1996).

“The Challenge” is a simulation-based learning activity that in-volves structured scenarios within which the participants enact unstruc-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (99)

Engaged Learning and Entrepreneurial Mindset 99

tured roles. Learning takes place through the examination of interac-tions between:

1. The scenario and the roles adopted by the individuals; 2. The different roles adopted by the individuals in the activity;

and 3. The roles adopted by the participants and their normal mode

of behavior.

The scenarios involve a strong problem-solving component, yet it is not the solution to the problem that is critical to the learning (there are multiple solutions to any scenario), but the examination of the proc-esses involved in arriving at the solutions.

A simulation is a simplified situation that contains enough simi-larities with reality to elicit real-world responses from the participants (Keys and Wolfe, 1990). “The Challenge,” although it is not couched in a business scenario, can be related to the entrepreneurial process through the use and manipulation of artifacts as symbols that can repre-sent business based concepts. First, the participants are part of a ven-ture, an undertaking involving risk and uncertainty. The scenario goes on to introduce key variables consistent with an entrepreneurial situa-tion, such as

1. A superordinate goal or mission to be accomplished; 2. limited resources that may change based on factors within and

external to the group; 3. an uncertain outcome including the possibility of failure; 4. an ambiguous situation where the procedures are not set but

must be developed by the group; 5. multiple options in terms of strategies and tactics in accom-

plishing the task; 6. emotional involvement and commitment to reach the objec-

tive; 7. an action imperative where participants take action often

without understanding the situation. In summary, “The Challenge” models an entrepreneurial venture

along several key dimensions that can be controlled by the facilitator.

The Scenario Participants should imagine that they have been caught behind en-

emy lines after recently escaping from a prisoner-of-war or concentra-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (100)

100 Business

tion camp. They have hired a guide or bribed a guard to help them get back to their own territory. Their last obstacle is a very sophisticated electronic minefield. The minefield is constructed with sensors so that if one person touches any part of the ground within the field, that per-son and anyone else on the field or in the near vicinity is killed.

To accomplish this seemingly impossible task, the guide (facilita-tor) has provided the group with a number of anti-mines disguised as rocks, blocks, or other flat unstable objects that are capable of sustain-ing 200 to 500 pounds of pressure and can be easily picked up, carried, and tossed very short distances without breaking, chipping, or crack-ing.3 Individuals can place the anti-mines on the field and stand on them without triggering the mines. Several people may share one anti-mine. However, if anyone falls or steps off the anti-mine, he or she is immediately blown up—along with the entire group—and will have to return to the starting line to begin again. The group should start with two or three fewer anti-mines than the total number of people partici-pating in the exercise.

Three specific rules must be stressed. First, because the group is trying to get across the minefield without being detected, it must do so in total silence; that is, no talking, laughing, or even whispering. Group members can communicate as long as it is not written or spoken. Sec-ond, no one may cross over the finish line until everyone is on an anti-mine in the minefield; that is, out of the starting area. If one person crosses the finish line while another is still in the starting area, it com-pletes a circuit that blows everyone up and the whole group starts over again. Finally, there are to be no sacrifices or martyrs; everyone must exit the minefield.

The Objective

There are a few basic rules or objectives in the simulation.

First: Everyone must cross the minefield. There are no martyrs; no one can be left behind.

Second: No one can cross the finish line until everyone is out of the starting place.

3 Rocks are often used as anti-mines, but if they are unavailable, scrap lumber of about one-half square foot, cut at odd angles, may be used.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (101)

Engaged Learning and Entrepreneurial Mindset 101

Finally: There can be no talking during the activity. Normally this would include writing, whisper-ing, or making noise. It does not include body language and gesturing.

The Minefield The minefield to which the group is taken is described to the par-

ticipants as an area of unlimited width and variable length; in truth, it is usually an open area at least 50 yards long and 10 yards wide, ideally with grass (or carpet if indoors). At the onset, the field should be a minimum of 10 to 15 feet longer than the group could stretch if every-one in the group stood, arms spread, finger tip to finger tip, lengthwise on the field. The perception of the group should be that this is an im-possible distance to cross given the resources available. The length of the field may change at any time during the activity, with the leader determining the length at any particular moment. A visible marker should be placed at both ends of the field to identify the beginning and end for the participants.

Ideally, the activity should take place outside on a lawn or grassy area with access to rocks or other objects. It also may be conducted indoors in a large hallway or gymnasium. The leader should be creative in building environmental factors such as sidewalks, ditches, landscap-ing, buildings, hallways, and so on, into the scenario.

The Leader The guide has the freedom to roam across the minefield without

detonating the field and (a) to add or remove anti-mines from the group for their use (only the anti-mines he or she gives to the group may be used), (b) to move the end of the minefield closer to or further from the group, (c) to catch people talking or touching the ground and send them back to the start, or (d) to forgive those who step off the anti-mine by not sending them back (this option should not be used except when there are extreme time constraints).

The group is usually rewarded (e.g., adding an anti-mine or short-ening the field) when it is working together well and progressing to-ward the goal. It may lose an anti-mine, find the field lengthened, or get blown up when group members talk, laugh, make individual rather than group efforts, or in general are not working together and helping each other. The addition or removal of one anti-mine may seem insignifi-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (102)

102 Business

cant, but after the group has been struggling for an hour or more and has become highly involved, one anti-mine can be extremely meaning-ful. “The Challenge” as Applied to Engaged Learning

The challenge is engaged learning. A balance of content and process: While the focus is on the proc-

esses involved in crossing the minefield, the participants are encour-aged through to examine the process by looking for the symbols involved in the activity and relating them to the process of opportunity identification, evaluation and execution.

Student—rather than teacher—based. The facilitator (teacher) sets the parameters and enforces the rules and allows the students to de-velop their own strategies and tactics. The teacher may take a more active role through selective reinforcement and punishment to encour-age more productive behavior.

Personal not impersonal in nature: The minefield is a stressful situation in which the participants perform unspecified tasks to accom-plish specific objectives. It is personal. They must be engaged in the situation or it become obvious very quickly that the group will not suc-ceed.

Holistic rather than reductionist: The minefield is a relatively complex situation in which students can explore ideas and strategies. Participants must think on the go, try multiple tactics and constantly adjust their actions to accomplish their objective.

Creates an emotional investment: Participants must be engaged or invested physically, emotionally, and mentally. Their emotional in-vestment is obvious by their reaction when they fail, and they will fail, as well as when the last person comes off the minefield.

Reflection and self examination: There must be a debriefing ses-sion after the activity in which participants share the experience from their multiple perspectives. In sharing, insights are gained that partici-pants might not have gained otherwise. This discussion can be deep and rich in terms of the content and application of principle that may have been abstract concepts up to that point in time.

Moving outside one’s comfort zone: It is not easy. It requires fo-cused and concentrated effort to complete the task. It can be very stressful. Often, individual liabilities, particularly physical liabilities, become obvious to both the individual and the group, and both must learn to compensate for those liabilities. This is particularly true of balance.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (103)

Engaged Learning and Entrepreneurial Mindset 103

“Start-A-Business” as Engaged Learning

“Start-A-Business” has been used for decades in teaching entre-preneurship. It is not a simulation but a reality-based activity designed to force students into an entrepreneurial act in a relatively safe, low-risk environment. There are many variations, such as “start a business with a dollar” or “the five-buck, five-week challenge”; however it is done it is intended to be a condensed experience that engages students in op-portunity identification, evaluation, and execution.

Because students are seldom experienced in this level of engaged learning it must often be stressed to them that this is not an academic exercise or a plan for a business that they might start at some point but that they are to start a real revenue-generating business.

The Utah Valley University version takes the following form as described in the syllabus of the introductory class:

As a group or as an individual you will start a LEGAL and

profitable business. You may have a maximum of one dollar ($1) for each person involved in your business as start-up capi-tal. The business must be new to you and/or the group. You may sell existing products/services in new markets or sell new products/services to current customers. Current prod-ucts/services to current markets (target customers) are not ac-ceptable.

In addition to the dollar, you may use any other resources you currently possess. If those resources are expendable (lum-ber, materials, cake mix, etc) they must be replaced or the re-placement value subtracted from the revenue of the business. The use of capital assets (equipment, tools, computer, vehicle, etc.) is acceptable.

The sale of capital assets is not acceptable except under exceptional circ*mstances – see the instructor.

You will have about five weeks to complete the assign-ment. At the end of the time you will add up all revenues (paid and accounts receivable) and subtract all expenses (paid and ac-counts payable) to determine profits. Grades will be awarded on a competitive basis with the top profit performer(s) receiving 100%, the second most profitable receiving 99%, third 98%, and so on. The lowest grade you may receive on this assignment

will be a "B-" if: (1) You try to start a business. This is not a hypothetical or

academic exercise. This is practice, not theory. You must

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (104)

104 Business

demonstrate a real effort to sell a product or service. It doesn’t matter whether you make a profit, you must try.

(2) You must hand in a report, on time. Late reports will be discounted.

Results

Most students struggle with the assignment. Some go into denial for a period of time. Others spend so much time planning that there is not enough time to execute their business. In the end, most make some money.

It is common for 10–15% of a class to make over $1000 in the five weeks with the highest profit earner coming in between $3,000 and 5,000. On the low end, 20–30% will earn less than $50. The majority (80%) earn more on an hourly basis in their little venture than they can make working at their normal employment, and 20–30% of the students intend to continue their venture while they are in school.

In all cases the students identify, evaluate, and execute opportuni-ties in a relatively safe, risk free environment. Failure is possible, but the consequence is minimal. If they try and hand in a report, the lowest grade they can get is a B-, and this assignment only count for 5 to 10% of their course grade. “Start-a-Business” as Applied to Engaged Learning

A balance of content and process: This assignment focuses spe-cifically on the identification, evaluation, and execution of opportuni-ties. In particular, this activity focuses more on execution than any other assignment or activity in entrepreneurship education.

Student—rather than teacher—based: The teacher sets very few parameters, allowing the students to develop their own strategies and tactics. The teacher takes a supportive but very passive role with the student responsible for “figuring it out” and making it happen.

Personal not impersonal in nature: The students are the center of the assignment. They take the risk, they enact the business, and they receive the reward.

Holistic rather than reductionist: Students must enact all aspects of the business they start. They create (or purchase) the product or ser-vice, they must market the business, and they have to account for the finances. Finances are easy—they can only use $1.

Creates an emotional investment: Students are forced to confront their fear and anxiety relative to starting a business. Those who have

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (105)

Engaged Learning and Entrepreneurial Mindset 105

never started a business have a greater emotional involvement and have the greatest learning experience in terms of overcoming the anxiety.

Reflection and self examination: There must be a debriefing ses-sion after the activity in which participants share the experience from their multiple perspectives. Not only do they share what they did but often the excitement of discovering a new business opportunity.

Moving outside one’s comfort zone: All of the students who have not started a business are forced outside their comfort zone because they have to take a risk and start something they have never done before. Risk takes many forms and in this case it becomes more of a risk to ego and self esteem than a risk of money or grade. Many who have started or owned a business in the past are similarly chal-lenged. Conclusion

This paper represents a strong first step in linking engaged entre-preneurship education to the entrepreneurial mindset. The paper pro-vides insight into the type of educational pedagogy (experience-based or engaged learning) that is likely to have the strongest effect on in-creasing the strength of the entrepreneurial mindset as conceptualized by the attitude model.

This entrepreneurial mindset model (based on Robinson’s attitude consistency model (Robinson, 1987; Robinson et al. 1991) is important for several reasons. First, it provides a dynamic framework for under-standing the dynamics of an entrepreneurial career. Second, it provides insight into the educational practices that will influence the entrepre-neurial mindset. Third, it can be used to assess the fit of an individual with the lifestyle of an entrepreneur. It can also be used to assess their strengths and weaknesses in terms of the consistency between the atti-tude components (affect, cognitive and conative) in the individual’s entrepreneurial mindset. Finally, it may also be the start of a theory-based assessment program for entrepreneurship programs at all levels of education—assessment that can go beyond knowledge and skill-based testing to demonstrate a true impact on attitude-based mindset.

References Ajzen, I. (1982) On behaving in accordance with one’s attitudes. In M.P. Zanna, E.T. Higgins, and C.P. Herman (Ed.), Consistency in Social Behavior: The Ontario Symposium 2 (pp. 3-15). Hillsdale, NJ: Erlbaum.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (106)

106 Business

Allport, G.W. (Ed.) (1935) Attitudes. Worcester, MA: Clark University.

Breckler, S.J. (1983) Validation of affect, behavior, and cognition as distinct components of attitude Dissertation Abstracts International 44(11B), 3569.

Breckler, S.J. (1984) Empirical validation of affect, behavior, and cognition as distinct components of attitude. Journal of Personality and Social Psychology, 47, 1191-1205.

Carlson, S.D. (1985) Consistency of attitude components: A new proposal for an old problem. Dissertation Abstracts International, 46(09B), 3261.

Carlson, S.D. (1994) Entrepreneurship education for the multiple cognitive-developmental levels of third graders: Differential impacts of three experience-based programs. Los Angeles: University of California.

Carsrud, A.L., and Johnson, R.W. (1987) Entrepreneurship: A Behavioral Science Perspective. Entrepreneurship and Regional Development: An International Journal, 1(1), 21-31.

Chapman, S., McPhee, P., and Proudman, B. (1995) What is Experiential Education. In M.S.K. Warren, J.S. Hunt, Jr. (Ed.), The Theory of Experiential Education. Dubuque, Iowa: Kendall/Hunt Publishing Company.

Crosby, A. (1995) A Critical Look: The Philosophical Foundations of Experiential Education. In M.S.K. Warren, J.S. Hunt, Jr. (Ed.), The Theory of Experiential Education. Dubuque, Iowa: Kendall/Hunt Publishing Company.

Dutton, J.E., and Stumpf, S.A. (1991) Using behavioral simulations to study strategic processes. Simulation & Gaming, 22, 149-173

Endres, A.M., and Woods, C.R. (2006) Modern theories of entrepreneurial behavior: A comparison and appraisal. Small Business Economics, 26(2), 189-200.

Gartner, W.B., and Carter, N. (2003) Entrepreneurial Behavior and Firm Organizing Processes. In D.B.A. Zoltan J. Acs (Ed.), Handbook of entrepreneurial research: An interdisciplinary survey and

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (107)

Engaged Learning and Entrepreneurial Mindset 107

introduction (Vol. 1, pp. 195-221): International Handbook Series on Entrepreneurship.

Gibb, A. (2002) In pursuit of a new ‘enterprise’ and ‘entrepreneurship’ paradigm for learning creative destruction, new values, new ways of doing things and new combination of knowledge. International Journal of Management Reviews, 4(3), 233-269.

Gibson, S.G., Walker, P., Harris, M.L., and Harris, D. (2010) Investigating the Entrepreneurial Attitudes of African Americans: a study of young adults Presented at the 2010 Small Business Institute National Conference Proceedings

Harris, M.L., Gibson, S.G., and Taylor, S.R. (2007/2008) Examing the impact of small business institute participation on entrepreneurial attitudes Journal of Small Business Strategy, 18(2), 57-75.

Harris, M.L., Gibson, S.G., Wang, C., Barber III, D., and Orazov, S.A. (2009) Examining the Entrepreneurial Attitudes of College Students: a multi-country perspective Presented at the USASBE 2009 Conference Anaheim, California.

Huefner, J. (1991) Affect-cognition-conation consistency and the attitude-behavior relationship. (Vol. PH.D.) Provo, Utah: Brigham Young University.

Joplin, L. (1995) On defining experiential education. In M.S.K. Warren, J.S. Hunt, Jr. (Ed.), The Theory of Experiential Education. Dubuque, Iowa: Kendall/Hunt Publishing Company.

Kasselmann, B.H., De Beer, J.J., and Vermeulen, L.P. (2002) 'Personality attributes of successful franchisees in the fast foods sector in South Africa'. South African Journal of Economic and Management Sciences, 5(1), 154-179.

Kassicieh, S.K., Radosevich, R., and Umbarger, J. (1996) A Comparative Study of Entrepreneurship Incidence among Inventors in National Laboratories. Entrepreneurship: Theory and Practice, 20(3), 33-49.

Katz, D., and Stotland, E. (1959) A preliminary statement to a theory of attitude structure and change. In S. Koch (Ed.), Psychology: A study of a science (Vol. 3, pp. 423-475). New York: The Free Press.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (108)

108 Business

Keys, B., and Wolfe, J. (1990) The role of management games and simulations in education research. Journal of Management Education, 16, 307-336.

Kothandapani, V. (1971) Validation of feeling, belief, and intention to act as three components of attitude and their contribution to prediction of contraceptive behavior. Journal of Personality and Social Psychology, 19, 321-333

Kristensen, K., Pedersen, D., and Williams, R.N. (2001) Profiling religious maturity: The relationship of religious attitude components to religious orientations. Journal for the Scientific Study of Religion, 40(1), 75-86.

Mitchell, T.R., and James, L.R. (1989) Conclusions and future directions: Theory Development Forum, Situational versus dispositional factors: Competing explanations of behavior. Academy of Management Review: Theory Development Forum, Situational versus dispositional factors: Competing explanations of behavior. 14(3).

Ostrom, T.M. (1969) The relationship between the affective, behavioral, and cognitive components of attitude. Journal of Experimental Social Psychology, 5, 12-30.

Rasheed, H.S., and Rasheed, B.Y. (2003) Developing entrepreneurial characteristics in minority Youth: The effects of education and enterprise experience. International Research in the Business Disciplines, 4, 261-277.

Robinson, P.B. (1987) Prediction of Entrepreneurship Based on an Attitude Consistency Model. Unpublished Doctoral Dissertation, Brigham Young University, Provo.

Robinson, P.B. (1996) The Minefield Exercise: “The Challenge” in entrepreneurship education. Simulation and Gaming, 27(3), 350-365.

Robinson, P.B. and Malach, S. (2004) Multi-disciplinary entrepreneurship clinic: experiential education in theory and practice. Journal of Small Business and Entrepreneurship, 17(4), 317- 332

Robinson, P.B. and Malach, S. (2007) Multi-Disciplinary Entrepreneurship Clinic: Experiential Education in Theory and Practice. Handbook of Research in Entrepreneurship Education,

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (109)

Engaged Learning and Entrepreneurial Mindset 109

Volume 1. Alain Fayolle (Ed.) Edward Elgar Publishing Limited, Cheltenham, UK

Robinson, P.B., and Shaver, K.G. (1995) Metatheory and Entrepreneurship Research. In J. A. Katz and S. R. A. Brockhaus (Eds.), Advances in Entrepreneurship, Firm Emergence (Vol. 2, pp. 97-120). London, England: JAI Press LTD.

Robinson, P.B., Stimpson, D.V., Huffner, J.C., and Hunt, H.K. (1991) An attitude approach to the prediction of entrepreneurship. [Empirical Research]. Entrepreneurship: Theory and Practice, 15(4), 13-31.

Robinson, P.B., Ahmed, Z.U., Dana, L.P., Latfullin, G.R., and Smirnova, V. (2000) Toward entrepreneurship and innovation in Russia. International Journal of Entrepreneurship and Innovative Management, 1(2), 230-240.

Rosenberg, M.J., and Hovland, C.I. (1960) Cognitive, Affective, and Behavioral Components of Attitudes. In M.J. Rosenberg, C.I. Hovland, W.J. McGuire, R.P. Abelson and J.W. Brehm (Eds.), Attitude Organization and Change: An Analysis of Consistency among Attitude Components. New Haven, CT: Yale University.

Ross, R.B., and Westgren, R.E. (2006) Economic returns to entrepreneurial behavior. Journal of Agricultural and Applied Economics, 38(2), 403-420.

Shane, S., and Venkataraman, S. (2000) The promise of entrepreneurship as a field of research. Academy of Management Review, 25, 217-226.

Shariff, M.N.M., and Saud, M.B. (2009) An attitude approach to the prediction of entrepreneurship on students an institution of higher learning in Malayzia. International Journal of Business Management, 4(4), 129-135.

Shaver, K.G. (1987) Principles of Social Psychology (3rd. ed.). Cambridge, MA: Winthrop.

Shepherd, D.A., and Evans, D. (2002) Self-employment as a career choice: attitudes, entrepreneurial intentions, and utility maximization. Entrepreneurship: Theory and Practice, 26 (March).

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (110)

110 Business

Souitaris, V., Zerbinati, S., and Al-Laham, A. (2007) Do entrepreneurship programmes raise entrepreneurial intention of science and engineering students? The effect of learning, inspiration and resources. Journal of Business Venturing 22(4), 566-591.

Specht, L.B., and Sandlin, P.K. (1991) The differential effects of experiential learning activities and traditional lecture classes in accounting. Simulation & Gaming, 22(196-210), 196.

Tam, H. (2009) How and to what extent does entrepreneurship education make students more entrepreneurial? A California case of the Technology Management Program. Santa Barbara: University of California, Santa Barbara.

Tam, H., Hansen, G., Blomstrom, S., and Robinson, P.B. (2009, June 14-17) Entrepreneurship Program Assessment by Student Outcome. Presented at the Proceedings of the American Society for Engineering Education 116th Annual Conference & Exposition, Austin, TX.

Tan, W.L., Long, W.A., and Robinson, P.B. (1996) Entrepreneurship attitude orientation and the intention to start a business. Journal of Small Business & Entrepreneurship, 13(4), 50-61.

Thatcher, D.C. (1990) Promoting learning through games and simulations. Simulation & Gaming, 21, 262-273.

Van Wyk, R., Boshoff, A.B., and Bester, C.L. (2003) 'Entrepreneurial attitudes : what are their sources? South African Journal of Economic and Management Sciences, 6(1), 1-24.

Walstad, W.B., and Kourilsky, M.L. (1998) Entrepreneurial attitudes and knowledge of black youth. Entrepreneurship: Theory and Practice, 23( 2), 2-18.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (111)

The Weakening of Tenure and Post-Tenure Review: An Issue Analysis

John Hill Salt Lake Community College

Abstract Tenure has come under increasing attack in American higher educa-tion. While some may deny the presence of an all-out attack, few can deny a trend toward weakening of the power or significance of tenure, coupled with an overall decrease in the prevalence of tenure. Great Britain has already abolished tenure, and the argument could be made that strategies such as the increasing post-tenure review are simply a more stealthy approach to tenure abolishment in the United States. This author analyzes the legal, ethical, and practical aspects of these issues, and presents a reasonable approach toward amelioration of the issue of weakening tenure.

Introduction Tenure evolved in the early 1900’s over concerns in academia re-

garding the academic freedom necessary for faculty to teach and re-search without fear of reprisals. In 1940, following a series of joint

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (112)

112 Education

conferences begun in 1934, representatives of the American Associa-tion of University Professors (AAUP) and the Association of American Colleges (now the Association of American Colleges and Universities) agreed upon a restatement of principles set forth in the 1925 Confer-ence Statement on Academic Freedom and Tenure. This restatement is known to the profession as the 1940 Statement of Principles on Aca-demic Freedom and Tenure (AAUP, 2005a):

Institutions of higher education are conducted for the common good and not to further the interest of either the individual teacher or the institution as a whole. The common good de-pends upon the free search for truth and its free exposition. (1940 Statement of Principles on Academic Freedom and Tenure)

Tenure has essentially become a civil-service style protection for faculty careers in academia. College and university faculty contend that tenure is an absolute necessity and the linchpin of academic free-dom (Poskanzer, 2002, p. 148). Some institutions and administrators contend that tenure is an antiquated system that imposes inflexible bur-dens on the academy, and may foster—or even encourage—mediocrity. An analysis over the past several years has indicated a climate in which the tenure system is weakening. Data show that over a 20-year period starting in 1975, the number of full-time non–tenure-track faculty nearly doubled, while the number of full-time faculty on tenure track dropped by 12% (Poskanzer, 2002, p. 156). If scholars, and the AAUP, agree that tenure and academic freedom are inextricably linked, then it can be argued that post-tenure review and the weakening of tenure are similarly connected.

Legal Aspects

Tenure certainly is a unique and amazing entity. No other profes-sion, except federal judgeships, awards tenure (Nova Southeastern University, 2005). Tenure provides faculty some powerful legal con-tours, including property interests, liberty interests, and contract princi-ples, as well as procedural rights (Cann, 2005, pp. 344-345; Olivas, 1997, p. 318).

The traditional and historic protections provided under the tenure system took on more formalized and legally defined authority under such landmark cases as Perry v. Sindermann [408 U.S. 593 (1972)] and Board of Regents v. Roth [408 U.S. 564 (1972)] (Olivas, 1997, pp. 320-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (113)

Weakening of Tenure 113

327). These two cases provided a legal guideline for the property and liberty rights of faculty (Poskanzer, 2002, pp. 240-241).

Perhaps the most significant source of legal basis regarding tenure has been that provided by the AAUP. Founded in 1915, the AAUP has been the foremost advocate of tenure and academic freedom.

In 1900 when noted economist Edward Ross lost his job at Stanford University because Mrs. Leland Stanford didn't like his views on immigrant labor and railroad monopolies, other professors were watching. The incident stuck in the mind of Arthur O. Lovejoy, philosopher at Johns Hopkins. When he and John Dewey organized a meeting in 1915 to form an or-ganization to ensure academic freedom for faculty members, the AAUP was born. "Academic freedom" was a new idea then.

More than eighty years later the AAUP is still addressing the kinds of abuse that spurred Lovejoy and Dewey to organize the Association. Academia has changed a lot since 1915, but there are still people who want to control what professors teach and write. Thanks to the AAUP, academic freedom is recognized as the fundamental principle of our profession. De-spite this acceptance, academic freedom remains vulnerable. The attacks are more subtle in some cases, but the response must always be decisive.

AAUP remains the leading organization primarily dedicated to protecting the academic freedom of professors. Faculty mem-bers turn to AAUP for assistance in the thousands each year. Some of these faculty members are well-known figures with resources and support. Most, however, are ordinary faculty members who need guidance in responding to troublesome or threatening professional attacks.

Through AAUP, faculty determine the principles of our pro-fession and the procedures by which to protect them. When the AAUP speaks, it is the voice of the profession. (AAUP, 2004).

The AAUP has managed to remain influential and at the forefront of tenure advocacy through a variety of means. The AAUP has backed faculty legally and financially, by filing motions and briefs on cases in which it realized concerns and interests relating to the ramifications of

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (114)

114 Education

the outcome of the cases, and through its established principles. Many colleges and universities have adopted established AAUP principles (and formal statements) as part of organized faculty labor contracts. This has provided widespread recognition of same in a vast array of case law. As such, the AAUP reigns as the benchmark on the legal aspects of this issue.

Ethical Aspects

This author firmly believes that the previously noted comparison of federal judgeships and faculty regarding tenure is just as prophetic as it is profound. The innate balance of the American legal system and its wonderful and amazing history of litigation, which have provided in-credible fairness and foresight, speaks volumes about the tenure pro-vided to judges. Could these judges have acted so prudently, fairly, and boldly given the politically charged climate surrounding much of the litigation?

Similarly, reflecting on the wonderful and amazing history of re-search and teaching displayed by American colleges and universities—would this history be markedly different were it not for tenure and aca-demic freedom? This author proposes that it would be remarkably dif-ferent, and detrimentally so. Educators need freedom to grow professionally (Glickman et al. 2005, p. 351). If our colleges and uni-versities are to fill the great tasks we set for them, the college and uni-versity faculty who will take the lead in accomplishing these tasks will require enormous intellectual and didactic latitude—what is commonly called academic freedom (Poskanzer, 2002, p. 2).

Still, this author acknowledges that there have been abuses of the tenure system. There are cases in which the shield of tenure has been used as a sword by unethical or unscrupulous faculty. Fortunately, these cases are rare. Hamilton (2002) highlights some significant ethi-cal dilemmas regarding tenure and academic freedom, noting that higher education has historically accepted some degree of misbehavior or incompetence among a subset of tenured professors because the de-gree of vigilance necessary to prevent it would generate greater costs than benefits (p. 27).

Caution must be taken here not to punish all faculty for the trans-gressions of a very few misguided colleagues. Faculty sometimes find it necessary to remind administrators that the institution’s ultimate strength and distinction derives from the quality of its faculty. They are right to stress this point. More than any other factor, it is the presence of an outstanding faculty that enables a college or university to attract

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (115)

Weakening of Tenure 115

the most talented students, and to recruit the new faculty that are crucial to its future (Poskanzer, 2002, p. 2).

The AAUP, faculty in general, and many scholars believe that—as a result of the aforementioned influences—tenure as we know it is being weakened. Indeed, this fact is inherent in the position of these stakeholders and scholars on post-tenure review. Post-tenure review has emerged as a contemporary double-edged sword. It is seen by some as a means of bolstering tenure, and by others as a means of di-minishing tenure.

Practical Aspects

Whichever side of the issue one may stand on, faculty or admini-stration/institution, there has to be general agreement that tenure is weakening, if not under direct attack. Great Britain’s Education Re-form Act (1988) called for new governance and accountability meas-ures, no small aspect of which abolished tenure (Duke, 2004, p. 20). British academic staff had traditionally enjoyed a security of tenure that was "second to none" (Perkin, 1969, p. 85). Court (1998) laments that the Education Reform Act was nothing less than a death knell for aca-demic tenure in the “old” universities:

…(i.e., not including the institutions which have become uni-versities since 1992) of the UK, and perhaps raised more ques-tions about academic freedom than it answered. The Act established the University Commissioners, whose remit in-cluded making sure that each university had: "an appropriate body, or any delegate of such a body, to dismiss any member of the academic staff by reason of redundancy"; the power to dismiss any member of academic staff for good cause; disci-plinary procedures for dealing with complaints made against members of academic staff; and procedures for hearing and determining appeals by dismissed academic staff. The Act said a member of academic staff was redundant if the university had ceased, or intended to cease, "the activity for the purposes of which he was appointed", or if the demand for work of a particular kind had ceased or diminished or re expected to cease or diminish. The Act empowered the University Com-missioners to modify the statutes of any university "as they consider necessary or expedient". Academic staff appointed before November 20, 1987 were exempt from the Act; staff appointed on or after November 20, 1987, or promoted on or after that date were not exempt. All universities existing be-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (116)

116 Education

fore 1992 have now amended their statutes to include the new law about academic redundancy. Institutions which became universities after 1992, principally the former polytechnics, were not covered by the provisions of the Act; their academic staff did not have tenure (Court, 1).

Higher education in America has taken notice of what occurred in Great Britain. This author purports that the American version of Eng-land’s reform may be the increase of post-tenure review. Hamilton (2002) supports this position, indicating that in the last 15 years, as a result of growing public pressure for accountability, there has been significant movement toward some form of post-tenure review (p. 26), specifically:

…thirty seven states either have adopted system-wide post-tenure policies, implemented them in selected state institutions or are considering such policies, and several regional accredit-ing bodies now require institutions to implement post-tenure review. A recent Harvard study of 217 institutions found that 46 percent of the 192 institutions that grant tenure have post-tenure review (Hamilton, 27).

A larger 1996 study, involving 680 colleges and universities, found that 61% had post-tenure review policies in place and another nine percent were considering imposing such a requirement (Poskanzer, 2002, pp. 202-203). The AAUP subsequently published a policy statement on post-tenure review conceding that if post-tenure reviews must occur, the faculty should take the lead in crafting and administer-ing them (p. 203).

The AAUP obviously believes that if the growing post-tenure paradigm is upon us, then what better entity to have a say in it than the faculty? If not, by default the institutions and administrators will take the initiative on post-tenure review policies. Lamentably, colleges and universities, like many American employers, have a poor record of treatment, in many cases, of their employees. Indeed, in pouring over Olivas’ (1997) casebook (The Law and Higher Education: Cases and-Materials on Colleges in Court), one cannot help but notice that there is a recurrent theme of ulterior motivation embedded in the fact-patterns of the cases—in layman’s terms, a “story behind the story.”

Frequently, the decisions display the judge’s excellent insight in muddling through the smokescreen of motive. For example, in cases where financial exigencies are cited as a cause for termination of a ten-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (117)

Weakening of Tenure 117

ured employee, mentioned specifically is the concern that a purported emergency is demonstrably bona fide (Poskanzer, 2003, p. 226).

Pratt (2005) offers a good example of just how capricious review processes can be. What if the reviewed faculty member is found com-petent overall, but at odds with something as arbitrary and elusive as personal teaching philosophy? He notes that, increasingly, college and university faculty are asked to articulate their personal philosophies of teaching when they are reviewed for reappointment, tenure, or promo-tion. Although many institutions use these statements of teaching phi-losophy to good and fair purpose, other institutions offer false promises, making the statements more of a box than a ladder (Pratt, p. 33). How does a faculty member defend his personal teaching philoso-phy if denied tenure because of same?

The practicality of such is impractical, according to this author. Moreover, the “bogeyman” concern that tenure promotes mediocrity or even misconduct has no factual basis:

Dismissals of tenured faculty for incompetence or unethical conduct have been rare. In the period 1970-1990, the AAUP reported 1,589 dismissals. Eighty-four percent (1,334) were for financial exigency, retrenchment, or restructuring; 6.5 per-cent (104) were civil liberties cases involving freedom of speech or political or religious activity; 4.0 percent (63) were dismissed for union or faculty senate organizational activity, criticism of the administration, or employment grievances; and the remaining 5.5 percent (87) of the cases involved miscella-neous causes, including incompetence or unethical conduct (Hamilton, 2002, p. 28).

So, if the vast majority of dismissals, 84%, are for financial exi-gency, retrenchment, or restructuring, then why is tenure under such contemporary scrutiny? In accordance with the “sound-bite” paradigm in America, this author believes that the “horror stories” may be distort-ing the collective perception on the matter. An example is the infa-mous Ward Churchill case, erupting furiously out of Colorado, in which Churchill was dubbed “The 9/11 Professor.”

Churchill has been excoriated by the conservative media for his written remarks in which he described victims of the attacks on Sep-tember 11, 2001, as "little (Adolf) Eichmanns" (AAUP, 2005c). The resulting fallout has led to a polarization of a small cadre of Churchill supporters opposite an overwhelming array of citizens and powerful government and media representatives calling for Churchill’s removal.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (118)

118 Education

Subsequently, officials in Colorado instituted the process that led to the termination of Churchill.1

Because Churchill was a tenured professor, the case has all the elements inherent in an analysis of the power of tenure. It revolves around tenure’s principal component, academic freedom. This author is conservative, and moreover, lost 10 personal friends and acquaintan-ces (over half of whom were police officers) in the collapse of the World Trade Center in New York City. Still, in the name of tenure and academic freedom, this author believes that Professor Churchill should not be removed from his professorship.

Could Churchill have used better words in his treatise? Yes, as the connotation to Eichmann and Nazism is more caustic and polarizing in nature than collegial and academic. As such, perhaps discipline lesser than dismissal seems to be in order. Indeed, these contingencies have been previously addressed by the profession:

…college and university teachers are citizens, members of a learned profession, and officers of an educational institution. When they speak or write as citizens, they should be free from institutional citizenship or discipline, but their special position in the community imposes special obligations. As scholars and educational officers, they should remember that the public may judge their profession and their institution by their utter-ances. Hence, they should at all times be accurate, should ex-ercise appropriate restraint, should show respect for the opinions of others, and should make every effort to indicate that they are not speaking for the institution – 1915 AAUP General Declaration of Principles (AAUP, 2005b) (Hamilton, 2002, p. 33).

Conclusion In conclusion, this author believes that a more reasoned, common-

sense, measured, practical, and non–knee-jerk approach must be taken when it comes to tenure and post-tenure review. One need not have a

1 Churchill was fired in July of 2007 from his tenured position teaching ethnic studies at the University of Colorado at Boulder for multiple instances of research misconduct, including plagiarism and misrepresenting the work of other scholars—charges he has denied. Several faculty panels reached the conclusion that Churchill had committed re-search misconduct, but they investigated him in the wake of a furor over his controversial comments in which he had labeled some of the victims of 9/11 as "little Eichmanns." (Jaschik, 2007)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (119)

Weakening of Tenure 119

crystal ball to predict that assaults on academic freedom will continue unabated (Bowen, 2005, p. 88). This author sees tenure as not unlike the abortion issue. To do away with it is to create a remedy worse than the cause, with tragedy pouring into the void.

Post-tenure review seems to diminish the very principle of tenure itself. One innovative and practical approach was that of Richard Chait (1998) who suggested that post-tenure review should be for entire de-partments, and not the individual faculty (p. 15). This would go a long way toward eliminating personal “witch hunts” and ulterior motives, while building a sense of team spirit among department faculty. Or, as Chait notes, reinforce the faculty’s collective responsibility for quality (p. 20). Discrepancies found at a departmental level could then be ana-lyzed more closely. This idea shows more respect for the tenure sys-tem, while seeming to be less vulnerable to abuse by administrators and institutions.

References American Association of University Professors—AAUP (2005a). 1940 Statement of Principles on Academic Freedom and Tenure. Retrieved February 10, 2005 from the World Wide Web: http://www.aaup.org/ statements/Redbook/ 1940stat.htm

American Association of University Professors—AAUP (2005b). 1915 General Declaration of Principles. Retrieved February 11, 2005 from the World Wide Web: http://www.aaup.org/statements/Redbook/ 1915stat.htm

American Association of University Professors—AAUP (2005c). Statement on Professor Ward Churchill Controversy. Retrieved February 15, 2005 from the World Wide Web: http://www.aaup.org/ newsroom/Newsitems/churchill.htm

American Association of University Professors—AAUP (2004). About the AAUP. Retrieved February 12, 2005 from the World Wide Web: http://www.aaup.org/aboutaaup/ HIST.htm

Bowen, R. W. (2005). Funding academic freedom. Academe: Bulletin of the American Association of University Professors, 91(1), 88.

Cann, S. J. (2006). Administrative law (4th Ed.). Thousand Oaks, CA: SAGE Publications.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (120)

120 Education

Chait, R. (1998). Ideas in incubation: Three possible modifications to traditional tenure practices. AAHE new pathways working paper series, No. 9. Washington, DC: American Association for Higher Education.

Court, S. (1998). Academic tenure and employment in the U.K. Retrieved February 13, 2005 from the World Wide Web: http://www. csus.edu/psa/court.html

Duke, D. (2004). The challenges of educational change. Boston, MA: Pearson/Allyn and Bacon.

Glickman, C. D., Gordon, S. P., and Ross-Gordon, J. M. (2005). The basic guide to supervision and instructional leadership. Boston, MA: Allyn and Bacon.

Hamilton, N. W. (2002). Academic ethics: Problems and Materials on professional conduct and shared governance. Westport, CT: American Council on Education/Praeger Publishers.

Jaschik, S. (2007, December 31) A Moderate MLA. Inside Higher Ed. Retrieved January 2, 2008 from the World Wide Web: http:// insidehighered.com/news/2007/12/30/mla

Nova Southeastern University (2005). On-line study guide (and module notes) EHD/LDR 9820: Legal and ethical issues in higher education leadership (Drs. Aselson and Wolfson). Ft. Lauderdale, FL: Nova Southeastern University FSEHS.

Olivas, M. A. (1997). The law and higher education: Cases and materials on colleges in court (2nd Ed.). Durham, North Carolina: Carolina Academic Press.

Perkin, H. (1969). Key profession: The history of the association of university teachers. London, England: Routledge & Kegan Paul.

Poskanzer, S. G. (2002). Higher education law: The faculty. Baltimore, MD: Johns Hopkins University Press.

Pratt, D. D. (2005). Personal philosophy of teaching: A false promise? Academe: Bulletin of the American Association of University Professors, 91(1), 33.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (121)

Westminster College’s Master of Arts in Teaching and YouthCity: An Effective After-School Partnership

Joyce Sibbett, Shamby Polychronis, and Elizabeth Robinson Rich

Westminster College

Abstract After-school programs hold promise for providing a safe and suppor-tive environment for preteens and teens. In an effort to increase aware-ness of the importance of after-school programs, which includes effective parent involvement, Westminster College School of Education has partnered with YouthCity, an after-school program in Salt Lake City. Westminster pre-service teachers do fieldwork that includes ob-servation, lesson planning and implementation, and parent interviews at the four YouthCity locations in Salt Lake City. In the past two years, the outcome for Westminster students has been an awareness and ap-preciation for the importance of creating safe havens for preteens and teens to develop self confidence, respectful relationships, and varied interpersonal and academic skills that benefit them in school and be-yond. YouthCity students have also benefitted from the lessons and in-volvement of Westminster students.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (122)

122 Education

Benefits of Quality After-School Programs According to Bodilly and Beckett (2005), claims of effectiveness

of after-school programs include changed attitude toward academic achievement, changed social and health behaviors, and changed social interactions. They associate the following nine factors with quality pro-gram provision: clear vision; high expectations and positive social norms; safe and healthy environment; supportive emotional climate; small enrollment; trained personnel; appropriate pedagogy with oppor-tunities for all to engage; integrated family partners; and frequent as-sessment.

In ways that regular school programs may fall short, after-school programs have the potential to fill the gaps. They can provide tutors and mentors who can promote skill development and reinforce high academic expectations. Hirsch (2005) refers to them as a natural venue for efforts to enhance school reform.

Programs are not only geared toward academic achievement; they may include nonacademic work that enhances personal skills, which may in turn improve academics. For example, students who relate to literary characters tend to be more motivated to read. Activities in mu-sic, drama, and art integrate subjects such as mathematics or science. Experience in these broad activities increases self confidence, which carries over to academic achievement. Adolescents need such activities not only for what they provide but for what they prevent. Students without supervision are at greater risk for truancy, stress, poor grades, and substance abuse. They are most likely to be perpetrators or victims of crime in the first few hours after school (Rothstein, 2006).

One study by Martin and colleagues (2007) reported a number of positive academic and behavior changes in a group of 33 youth who attended an after-school program over a period of two years. The after-school program served high-risk teens in an alternative setting. While the study could not specifically distinguish the effects of the after-school program from the alternative setting, the results were impres-sive. The students’ basic skill levels improved at least two grade levels, daily attendance increased, discipline referrals decreased, and none of the students was suspended or expelled.

Both academic and behavioral changes may be affected by con-nections that students make with their teachers. Youth need adults on whom they can rely and trust (Hirsch, 2005). When these positive sup-ports are in place, after-school programs have the potential to put chil-dren on a path to success (Metz, R.; Goldsmith, J.; Arbreton, A., 2008). Based on current research and experience with after-school programs, the Lucile Packard Foundation for Children's Health commissioned the

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (123)

Youth City 123

publication “Putting It All Together: Guiding Principles for Quality After-School Programs Serving Preteens.” The report focuses on six after-school components that may produce positive outcomes for pre-teens: (1) Focused and Intentional Strategy: Programs have a clear set of goals, target specific skills, and deliberately plan all aspects of the program with a youth development framework in mind; (2) Exposure: Programs are designed to provide preteens with a sufficient number of hours per week over an extended period of time that matches program outcome goals and allow preteens to attend a variety of activities; (3) Supportive Relationships: Programs emphasize positive adult-youth relationships regardless of the curriculum; (4) Family Engagement: Programs strive to include families through various strategies, such as clear communication and a welcoming environment; (5) Cultural Com-petence: Programs have diverse staff whose backgrounds are reflective of participants and who create practices and policies that make services available to and inclusive of a variety of populations and help partici-pants understand and value a broad range of cultures; and (6) Continu-ous Program Improvement: Programs strengthen quality through an ongoing and integrated process of targeted staff training, coaching and monitoring, and data collection and analysis.

The advantages of after-school programs have caught the atten-tion of Americans. The After-School Alliance (2009) reports that a poll taken on election eve and election night shows that nearly 89% of vot-ers say that, given the dangers that young people face, after-school pro-grams are important; 76% want the new Congress and their newly elected state and local officials to increase funding for after-school pro-grams.

This need is apparent when Americans realize that adult supervi-sion may deter young people from engaging in activities that harm themselves and society in general. Every weekday afternoon, more than one-third of middle school students are released from school and left without supervision because parents lack good alternatives for care. At this critical age when adolescents may begin to experiment with risky behaviors, 4 million middle school students have no adult supervision (Rinehart, 2008).

YouthCity: An Effective After-School Program

YouthCity (YC) is a comprehensive set of four programs that be-gan in 2000 under the direction of then-Mayor Rocky Anderson. It includes both an after-school and a summer program that were de-signed to address issues related to the education, prevention, and en-richment of youth aged 9 to 14 years. The programs are strategically

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (124)

124 Education

located within four city parks in the heart of Salt Lake City, Utah. The mission of YC is to support the efforts of families, schools, and neighborhoods in helping make Salt Lake City a safe and nurturing environment for children.

One of the foundational components of the YC framework is help develop personal relationships with caring adults. To accomplish this, YC maintains a 12:1 student-to-staff ratio. Staff members receive ongo-ing training on child development, behavior management, and teaching strategies and are encouraged to share their talents and interested inside the program.

A second critical component is a character education program called the Power of One. This program was designed to help students take personal responsibility for the success of their lives. To achieve this, YC has identified nine character education principles, which are discussed, modeled, and explored through a series of large and small group activities. These principles are service, honesty, integrity, deter-mination, compassion, caring, resiliency, perspective, and respect.

In each program, children of every shape, color, and size meet to-gether and form strong connections and friendships. The programs are purposefully located away from public schools to bring students from various neighborhoods together for a new common experience. Partici-pating youth come from a variety of backgrounds, including children from educated homes and private schools, children receiving special education services, children living at homeless shelters, children with two, three, and four sets of parents, children being raised by foster and grandparents, children who are refugees, children whose parents are incarcerated, children who speak little English, and children who sim-ply live across the street and want to have some fun after school. Each program is a unique blend of the best and brightest Salt Lake City has to offer. One of the unintended consequences of the YC composition is that a child could be a “super nerd” at school but has the opportunity to be a respected leader at YC. If a child can feel accepted, connected, and cared for, learning increases tenfold.

Westminster’s Partnership with Youth City Westminster College’s School of Education has reached out to

partner with YC’s after-school programs as part of their effort to ac-quaint teacher candidates with a diverse population of students. The goal was to teach Westminster students about the importance of foster-ing a sense of community, learning about “funds of knowledge” (Gon-zales and Moll, 2009) that YouthCity students bring to the after-school

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (125)

Youth City 125

setting and learning the importance of enriched programs for after school.

Westminster Master of Arts (MAT) students visited four YC sites during their first semester (Summer 2009) in small groups of three to five individuals, observing YC programs in action and then teaching a community-building lesson to students. They also interviewed a parent whose child attends the YC program.

Westminster students found that their experience at YC helped them acquire fundamental understandings that impacted their conceptu-alization of the teaching and learning experience. They recognized connections between students and leaders that emphasized trust and respect. Children enrolled at YC, ages 8 to 15, were able to enjoy a variety of experiences that spread across age levels. Students played games, engaged in learning activities, cared for their environments, and interacted with each other in ways that typical school experiences dis-courage based upon age demarcations that separate students.

YC students were invested in one another and openly forged friendships regardless of age differences. An attitude of camaraderie and helpfulness was apparent in each of the sites. Every one of the 20 MAT students who observed at YC commented on the ethics of respect and consideration that pervaded the YC sites. One MAT student made the following comment in a reflection on her observations: “As I ob-served the culture and community of Youth City I was struck by the dynamics. There were children ranging from eight to fifteen years old, and they treat each other as if they were family. They take care of each other. When they play games, they make sure the youngest ones are included. They were especially sensitive to the fact that on more physi-cal games, such as Capture the Flag, the youngest girls were not always ‘it.’ An older child would step in and take a turn. This and other obser-vations demonstrated an ethic of care that children are developing.” Another comment captures a similar tone: “Inclusion and respect are at the core of (Youth City). The ‘Power of One’ is a major concept that emphasizes how each individual has the power to make a difference in other people’s lives and their environment.”

YC provides creative freedom for movement and lessons that ex-tend beyond academics. Children write and perform songs; write and produce brief movie clips; and negotiate rules for team play, and then abide by their own rules. In short, these students learn life skills through life activities, and they do it with respect and collaboration.

The driving force behind YC students’ success is the comfort stu-dents experience with staff members. They know and understand the rules, and they respect staff members’ need to uphold the rules. This respect is earned by staff members exhibiting respect toward students,

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (126)

126 Education

parents, and each other. They connect with students as individuals, regularly listen to their opinions, and routinely celebrate their accom-plishments. Each student knows that he or she will receive public rec-ognition, so competition for negative attention does not typically occur at YC. Staff members communicate with parents or guardians on a regular basis, and families participate in YC on-site events. As a result, YC students recognize that their leaders understand characteristics of their family backgrounds, which seems to add a layer of personal in-vestment that extends beyond the program.

In conclusion, Westminster MAT students had a critically impor-tant learning experience at Youth City. They witnessed the importance of a safe haven that reinforces positive identity and respect for others; they experienced firsthand the benefits that children enjoy in a nurtur-ing and supportive environment; and they observed YC’s concerted effort to help students gain the confidence and self respect required to become good citizens and successful students. Relationship building was at the core of YC’s success, and the positive relationship extended to family members as well as YC participants. Through their experi-ences at YC, Westminster’s students also connected with each other in supportive relationships as they collaborated and reflected on effective practices that facilitate learning in a fun, active, and effective environ-ment.

References After-School Alliance (2009). 2008 Afterschool year in review: A year of diligence and promise. Retrieved from http://www. afterschoolalliance.org/documents/2008YearInReview.pdf

Bodilly, S. and Beckett, M. (2005). Making out of school time matter: Evidence for an action agenda. Santa Monica, CA: RAND Corporation.

Gonzales, N. and Moll, L. (2009). Theorizing practices in households, communities and practices. New Jersey: Lawrence Erlbaum Associates, Inc.

Hirsch, B.J. (2005). Competing directions for after-school programs. In B.J. Hirsch (Ed.) A place to call home: After-school programs for urban youth (pp. 3-19). Washington, DC: American Psychological Association.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (127)

Youth City 127

Martin, D., Martin, M., Gibson, S.S., and Wilkins, J. (2007). Increasing prosocial behavior and academic achievement among adolescent African American males. Adolescence, 42, 689-698.

Metz, R.A., Goldsmith, J., and Arbreton, A.J.A. (2008). Putting it all together: Guiding principles for quality after-school programs serving preteens. Philadelphia: Public/Private Ventures. Retrieved April 15, 2010, from http://www.ppv.org/ppv/publications/assets/234_ publication.pdf

Rinehart, J. (2008). The promise and challenge of after-school programs. Principal, 88 (1). Retrieved from http://www.naesp.org/ resources/1/Principal/2008/S-O_p60.pdf

Rothstein, R. (2006). Reforms that could help narrow the achievement gap. Policy Perspectives. Retrieved from http://www.wested.org/ online_pubs/pp-06-02.pdf

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (128)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (129)

3-D Numerical Simulations of Liquid Laminar Flow at Re=1 over Super-hydrophobic Surfaces with Post Geometries

Abolfazl Amin Utah Valley University

Abstract We numerically investigated the influence of post patterned super-hydrophobic surfaces on the drag reduction for liquid flow through microchannels. Hydrophobically coated surfaces exhibiting microscale structures such as ribs/cavities and posts/cavities can significantly re-duce the liquid–solid contact. Preventing liquid from entering the cavi-ties increases the fraction of liquid–gas interface, which results in reduced surface friction. Fully developed laminar flow at low Rey-nolds number is considered here. The effects of cavity fraction (the ratio of cavity area to total surface area) and relative module width (ratio of post/cavity repeating length to the channel hydraulic diame-ter) on the slip length and on the Darcy friction factor-Reynolds num-ber product, fRe, were explored numerically for the post structured

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (130)

130 Engineering

hydrophobic walls. The cavity fraction and relative module width were allowed to vary from 0.5 to 0.9998 and from 0.01 to 1.5, respectively. In general, as both cavity fraction and relative module width increase, the equivalent frictional resistance decreases. The present results were compared with those for surfaces exhibiting rib/cavity patterns aligned parallel and perpendicular to the flow direction. At high cavity frac-tions, the post/cavity structuring produces larger relative slip and greater reductions in the frictional resistance than either parallel or perpendicular rib/cavity structures.

Introduction In micro- and nanoscale applications super-hydrophobic surfaces

can provide, if the right conditions are met, reduced friction at liquid–solid interfaces. An ultra- or superhydrophobic surface is a surface that provides a contact angle, θ, greater than 150° for a liquid droplet. Fig-ure 1 illustrates the contact angle exhibited by a droplet on a surface. An example of a super-hydrophobic surface is a hydrophobically coated and carefully structured or patterned surface.

Figure 1. Illustration of the contact angle a liquid droplet attains on a solid surface.

Fluid flow through micro- and nano-channels requires large driv-ing forces. A particular solution for overcoming this difficulty is by reducing the frictional resistance. Recent progress in research and de-velopment of microelectromechanical systems, MEMS, and nanoelec-tromechanical systems, NEMS, has required a greater need for the production of super-hydrophobic surfaces. One way to fabricate a su-per-hydrophobic surface is by carefully etching away part of the solid surface, creating patterns or structures such as ribs or posts. Subse-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (131)

Simulations of Liquid Laminar Flow 131

quently, the solid surface is coated with a hydrophobic solution. A review of the literature indicates that the amount of frictional resistance reduction depends on many factors, such as surface geometry, nature of the flow (laminar or turbulent), and whether the liquid enters (wets) the cavities or not.

Intuitively, as the spacing between the created solid surfaces in-creases, the possibility of liquid entering and wetting the cavities also increases. In order to achieve frictional reduction at the liquid–solid interface, wetting needs to be avoided.

The primary objective of our research was to numerically simulate and examine the effect of various parameters on surface friction in the case of laminar micro-channel flow of liquids over a super-hydrophobic surface exhibiting post-type patterning. The liquid of choice was water at room temperature and numerical simulations were performed for square post geometries.

Results were compared with previously published studies of Da-vies et al. [2] and Maynes et al. [4]. These analyses enabled us learn under what conditions super-hydrophobic surfaces exhibiting micro-posts produce smaller frictional resistance than surfaces exhibiting mi-cro-rib geometries.

Background

Fluid flow through micro-channels and nano-channels require substantial driving force or pressure drop. In both micro- and macro-channels, this pressure can be reduced greatly by decreasing the fric-tional resistance. A literature review of previous studies indicate that, in the case of laminar flow at the micro-scale and nano-scale, high sur-face roughness can potentially reduce frictional resistance at the liquid–solid interface.

Surfaces can be classified as hydrophilic, hydrophobic, or super-hydrophobic, and the contact angle of a water droplet on a surface is used as a measure of hydrophobicity. Figure 2 illustrates hydrophilic (wetted), hydrophobic, and super-hydrophobic surfaces.

A water droplet on a hydrophilic surface will wet the surface and resemble the illustration on the top left in Figure 2, where the angle θ is smaller than 90°. Treating a surface with a hydrophobic coating can reduce the wettability of the surface and change it to a hydrophobic one, as shown in the top right of Figure 2. Carefully patterning a solid surface, or making it rougher, and applying a hydrophobic coating, trapping gas in the cavities, and preventing liquid from entering the cavities can produce a super-hydrophobic surface as presented on the bottom of Figure 2. Studies have shown the larger the contact angle

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (132)

132 Engineering

Figure 2. Schematic illustration of the contact angle for hydrophilic (wetted), hydrophobic, and super-hydrophobic liquid–gas–solid surfaces.

(greater than 90◦), the greater its hydrophobicity. A scanning electron microscope (SEM) picture of a micro-engineered surface created in the clean room at Brigham Young University is shown in Figure 3(b) [4]. The ribs have a width of 4 μm, a depth of 25 μm, and a rib spacing of 36 μm. A similar SEM picture of a super-hydrophobic surface exhibit-ing square-post pattern is illustrated in Fig. 3(c). These configurations can be etched directly into the silicon substrate using the deep reactive ion etching (DRIE) process.

Previous work has shown that for the case of continuously flow-ing liquid through a micro-channel, a super-hydrophobic surface can result in reduced wettability and frictional resistance. By trapping air in cavities and preventing liquid from entering the cavities in a system-atic and controlled manner as shown in Figure 3(a), both the frictional resistance and the required pressure drop can be greatly reduced. In this situation, no-slip and slip flow conditions exist at the liquid–solid and liquid–air interfaces, respectively, if wetting of the cavities is avoided. The schematic diagram in Figure 4 also demonstrates qualita-tive velocity distributions in regions where slip and no-slip conditions prevail. The illustration represents a two-dimensional image of a mi-cro-post or rib and its adjacent cavity with the relevant dimensions la-beled. In this figure Ws, Wc, and W represent the solid micro-post width, the cavity width, and their sum, respectively.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (133)

Simulations of Liquid Laminar Flow 133

Figure 3. (a) Schematic diagram illustrating a super-hydrophobic surface exhib-

iting micro-ribs oriented longitudinal to the liquid flow direction, (b) SEM image of a micro-fabricated surface exhibiting rib configuration, (c) SEM im-

age of a micro-fabricated surface exhibiting post configuration.

This illustration is for the non-wetting (super-hydrophobic) scenario where liquid does not enter the cavity. Further, the liquid–vapor inter-face is assumed to be flat, and the effect of the meniscus is neglected.

Figure 4. The side view illustration identifies channel regions, dimensions, and notations used in relation to super-hydrophobic post/cavity surfaces. Qualita-

tive velocity distributions are also shown.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (134)

134 Engineering

Figure 5 is a schematic diagram of a computational domain or a control volume used for the simulations. Because of symmetry and the periodic nature of flow conditions, the illustrated control volume was chosen.

Figure 5. A three-dimensional schematic diagram of the computational domain (or the control volume) over a typical super-hydrophobic surface exhibiting

post configuration.

Several relevant variables such as cavity fraction, relative module width, and Reynolds number, which will be used in the following sec-tions, are defined as:

Fc = Ac/A (1)

Wm = W/Dh (2)

Re = (ŪDh)/ν (3)

In the above expressions, Ac is the top surface area of the cavity surface, Ap is the top surface area of the post surface, and A is the total surface area (Ac+Ap). Dh is the channel hydraulic diameter, Dh=2H, Ū is the average channel velocity, and ν is the liquid kinematic viscosity. The slip length, λ, is another quantity used for analyzing frictional re-sistance reduction in micro- or macro-channel flow. Macroscopically, there is a specific amount of slip between the liquid and the surface (Figure 6). The slip length is used to characterize the degree of appar-ent slip that exists, and the greater the slip length the smaller the fric-tion along the interface will be. The slip length, λ, is determined from

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (135)

Simulations of Liquid Laminar Flow 135

an overall macro-level qualitative velocity distribution on a super-hydrophobic surface as shown in Figure 6 [1].

Figure 6. A schematic diagram illustrating representation of the slip length, λ, with respect to the velocity profile.

It is customary to use a nondimensional form of the slip length where it is normalized by the module width, w. It has been shown [2] that the Darcy friction factor, f, and the Reynolds number product fRe = f (λ/w, wm) can also be expressed as:

fRe = 8 [1/12 + wm(λ/w)]-1 (4)

Equation (4) is rearranged to solve for the relative slip length λ/w: λ/w = 8/(wmfRe) – (1/12wm) (5) Parameters such as fRe and λ/w are frequently used to characterize

the frictional resistance reduction in micro-channel flow.

Literature Review Micro-post designs were studied by Ou et al. [5]. The shear free

fractions studied in their micro-post designs ranged from 55.5% to 97%. They obtained about 40% reductions in viscous drag and the required pressure drop.

Salmon et al. [6] performed a three-dimensional numerical simu-lation of a Newtonian fluid flow through a micro-channel with super-hydrophobic walls. Using finite element analysis, the conservation of mass and momentum equations were solved for the three-dimensional steady flow fully developed incompressible flow with appropriate boundary conditions. The channel was patterned with square posts.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (136)

136 Engineering

They assumed the liquid–vapor interface was flat, but they considered two scenarios. One was the non-wetting and the other was wetting with liquid intersecting the posts at a distance (dwet) from the top of the posts. They examined effects of post size, post spacing, channel height, and wetting. They discovered that flow enhancement was about 40% compared with that of the smooth, nonpatterned surface channel, and the apparent slip length was about 5.4 µm. Furthermore, increasing post spacing, decreasing post size, and decreasing wetting depth in-creased flow enhancement.

Experiments performed by Lee et al. [3] produced noteworthy re-sults. A rotating cone rheometer was used to drive the flow over mi-cro-structured surfaces consisting of posts and grates. It was concluded that slip length over super-hydrophobic surfaces increases exponen-tially with gas fraction and linearly with another important surface pa-rameter, pitch. For the non-wetting case, the slip lengths up to 20 µm were achieved. They were able to obtain effective slip lengths as large as 185 µm carefully delaying the transition from the non-wetting or Cassie state to wetting or Wenzel state.

Ybert et al. [7] used an analytical/numerical approach for deter-mining effective slip length. They analytically obtained scaling laws for effective slip length at the surface for two extreme limits when the solid fraction approaches zero and one. Using the expressions for these two limits, they derived a general scaling law or formula by interpola-tion of these two limiting case results. They compared the scaling laws with results obtained numerically for three different geometries: grooves, posts, and holes. They also examined the effects of the gas phase and meniscus curvature on slip length for surfaces consisting of posts, ribs, and grate patterns.

The literature reviewed yields the following conclusions for liquid laminar flow in micro-channels: 1) super-hydrophobic surfaces, regard-less of the type of the micro-structure used, can reduce the overall fric-tional resistance; 2) surface roughness increases the hydrophobicity of a surface; 3) as the cavity fraction increases, the frictional resistance de-creases; and 4) to reduce frictional resistance wetting needs to be avoided. Another important conclusion is that for the same amount of liquid–solid contact, micro-post geometries should provide greater de-crease in frictional resistance or increase in slip length than other types of micro-structures. It is important to realize that fewer studies on mi-cro-posts have been conducted than other types of geometries such as micro-ribs.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (137)

Simulations of Liquid Laminar Flow 137

Objectives This study focused on characterizing the fluid flow over micro-

post super-hydrophobic surfaces in micro-channels exhibiting laminar flow. The results from the study will lead to a more complete and de-tailed understanding of the influence that super-hydrophobic surfaces have on drag reduction based on the influencing parameters. The main objectives were as follows:

Examine the effect of Fc on fRe and λ/w at a very low Reynolds number, Re = 1, and the range of 0.25 ≤ Fc ≤ 0.9998.

Characterize the influence of Wm on fRe and λ/w at Re = 1 and the range of 0.01 ≤ Wm ≤ 1.5.

Method The three-dimensional simulations were performed using the

commercially available software package Fluent. They included square micro-posts with the following assumptions:

1. Fully developed steady laminar flow 2. Constant liquid water properties at room temperature 3. Flow through two infinite symmetric parallel plates 4. No slip flow over the solid surfaces 5. Shear free flow at the interface of liquid and air over the cavi-

ties 6. Idealized flat interface between the liquid and the air cavities

To numerically simulate and examine the characteristics of flow near the super-hydrophobic surfaces exhibiting micro-posts, a typical three-dimensional control volume with appropriate boundary condi-tions as shown in Figure 7 was used.

With the boundary conditions and assumptions mentioned above, Fluent was used to solve the coupled Navier-Stokes and continuity equations. For a chosen Re, an average velocity and mass flow rate were calculated. With this fixed mass flow rate simulations were per-formed, and the output value for the pressure gradient, Δp/L, was used in the following formula to calculate friction factor–Reynolds number product, fRe:

fRe = (2D2h/Ūµ)(ΔP/L) (6)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (138)

138 Engineering

Figure 7. Illustration of the control volume used, with the appropriate boundary conditions, and coordinate system.

Results Simulations have been performed at 10 different cavity fractions

with Wm= 0.1 and Re = 1. Figure 8 shows the results of fRe versus Fc for these scenarios. Also shown are the previously obtained results of laminar flow in a micro-channel with super-hydrophobic walls for the rib/cavity configuration oriented transverse [2] and parallel [4] to the direction of the flow.

Figure 8. fRe as a function of Fc for post patterning with Wm=0.1 and Re=1. Also shown are results for flow parallel and perpendicular to ribs.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (139)

Simulations of Liquid Laminar Flow 139

It can be seen that for all three cases the fRe product decreases as Fc increases. Micro-ribs configured parallel to the flow direction [4] consistently yield smaller values for fRe than for the transverse case [2], with the difference more significant at higher values of Fc. It is very interesting to note that the decrease in fRe for micro-posts is more substantial at high values of cavity fraction than for micro-ribs. This difference seems to begin at about Fc= 0.78. The behavior of the fRe result for the micro-posts compared with the other two cases does in-deed provide some interesting observation. Up to approximately Fc= 0.88, the values of fRe for micro-posts fall between those of parallel and transverse micro-ribs. It appears that for this range of Fc micro-ribs oriented parallel to the flow direction perform better than trans-verse micro-ribs and micro-posts, but for Fc > 0.88 micro-posts outper-form micro-ribs and yield greater amount of frictional resistance reduction. Liquid flow through micro-channels requires a great amount of driving force because of very small length scales and very large fric-tional resistance. In such situations, frictional resistance reduction within the channel becomes desirable. One way to achieve such a re-duction in friction is by reducing the friction between the liquid and the surface. The above results demonstrate that by reducing the amount of liquid–solid contact area (i.e., by increasing Fc) the liquid glides over a larger layer of air, which provides smaller amount of friction for the liquid than the solid surface. According to Figure 8, in the opposite scenario the fRe values are larger for smaller values of Fc for all three surface configurations. The implication of this result is logical, be-cause for small values of Fc the liquid–solid contact area, hence, the frictional resistance, is large. In such situations, all three surface con-figurations provide approximately the same amount of friction to the liquid flow. As seen in Figure 8, the difference between the three pat-terned surfaces diminishes as Fc decreases.

Shown in Figure 9 are the results obtained for λ/w for the 10 cases considered. As the cavity fraction increases the slip length also in-creases. This is consistent with the results obtained so far by other re-search teams on super-hydrophobic surfaces. Since the liquid–vapor interface is assumed to be shear free, the friction is reduced and slip-ping occurs. In the extreme cases of Fc = 0 (all solid or no cavity), the slip length approaches zero, and for Fc = 1 (no solid or all vapor) it tends to increase significantly. This is expected and is also similar to results available in the literature for micro-ribs. At high cavity frac-tions, micro-posts provide larger slip lengths than micro-ribs. Figure 9 illustrates that parallel ribs consistently provide about 20% more slip length than the transverse ribs, but that difference is more significant for posts compared with both rib scenarios. For instance, the slip

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (140)

140 Engineering

length for posts is about 60% higher than the slip length for parallel ribs at Fc = 0.5. Increased liquid–air contact area allows a greater amount of slip near the surface of the micro-channel.

Figure 9. Variation of apparent slip length with cavity fraction for liquid flow through a micro-channel patterned with micro-post features where Wm=0.1 and

Re=1.

Figure 10 presents variation of fRe with respect to solid width ra-tio for longitudinal ribs, transverse ribs, and posts. In classical channel flow, the fRe = 96. It can be seen that fRe for all three cases approaches the value of 96 as solid ratio increases. At solid ratio of 1, all three geometries behave exactly the same and provide fRe = 96, because there is no cavity and they behave similar to a classical channel. Figure 10 shows more clearly that, for the most part, the posts prove to have smaller values for fRe than the other two configurations.

Figure 10. fRe as a function of relative solid width ratio for post patterning at Re=1.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (141)

Simulations of Liquid Laminar Flow 141

Effect of relative module width on fRe is shown in Figure 11 for three different cavity fractions. As Wm increases, its influence on fRe also increases. This results in decreased values for fRe with increased values of Wm in all three cases. It is good to mention that, according to Figure 11, at high values of Fc this decrease seems to be greater than surfaces with small values of Fc. That implies the larger the amount of the liquid–air contact area the greater the influence of the relative size of the channel height with respect to its width. According to Equation 2, larger or taller channels have smaller relative module width. From the Figure 11 it is important to note that the taller and narrower chan-nels provide more friction to the liquid flow than the shorter and wider channels. That is because for tall channels most of the liquid is far from the surface to be influenced by the type and the geometry of the sur-face.

Figure 11. Variation of fRe with respect to Wm at three different cavity fractions for post geometry.

Conclusions The general contribution of this study was a better understanding

of the influence that super-hydrophobic surfaces have on the reduction in frictional resistance for liquid flow through micro-channels at low Reynolds number. A detailed description based on the numerical re-sults showed how the influences of Fc and Wm affect the reduction of surface friction in micro-channels. It was discovered that, regardless of surface geometry, the higher the Fc and Wm the smaller the frictional resistance on super-hydrophobic surfaces. Micro-post patterning pro-vides greater reduction in frictional resistance than transverse micro-rib configuration and at Fc> 0.88 also performs better than the parallel mi-cro-rib patterned surface. With respect to the classical channel flow and at the highest Fc considered (0.9998), the transverse and the longi-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (142)

142 Engineering

tudinal ribs produce 60% and 75% reduction in frictional resistance [2], respectively, whereas the micro-posts reduced friction by 96%. The obtained results are consistent with results found in the literature and the experimental works conducted by Davies et al. [2] and Mayne et al. [4]. Davies et al. [2] also considered the non-flat liquid–gas interface scenario for transverse ribs and concluded that flat liquid–gas interface assumption overestimated the reduction in frictional resistance by about 6%. In our work, the flat liquid–gas interface assumption was made to simplify the governing equations. A future work could consider the existence of meniscus at the liquid–gas interface.

References 1. Chen W, Fadeev AY, Hsieh MC, Oner D, Youngblood J, and

McCarthy JT. Ultrahydrophobic and Ultralyophobic Surfaces: Some Comments and Examples. Langmuir 15, 3395-3399 (1999).

2. Davies J, Maynes D, Webb B and Woolford B. Laminar flow in a microchannel with superhydrophobic walls exhibiting transverse ribs. Physics of Fluids 18: 8: 7110-1-7110-11, 2006.

3. Lee C, Choi CH, and Kim CJ. Structured surfaces for giant liquid slip. Physical Review Letters 101: 064501, 2008.

4. Maynes D, Jeffs K, Woolford B, and Webb B. Laminar flow in a microchannel with hydrophobic surface patterned microribs oriented parallel to the flow direction. Physics of Fluids 19: 9: 3603-1-3603-12, 2007.

5. Ou J, and Rothstein JP. Direct velocity measurements of the flow past drag-reducing ultra-hydrophobic surfaces, Physics of Fluids 17, 103606, (2005).

6. Salamon T, Lee W, Krupenkin T, Hodes M, Kolodner P, Enright R, and Salinger A. Numerical simulation of fluid flow in microchannels with super-hydrophobic walls. Proceedings of the ASME Heat Transfer Division 376: 819-829, 2005.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (143)

Simulations of Liquid Laminar Flow 143

7. Ybert C, Barentin C, Cottin-Bizonne C, Joseph P, and Bocquet L. Achieving large slip with superhydrophobic surfaces: Scaling laws for generic geometries. Physics of Fluids 19:12: 3601-1-3601-10, 2007.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (144)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (145)

A Correlation between Collegiate Baseball Players’ Posture and Individual Baseball Statistics

Bret Boyer, Corey Rankin, Leoni Lobendahn, Jason Slack, Mike Bohne

Utah Valley University

Abstract Postural patterns or deviations may have an effect on athletic perform-ance. In this study, the posture of 28 Utah Valley University baseball players was assessed and correlated with their personal offensive sta-tistics to determine whether there was a correlation between posture and performance. There was no significant relationship identified be-tween overall postural score and position; however, certain postures suggested a relationship to the individual statistics.

Introduction Postural assessment is commonly used to identify and monitor

musculoskeletal norms, anomalies, and/or imbalances (1). Postural assessment has been shown to give insight into biomechanical issues stemming from over-training on some parts of the body and under-training in others (2). Sport-specific and even position-specific train-ing may lead to such imbalances, which in turn may lead to altered (en-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (146)

146 Physical Education

hanced or diminished) performance (3,4) and even injury (5). These postural patterns or deviations may have a correlation between sports and even specific positions that can possibly be revealed in a static pos-ture.

Statement of the Problem

The purpose of this study is to determine whether there is a corre-lation between static posture and position played and personal perform-ance statistics of Utah Valley University (UVU) baseball players.

Significance of the Study

Static posture is of relative importance in and of itself as it serves as a point of departure for the many dynamic positions assumed by the body and it provides a static method to assess structural (musculoskele-tal) balance and symmetry. In addition, “since the number of dynamic postures are endless it is a convenient custom to accept the static stand-ing posture as the individual’s basic posture from which all his other postures stem.” (2). Although often referred to, the correlation between athletic position and anatomic posture and their potentially associated performance has not been clearly demonstrated in the literature. More research is needed in this area to identify whether there is a correlation and enable us to take appropriate steps to correct posture (imbalances) and reduce injury or enhance performance.

Hypothesis We hypothesize that there is a relationship between the static pos-

ture of UVU baseball players and their relative positions and personal statistics.

Research Methods

The study population consisted of 28 UVU male baseball players. A statistical analysis was used to assess whether there was a correlation between posture, position, and personal statistics. Having completed an informed consent, the subjects completed a demographic survey addressing issues such as age, position played, and years at that posi-tion. Each subject then presented to the assessor in short gym shorts that revealed the kneecap for visual inspection. No shoes or shirts were worn so that the subjects’ surface anatomy could be visually inspected for landmarks. Subjects were then assigned an identification number to

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (147)

Posture and Baseball Statistics 147

associate questionnaire with their postural pictures and to protect iden-tity.

Subjects were then posed with toes on a line located 18 inches in front of a 7-foot-tall lined postural grid fixed behind them. Each of the subjects was instructed to breathe deeply and exhale several times to feel relaxed before having his posture assessed. The subjects were told to stand facing the assessors with feet at shoulder width and in a re-laxed typical standing posture with their arms to their side. A frontal picture was taken for a future reference for postural assessment by the assessors. Each subject was then asked to rotate one quarter turn to his right with feet at shoulder width and in a relaxed typical standing pos-ture with his arms to his side. A left side picture was taken for a future reference for study by the assessors. This was repeated for posterior view and right-side view pictures. A right side picture will be taken at this point for a future reference for study by the assessors. The 4 pic-tures for each subject were digitized.

The assessors were trained by a Licensed Physical Therapist to assess and score the subjects’ posture using a standardized postural assessment tool. Head tilt, forward head, shoulder level, kyphosis, sco-liosis, and lordosis were all assessed. The subjects’ posture was scored for each postural item being addressed, and a total postural score was given by each member of the assessment team. When scores differed between assessors they were discussed until a consensus score was de-termined. The scores were analyzed statistically with the subjects’ re-spective questionnaire.

Several steps were taken to prevent bias. All of the pictures were taken from the same angle, the subjects were not told which postures were being examined, consistent instructions were provided to each subject, consensus was obtained between the assessors with the pos-tural scores, and the assessors were trained to evaluate posture by a Licensed Physical Therapist.

Several steps were used to minimize risks to subjects. Subjects wore gym shorts of their own choosing and no shirts exposing upper body and from mid-thigh down. The subjects were not exposed to ele-ments as they entered the assessment room from the locker room. Each subject’s identity was protected by an identification number, and only the assessors associated ID numbers with the subject’s picture.

The baseball statistics that were addressed include each of batting average, runs scored, home runs, runs batted in, slugging percentage, strike outs, put outs, attempts, errors, and fielding percentage.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (148)

148 Physical Education

Results The various postural elements of each subject were compared

with the baseball statistics. The following elements were significantly correlated with individual statistics.

—Head Tilt Severity Batting Average R - .617 P - .003 — Forward Head Field % R - .540 P 0 .038 — Kyphosis, Scoliosis, Lordosis Wild Pitches R - .997 P - .049 —Shoulder Level Runs Scored R - .693 P - .003 Hits R - .725 P - .001 Home Runs R - .526 P - .036 Runs Batted In R - .852 P - .001

Discussion There was no significant relationship identified between overall

postural score and position; however, certain postures suggested a rela-tionship to the individual statistics.

Limitations and recommendations Some of the limitations of this study include having a very small

and heterogeneous study population. It was also noted that a more de-tailed analysis and classification of posture may demonstrate a higher correlation and probability.

Further Research

Having established that there is a relationship between some pos-tural elements and personal statistics, further research needs to be done to determine cause and effect between posture and performance or per-formance and posture.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (149)

Posture and Baseball Statistics 149

Bibliography Frost, L.H. Individual structural differences in the orthopedic examination. L. Health & Phys. Ed., 9:90-93, 122, 1938.

Sward L. The thoracolumbar spine in young elite athletes. Current concepts on the effects of physical training. Sports Med 1992;13:357-64.

ku*ms T., Vain A. Functional state of the locomotive apparatus and spine posture in rhythmnic gymnasts. German Society of Sport Science 6th Annual Congress of the European College of Sport Science; 24-28 July 2001, Koln, Sport und Strauss, 2001.

Dalichau S, Scheele K. Significance of the motoric demands in swimming for spinal profile and postural capacity. German Society of Sport Science 6th Annual Congress of the European College of Sport Science; 24-28 July 2001, Koln, Sport und Strauss, 2001.

Watson AW. Sports injuries in footballers related to defects of posture and body mechanics. J Sports Med Phys Fitness 1995;35:289-94

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (150)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (151)

Comparable Study: Running the 1.5-mile Run on a Treadmill Vs. Running the 1.5-mile Run on an Indoor Track

M. Vinson Miner and Jason Slack

Utah Valley University

Abstract

Both quantitative and qualitative components were analyzed to com-pare running times of 1.5 mile run on an indoor track, to the running times of a 1.5 mile run on a treadmill. Running times were compared to determine if there are any significant time differences or psychological elements between the two methods of running. The research project tested and rendered several runs (both on the treadmill and on the in-door track) over a 7 ½ to 15 week period of time [results; no signifi-cant difference between average treadmill time (13:14) and average track time (13:25) were determined]. In addition, the qualitative com-ponents were observed, analyzed and documented. Including partici-pants’ psychological responses such as motivational, emotional, attitude, likes/dislikes, and preferences, etc were tabulated and com-pared. In conclusion, no significant difference existed between running

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (152)

152 Physical Education

times on a treadmill vs. the indoor track, but psychological preferences varied greatly on the two methods.

Introduction As part of the requirements for our PES 1097 Fitness for Life

class, students are assessed on their cardiovascular fitness by running 1.5 miles. Applying Kenneth H. Cooper Fitness Categories for the 1.5-mile run test, students are able to classify their running time. On certain occasions it has been necessary for us as instructors to have the stu-dents run on treadmills because of scheduling conflicts on the running track. This situation has motivated us to investigate, study, and com-pare, in this initial pilot study, running times of our students on both the indoor track and the treadmill to see whether there are significant dif-ferences in their running times. In addition, we were interested and concerned with the psychological elements between the two methods that affect the running times of our students. We were especially inter-ested in psychological responses such as the motivation, emotional state, and attitude of our students about which of the two methods were most preferred. This qualitative component to compare and analyze our students’ likes and dislikes, preferences, and feelings about the methods was a major concern for our instructors.

Methods

The Study Participants (n=70) were enrolled in the Fitness for Life class at

Utah Valley University. As part of the class, students are assigned sev-eral 1.5-mile runs. Students were asked to sign an informed consent form that explained the study; the study was approved by the Utah Val-ley University Institutional Review Board. The 1.5-mile runs occur throughout the semester, with the idea that as the students are involved in their cardiovascular training program they will be able to reduce their run times. During the semester, these runs were performed on the Lifestyle 9600 treadmill and on the 1/8-mile indoor track located at Utah Valley University. The speed on the treadmill was self selected, and the student was instructed to adjust the speed to complete the 1.5-mile run as fast as possible. The grade of the treadmill was set to 0 per-cent. Time was recorded on the treadmill and reported to the researcher. The 1.5-mile run on the track was within a week of the recorded tread-mill run. Students were instructed to complete this track run as fast as possible at a self-selected pace. At the completion of the run, the time

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (153)

Treadmill vs. Track 153

was recorded by the researcher, and the data were analyzed using the SPSS statistical software package.

Questionnaire

At the end of the semester, the participants were asked to respond to a questionnaire. They were asked which method of running they pre-ferred and why they preferred their chosen method (reason behind their first response). In addition, the questionnaire asked each participant to discuss (open ended) some of their likes and dislikes and physical or psychological reasons for their preference. Each individual’s response was noted and recorded (qualitative component of the research).

Results

Data Demographic data about the participants was summarized using

descriptive statistics: mean age in years (22.7 ± 5.3), mean height in inches (69.1 ± 11.1), mean weight in pounds (163 ± 37.8), mean per-cent body fat (15.9 ± 7.6), and mean sit-and-reach in inches (15.9 ± 4.23). A Paired T-test was used to compare the difference between the times to complete each run. The average time to complete the run on the treadmill was 794 ± 327 seconds, and the average time to complete the 1.5-mile run on the track was 805 ± 229 seconds. Using the Paired T-test, there was no statistical significance between the times of the two runs with a (P = 0.693).

Qualitative Results

Students preferred running on the track to running on the tread-mill at a ration of approximately 2 to 1 (46 preferred the track, 21 pre-ferred the treadmill, and 3 expressed no preference). Noted responses to why the participants preferred one method over the other were docu-mented.

Participants’ responses for track:

• Running on indoor track feels like it goes by faster. • View changes and you make progress instead of looking at

times. • On the track counting laps pushes me harder. On the treadmill,

I stare at the time and it feels like it goes forever.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (154)

154 Physical Education

• Because I can run at the speed and pace I want to run at. • I do not like staying in the same place. I am a very active per-

son and it drives me nuts running in place. Also, I constantly look at the clock and it seems like an eternity to finish a run.

• Because I am actually moving and not just running in place. • It’s not as awkward trying to run in such a small space, you

can actually move on the track. It helps me feel like I am pro-gressing, and so it pushes me harder to improve.

Participants’ responses for treadmill • I am sure to stay at a steady pace. • I tend to work better. • Treadmill makes it so you stay at a constant rate. • Running on the treadmill is easy because you know exactly

where you’re at and how fast you’re going and everything. • You can set your speed. • I feel like I was better able to pace myself and because of the

clock on the treadmill I was aware of how fast I was running. • Never allows me to slow down. • On the treadmill I was running more because I felt more re-

laxed. • Easier, more comfortable, and you can control your speed bet-

ter.

Discussion The results demonstrated no significant time difference between

track running and treadmill running. Although time varied from par-ticipant to participant as the totals were compiled, there was no real time difference noted. The fact that participants preferred track running over treadmill running by a 2 to 1 margin was a unique research ele-ment that was discerned by the research. Additional insight was also documented by the research into the qualitative elements and prefer-ence of each participant/student.

Conclusion

In summary, the research showed that no matter the mode of run-ning, running times were very similar. Most participants preferred the physical dynamic motion of the track to the stability and stationary motion of the treadmill by a margin of 2 to 1. Additional information

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (155)

Treadmill vs. Track 155

on likes, dislikes, preference, and attitude of each participant varied greatly, but demonstrated unique individual differences. Additional research and number of subjects would enhance the study.

References Nummela, A, Hamalainen, I, and Rusko, H. (2005). Comparison of maximal anaerobic running tests on a treadmill and track. Journal of Sports Sciences, 25(1), 87-96.

Jones, A, and Doust, J. (1996). A 1% treadmill grade most accurately reflects the energetic cost of outdoor running. Journal of Sports Sciences, 14, 321-327.

Schlosberg, S. (2003). Outdoor running vs treadmill. Shape, 23(1), 140.

Bassett, D., Giese, M., Nagle., F., Ward, A., Raab, D. and Balke, B. (1985). Aerobic requirements of overground versus treadmill running. Medicine and Science in Sports and Exercise, 17, 477-481.

Leger, L. and Mercier, D. (1984). Gross energy cost of horizontal treadmill and track running. Sports Medicine, 1, 270-277

McMiken, D. and Daniels, J. (1976). Aerobic requirements and maximal aerobic power in treadmill and track running. Medicine and Science in Sports and Exercise, 8, 14-17.

Van Ingen Schenau, G.J. (1980). Some fundamental aspects of the biomechanics of overground versus treadmill locomotion. Medicine and Science in Sports and Exercise, 12, 257-261.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (156)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (157)

Pedro Salinas’s Theory of Tourism

Andrew Bishop Brigham Young University

Abstract

Pedro Salinas, a poet from Spain’s Generation of 1927, resided in the United States during and after the Spanish Civil War. While teaching in various schools across the country, he attended conferences show-casing his literary criticism, poetry, and playwriting. During this time, he corresponded prolifically with his wife, Margarita Bonmatí. On one occasion, he traveled to Los Angeles, California, to attend a literary conference, but along the way he traveled through Missouri, Colorado, and Utah, visiting various landscapes, national parks, and cities. He chronicled his impressions in letters to his wife. These impressions follow a theory of tourism developed by Pedro Salinas. They also fol-low the idea of intentionality—a phenomenological concept in which appearances have ontological meanings, especially as explained by the French philosopher Maurice Merleau-Ponty. The letters Salinas wrote and the appearances he intended show his focus and soul are his wife. Other impressions recall his lover, Katherine Whitmore. These medita-tions help Salinas to commune with his beloved. The paper retraces

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (158)

158 Letters—Philosophy

Salinas’s travels through Utah using historical references, contempo-rary figures, his letters, and a few of his poems.

Introduction

Pedro Salinas exerts a spiritual force in his poetry. His themes deal with the beloved’s presence or absence, essences, and the poetic self’s perception of scenery. He also deals with spatiality and how the one can commune with another despite long distances. Critics give praise for his talent. Enric Bou and Andrés Soria Olmedo opine that he writes “algunos de los más bellos poemas de amor escritos en español” (“some of the most beautiful love poetry written in Spanish”)1 (1564, footnote 473). Francisco Moreno Gómez describes him as a person that “tiene una visión semiplatónica” (“has a semi-platonic vision”) and “estudia […] la caridad y la claridad” (“studies […] charity and clar-ity”) (51). Francisco Javier Díez de Revenga admires his “rica perso-nalidad” (“rich personality”), a “madrileño castizo” (“authentic Madrilenian”) that loves “al mar y a la luz mediterránea de sus juveni-les veranos en Santa Pola” (“the sea and the Mediterranean light of his childhood summers in Santa Pola”) (García 87). Díez de Revenga then categorizes him as “uno de los más destacados poetas amorosos espa-ñoles de todos los tiempos” (“one of the most prominent Spanish love poets of all time.”) (88). R.A. Cardwell sees how Salinas becomes one of the best by incorporating memory in Spanish love poetry:

When we examine the work of […] Salinas, […] the positive aspect […] is immediately apparent. [It is] believed that through remembered experiences the poet can discover a defi-nition of essence, an immanent or transcendent reality for which the existent or phenomenal entity is but an outer shell. (810)

Salinas’s ability to find this essence and associate it with a be-loved in love poetry has its roots in Romanticism and courtly love. The only modification, according to R. Gullón and Montserrat Escartín Gual, lies in the fact that the poetic self’s relationship with the beloved is “controlado por el juego de la inteligencia, pero dependiente de la sensualidad” (“controlled by the game of intelligence, but dependent

1 All translations, except where indicated, are my own and are only provided in an at-tempt to help readers who do not know Spanish.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (159)

Pedro Salinas’s Theory of Tourism 159

upon sensuality”) (Escartín 22). These characteristics emerge in all of the works written by Salinas, including his habitual and almost daily letter writing.

Correspondence, including love letters, forms a part of Salinas’s artistic repertoire. Salinas corresponded prolifically with his many friends and family members over his lifetime. In his letters, he writes unpretentiously about his feelings towards people, places, ideas, and art. Readers may get the impression that they are intruding on a private conversation in which they hear only Salinas’s side. Salinas never meant to publish or publicize his intimate letters to anyone outside his circle of friends, family, or lover, although he may have suspected they would come to light one day. Thanks to his daughter and son-in-law, as well as to dedicated critics, we have the privilege of knowing a more personal side of Salinas. We can commune with a poetic friend as we learn his likes, dislikes, and points of view. We see how Salinas in-tends objects in nature deeply. This essay will focus on Salinas’s con-templations of nature during a trip to a literary conference in Los Angeles, California. He especially takes notice of landscapes located in Utah. Salinas sees these natural landscapes and records his impres-sions in writing, painting them with poetic language. He then dedicates all of his observations to his wife, Margarita Bonmatí.

Salinas also had a mistress by the name of Katherine Reding, who later changed her name to Katherine Whitmore, who also received let-ters and poetic dedications for several years. He met her in his class-room during the 1930s, pursued her as his paramour, and initiated an extramarital affair. The affair lasted until Margarita found out and at-tempted to commit suicide. Her conscious pricked, Katherine ended physical contact with Salinas and stopped the affair. Nevertheless, they continued to correspond even after the relationship ended. As time went on, Katherine faded away and the communication gap widened. By 1940, Salinas and Margarita were in the U.S. with their family in-tact. Katherine Whitmore takes second place, indicating that Salinas did not forget her completely.

Salinas developed a heightened sense of observation during his adolescence and young adulthood. He grew up into a responsible and intelligent professor of literature, studying in his hometown of Madrid and in Paris, France. He taught in various places including Spain, France, and Great Britain. When he was not teaching or studying, he wrote letters and poems to Margarita Bonmatí, a young woman living

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (160)

160 Letters—Philosophy

on the shores near Algiers, Algeria,2 at the time. They courted for some years before eventually marrying on December 29, 1915 (Bou 27, footnote 1). Before and during their marriage, Salinas described to Margarita in great detail objects he observed in nature. He dedicated these phenomenological-filled intentions he had to her. He writes about his desire to visit certain places, and in one letter he writes, “Hace muchísimo tiempo que espero una ocasión favorable para ir a América, país por el que siento una vivísima curiosidad y simpatía” (“It has been a long time since I have waited for an occasion to go to Amer-ica, a country for which I feel a vivacious curiosity and affinity”) (Salinas, Cartas de viaje 59).

Salinas’s poetry spans decades. The first set includes titles that whimsically look for the essences of objects (Presagio, Seguro azar, and Fábula y signo or Presages, Certain Chance, and Fable and Sign). When he moves to the U.S., he composes other volumes focusing on the sea surrounding Puerto Rico and other topics, as well as an English translation of some of his poetry with the help of Eleanor L. Turnbull (El Contemplado, Error de cálculo, Lost Angel and Other Poems, and Todo más claro y otros poemas). The most popular set of volumes deals with the events of an affair with a beloved. Katherine Reding becomes the catalyst he needs to write about the beloved in La voz a ti debida (The Voice I Owe to You), Razón de Amor (A Reason for Love), and Largo Lamento (Long Lament).3 In other areas, Salinas prolifi-cally produces literary articles, works of theater, and lesser-known translations of other authors.

Salinas became a successful and famous writer and literary pro-fessor during his time in Spain before the Spanish Civil War. He even worked as a public official in the education system of the Second Re-public. Circ*mstances changed when the political climate began to sour. Salinas knew his time in Spain was getting shorter. In making his plans, he writes to Katherine the following:

2 “Pedro Salinas y su novia, Margarita Bonmatí,” writes Solita Salinas de Marichal, “es-tuvieron separados durante los tres años de su noviazgo. Ella vivía en Argelia, él en Madrid, y sólo se veían durante un mes al año, en Santa Pola, un pueblecito de Alicante” (“Pedro Salinas and his girlfriend, Margarita Bonmatí, were separated during the three years of their courtship. She was living in Algeria, he in Madrid, and they only saw each other for a month each year, in Santa Pola, a village in Alicante”) (“Presentación” 11). 3 These three collections of poems are now published in one volume with the titles in this order. However, citations in this essay will refer to an individual collection. If readers desire to further their reading or check a particular edition, please refer to entries begin-ning with either Escartín Gual or Salinas in the Bibliography.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (161)

Pedro Salinas’s Theory of Tourism 161

La solución ideal sería irme al extranjero: eso es el modo de romper más natural. ¿Pero dónde y cómo? Lo que me dices de América, alma, es un sueño. ¡Si pudiera ser! Aceptaría cualquier cosa, cualesquiera condiciones, con tal de estar en la misma tierra que tú.

The ideal solution for me would be to leave to other countries: that is the most natural way to break off. But where and how? What you have told me about America, my soul, is a dream. If it could only be! I would accept anything, any conditions, so long as I am in the same land as you. (Salinas, Obras 483, emphasis in original).

However, fortune smiled on Salinas and he found a way to come to the United States. He got the opportunity while applying for a job located in Massachusetts, and when the Spanish Civil War was about the break out, he accepted the position at Wellesley College and made plans to leave Spain. He became an exile with his wife and children, never to see his land of origin again. Katherine kept her distance from him in the U.S., meeting him rarely. Salinas was left to his contempla-tion while he traveled for business and pleasure. Travel had always been part of his job description as poet.

The curiosity Salinas has while traveling is insatiable. Wherever he goes he “intends”—a phenomenological verb meaning to observe consciously the essence of an object either real or imagined—each mountain, valley, seashore, or forest in its transcendence. He dedicates visions and poetry to the two women in his life. He writes Margarita a letter stating, “Realmente, vida, la poesía es tuya: así que yo no he hecho más que escribirla” (“In fact, darling, poetry is yours: so I have done nothing but write it down”) (Salinas, Cartas de amor 75). He also dedicates poetry to Katherine saying, “Sólo versos escribo. ¿Por qué? Porque se escriben pronto, porque se escriben corriendo, en un mo-mento. Y porque me los manda, me los ordena, una fuerza superior e irresistible, porque vienen de mi Katherine, son de ella, por ella, y para ella, como todo lo de su PEDRO” (“I write only verses. Why? Because they are written soon, they are written running, in a moment. And be-cause a superior and irresistible force commands me, orders me, to write them, because they come from my Katherine, they are of her, by her and for her, like everything from her PEDRO”) (Obras 336). Marga-rita and Katherine form his poetic center, sometimes exchanging places, other times blending into a fused entity. The topic has not been without contention, but by the late 1930s and early 1940s, the romantic drama had begun to settle down. By 1940, letters from Katherine be-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (162)

162 Letters—Philosophy

come scarce while letters to Margarita flow generously again when Salinas travels about America.

Salinas traveled so extensively he began to reduce tourism down to a science. He visited places and recounted to his wife moments in letters, making sure to inform her of the day’s events and his thoughts about her. On Saturday, June 17, 1939, he writes a letter while on a trip through Arizona and other points of interest. The following quote is quite long, but indispensable in understanding his joie de vivre while he creates his theory of tourism. Notice how profound and thoughtful his observations are when he perceives.

Otro día estupendo. Estaba cansadísimo, anoche, me pasé diez horas en la cama y me he levantado al pelo. Y en segui-da, a lo mismo, a ver, y a ver. Por la mañana un recorrido en autocar, parándose en los mejores puntos de vista. Y ahora, después de comer, dejaré el rebaño turístico y me iré yo solito, a pasear, a tomar el sol, y a mirar. Sabes, he descubierto que el turismo tiene tres grados, de menos a más. El primero, y elemental, es ver. La mayoría de los turistas ven, nada más. Ven lo que les enseñan, sin voluntad, porque se lo ponen de-lante, sin escoger ni diferenciar. El segundo grado es mirar: ya en mirar hay elección, y más actividad; se mira lo que uno prefiere e implica cierta personalidad e iniciativa. El turista decente ve todo, pero escoge y sólo mira a ciertas cosas. Y se llega al tercer grado: contemplar. Eso es lo supremo: una vez escogido lo que nos llama más la atención al corazón, se lo contempla es decir se fija la vista en ello, se pone en la vista la voluntad de penetrarlo con el alma, y así va uno apoderán-dose de ello. Es el grado supremo, porque al llegar a él el tu-rismo queda abolido: ya no se anda, no nos movemos. Plus de tours! El verdadero turismo conduce a la contemplación, ¿no te parece? A pararse, a no andar más. ¡Jardines de Grana-da!

Ya ves cómo estoy desarrollando una teoría nueva del turis-mo. ¿Te gusta? Es un tanto mística, me parece. Pero ellos tenían razón en que la forma superior de conocimiento es la contemplación, no la acción. La posesión por la contempla-ción es mucho más pura. La posesión por la acción, empieza en la fiera. Adiós, guapa. Ves que estoy animado. Salgo esta tarde y mañana en Los Ángeles. ¿Estarás tú allí haciendo de ángel suplementario?

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (163)

Pedro Salinas’s Theory of Tourism 163

Another great day. I was very tired, last night, I spent ten hours in bed and I got out of bed feeling great. And straight away, the same, seeing, and seeing. In the morning a trip by coach, stopping at the best viewpoints. And now, after eating, I will abandon the tourist herd and leave all by myself, to go for a walk, to take in the sun, and to look. You know, I have discovered that tourism has three degrees, from least to great-est. The first, and elementary, is seeing. The majority of tour-ists see, nothing more. They see what is shown them, without will, because they are placed before it, without choosing or differentiating. The second degree is looking: now in looking there is a choice, and more activity; the thing looked at is what one prefers and it implies a certain personality and initiative. The decent tourist sees everything, but chooses and only looks at certain things. And then comes the third degree: contem-plating. That is the supreme: once chosen what best calls at-tention to our heart, we contemplate it that is to say the view is fixed on it, the will to penetrate it with the soul is placed in the view, and so one becomes overpowered by the thing. It is the supreme degree, because upon arriving to the person tourism is left abolished: now walking stops, we do not move. Plus de tours! Real tourism leads to contemplation, don’t you think? To stop, to no longer move. Gardens of Granada!

Now you see how I am developing a new theory of tourism. Do you like it? It’s a bit mystical, it seems to me. But they are right in that the higher form of knowledge is contempla-tion, not action. Possession because of contemplation is far more pure. Possession because of action, it starts in the brute. Goodbye, doll. You see how I am in high spirits. I leave this afternoon and in the morning Los Angeles. Will you be there playing the additional angel? (Salinas, Cartas de viaje 109, emphasis in original)

Salinas shows how open and personal he is with his thoughts and with his love. His personal theory of tourism parallels phenomenologi-cal intentionality quite nicely. His first degree of tourism, seeing, satis-fies the basic concept of filled intentions. The subject simply allows some things to appear while disregarding other objects. The second degree, looking, corresponds to intending the object’s “sides, aspects, and profiles” (Sokolowski 20). The subject exerts more energy by physically moving the object or moving him or herself, literally or imaginatively, to intend the different sides of the object. Intuition fits

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (164)

164 Letters—Philosophy

closely with this concept. The subject intuits the object and recognizes its properties. The third degree, contemplating, is the key to intend truly the object in its essence. It takes time to contemplate upon what one sees, and Salinas practices this faithfully.

A critic notes Salinas’s type of contemplation as follows: “Con-templar: trascender la apariencia, hasta tocar con las manos, estremeci-das por el cansancio de la vida, «el alma de las cosas»” (“Contemplate: to transcend appearance, until touching with the hands, trembling be-cause of the weariness of life, ‘the soul of things’”) (Vila 65). Contem-plation is an action in which the subject intends with his body the object of his vision. Contemplation is one characteristic the poetic self encourages his beloved to do throughout the trilogy of poems men-tioned previously. Salinas observes the behavior of other tourists as only fulfilling the first degree of tourism, merely seeing. The intro-spection one gains from it reveals not just the essence of the object, but also the essence of oneself. A psychological mirror reflects the aspira-tions and qualities of the subject, inducing a desire to see ordinary ob-jects in a new light or changing an attribute of one’s character. When done properly, contemplation helps the beholder gain much more than just an appearance. For Salinas, many things he sees while he travels point back to his poetic center. Whenever Margarita or Katherine fills an intention, in the form of a memory, a letter, or a photo—or an empty intention by way of distance—it does not matter to him. He communes with either of them in any place and at any time. She is one with him when he remembers her, for the memories he brings about her fill him with a perception based on experience.4

In the next few sections, we will see how Salinas contemplates natural scenery during a trip he makes in 1940. As usual, he writes to Margarita and to his children from time to time. Salinas plans to attend a literary conference in Los Angeles, California, but on the way he takes a peripatetic opportunity and schedules plenty of time to see the sights for a week before the conference convenes. The historical back-ground that allows Salinas to take his trip at this time will intersperse these sections as well.

4 For purposes of this essay, we need to note that Salinas’s poetic center revolves around Margarita more than around Katherine. As we focus on a particular year, Salinas writes a letter to Katherine on Monday, December 10, 1939, before he travels through western states roughly nine months later (Obras 798-802). He writes her again in December 1940, but this letter is unusually short and wishes her a happy holiday season (865-66). The tone implies that Katherine has cut off most contacts with Salinas for quite some time. Therefore, Margarita assumes a larger role as his poetic center during this time period.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (165)

Pedro Salinas’s Theory of Tourism 165

St. Louis, Missouri

Salinas writes his first letter to Margarita in Saint Louis. It is Sat-urday, August 3, 1940, and while waiting for his train connection he takes the opportunity to jot down his observations. He spends consid-erable time discussing how he sees light and water interact. Water acts like light emitting its own shine while light acts like flowing water of “pura esencia” (“pure essence”) (Salinas, Cartas de viaje 141-42). Yet he states, “Sobre todo, no pude contemplarlo” (“Above all, I was un-able to contemplate it.”) (142, emphasis in original). He reaches an intuition about how both forces behave and react to each other. Time may have impeded him to reach the contemplative stage. Nevertheless, the appearance reminds him of previous experiences with Niagara Falls and the Grand Canyon. Through memory he revisits these places and reaches the third stage of tourism when he contemplates these famous places. He writes, “No obstante, ahora el Niágara, como el año pasado el Grand Canyon, me dan las dos sensaciones de naturaleza más grandes y majestuosas. En este país de lo nice, de lo sweet, de lo bo-nito, sólo estas dos maravillas compensan de tanta dulzarronería” (“However, now the Niagara, like the Grand Canyon the year before, the two give me the most great and majestic sensations of nature. In this country of the nice, of the sweet, of the lovely, only these two wonders make up for so much saccharinity”) (142, emphasis in origi-nal).

Privacy also is an obstacle to contemplation of his surroundings. Salinas notices a difference between Niagara Falls and the Grand Can-yon. Niagara Falls is more easily accessible to residents of the east coast of the United States than the Grand Canyon near the west coast. Yet the western United States has more national parks with lots of space in between and fewer people. An introverted and introspective person like Salinas would have a difficult time meditating with scores of tourists around. Salinas does condescend a bit when he observes tourists constantly seeing and never contemplating. He vents his frus-trations writing the following:

¡Pero qué público! La diferencia con el Grand Canyon es que allí se puede uno aislar para la visión y la contemplación, en cualquier sitio del monte, porque el cañón se ve desde todas partes. Pero aquí, sólo hay unos cuantos puntos de vista y la gente se amontona, chilla, se mueve, y saca fotos, y fotos, sin parar. En mi vida he visto más máquinas fotográficas. ¿Có-mo se podría arreglar eso? ¿Democracia, nazismo? Siempre

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (166)

166 Letters—Philosophy

turba, plebe. Es un sueño, ver el Niágara solo, en silencio. Sueño imposible.

But what an audience! The difference with the Grand Canyon is that over there one can isolate for vision and contemplation, in any place on the mount, because the canyon is seen from all parts. But here, there are only a few scenic outlooks and the people crowd together, shout, move, and take pictures, and pictures, without stopping. In my life I have seen more cam-eras. How could we fix that? Democracy, Nazism? Always mobs, masses. It’s a dream, to see the Niagara alone, in si-lence. Impossible dream. (142)

Salinas does not have anything against photography per se, but how tourists experience settings through their cameras: “Ya sabes que me gusta la fotografía” (“You already know that I like photography”) (Obras 324). Salinas wishes that tourists in general should slow down and think about what they see. They miss the point when they intend objects superficially, take pictures, and move on to the next sight re-peating the same thing. Tourists who frame scenery through a view-finder in a camera intend the place differently than others who do not. Effectively, the camera distances the subject from the object further through an artificial lens and packages a portion of the landscape into a small, deformed, rectangular surface. Later, a tourist develops the pic-ture and marvels over intending the pictorial representation more than the visceral experience he or she had. Years later, the same picture presents a different appearance to the tourists involved, and they won-der why they took the picture in the first place. One should intend the object purely, without filters. Salinas longs to perceive the object in its entirety, or in its pure state, filled and empty intentions alike. Salinas employs all of his senses and goes beyond them to probe the essences of the surrounding world. He experiences events. He senses the object and searches for latent possibilities of the object he wants to under-stand. Being alone gives him the time to reflect, to behold intensely. The interruptions of tourists, their sounds and their squabbling, detract from this meditation. If Salinas gets a chance to avoid tourists, he takes the opportunity to leave the group and finds a way to commune with the landscape in silence. In the case of Niagara Falls, it is an empty intention, but one that has been filled before. He intends Niagara Falls in its absence, in its reflective state. He also intends Niagara Falls in an imaginative state, creating a space where he beholds it without distrac-tions. He admits though that such a desire may never come true be-cause of its popularity with the masses; hence he laments saying,

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (167)

Pedro Salinas’s Theory of Tourism 167

“Sueño imposible,” (“Impossible dream,”) and closes his letter (Cartas de viaje 142). Manitou Springs, Colorado

He wrote his next letter to Margarita while staying at the Hotel Grand View in Manitou Springs, Colorado. He is near Pikes Peak and plans to go to the summit the next day because he misses the tour bus. The tardiness of the train does not faze him. In fact, he recounts the sensations he feels during the trip while seeing the prairie landscape and he allows the land to recall his native land. “Happy and sad at the same time,” writes Newman, “Salinas hovered in that delicate balance between prospect and retrospect […]. Spain was superimposing itself on America, […] the lands seemed to remember their Spanish origins” (177).

One of the most unfortunate moments Salinas had to face was be-coming an exile from his native country. During the years preceding the Spanish Civil War, Salinas saw the political complications playing out between the right and the left. Although sympathetic to the Second Republic, he understood the gravity of the situation and prepared his family to leave Spain. Luckily, he corresponded with an Alice Bushee of Wellesley College and obtained employment as a distinguished visit-ing professor (Salinas, Cartas de viaje 59-61). Enric Bou relates in a footnote that Salinas, “Tuvo dificultades para encontrar un medio de abandonar España por mar, puesto que la frontera terrestre estaba cer-rada. Por fin surgió la posibilidad de salir en un barco de guerra norteamericano, el ‘Cayuga’” (“He ran into obstacles to locate means to abandon Spain by sea, since the border by land was closed. At last the possibility of leaving emerged in a North American warship, the ‘Ca-yuga’”) (62).5 He embarked and made his way to Wellesley, Massa-chusetts, to teach Spanish literature to young women.

As an exile, Salinas reminisces from time to time about certain parts of Spain on the train ride he just had. On the train, he spends

5 See footnote 66 that appears on page 62 of Cartas de viaje to read about Salinas’s ex-perience before embarking. Because of the suspicion towards artists and literary critics, the military personnel inspecting his luggage found a copy of one of his plays. The prob-ability of getting arrested intensified until a sailor said, in effect, that the boat was ready to sail. Salinas then leaves Spain on August 31, 1936, never to return. His wife and children do not accompany him, but leave for Maison Carrée (now El Harrach), Algeria, to wait and find another way to leave the Old World. By the time Salinas takes this trip through the United States, he and his family have already reunited and are living in Mas-sachusetts.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (168)

168 Letters—Philosophy

hours contemplating the landscape of Kansas. He remarks to Margarita in his letter how the landscape appears like “un paisaje castellano, sí. ¿Valladolid?” (“a Castilian landscape, yes. Valladolid?”) (Cartas de viaje 142). Salinas may have thought about Katherine for a moment, his “Gran Duquesa de Kansas” (“Grand duch*ess of Kansas”) (Obras 373).6 Other times, he thinks of “Burgos, tierra parda y gris, apenas ondulada y montañas azuleantes, al fondo” (“Burgos, brown and gray land, scarcely undulating and bluish mountains, in the background”) (142). Then he sees another essence of what makes Castile the way it is compared to its sister in America. Salinas writes:

Pero sólo la tierra es como Castilla. ¡Cómo se echan de me-nos aquellos pueblos, con la torre de la iglesia, a veces con el castillo! Son el alma de la tierra, ahora lo siento. Y ésta es una Castilla que no puede engañar, sin alma, sin iglesias, sin castillos. Paisaje sin historia, simplemente pobre. Apenas poblado, muy de lejos en lejos hay unas casuchas de madera, sucias, como de gitanos. Y por los caminos, blancos como los castellanos, el eterno auto, la marca de América. Si con los ojos veía al aparecer Kansas, datos reales, tierra semejante, pero el alma no se equivocó. Parece una tontería, pero cier-tos paisajes necesitan historia. No los verdes, que parecen jó-venes siempre, y por eso sin historia. Pero sí los otros. Hoy he comprendido cómo Castilla es mucho más que pobre: por su historia. Y no es que se la conozca o sepa, no. Es que está allí, ya dentro, hecha una con lo terreno, en cruce eterno con el Espíritu, no literatura.

But only the land is like Castile. How one misses those vil-lages, with the church spire, sometimes with the castle! They are the soul of the earth, now I feel it. And this is a Castile that does not deceive, without soul, without churches, without castles. A landscape without history, simply poor. Hardly set-tled, very few and far in between there are some wooden hov-els, dirty, like those of Gypsies. And through the routes, white like the Castilians, the eternal car, the mark of America. If the

6 The comparison of Kansas with Castile recalls a letter Salinas writes to Katherine dur-ing a train trip on December 14, 1932: “¡Qué gris, qué parda, qué austera Castilla, esta que voy atravesando, mientras te escribo! […] Y toda Castilla parece estar poblada por esqueletos en pie” (“How gray, how dun, how austere Castile, this that I go crossing, while I write you! […] And all Castile seems to be filled with standing skeletons”) (Obras 345).

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (169)

Pedro Salinas’s Theory of Tourism 169

eyes could see Kansas upon showing up, real facts, similar land, but the soul was not wrong. It seems a silly thing, but certain landscapes need history. Not the green ones, that ap-pear always young, and therefore without history. But the others do. Today I have comprehended how Castile is much more than poor: by its history. And it is not that it is recog-nized or known, no. It is because it is there, already within, made one with the terrain, in eternal crossing with the Spirit, not literature. (142-43, emphasis in original)

Salinas lets the landscape recall memories of Spain within him. He relives experiences and reflects upon them within the new reflection of the American plains. He notices how rich in history the poor terrain of Castile is. The memories he reenacts within his soul cause him con-sciously to have empty intentions of the churches, castles, and houses he used to see. Not only that, but the reflection also awakens a memory about his relationship with Katherine. He, like the Castilian terrain, needs a history, which he does carry from Spain to the United States. It is already within him, “en cruce eterno con el Espíritu, no literatura” (“in eternal crossing with the Spirit, not literature.”) (143). He is not the only poet from his generation that transposes Spain onto the Ameri-can landscape. Seeing the homeland appear in transcendent juxtaposi-tion with an adopted landscape is not new. Other members of the Generation of 1927 have similar experiences as well as Salinas. The ghostly manifestations of Spain remind members of this group that what they remember can express not just memories, but also bodily reactions or homesickness. These poets transform their experiences into literary works, giving a portion of their being to poetic patrons who read their creations on paper. Like the artist who paints with his hands and not his mind, the poet writes with his hands what he has in mind (Merleau-Ponty 57).

Salinas mentions in his letter that despite the train’s tardiness to arrive in Colorado on time, he tells how “el viaje en tren ha sido muy curioso” (“the train trip has been very curious”) (Cartas de viaje 142). He describes the characteristics of the vehicle as “Tren bueno, cómodo y fresco, coche salón, sin gente” (“Good train, comfortable and fresh, lounge car, without people”) (142). When he mentions “coche salón” (“lounge car”), he may be referring one like the one shown in Figure 1. This lounge car gives travelers a complete panoramic view of the coun-tryside. With the benefit of few passengers on board the train, Salinas would certainly take advantage of the “silencio” (“silence”) necessary to contemplate the American/Spanish landscape. The Utah Parks Company, a subsidiary of the Union Pacific Railroad, offered these

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (170)

170 Letters—Philosophy

lounge cars as a way to pamper its guests while they made their way to destinations. The lounge car transported the exiled poet from one place to another while he contemplated the significations before him, around him, and in him during his journey.

Salinas ends his letter with anticipatory empty intentions of his next stops. He writes, “Estoy deseando llegar a Cedar City para tener carta tuya” (“I can’t wait to arrive at Cedar City to have your letter”) (143). Salinas, more than anything, intends the beloved within the ap-pearances he perceives during his journeys. He communes with his Margarita/Katherine through memories, intentions, and significations. They encapsulate the essence of Salinas’s intentionality. He speaks only to his essence because he says, “Ya estoy bien, contento. Me gus-ta no hablar con nadie, y no me encuentro mal por eso. Descanso de tanto hablar […]” (“Now I am fine, content. I like not talking to any-one, and I do not feel ill because of it. I rest from so much talking […]”) (143). At last, through a mixture of imagination and experience, Salinas signs off writing, “Te abrazo, Marg mía, en el recuerdo” (“I embrace you, my Marg, in the recollection”) (143). He sends the letter hoping his upcoming empty intention of an answer will become another presence of memory of his beloved.

Fig. 1. “Union Pacific Company lounge car,” photo by Union Pacific Com-pany, no date, ph18b01i0374. Reproduced with permission of the Special Col-

lections, Sherratt Library, Southern Utah University, Cedar City, Utah.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (171)

Pedro Salinas’s Theory of Tourism 171

Cedar City, Utah Two days later, he writes another letter to Margarita describing

new intentions of nature in his travels. He does not find a letter like he hopes, but he faithfully writes anyway. “Se amontonan tanto las impre-siones, Margarita mía, que no sé si te las puedo contar todas” (“The impressions pile up so much, my Margarita, that I do not know if I can tell them all to you”) (143). He visits Pikes Peak like he promises in his previous letter. On this day, the panoramic view from Pikes Peak reveals a blanket of clouds. For a normal tourist, this would be a disas-ter of sorts. Tourists from America would feel especially cheated be-cause “America the Beautiful”—the famous, patriotic song written by Katharine Lee Bates—describes the land’s features from the poet’s point of view from the summit. Salinas may not have understood the disappointment they feel, but he writes what they say, “Y aún había gente que decía ‘¡Lástima que haya estado nublado! ¡No hemos visto nada!’ Echaban de menos el plano” (“And still there were people say-ing, ‘What a pity that it was overcast! We haven’t seen anything.’ They missed the map”) (143, emphasis in original). Forsaking maps excites the poet when tourists want the predictable. “Lo dejaría todo, / todo lo tiraría: / […] / el azul del océano en los mapas,” (“I would leave everything, / I would throw everything over: / […] / the blue of the ocean on maps,”) writes Salinas in La voz a ti debida (104-05, 107; Crispin 5). Despite cloudy conditions, Salinas ventures to find his own experience and not that of another. He contemplates the clouds will-ingly.

On the way up to the summit, Salinas relates to Margarita in his letter that “Una niña que venía en el auto dijo, ‘Mamá, ¡cuánto humo!’” (“A girl that came in the car said, ‘Mommy, [there is] so much smoke’”) (143). The girl, of course, is referring to the clouds as if they were smoke. Salina’s observation of the girl’s mistake has significance in that when it comes to seeing essences, children see better than adults, even if, and especially because, they blur the things they see. He does not observe the girl’s observation as a mistake. He notices the moment because she immediately and unconsciously sees the clouds like smoke from a previous experience or from memory. She confuses smoke and clouds as one substance in an interconnected relationship in the girl’s universe. The signifier she gives the smoke/clouds outside the vehicle connotes another world as existing concurrently with the one Salinas perceives. The girl and Salinas share this world almost immediately and the objects they intend reveal new essences from these new appear-ances. Adults have difficulty seeing beyond the appearance of things because they have grown up delineating objects from one another.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (172)

172 Letters—Philosophy

Children, however, see objects as interconnected substances. They see them all come from one entity. Salinas captures this spirit in an earlier poem while still residing in Spain. The poetic self recalls a child that names her father, mother, and a mountain with the same name:

«Todo lo confunde», dijo su madre. Y era verdad. Porque cuando yo la oía decir «Tatá, dadá», veía la bola del mundo rodar, rodar, el mundo todo una bola, y en ella papá, mamá, el mar, las montañas, todo hecho una bola confusa; el mundo «Tatá, dadá». “She confuses everything,” said her mother. And it was true. Because when I heard her say “Tatá, dadá,” I saw the ball of the world roll on, roll on, the whole world a ball and on it papá, mamá, the sea, the mountains, all done into a confused ball the world “Tatá, dadá.” (Salinas, Poesías 5-6)

Salinas, as well as the poetic self in this poem, relearns how to see like a child. He sees the world, the ball, the mother, the father, the clouds, and the smoke as one.

He continues describing the clouds of Pikes Peak as though he were ascending the summit of Mount Olympus and panning the domain of Zeus above the golden clouds. Salinas takes the entire view in and writes:

Fue un camino a las nubes. Conforme ascendíamos, nos aproximábamos más a unos vapores difusos. […] Llegamos hasta ellas y por fin en la cumbre, nos vimos por encima de el-las. […] Miré, miré, miré. Encima un cielo azul, sol vivo. Debajo las nubes, variando de matices, sugiriendo formas. Y nada más: lo otro, la tierra, era una sospecha, un recuerdo,

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (173)

Pedro Salinas’s Theory of Tourism 173

sin nada que lo probase. […] Al descender, muy cerca de la cima hay un recodo del camino donde se asoma uno a una es-pecie de mirador: allí las rocas forman una rinconada, seme-jante a un pozo. ¿Y qué se ve? Nubes. Es un pozo de nubes, así lo bauticé yo, en mi interior. Se me venía a la memoria el verso, mejor dicho la frase, de Bécquer: “Huésped de las nie-blas.”7 Fue maravilloso, eso de pasar por todos los niveles de las nubes.

It was a path to the clouds. As soon as we were ascending, we were coming closer to more diffuse vapors. […] We arrived up to them and finally at the summit, we found ourselves above them. […] I looked, looked, looked. On top a blue sky, burning sun. Below the clouds, giving some variety to nu-ances, hinting at forms. And nothing more: the other, the earth, was a suspicion, a memory, without anything to prove it. Upon descending, very close to the peak there is a nook in the path where one looks out from a sort of viewing point: over there the rocks form a corner, like that of a well. And what can one see? Clouds. It is a well of clouds, thus I named it, deep down. A verse came to me in my memory, or rather a phrase, by Bécquer: “Host of mists.” It was marvelous, all that passing through all levels of the clouds. (Salinas, Cartas de viaje 143, emphasis in original)

Salinas reaches only his second level, which is to look at the sights. He could reach the level of contemplation if he had more time to stay at each destination. Hence, he “looks, looks, looks” at the clouds and their subtle forms while emptily intending the hidden land beneath them. Memories and experiences from his studies recall other poets and their works. The impressions come to him plentifully and he concludes, “Ojalá lea algo algún día, en eso que ayer vi” (“I hope to read something some day, in what I saw yesterday”) (143). He ponders on linguistic difficulties in describing what he sees and remarks the following to his beloved Margarita:

7 This reference comes from Gustavo Adolfo Bécquer’s “Rima LXXV” (“Rhyme 75”) in his collection Rimas y leyendas. It appears in the second stanza: “¿Será verdad que, huésped de las nieblas / de la brisa nocturna al tenue soplo, / alado sube a la región vacía / a encontrarse con otros?” (Isn’t it true that, host of the mists / of the nocturnal breeze lightly puffing, / quickly rises to the empty region / to find himself with others?”) (Bécquer 60).

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (174)

174 Letters—Philosophy

Porque me ocurre con muchas de las cosas que veo que se me representa en ellas un a modo de conjunto de signos supre-mos, absolutos que no sé leer ni traducir en el sistema de signos relativos que llamamos palabras. Esas cosas inmensas me dicen algo, sí, pero no se me formula en la conciencia su mensaje, comprendes, de modo organizado y comunicable. Espero. Quizás algún día vea lo que ayer miré, hecho forma expresiva. Entretanto, o para siempre, a ti sola van estas señas de lo visto.

Because it occurs to me that many of the things that I see that are represented in them are a manner overall of supreme signs, absolutes that I know not how to read or translate in the sys-tem of relative signs we call words. Those vast things say something to me, yes, but they don’t formulate their message in my consciousness, you understand, in an organized and communicable way. I wish. Maybe someday I will see what I looked at yesterday, made into expressive form. In the mean-time, or forever, these signs of the seen go to you alone. (143-44, emphasis in original)

The linguistic obstacle he faces as a poet tries him endlessly. As a person probing the essence of objects, sometimes the task becomes impossible when he tries to formulate descriptions of essence from a limited pool of vocabulary. His quest for capturing this essence, like every other poet’s, almost becomes impossible. Nevertheless, he suc-ceeds as a poet who reaches the closest to portraying essence to his readers. He may intend differently than a reader, but both intentions point to the same entity. The first intends it as past experience while the second intends it as anticipatory future. Author and reader, at least, have the possibility to have the empty intentions filled again or for the first time. In his letter, Salinas intends emptily what he just sees, while his wife will read the letter and intend the same entities emptily as a person who imagines their forms in anticipation for future experience. Both join together in soul like the poetic self in a poem Salinas writes for Katherine: “Que hay otro ser por el que miro el mundo / porque me está queriendo con sus ojos” (“For there is another being through whom I look at the world / because she is loving me with her eyes”) (La voz 808-09; Crispin 39).

Salinas travels again the next day to Salt Lake City, Utah. He takes advantage of the two-hour layover by touring the city. On the way, he sees the landscape and again has reminisces of Spain. Salt Lake City “Recuerda a Murcia, mancha de verdor en un valle mucho

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (175)

Pedro Salinas’s Theory of Tourism 175

más grande, inmenso” (“It recalls of Murcia, a spot of verdure in a val-ley much more grand, immense”) (Salinas, Cartas de viaje 144). He also notices, as is shown in Figure 2, that the valley is “Cercado por montañas peladas y ardientes” (“Enclosed by treeless and burning mountains”) (144).

Salinas mentions Salt Lake City only briefly in the letter to his wi-fe, but for the Union Pacific Railroad it is one of the major hubs. Sali-nas never mentions the name of the railroad, but historical research verifies that the Union Pacific Railroad mainly services this part of the U.S.

Fig. 2. “Enclosed by treeless and burning mountains,” photo by Andrew Willard Bishop, 2 November 2009.

The company also fathered a tour company to organize activities and facilities within the national parks found in Utah. The smaller company called itself the Utah Parks Company. The Utah Parks Com-pany advertised across the country, and with the help of the Union Pa-cific Railroad, sold tour packages to potential tourists. Salinas does not mention purchasing a tour package from the Utah Parks Company, but the venues he writes about imply that he has done so. One scholar summarized the transportation system in this manner:

For many years, tours from Chicago were sponsored by the Union Pacific in conjunction with the Chicago & North West-ern, leaving every Saturday. They included sightseeing stops at Ogden Canyon, Salt Lake City, and Denver, with side trips to Colorado Springs and Pike’s Peak, taking two weeks. The tour routes did not vary much over the years, but the details of the tours changed slightly. (Waite 26)

Not only did the two companies carry passengers from one place to another, but they were “directly involved in the development of these national parks and monuments” (17). To do so they contracted with individuals and the government to establish their facilities within some

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (176)

176 Letters—Philosophy

parks and develop them.8 Salinas stayed in some of the hotels and lodges operated by the Utah Parks Company, possibly starting in Mani-tou Springs, Colorado, but definitely when arriving in Utah. The Los Angeles and Salt Lake Railroad Line leaves Salt Lake City heading west, and after passing the Oquirrh Mountain Range and the Great Salt Lake, it turns southbound going through the desert in western Utah.

Salinas does mention the Great Salt Lake and describes it beauti-fully, writing, “Luego hemos pasado junto al Lago Salado. ¡Rarísimo! A trechos como la costa de Alicante, rosa la tierra, azul el agua” (“Later we have passed next to Salt Lake. Very strange! Like the coast of Ali-cante in places, pink the land, blue the water”) (Cartas de viaje 144). By so describing the features of the landscape, Salinas leaves footprints for Margarita to follow, using “signs” she already has experienced in her life. Margarita receives the chance to behold Salinas’s presence through his letters to her. When she reads the signs and significations recorded on the page, she experiences the same things Salinas senses without having to be there physically. By imagining the landscape as analogous to other landscapes she has been familiar with, she instantly beholds the essence she already exerts in Salinas. The landscape she beholds in her intentionality is not there in the same way the Utah land-scape presents itself in reality, but neither is it elsewhere.9 Thus, she participates with Salinas despite distances and time.

After passing the Great Salt Lake, the train takes Salinas down Tooele County into the mountains and deserts of the Great Basin’s edge. The view does not disappoint him (Fig. 3). “Y el viaje hasta aquí estupendo: tierras secas, desoladas, y montes y montes varios de forma, rosados de color con su horizonte dilatadísimo y una luz radian-te, sin un árbol” (“And the trip up to here wonderful: dry lands, deso-late, and mountains and mountains diverse in shapes, rosy in color with their very vast horizon and a radiant light, without a tree”) (144). The

8 Other historians recount the founding of the Utah Parks Company this way: “The Utah Parks Company, a subsidiary of the Union Pacific Railroad Company was officially incorporated in 1923. […] Through a series of agreements, leases and contracts, the Utah Parks Company became a major factor in the development of the tourist industry at Zion, Bryce and Grand Canyon National Parks and Cedar Breaks National Monument. The company developed and operated the transportation facilities at these national parks. The transportation facilities included the operation of the railroad services between the parks as well as the tour buses within each park. The Los Angeles and Salt Lake Railroad Line, also controlled by the Union Pacific Railroad, played a major part in the development of the transportation facilities” (Kellough and Rowley 1). 9 The presence of Margarita despite her absence coincides with Merleau-Ponty’s example in “Eye and Mind.” “The animals painted on the walls of Lascaux are not there in the same way as are the fissures and limestone formations. Nor are they elsewhere” (126, italics in original).

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (177)

Pedro Salinas’s Theory of Tourism 177

desolate and dry lands become filled intentions for the spiritual poet while trees surprisingly become empty intentions. Unlike the short times he spends at parks, he has time to contemplate what he beholds during train rides.

Fig. 3. “Plays of sun and shadow in their violent forms,” photo by Andrew Willard Bishop, 31 January 2010.

The scene carries on for hundreds of miles. He scans the land and sees “Cortinas y cortinas de sierras y juegos de sol y sombra en sus formas violentas” (“Curtains and curtains of mountain ranges and plays of sun and shadow in their violent forms”) (144). The shadows may recall a poem from La voz a ti debida in which the poetic self exclaims:

Tú no puedes quererme: estás alta, ¡qué arriba! Y para consolarme me envías sombras, copias, retratos, simulacros, todos tan parecidos como si fueses tú. You can’t possibly love me: you are glorious, how you dazzle! And to console me

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (178)

178 Letters—Philosophy

you send me shadows, copies, portraits, simulacra, all so like you they might as well be you. (1728-34; Crispin 83)

The shadows are but images of his beloved but are not the be-loved herself. Salinas sees Margarita and Katherine in these appear-ances, but these appearances are not Margarita and Katherine themselves. The features veil the presence of the beloved in both cases. The poetic self responds to the simulacra saying:

Yo vivo de sombras, entre sombras de carne tibia, bella, con tus ojos, tu cuerpo, tus besos, sí, con todo lo tuyo menos tú. I live from shadows, among shadows of warm, lovely flesh with your eyes, your body, your kisses, yes, with everything of you except you. (La voz 1754-59; Crispin 83)

The beloved’s essence flees from the poetic self, and Salinas finds

other essences standing in place of the beloved. Like the shadows that mingle with the shine of the beloved’s light, he ebbs and flows to and with her consciousness. Salinas recounts the images of the landscapes, their shadows and radiance, to Margarita/Katherine10 as though she has

10 Surprisingly, even though Salinas is writing to his wife, he may be thinking about Katherine at any moment on this trip. Most of the references, if not all, of shadows and symbols come from Katherine’s inspiration. It is possible at this point for Salinas to dwell on his mistress for a time without having to mention this provocative character to his wife. On the other hand, Katherine admits that some elements in La voz a ti debida do not originate from their affair. Katherine confirms this in part writing, “Es cierto que poemas […] pertenecen claramente a nuestro amor naciente, pero otros, sumamente apasionados, implican una experiencia que no conocimos” (“It’s true that poems […] clearly belong to our budding love, but others, extremely passionate, imply an experience that we never knew”) (Whitmore 1524). “It is not unthinkable,” writes Newman, “that the essential focus of the love theme as developed later in La voz may have had its gene-sis in Salinas’ outpourings to Margarita” (57). One cannot ignore Margarita in the forma-tion of the beloved. Until further evidence appears, we must conflate Katherine and Margarita in these shadows.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (179)

Pedro Salinas’s Theory of Tourism 179

already sent these filled intentions to him. Salinas moves as though the appearances come to him, and not he to them.

The land offers Salinas solitude as he exercises his intentionality upon it. Outside the metropolitan area of Salt Lake City, the population is very sparse. He finds spiritual rejuvenation and writes, “Y ni una casa, ni un alma, en leguas y leguas” (“And not even a house, not even a soul, for leagues and leagues”) (Salinas, Cartas de viaje 144). The railroad tracks act a connection bridging great chasms that are “enor-mes fosas llenas de su falta” (“enormous cavities full of her absence”) (Largo Lamento 1502). The distance he has from her only intensifies the bond he has with her like an imaginary bridge that gets stronger as it grows longer. “¿Qué habría sido de nosotros, di, / si no existieran puentes? / Pero hay puentes, hay puentes. ¿Los recuerdas?” (“What would have become of us, tell me, / if there had been no bridges? / But there are, there are bridges. Do you remember them?”) (1969-71; Crispin 223). Space is a unifying force and not a dividing one. One may ask, upon reading the complete collection of letters, why Salinas would allow separating himself from her often. His answer comes from a letter he writes to Margarita on July 6, 1941. He writes:

¿Qué es ese espacio tan grande que dices que se ha ido for-mando, por tu parte, entre tú y yo, Margarita? No te entiendo bien. ¿Une o separa ese espacio que tú sientes? ¿Es espacio de respirar, de moverse, de vivir, o espacio de distancia? No te lo pregunto, claro. Me lo pregunto. Tú estás donde estás, donde quieres estar. Yo sé dónde buscarte. “Porque tú tienes las señas –Donde tuviste las alas.”11 Hazte todo el espacio que quieras, que necesites. No me importa, porque el espacio se traspasa y recorre en un segundo. […] Y la vida misma es espacio, espacio ilimitado, en el que se puede uno volver con la vista a todas partes, dejándola volar. Bendito tu espacio, si lo usas con tus alas. Alguna vez me encontrarás por él, por-que yo ando rondando, con las alas que me haya dado Dios, flojas o vigorosas, por ese espacio, también.

What is that space so big that you say that has been forming, on your part, between you and me, Margarita? I don’t under-

11 Pedro Salinas refers to a line from Rubén Darío’s “La lira de siete cuerdas” (“The Lyre of Seven Strings”). The line comes from the “I cuerda” (“First String”): “Luz y gloria son tus galas, / ángel eres, y en Dios sueñas: / Tú debes tener las señas / donde tuviste las alas” (“Light and glory are your finery, / angel you are, and in God you dream: / You must have the signs / where you received your wings”) (Silva 158).

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (180)

180 Letters—Philosophy

stand you well. Does that space that you feel unite or sepa-rate? Is it space to breathe, to move, to live, or space of dis-tance? I am not asking you about it, of course. I ask myself. You are where you are, where you want to be. I know where to look for you. “Because you have the signs –Where you re-ceived your wings.” Make yourself all the space that you want, that you need. It matters not to me, because space ex-ceeds itself and travels in a second. […] And life itself is space, unlimited space, where one can return with the gaze towards all places, letting it fly. Happy your space, if you use it with your wings. Sometimes you will meet me within it, because I go roaming, with wings that God has given me, idle or vigorous, through that space, as well. (Salinas, Cartas de viaje 158-59)

Here, Margarita is the center for Salinas, not the other way around. He gives her space according to her needs. Like the poetic self in Largo Lamento, he would rather “volverse sombra” (“to become shadow”) than suffocate the one he loves (1685-887). Others ways exist to conjure the lover: “Por lejos que se esté si digo: ‘tú’, / si dices: ‘tú’, se pasa invariablemente, / de mí a ti, de ti a mí” (“As far away as I may be if I say: ‘you’, / if you say: ‘you’, we move invariably, / from me to you, from you to me”) (Largo Lamento 2003-05; Crispin 225). He reiterates this sentiment again in a letter, dated September 7, 1947, which reads, “Te digo otra vez, que esté donde esté, haga lo que haga, y vea lo que vea, siento como un centro de gravedad espiritual, que eres tú, que desde lejos gobierna mi bienestar o mi preocupación” (“I tell you again, wherever I am, whatever I do, and whatever I see, I sense [something] like a center of spiritual gravity, that is you, from afar that governs my wellbeing or my worry”) (Salinas, Cartas de viaje 209).

Neither space nor distance bothers Salinas. He sees the center, the essence, the filled intention of objects, in everything he sees. All his intentions, filled and empty, point to the same entity. He penetrates the veil with his contemplation of his beloved. He finishes the letter and writes: “Ayer, Marg, una embriaguez pura de nubes, hoy de montañas y tierra pura y desnuda. […] Estoy contento. Gozo honda y permanente, con los ojos y el alma. Lo demás es servidor de ellos. Te abrazo en lo que siento” (“Yesterday, Marg, a pure intoxication of clouds, today of mountains and pure and naked land. […] I am content. Profound and permanent joy, with the eyes and the soul. The rest is at their service. I embrace you in what I sense”) (144).

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (181)

Pedro Salinas’s Theory of Tourism 181

Salinas saw these landscapes until the train stopped at Lund, Utah, where he then caught a local train that took him to Cedar City, Utah. Roughly 30 miles later, the train pulled into a depot (Fig. 4). Across

Fig. 4. “Train Station In Cedar City,” photo by Anderson, 1949, ph18b01i0006. Reproduced with permission from the Special Collections,

Sherratt Library, Southern Utah University, Cedar City, Utah.

the street to the south was El Escalante Hotel, where tourists taking tours provided by Utah Parks Company spent their nights. This was where Salinas hoped to find a letter waiting for him, but upon finding out none was waiting, he wrote to Margarita instead. He slept there one night and started his tour of national parks the following day (Fig. 5).

Fig. 5. “Escalante Hotel,” photo by Anderson, 1948, ph18b01i0007. Repro-duced with permission from the Special Collections, Sherratt Library, Southern

Utah University, Cedar City, Utah.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (182)

182 Letters—Philosophy

Bryce Canyon National Park “By 1931,” remarks Waite, “the Utah Parks Company was operat-

ing 65 buses out of Cedar City over 459 miles of intrastate roads and 195 miles of interstate highways” (26). The company set up its head-quarters in Cedar City because of its convenient location to nearby parks and the station that the Union Pacific Railroad had built for that purpose. Waite also informs that:

While the railroad would build the new branch line and park facilities, the Utah Parks Company would provide a loop tour of the parks in new motor coaches. Although longer or shorter stays could be arranged, the tourist would be able to visit Ce-dar Breaks, Kaibab National Forest, and the Grand Canyon, Bryce, and Zion National Park in a loop tour which normally took five days. (23, see Fig. 6)

Fig. 6. “Cedar City Railroad Depot,” photo source: Lois Iverson, no date, ph18b01i01344.jpg. Reproduced with permission from the Special Collections,

Sherratt Library, Southern Utah University, Cedar City, Utah.

Salinas must have decided to take a loop tour of only two days, because once he reached Los Angeles on August 10, 1940, three days have already passed, supposing he takes a day traveling to his final destination (Cartas de viaje 145).

According to Hi-Way Map to Zion-Bryce Canyon, Grand Canyon National Parks, by 1940, Highway 14 was an “improved road” consist-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (183)

Pedro Salinas’s Theory of Tourism 183

ing of gravel, stone, shell, or sand clay.12 Salinas may have visited Cedar Breaks National Monument because it lies just a couple of miles off Highway 14, but he does not mention it in his letters. In any case, the tour bus drives up Highway 14 until turning north on Highway 89, which is paved. The bus continues to Bryce Junction to connect to Highway 12 and arrives at the Bryce Canyon National Park Lodge within the park (Fig. 7). Inside the park, the tourists can again take advantage of a paved road all the way to Rainbow Point. The map also mentions rates, and according to the room Salinas describes in his letter to his children, he may have reserved a Standard Sleeping Lodge Room, European plan (without bath) at $2.25 per day.

Fig. 7. “Bryce Lodge Flexible Bus,” photo source: Joe Ott, no date, ph18b01i0039. Reproduced with permission from the Special Collections,

Sherratt Library, Southern Utah University, Cedar City, Utah.

This time, Salinas writes to his children, Solita and Jaime Salinas, on August 7, 1940. He writes a descriptive account of his lodgings at the Bryce Canyon National Park Lodge and includes a reference to a famous Spanish play:

Nobles vástagos: ¿Os acordáis, oh ignaros, de aquellos versos del “Tenorio”?: “Yo a los palacios subí — yo a las cabañas

12 Highway 20, an alternative route by way of northern Iron County and Panguitch, Utah, did not exist in 1940.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (184)

184 Letters—Philosophy

bajé.”13 Pues vuestro padre perilustre, después de haber sub-ido a hoteles-palacios esta noche va a dormir en una cabaña de madera. Como Robinson Crusoe. Porque este Hotel es una Federación de cabañas, en torno a un edificio central, donde no hay apenas cuartos. Y a mí me ha tocado una caba-ña muy cuca, con luz eléctrica y todo, pero con la jofaina y el jarrito de nuestra España. (Márquese en los fastos de mi his-toria como efemérides sin par que por primera vez voy a dor-mir en U.S.A. en un cuarto sin agua corriente.) Por lo demás el Hotel es muy simpático. Figuraos (¡y aprended!) que todos los que sirven a la mesa y cogen las maletas y están en la ofi-cina, son estudiantes de College u Universidad que, así, tra-bajando tres meses, se ganan su matrícula. ¡Ánimo para la temporada de 1941, niño! El viaje estupendo.

Noble offspring: Do you remember, oh uneducated ones, those lines from “Tenorio”?: “I rose to the palaces — I fell to the cabins.” Well your very illustrious father, after having risen to hotel-palaces tonight is going to sleep in a wooden cabin. Like Robinson Crusoe. Because this Hotel is a Federation of cabins, around a central building, where there are hardly any rooms. And it became my turn to get a very cute cabin, with electric lights and everything, but with a washbasin and a pitcher from our Spain. (Let it be written in the archives of my history like a matchless anniversary of events which took place on this day that for the first time I am going to bed in the USA in a room without running water.) For the rest the Hotel is very nice. Imagine (and learn!) how everybody, those that serve tables and retrieve suitcases and work in the office, are College or University students that, in this way, working three months, earn their tuition. Courage for the 1941 season, son! A stupendous trip. (Salinas, Cartas de viaje 144-45)

Fig. 8 depicts one of the cabins that surrounded the main lodge. He continues his letter to his children about observations he has

made while making the trip with other tourists. Again, he does not

13 Pedro Salinas makes a reference here to the play Don Juan Tenorio by José Zorrilla. The complete verse reads, “Yo a las cabañas bajé, / yo a los palacios subí, / yo los claus-tros escalé / y en todas partes dejé / memoria amarga de mí” (“I fell to the cabins, / I rose to the palaces / I burgled the cloisters / and in all places I left / bitter memories of me”) (Zorrilla 206).

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (185)

Pedro Salinas’s Theory of Tourism 185

appreciate how tourists go from one venue to another with cameras. He vents his frustration.

Fig. 8. “Cabin,” photo by Bain or Libbie Matheson, 1949, ph18b01i0167. Re-produced with permission from the Special Collections, Sherratt Library,

Southern Utah University, Cedar City, Utah.

No ven, no miran, sino lo necesario para escoger el “tema” y fotografiarlo. De donde deduzco el siguiente sabio apotegma: La actitud del turista hacia los paisajes es la misma que la del cazador hacia la fauna: ver, apuntar, disparar y seguir hasta la próxima presa. Supongo que luego, al volver a casa, verán en foto, lo que no pudieron ver en realidad porque se les pasó el tiempo en hacer fotos. ¡Técnica de turista!

They don’t see, they don’t look, except for the necessary to choose the “subject” and photograph it. From whence I infer the following wise maxim: The attitude of the tourist towards landscapes is the same as the hunter’s towards fauna: look, aim, shoot and continue to the next prey. I suppose later, upon returning home, they will see in the photo what they couldn’t see in reality because time swept by them while taking pic-tures. Technology of tourists! (145)

He sees the tourists staying maddeningly in the first stage of his theory of tourism. They do not take advantage of experiencing with their bodies the landscape around them. It is as though they settle with photographic or pictorially filled intentions and representations rather than the real objects themselves. They may contain a record of having been to places, but they do not carry the memories of them in their

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (186)

186 Letters—Philosophy

souls. Salinas continues, however, doing what he does best and probes the essences of objects to pierce their veils of empty intentions.

Salinas wrote to Margarita when he arrived at Los Angeles on August 10, 1940. This time, the recollections of his intentionality overwhelm him with what he has seen during the previous two days. On August 8, he had gone along with the tour group to take in the vis-tas at Bryce Canyon. “He venido siguiendo un verdadero camino de maravillas” (“I have come following a true path of wonders”), writes Salinas (145). The two days he spends sightseeing “fueron prodigio-sos” (“were prodigious”) (145). He describes two national parks to Margarita, overwhelmed by the visions he sees.

Bryce Canyon becomes a fascinating landscape with ambiguous appearances. He writes, “El primero es un fantástico y enorme anfitea-tro de piedras de color rosa, rojo, bermellón, gris y blanco, que por la erosión del tiempo y las aguas, han tomado las más extrañas formas” (“The first is a fantastic and enormous amphitheater of colored rocks of pink, red, vermilion, gray and white, that by the erosion of time and the rains have taken the most peculiar shapes”) (145-46). Merleau-Ponty asserted color necessitated touch in order for the subject to perceive the essence of the object (125). Salinas perceives the colors of the sand-stone transcendently, just like the poetic self intends the seashell in “La concha” (“The Shell”):

Entreabierta, curva, cóncava, su albergue, encaracolada, mi mirada se hace dentro. Azul, rosa, malva, verde, tan sin luz, tan irisada, tardes, cielos, nubes, soles, crepúsculos me eterniza. Half-open, curved, concave, its refuge, sea shelled, my gaze becomes inward. Blue, pink, mauve, green, so without light, so iridescent, evenings, heavens, clouds, suns, twilights eternize me. (Salinas, Poesías 67)

He transcendently intends the stone, an object that originates from

nature, as well in “La memoria en las manos” (“Memory in My Hands”).

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (187)

Pedro Salinas’s Theory of Tourism 187

A tiempo sabe el peso de una piedra entre las manos. En una piedra está la paciencia del mundo, madurada despacio. Incalculable suma de días y de noches, sol y agua la que costó esta forma torpe y dura que acariciar no sabe y acompaña tan sólo con su peso, oscuramente. The weight of the stone between the hands tastes of time. In a stone lies the patience of the world, slowly ripened. The incalculable sum of days and nights, sun and water which it took to form this hard and awkward shape that can’t caress and keeps us company with only its weight, darkly. (Largo Lamento 1899-907; Crispin 233).

His contemplation, manifested by these examples, allows him to

imagine the time and the forces shaping the features of the national park.

Salinas then describes the features of the park saying, “Se sienta uno al borde de ese abismo de maravillas y la vista se pierde entre for-mas de lo infinitamente posible” (“One feels on the edge of that abyss of wonders and the view loses itself among forms of the infinitely pos-sible”) (Cartas de viaje 146). The infinity presented to Salinas acts like a metaphysical darkness penetrated by the light of his inward gaze and reach, uncovering knowledge as he goes. The filled intentions present themselves purely to the poet as they emerge. They also invoke images of other objects emptily intended at this time. Salinas wonders writing, “¿Qué es aquello? ¿Un castillo, una catedral, un templo? Todo y nada. Pero para la interpretación de la imaginación las variaciones, las posibi-lidades, no tienen fin” (“What is that? A castle, a cathedral, a temple? Everything and nothing. But for the interpretation of the imagination the variations, the possibilities, do not end”) (146). The confusion sweeps him back into a child-like state of perception, similar to the girl confusing clouds with smoke and the child naming everything “Tatá, dadá.” He perceives the world revolving and turning in his gaze even if his adult behavior manages to distinguish everything and nothing in the

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (188)

188 Letters—Philosophy

same entity. Fig. 9 shows how the canyon hoodoos give ambiguous images to the observer.

Fig. 9. “A castle, a cathedral, a temple?” photo by Andrew Willard Bishop, 2 January 2010.

The park also recalls to Salinas’s soul a painting he remembers. He comes closer to perceiving through the body and expanding his vi-sion to the realm of the “I can” (Merleau-Ponty 124). The hellish de-piction he gives of the canyon manifests another identity laced within Bryce’s sandstone. The comparison conjures up the divine and the demonic in one place, like Dante’s sublime, poetic telling of a sobering locale.

A veces es un color de primitivo, de Fra Angélico, montes de rosa, de gris, de azul, de blanco pálido. Todo lo que aquel pintor imaginaba está aquí. Otras veces, en cambio los pica-chos parecen un mar de llamas, un infierno petrificado, y se hunde la vista en oscuras galerías rojas y ardientes, pasillos del infierno. No he visto nada de una hermosura tan extraña.

Sometimes it is a primitive color, of Fra Angelico, mountains of red, of gray, of blue, of pallid white. All that the painter imagined is here. At other times, in exchange the mountain peaks seem like a sea of flames, a petrified hell, and the view sinks into obscure, red and burning galleries, corridors of hell. I have never seen anything of such strange beauty. (Salinas, Cartas de viaje 146)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (189)

Pedro Salinas’s Theory of Tourism 189

Salinas contemplates these scenes deeply, although in a very short time. He laments writing, “Pasé muy pocas horas, por desgracia, allí, pero no las olvidaré” (“I spent very few hours, unfortunately, over there, but I will never forget them”) (146). The places he visits exceed expectations of previous trips, and he wishes implicitly to stay longer to probe the ontology of these objects.

Zion National Park

Salinas and the group continued their travels by heading back the way they came the day before. They returned west on Highway 12 back to Bryce Junction and Highway 89. They headed south, passing a small settlement named Mount Carmel, until reaching another junction. At the junction, they turned and headed west again on Mount Carmel Highway and reached Zion National Park. This park also left an in-delible impression on the poet. He writes to Margarita, “Y luego Zion Park. Otro prodigio: un desfiladero de proporciones inmensas, larguí-simo, con paredes de piedra cortadas casi a pico, y de colores” (“And later Zion Park. Another prodigy: a gorge of immense proportions, very long, with sides of cut stone almost to a peak, and of colors”) (146). What Zion lacks in texture it makes up for in size. Erosion wears away the park not bit by bit, but chunk by chunk (Fig. 10).

Fig. 10. “Zion observation point, Great White Throne,” photo source: Carl R. Croft, no date, ph18b01i0161. Reproduced with permission from the Special Collections, Sherratt Library, Southern Utah University, Cedar City, Utah.

Salinas viewed Bryce Canyon from above, standing on a plateau looking down. In Zion, however, he views the park from below,

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (190)

190 Letters—Philosophy

flanked by all sides in a narrow river valley. His perception changes significantly as he sees from a different angle. Instead of intending evidence of appearances from a secure standing, he senses a vertigo surrounding him in chaotic space. “Se va por el fondo de la garganta, sobrecogido, atemorizado, y embriagado, al mismo tiempo, de tanta grandeza y hermosura” (“One goes to the bottom of the throat, taken by surprise, frightened, and drunken, at the same time, of so much great-ness and beauty”) (146). The pure essence collides with Salinas’s soul, jarring his intentionality.

Before reaching Zion Canyon National Park, Salinas’s anticipa-tory, empty intention does not expect such grandness at this magnitude. He has seen the Grand Canyon in its splendor, but the proximity and the intimacy of Zion intrigue him more strongly. “Porque también aquí las rocas son colores: hay montes blancos, otros rojos, otros rosas” (“Because here as well the rocks are colors: there are white mountains, others red, others pink”) (146). Again, textures, or qualia of colors within the textures, play a part in helping Salinas perceive the colors (the whiteness, the redness, the pinkness) because the objects are the colors instead of comprising of colors. The essences of the rocks’ col-ors shed a magnificence of grandeur.

Salinas again sees the divine and the demonic. “Es una mezcla de solemnidad y poesía, como ciertos poemas religiosos, Milton” (“It is a mix of solemnity and poetry, like certain religious poems, Milton”) (146). Milton, of course, wrote Paradise Lost, an epic poem about the creation of Adam and Eve and their fall from grace by succumbing to the temptations of the fallen angel Satan. The poem blends the sublim-ity of poetry with the terrible landscapes of the abyss. The spiritual connection Salinas feels with these parks merits the attention he gives them and the mention of them to his central force, Margarita: “Estoy, Marg, como mareado, embriagado de tanta belleza natural. La he go-zado con toda mi alma. Ya te contaré, todo, hablado, muy despacio. ¡Lástima, tener que meterse ahora en este Congreso ridículo!” (“I am, Marg, as dizzy, intoxicated from so much natural beauty. I have en-joyed it with all my soul. Later I will tell you, everything, very slowly. A shame, having to get involved now in this ridiculous Conference!”) (146). Fig. 11, in essence and in reenactment, portrays the connection the poet has with his beloved upon contemplating these parks. It also shows the Mount Carmel Highway that Salinas took with his tour group to reach Zion National Park.

Salinas finished his tour of national parks in Utah when the Utah Parks Company returned him and the tour group to Cedar City. Salinas caught the train at the station, rode to Lund, and caught another train heading for the “ciudad-luz, luz-ciudad” (“city-light, light-city”) on the

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (191)

Pedro Salinas’s Theory of Tourism 191

Los Angeles and Salt Lake Railroad Line (145). Upon arriving at his accommodations, he found a letter from Margarita waiting for him. It is an empty intention imagined since Manitou Springs, Colorado, which manifests itself as finally a filled one in Los Angeles, California.

Fig. 11. “View of Mt. Carmel switchbacks,” photo source: Homer Jones, no date, ph9b1i578. Reproduced with permission from the Special Collections,

Sherratt Library, Southern Utah University, Cedar City, Utah.

He communes with his beloved through linguistic signs and signi-fications. He promptly writes a letter and ends it recording the follow-ing: “Tu carta me esperaba aquí. Gracias, alma, gracias. Son el otro lado el de dentro, de las bellezas que he estado viendo. Por eso me siento hoy contento y feliz, Marg, y te lo digo para tu alma” (“Your letter was waiting for me here. Thank you, my love, thank you. They are the other side of the inside, of the beauties that I have been seeing. That’s why I feel today, content and happy, Marg, and I tell it to you for your soul”) (146, emphasis in original). Margarita Bonmatí has always formed the center for Salinas. At this moment, she is his be-loved, his essence, and his communion. She represents and is repre-sented by all evidence within his perception. He lives for her. Salinas explains it best in the following poem he wrote for Katherine from an earlier time:

Qué alegría, vivir sintiéndose vivido. Rendirse a la gran certidumbre, oscuramente, de que otro ser, fuera de mí, muy lejos, me está viviendo. [……………………………………………………]

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (192)

192 Letters—Philosophy

La vida —¡qué transporte ya!—, ignorancia de lo que son mis actos, que ella hace, en que ella vive, doble, suya y mía. [……………………………………………………] Con la extraña delicia de acordarse de haber tocado lo que no toqué sino con esas manos que no alcanzo a coger con las mías, tan distantes. What a joy, to live feeling yourself lived. To surrender to the great certainty, darkly, that another being, outside of me, very far away, is living me. […………………………………………] Life—what ecstasy! ignorance of what my acts are, which she performs, in which she lives, double, her life and mine. […………………………………………] With the strange delight of remembering having touched what I never touched except with those hands that I cannot reach and take into mine, so distant are they. (La voz 792-97, 813-15, 821-24; Crispin 39)

Pedro Salinas lives through Margarita Bonmatí and Katherine Whitmore, and they live through Pedro Salinas. Despite distances, they are together. Despite distances, Salinas sees his poetic center’s essence or presence within landscapes. Landscapes are connections and portray a message using a language Salinas cannot decipher entirely. Through these essences he reaches his beloved. In his letter of July 6, 1941, he compares the temporary distances he has with Margarita to the space in which a bird flies:

Espacio, tiene para mí sensación de amplitud, de claridad, de aire circulante. Lo cual quiere decir que un espacio, para mí, sólo separa si no se tiene voluntad y afán de surcarlo, de re-correrlo. Hoy estaba yo pensando en las palabras de tu carta, en la terraza, mirando vagamente al aire. Espacio. En el es-pacio lo árboles las ramas. Y de cuando en cuando, de un ár-bol a otro, como una flecha, cruzaba un pájaro. No, el aire no

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (193)

Pedro Salinas’s Theory of Tourism 193

separa, me decía yo, por lo menos a los pájaros. Lo terrible para los pájaros sería que no hubiese espacio. La jaula es la limitación brutal de espacio.

Space, it has for me a sensation of amplitude, of clarity, of cir-culating air. The idea means that a space, for me, only sepa-rates if we don’t have will and zeal to ply it, to travel it. Today I was thinking the about the words of your letter, on the balcony, looking vaguely in the air. Space. In space the trees the branches. And from time to time, from a tree to another, like an arrow, a bird was crossing. No, air doesn’t separate, I was telling myself, at least for the birds. The terrible thing for birds would be that there was no space. The cage is the brutal limitation of space. (Salinas, Cartas de viaje 159)

Freedom and will allow Salinas to connect with his beloved through space like a bird needs air to take flight. Essences are what Salinas needs to connect with and understand the center of his world. His body and his soul are one. They perceive the physical visible and the transcendental invisible in the world and transform them into letters and poetry, dedicated to a gravitational center that anchors Salinas’s revolutions.

Bibliography Bécquer, Gustavo Adolfo. “Rima LXXV.” Rimas y leyendas. Barcelona, Sp.: Linkgua, 2007. 60. Google Books. 23 Nov. 2010. http://books.google.com/books?id=csJyjLwlX1MC&pg=PA60&dq= B%C3%A9cquer+Rima+LXXV&hl=en&ei=YT_sTKTeCoG6sAPBq7msDw&sa=X&oi=book_result&ct=result&resnum=3&ved=0CC4Q6AEwAg#v=onepage&q&f=false.

Bou, Enric, ed. Cartas de viaje [1912-1951]. By Pedro Salinas. Valencia, Sp.: Pre-Textos, 1996.

Bou, Enric, and Andrés Soria Olmedo, eds. Obras completas III: Epistolario. By Pedro Salinas. Biblioteca Avrea. Madrid: Cátedra, 2007.

Cardwell, R. A. “The Persistence of Romantic Thought in Spain.” The Modern Language Review 65.4 (1970): 803-12.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (194)

194 Letters—Philosophy

Crispin, Ruth Katz, trans. Memory in My Hands: The Love Poetry of Pedro Salinas. By Pedro Salinas. Ed. Tamara Alvarez-Detrell and Michael G. Paulson. Currents in Comparative Romance Languages and Literatures. Vol. 171. New York: Peter Lang, 2009.

Escartín Gual, Montserrat, ed. La voz a ti debida. Razón de Amor. Largo Lamento. By Pedro Salinas. Letras Hispánicas 386. 6th ed. Madrid: Cátedra, 2003.

García de la Concha, Víctor, ed. Antología comentada de la Generación del 27. Comp. Francisco Javier Díez de Revenga. 12th ed. Austral Poesía 8. Madrid: Espasa Calpe, 2007.

Hi-Way Map to Zion-Bryce Canyon, Grand Canyon National Parks. Map. Utah: Utah Parks Company, 1940.

Kellough, Patrick, comp., and Dennis Rowley, ed. A Guide to the Microfilm of the Utah Parks Company Records: Mss 533. Archives and Manuscripts. Harold B. Lee Library. Provo: Brigham Young University, 1981.

Merleau-Ponty, Maurice. “Eye and Mind.” The Merleau-Ponty Aesthetics Reader: Philosophy and Painting. Ed. Galen A. Johnson. Trans. Michael B. Smith. Northwestern University Studies in Phenomenology and Existential Philosophy. Evanston, IL: Northwestern University Press, 1993. 121-49.

Moreno Gómez, Francisco, ed. Generación del 27. Madrid: McGraw, 2005.

Newman, Jean Cross. Pedro Salinas and His Circ*mstance. San Juan, PR: Inter American UP, 1983.

Salinas, Pedro. Cartas de amor a Margarita (1912-1915). Ed. Solita Salinas de Marichal. Alianza Tres 137. Madrid: Alianza Editorial, 1984.

---. Cartas de viaje [1912-1951]. Ed. Enric Bou. Valencia, Sp.: Pre-Textos, 1996.

---. La voz a ti debida. Razón de Amor. Largo Lamento. Ed. Montserrat Escartín Gual. Letras Hispánicas 386. 6th ed. Madrid: Cátedra, 2003.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (195)

Pedro Salinas’s Theory of Tourism 195

---. Obras completas III: Epistolario. Ed. Enric Bou and Andrés Soria Olmedo. Biblioteca Avrea. Madrid: Cátedra, 2007.

---. Poesías completas. Ed. Juan Marichal. 3rd ed. Madrid: Aguilar, 1961.

Salinas de Marichal, Solita, ed. “Presentación.” Cartas de amor a Margarita (1912-1915). Alianza Tres 137. Madrid: Alianza Editorial, 1984.

Silva Castro, Raúl. Rubén Darío a los veinte años. 2nd ed. Santiago, Chile: Editorial Andrés Bello, 1966.

Sokolowski, Robert. Introduction to Phenomenology. Cambridge: Cambridge University Press, 2000.

Vila Selma, José. Pedro Salinas. Grandes Escritores Contemporáneos 57. Madrid: ESPESA, 1972.

Waite, Thornton. “The Cedar City Branch and the Utah Parks Company.” The Streamliner. June-Aug. 1998: 17-32.

Whitmore, Katherine Prue Reding. “La amada de Pedro Salinas.” Obras completas III: Epistolario. Ed. Enric Bou and Andrés Soria Olmedo. Trans. Concepción Díez de evenga Ruiz. Biblioteca Avrea. Madrid: Cátedra, 2007. 1521-27.

Zorrilla, José, and Tirso de Molina. Don Juan Tenorio / El burlador de Sevilla. Temas de España. Vol. 4. Madrid: Taurus, 1967.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (196)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (197)

The Women in Parzival: An Experiment in Jungian Literary Criticism

James W. Harrison Southern Utah University

Abstract

This paper investigates the possibility of using Erich Neumann’s schema of the feminine archetype found in his work, The Great Mother, as a means to compare the feminine characters in Wolfram von Es-chenbach’s Parzival. Six female figures from Parzival are analyzed and plotted on Neumann’s schema: Herzeloyde, Ampflise, Belacane, Sigune, Cundrie, and Cundwiramurs. Each of these characters displays some characteristic of the Great Mother. Rather than occupying a dis-creet point on the schema, all of these characters describe a position which moves and thus describes a line on the schema. When considered together these figures describe all the features of the Great Mother. Using this technique it is possible to compare female characters with each other in a very objective way. If this technique were used with several works, one would have an objective method of comparing vari-ous female characters from different works with each other.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (198)

198 Letters—Philosophy

One of the epistemological divides that has separated liberal arts and the physical sciences since the 17th century is the latter’s penchant for empirical measurement. It is hard to argue with scientific facts. On the other hand, many see the serious study of literature, in which exact empirical measurement appears quite seldom, as being subjective to the point of caprice, particularly if they are just beginning their studies. With time this feeling will generally correct itself, but there will always be a great difference between what even a seasoned critic says about Herzeloyde in Wolfram’s Parzival and how a chemist uses the periodic chart of elements. For at least 400 years, scientific empiricism has re-lied on increasingly sophisticated metrics, with the outcome being that many believe if it can’t be measured, it doesn’t exist. This is the man-tra that the West has chanted since Descartes proclaimed that “numbers are the only test of certainty” (Berman 33). The problem with this Weltanschauung, of course, is that the things that are most important for our humanity cannot be measured. How would one measure a Bee-thoven symphony or a Rilke poem? Attempting to equate being with measurability has some serious problems, but the success of the scien-tific method has been so obvious that these problems are often over-looked.

The goal of this paper is not to reduce literature or literary charac-ters to measurable units. Rather, it is to investigate the possibilities of combining some of the insights of Jungian psychology and literary criticism in an attempt to clarify certain aspects of characterization, thus rendering them, to a certain extent at least, if not measurable per-haps more objective. In this paper, I will investigate whether one might establish a plane that is shared by several characters, thereby enabling the critic to compare these figures and delineate more exactly their structural roles in the narrative. Wolfram von Eschenbach’s romance, Parzival, is well suited for this type of analysis. It includes several female figures who occupy the same narrative plane and whose charac-ters differ from each other enough that some ordering element is neces-sary to compare them. Further, I will investigate whether the critic can communicate these comparisons in an abbreviated, symbolic form, thereby making them easier for the non-specialist to comprehend. These symbols may help to summarize certain aspects of the critical process in ways which more empirically oriented readers will find eas-ier to grasp.

In his work, The Great Mother: An Analysis of the Archetype, a Jungian interpretation of the feminine archetype and its function in the human psyche, Erich Neumann provides a matrix that establishes just such a plane. It won’t be possible in the limits of this paper to give an exhaustive account of his methods and findings; however, it is feasible

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (199)

The Women in Parzival 199

to outline enough of his argument to show its potential for this under-taking.

At the outset, Neumann states that, “the archetype of the Great Mother does not exist in space and time but in the human psyche” (Neumann 3). Consequently, it is uniquely impervious to empirical examination. Like all archetypes, this one manifests itself by determin-ing “human behavior unconsciously but in accordance with laws and independently of the experience of the individual….” (Neumann 4). Clearly then, while this phenomenon is not empirical, it is nonetheless objective and capable of disinterested observation.

The “dynamic action of [any] archetype extends beyond uncon-scious instinct and continues to operate as an unconscious will that de-termines the personality …. When the unconscious content is perceived, it confronts consciousness in the symbolic form of an im-age” (Neumann 4f.). Neumann credits the archetype with arranging “the material of consciousness into definite patterns” (Neumann 6). It also “combines positive and negative attributes” (Neumann 7). Thus, one finds many contradictory motifs and symbols joined in the arche-type. “Its nature is paradoxical….” (Neumann 12).

Since the archetype communicates symbolically, one must ulti-mately distinguish between the symbol as the carrier of the meaning and the meaning itself. This is a challenging task, for as Neumann states, “If one speaks of the sun and identifies it with the lion, the king, the hoard of gold guarded by the dragon, or the power that makes for the life and health of man, it is neither the one thing nor the other, but the unknown third thing that finds more or less adequate expression in all these similes, yet—to the perpetual vexation of the intellect—remains unknown and not to be fitted into a formula” (Neumann 17). The most objective symbol still tells us more about feelings than facts. These feelings lie at the core of our being and to a large extent define us as individuals and as a species.

The Great Mother archetype has two characteristics: the elemen-tary and the transformative (Neumann 24). “As elementary character we designate the aspect of the Feminine that as the Great Round, the Great Container, tends to hold fast to everything that springs from it and to surround it like an eternal substance” (Neumann 25). The trans-formative character carries the dynamic element of the psyche, which, in contrast to the conservative tendency of the elementary character, drives toward motion, change, and …transformation (Neumann 30f.). Jung referred to this aspect of the archetype as the anima. “The anima is the vehicle par excellence of the transformative character. It is the mover, the instigator of change, whose fascination drives, lures, and

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (200)

200 Letters—Philosophy

encourages the male to all the adventures of the soul and spirit, of ac-tion and creation in the inner and the outward world” (Neumann 33).

In psychic development the transformative character is at first dominated by the elementary character and only gradually throws off this domination to assume its own independent form (Neumann 31). “Those women in whom the elementary character is dominant are re-lated only collectively to their mate; they have no individual relation to him and experience only an archetypal situation in him…. The woman in whom the transformative character is dominant represents a higher, or rather later stage of development. In her the matriarchal character of the Feminine, in which the relation to the mate as well as the ego and the individual is still undeveloped, is surpassed” (Neumann 36).

“The transformative and elementary axes are not opposites. They almost always appear together but one is generally dominant” (Neu-mann 29). The ambiguous nature of the feminine archetype is evident in the fact that it “is not only a giver and protector of life but, as con-tainer, also holds fast and takes back” (Neumann 45). For example, the Great Mother often dominates the son and holds him fast even in his masculine movement and activity (Neumann 48).

Neumann summarizes the elementary and transformative aspects of the feminine in a schema that has at its center the elementary aspect of the feminine archetype represented as a circle (Figure 1).1 This cir-cle is surrounded by other circles representing other aspects of the feminine archetype. As one moves up the schema the elementary as-pect gives way to a positive transformation in which the child leaves the vessel of the mother and becomes self actualized. As one moves down from the elementary aspect, one moves into the negative trans-formative and elementary aspect of the feminine archetype where the child is caught and imprisoned in the vessel of the mother and cannot develop. All of these circles are bisected by two axes representing the transformative and elementary characteristics of the feminine arche-type. The M axis is more material and corporeal, while the A axis is more psychic and spiritual (Neumann 70). The transformative charac-ter of axis A+ is most active in the creativity of a psyche in which the receptivity of the masculine consciousness to the unconscious has be-come difficult and which is therefore dependent on the anima or trans-formative character (Neumann 79).

“At the negative pole of Axis A we find the alluring and seductive figures of fatal enchantment, some of which are goddesses like Astarte,

1 This schema is based on the schema found in Neumann’s book, The Great Mother, as an insert between pages 82 and 83.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (201)

The Women in Parzival 201

Aphrodite, and Artemis; some specters like Lilith, the Lorelei, and oth-ers; and some, like Circe and Medea, personalized forms of primordial goddesses. In all of them the character of enchantment leading to doom is dominant” (Neumann 80f.). At key points on the circle, Neumann has placed the name of famous mythological or religious characters that represent the features or combination of features located at a given lo-cus of the circle. He says of this representation that it is “not to provide a dead system of co-ordinates but rather to translate the numinous dy-namic of the archetypal development into quasivisual terms” (Neumann 64). While it is not empirical, it is sensual and thus seems a more ac-cessible method of describing characterization.

Figure 1. The Great Mother: An Analysis of the Archetype. There are two axes

in this figure. The axis going from the lower left to the upper right represents the transformative principle of the Great Mother with both its negative and

positive poles. Mythological and religious figures which incorporate the qualities located on this axis are listed as examples of the qualities described.

The axis going from the upper left to the lower right indicates the nutritive aspects of the good mother with characters listed along the axis to serve as examples of the qualities listed. (Modified with permission from Princeton

University Press.)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (202)

202 Letters—Philosophy

Neumann’s emphasis in this work is on the emergence and role of various symbols, a topic that is of great interest to the study of litera-ture. A careful consideration of characters in literary works of art and how they manifest the traits mentioned by Neumann illustrates the po-tential for this type of analysis. While any work of literature would suffice, in this paper, as mentioned above, I will consider Wolfram’s Parzival and use it to delineate this type of literary criticism. While there is not time to discuss all of Parzival’s female characters, one might turn initially to three figures who are all related to each other through the figure of Gahmuret: Herzeloyde, Belacane, and Ampflise.

At the beginning of the second book of Parzival, Gahmuret has just come to Herzeloyde’s kingdom and found that she has organized a large festival. He has left his Moorish wife, Belacane, whom he won by freeing her besieged city, Patelamunt in the country of Zazamanc, from Isenhart who had laid siege because Belacane would not return his love. Gahmuret has left Africa to seek knightly adventure. The cham-pion of Herzeloyde’s festival will win her hand. Gahmuret decides to participate in the festival simply because of his desire for knightly ad-venture. Within the space of a few pages, the reader observes Gah-muret’s relationship with three different women, Belacane, Ampflize, and Herzeloyde, each of whom have a claim on Gahmuret’s loyalty.

There is no question that the most important of these three women is Herzeloyde. Book II’s primary purpose is to show how Gahmuret and Herzeloyde wed and to recount Parzival’s birth and childhood. However, as is the case with so much in Parzival, Wolfram doesn’t order the events of this episode in an easy-to-follow chronological or-der. He forces his readers to recall past actions and relationships. Only then can they understand the context of any specific action.

Ampflise and Belacane

Chronologically speaking, the first of the three women mentioned above with whom Gahmuret has a relationship is Ampflize. Hans Nauman writes of her relationship to Gahmuret:

Von Ampflise hat er sein Rittertum, für sie hat er sich zum Ritter erzogen, sie ist seine wahre Herrin, ihr gilt der Deinst seiner hohen Minne.... Als sie ihn heiraten will, kann er dies um der ritterlichen Idee willen verweigern, in deren Dienste er doch für sie steht. Rittertum und Frauendienst um die Minne Ampflisens sind ihm durchaus identisch und zwingen ihn recht instruktiv zweimal, seine Ehefrau zu verlassen, nacheinander nämlich Belakanen und Herzeloyden, so innig er mit der

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (203)

The Women in Parzival 203

anderen Seite seines Wesens diese in ehelicher Liebe liebt (as quoted in Blamires 45).

He is a knight because of her. It was for her that he educated himself as a knight. She is his true mistress. It is to her that he owes his service of courtly love.... When she wants to marry him, he can refuse based on this idea of knightly behavior which has dictated his service to her. For him knighthood and the service owed Ampflise for her love are identical and force him significantly to leave his married wife twice, namely Belacane and Herzeloyde, as devotedly as he has served them as their husband.

Up to this point, Ampflise has not been able to consider marriage with Gahmuret because she was already married to the King of France. But he has died, and now she is anxious to marry Gahmuret. Her words to him disclose her confidence that she and not Herzeloyde will win Gahmuret as her husband. This is a confidence built on the fact that Gahmuret has served her for years already and considers her his minneherrin (“the object of his courtly love”). She writes him concern-ing her desires and says, “Moreover, you shall be my knight in the land of Waleis and before the capital city of Kanvoleis. I do not care whether the queen [i.e., Herzeloyde, the Queen of Waleis] sees it; it can do me no serious harm. I am richer and more beautiful and I can more lovingly give love and receive love. If you are willing to live in accor-dance with worthy love, take my crown as reward” (Mustard 44; 77,8-11).2 Gahmuret’s response to this statement is to return to the knightly tournament arranged by Herzeloyde, his strength renewed because of Ampflise’s love. But it is important to emphasize that this love that inspires him is not the love that leads Ampflise to propose marriage. Rather, it is the love that binds him to her through hohe mine (“courtly love”). This conceit differs substantially from marriage and is, in fact, opposed to it (Singer vol. I 124ff., vol. II 23).

Ampflise represents the A+ axis on Neumann’s chart mentioned above. For Gahmuret, it is she who “drives toward motion, change and …transformation” (Neumann 30).3 When we read in Book I that Gah-

2 When I quote Wolfram in English, the number indicating the citation from the Mustard and Passage translation, noted as Mustard, will be followed immediately with the stan-dard citation from Lachmann’s Middle High German edition of Parzival for those who wish to check the quotation in the original. 3 See above page 197

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (204)

204 Letters—Philosophy

muret “had through the love of a woman’s friendship, received gifts worth a thousand marks” (Mustard 8; 12,1 f), the woman spoken of is Ampflise (Blamires 46). Gahmuret’s primary concern is ritterschaft (“knighthood”), which is unthinkable without a minneherrin (“the woman as object of courtly love”), and that is exactly what Ampflise is to Gahmuret. His relationship to her defines the concept of hohe minne, which is an excellent example of the A+ axis of Neumann’s schema. Here the transformative power of the feminine archetype reaches its full potential. The courtly lady becomes the knight’s muse. In Jungian terms, she is the projection of Gahmuret’s anima. Gahmuret says of Ampfliese, “she is my real lady” (Mustard 53; 94,21), and he goes on to say how important she is to him.

One would do well to remember when speaking of the anima that Neumann believes it to be the link between the masculine conscious-ness and the unconscious. When the masculine conscious mind has developed to the point where it is no longer aware of the unconscious, it is the anima that enables that communication to take place (Neumann 78). This communication is sometimes so complete that the person who projects this anima sees himself as identical with it.

Knights frequently identify themselves as being a part of, or iden-tical with, their lady. Consider, for example, in Book I Belacane’s rela-tionship to Gahmuret after they have both been taken by their feelings for each other. As Gahmuret leaves the Queen, she gives him a departing drink: The Mustard and Passage translation of this passage is unfortunate for the purposes of this paper. They translate as follows: “Then she ordered them to pour the parting wine cup. That she would have left undone if she had dared, and it vexed her that it could not be left undone, because it always drove the knights away who liked talk-ing to women. Yet she was now his, and he had given her the feeling that his life was now the lady’s life” (Mustard 18; 29,9-16). The words “yet she was now his” translate the Middle High German “doch was ir lip sin selbes lip,” which says literally, “yet her life (or body) was his own life (or body).” The words “his life was now the lady’s life” trans-late the Middle High German “sin leben was der frouwen lebn.” lip and leben can both mean life, but leben can only mean life. It would seem that Wolfram in using lip twice in the beginning of this sentence and leben or lebn at the end of the sentence is drawing attention to the fact that lip is to be understood as body. I would therefore suggest the following translation of the sentence: “Yet her body was his own body; his life was the woman’s life.” This is the anima at work. There is a

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (205)

The Women in Parzival 205

one-for-one identification between the knight and his soon-to-be mis-tress.4

As long as Gahmuret is allowed to serve Ampflise in the context of hohe minne (“courtly love”), he can remain true to the ideal of ritter-schaft (“knighthood”) even if he is married to someone else. However, now that the King of France has died, Ampflise wants to change her relationship to Gahmuret. Instead of the transformative influence in his life she has been up to this point, she now wants to exert an elementary influence. We see her slide down the A+ axis toward the center of the elementary character (see Figure 2a). Gahmuret will have nothing to do with this and continues to serve the memory of what Ampflise was to him even after his marriage to Herzeloyde, just as he did after his marriage to Belacane. It is while he is serving this memory that he dies in battle. Even though (or better, because) Gahmuret does not accept Ampflise’s offer of marriage, he remains true to her throughout his life. The roles of minneherrin and wife cannot be filled by the same person, because they are on opposing axes of the schema.

The next woman who becomes a major influence in Gahmuret’s life is Belacane. To understand her influence on Gahmuret in Book II and, therefore, her placement on the schema, one must know of their relationship in Book I. Gahuret leaves his home in France to seek his fortune as a knight abroad, as explained above. He enters the employ of the Baruch of Baghdad and becomes famous throughout Arabic lands as a model knight. As he is traveling by boat, a fierce storm drives him to Patelamunt, the capitol of Zazamanc, where the kinsmen of Isenhart are besieging Belacane. Gahmuret’s arrival in this North African city on the shores of the Mediterranean is an obvious reference to Aeneas. Aeneas also arrives in Africa after being driven off course by a storm and, upon landing, meets Dido, lives with her, and then leaves her to find another wife in Europe. This same series of events will play itself out with Gahmuret and Belacane.

After Gahmuret has landed at Patelamunt, he is told of Belacane’s plight and offers her his assistance. Wolfram does his best to empha-

4This projection of the anima, which is so powerful that it combines the identity of two people, is hardly unique to any period of literature. One thinks, for example, of the scene in Wuthering Heights where Catharine says concerning Heathcliff, “I am Heathcliff” (Brontë 175) or in Wagner’s Götterdämmerung where Siegfried says to Brünnhilde, “Durch deine Tugend allein/so soll ich Taten noch wirken?/ Meine Kämpfe kiesest du, meine Siege kehren zu dir:/ auf deines Rosses Rücken,/ in deines Schildes Schirm,/ nicht Siegfried acht’ ich mich mehr,/ ich bin nur Brünnhildes Arm.” (Wagner 32) “Through thy virtue alone shall I perform deeds? Thou wilt choose my battles, my victories will turn to thee; on thy horses back, protected by thy shield, I shall not consider myself Sieg-fried any longer, I am only Brünnhildes arm.”

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (206)

206 Letters—Philosophy

size the courtly splendor of Belacane’s court. She is smitten by Gah-muret when she first sees him. Belacane has “a woman’s manor” and “was on other counts worthy of a knight” (Mustard 14; 24,8f.).

Figure 2. (A) This schema plots the path taken by Ampflise as charted on the Great Mother Archetype. (B) This schema plots the path taken by Belacane as charted on the Great Mother Archetype. (C) This schema plots the path taken

by Herzeloyde on the Great Mother Archetype as she woos and marries Gahmuret. Throughout this experience her path is in the positive part of the schema (F+). (D) This schema plots Herzeloyde’s path on the Great Mother Archetype as Parzival’s mother. Throughout this experience her path while

beginning in positive territory (F+) also moves into negative territory (F-). (E) This schema plots Sigune’s path as charted on the Great Mother Archetype. (F)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (207)

The Women in Parzival 207

This schema plots Cundrie’s path as charted on the Great Mother Archetype. (G) This schema plots Cundwiramurs path as charted on the Great Mother

Archetype.

There is only one problem and that is that “her complexion was black of hue” (Mustard 14; 24,11). Wolfram calls attention to this fact more than once. Belacane is aware that this issue might be a problem. When her marshal brings the news that a hero has found his way to Patele-munt, she says, “He is of a different color from us. O, I do hope he won’t be offended by that” (Mustard 13; 22, 8f.). Wolfram introduces Belacane by saying, “If there is anything brighter than daylight—the queen in no way resembled it” (Mustard 24; 24, 6f.). This description is meant, among other things, to contrast Belacane with Herzeloyde. When describing the latter, Wolfram says, “From the lady Herzeloyde was shed such radiance that, if all the candles had been extinguished, there would from her alone have been sufficient light.” (MP 48)(84,13). The issue of brightness and darkness will be dealt with below, but for now it is safe to say that even though Belacane is “of black hue,” Wolf-ram makes it clear that she lacks nothing that would distinguish her as a courtly lady.

As Belacane and Gahmuret speak and he inquires concerning her relationship with Isenhart, Wolfram makes clear that she is as perfect a courtly lady as any in Europe. The issue of religion Wolfram settles by saying that “her innocence was a pure baptism” (Mustard 17; 28, 14). It is at this point that the scene discussed above occurs in which Gah-muret and Belacane merge, figuratively speaking, into one person. A sure sign, as already mentioned, that she has become his anima.

After a dinner at which Belacane spares no expense to please Gahmuret and his retinue, the hero retires and has trouble sleeping be-cause of his love for Belacane. In the morning he takes the field against the queen’s enemies. Wolfram states succinctly, “his service was for love’s reward, and a sharp fight weighed lightly with him” (Mustard 22; 37, 8f.). After the battle it is Belacane herself who leads the victorious Gahmuret through the city, removes his armor, and beds him. When he speaks with his cousin, Kaylet, concerning Belacane, he states, “the queen took me captive with her own hand, and with love I defended myself, for my wits so counseled me” (Mustard 28; 49, 22f.).

Gahmuret and Belacane marry, and with that their relationship changes from one in which she serves as his anima to one in which she is seen as the opposite of the force that impels him to seek adventure. Eventually, “he found no knightly activity, and then his joy was pawned to sorrow” (Mustard 31; 54, 17-20). He mentions this later in

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (208)

208 Letters—Philosophy

Book II. There he says, “the lady’s protectiveness held a tight bit on me, so that I could not get to knightly action, and then I fancied that knightly action would rid me of the bonds of discontent” (Mustard 51; 90,29-91,2). He leaves secretly at night leaving behind a note that as-sures Belacane of his love for her and that she might win him back if she were to convert to Christianity, a request she would gladly fulfill but never gets the chance to do.

We move now to Book II where it is Belacane’s memory rather than her person that affects Gahmuret. The first mention of her occurs when Gahmuret’s servants are putting up his tent before the field where Herzeloyde’s festival is being held. We hear that this tent was lost by Isenhart, the man driven by unrequited love for Belacane (Mustard 35; 61,9). The fact that the tent was so large that it required thirty pack horses to transport it reminds us that this suitor for Belacane was a wealthy, powerful individual. That he could be so overcome by love for Belacane is tacit evidence of her beauty and nobility.

The next and most important mention of Belacane in Book II oc-curs when Gahmuret who has fought the entire day in the festival at Kanvoleis receives the news of his brother’s death. He is so overcome by grief that he cannot continue with the festival even though he is the clear champion. He is also overcome by his desire to be with Belacane: “I yearn for the queen. I left in Patelamunt a sweet woman of purest kind, and my heart is sore because of it. Her noble dignity compels me to sorrow for her love…. Lady Belacane robs me of manly glad-ness…” (Mustard 51). These two griefs, his sorrow for Belacane and for his brother’s death, he takes with him as he retires.

When plotting Ampflise and Belacane on Neumann’s schema, the paths their characters describe are similar (Figure 2a and b). Initially, both of them are on the A+ axis. They both have a positive transforma-tive effect on Gawan. As shown above, Ampflise compromises this influence when she proposes marriage. Belacane compromises it in the same way, with the difference that she really does marry Gahmuret. It would seem then that the problem here is marriage. The A+ axis seems to be able to function only in the absence of marriage. Once a hero and his lover marry, the woman slips down the A+ axis and begins her de-scent on either the A- or the M- axis. But as we will see later on when considering Cundwiramurs, it only seems this way.

Herzeloyde

The morning after Gahmuret’s great sorrow, as just described, Herzeloyde comes to press her claim on Gahmuret. He has won the tournament and must therefore take her as his prize, but Gahmuret is

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (209)

The Women in Parzival 209

unwilling. His first excuse is that he is already married: “Lady, I have a wife,” [i.e., Belacane] “dearer to me than I am to myself…” (Mustard 53; 94, 5f.). Herzeloyde will not hear of this and says, “You should renounce the Moorish woman for my love’s sake. The sacrament of baptism has superior power” (Mustard 53; 94, 11-13). Gahmuret’s next excuse is his relationship with Ampflise as discussed above. His third excuse is that while he understands that Herzeloyde should be given to the champion of the tournament, the tournament never took place. He points out that the vesper games in which he had been fighting all day were a prelude to the tournament. These games have so exhausted the armies that no one can continue with the tournament itself. Since there will be no tournament, there will be no champion of the tournament, and she cannot press her claim.

Finally a judge is called in to adjudicate concerning Herzeloyde’s claims on Gahmuret. The verdict is then given in Herzeloyde’s favor. Ultimately, it is “the fairy strain” in him, aided by the fact that all of this takes place in the Spring, that moves Gahmuret to love Herzeloyde (Mustard and Passage 54; 96, 20). But even as he surrenders to her, he says that he must be allowed one tournament a month. His inspiration in these tournaments will be Ampflise as discussed above.

Initially, Herzeloyde’s relationship with Gahmuret seems to be cast in the same mold as Belacane’s and Ampflise’s. She seems to in-spire Gahmuret, though not to the degree that Amflise does. Whether she will provide the domestic comforts for Gahmuret that Belacane did is a moot point, because we never see or hear Gahmuret and Her-zeloyde in anything like a domestic scene, but we have no reason to believe that she would be incapable of, or averse to, this type of behav-ior. That she is potentially a courtly heroine cannot be doubted. Wolf-ram identifies her initially as a maiden, not a woman (Mustard 35; 60,15); that is, she is at that point in her life when knights fight for her honor and to win her hand in marriage. She can function in the role of anima.

One of the most interesting aspects of Herzeloyde mentioned above is the light symbolism Wolfram employs to describe her. “From the lady Herzeloyde was shed such radiance that, if all the candles had been extinguished, there would from her alone have been sufficient light” (Mustard 48; 84,13). Neumann shows the importance of this light symbolism in determining the valence of the feminine archetype. According to him, “bearing and releasing belong to the positive side of the elementary character; their typical symbol is the vegetation symbol, in which the plant bursts out of the dark womb of the earth and sees ‘the light of the world.’ This release from the darkness to the light characterizes the way of life and also the way of consciousness” (Neu-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (210)

210 Letters—Philosophy

mann 65). Some pages later he says, “the rise of consciousness from the unconscious has been glimpsed as the central factor in human his-tory as a whole…. The tendency toward the light, which C.G. Jung once called human heliotropism, has in the long run proved stronger than all the forces of darkness that have striven to extinguish con-sciousness” (Neumann 90).5

Herzeloyde begins her role in Parzival on the A+ axis and then, like Belacane and Amplise, instead of pursuing her role as Gahmuret’s muse she turns back on herself, moves away from the A+ pole of the A axis, and slides down to the center, the point where the transformative and nutritive aspects merge (Figure 2c). In doing so she leaves the conceit of courtly love behind her just as Belacane and Ampflise do in favor of the nutritive aspect of the Great Mother. The difference be-tween Herzeloyde and the other two female characters discussed thus far is that she turns away from courtly life and knowingly changes from muse to mother. She is the first character thus far to occupy the M axis.

This maternal element expresses itself first not with her son, Par-zival, but with her husband, Gahmuret. Wolfram makes this clear when he has Herzeloyde, who is lamenting her husband’s death, say, “I was much younger than he, yet I am both his mother and his wife. I bear him here within me and also the seed of his life which our two loves gave and received…” (Mustard 62; 109, 24-27). Herzeloyde’s role as Gahmuret’s anima, by means of which she bears and nourishes his heroism and inspires his knightly deeds on the transformative axis, is now expressed on the elemental axis. In this highly instructive scene, the closeness of the transformative and elemental aspects of the femi-nine archetype becomes obvious. And so we pass from Herzeloyde as wife to Herzeloyde as mother.

Herzeloyde’s role as Parzival’s mother is marked at the outset by her renunciation of the court. She wants to insure that the rittershaft (“knighthood”) that lead to her husband’s death will never disturb her son. In rejecting this she must also reject the hohe minne (“courtly love”), which cannot exist without rittershaft. The other obvious fact about Herzeloyde’s relationship to her son at this point is her determi-nation to keep him close to her. One is reminded of Neumann’s words in describing the negative aspects of the Great Mother: “But the ele-

5Concerning this heliotropism, I cannot let the opportunity pass by to remind the reader of the great scene in Faust I, 1349ff. “Ich bin ein Teil des Teils, der anfangs alles war,/Ein Teil der Finsternis, die sich das Licht gebar,/ Das stolze Licht, das nun der Mut-ter Nacht/ Den alten Rang, den Raum ihr streitig macht… .” I am a part of that part that in the beginning was everything, a part of the darkness that gave birth to light, the proud light that now contests mother night’s status and space.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (211)

The Women in Parzival 211

mentary character of the Archetypal Feminine is far from containing only positive features. Just as the Great Mother can be terrible as well as good, so the Archetypal Feminine is not only a giver and protector of life but, as container, also holds fast and takes back;…” (Neumann 45). This explains Herzeloyde’s relationship with the young Parzival. She tries to prevent his development. Her role as the protecting vessel for Parzival changes into an ensnaring hindrance and drags Parzival away from his preordained fate. When she can no longer absorb him into her, she dies; this allows him to escape the effects of the M- pole of the elementary axis (Figure 2d). Although she does not completely frus-trate his journey to his ultimate destiny, she does slow it down. It is her influence as much as anything that is responsible for him being a slow learner at court and throughout the first part of his journey.

After Parzival leaves his mother and begins his journey of self ac-tualization, his adventures are marked by the various women he meets, among whom Sigune, Cundrie, and Cundwiramurs are some of the most important. Each of these characters can be plotted on Neumann’s schema. When this is done, one can see a pattern developing with re-gard to how these characters are charted. Sigune

Beginning with Sigune, we see a figure whose influence on Par-zival is almost exclusively on the A+ axis. Sigune is always an index of what Parzival has accomplished or failed to accomplish (Blamires, 174). She is an unerring advisor to Parzival and can discern his cir-c*mstance at all times (Blamires 175). The importance that Wolfram attaches to this character is obvious from the fact that he has greatly expanded her role from the same character in his source, Chretien de Troye’s Percival. Chretien leaves this figure unnamed in his work, where she meets Parzival only twice. Wolfram’s Sigune encounters Parzival four times. She also becomes the primary female character in Wolfram’s Titurel. Clearly, she is a figure of some importance for Wolfram and deserves careful attention.

She teaches Parzival by precept and example about leit (“sorrow”) and triuwe (“loyalty”) (Blamires 174). On all four occasions when she and Parzival meet, she is in the company of her fallen lover and there-fore comes to symbolize minne (“courtly love”). The religious atmos-phere evoked by her character and circ*mstances elevates that minne from the purely secular to the religious sphere, thus helping to prepare Parzival for his future life in the Grail society and at the same time making a statement about Wolfram’s concept of courtly love, which is often at variance with the standard view of the court (Blamires 174).

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (212)

212 Letters—Philosophy

This same religious atmosphere and the moral earnestness that it in-vokes highlight Sigune’s moral excellence, which is the source of her ability to pass judgment on and ultimately pardon Parzival (Blamires 175).

Parzival’s first meeting with Sigune occurs soon after his first epi-sode with Jeschute, the first woman other than his mother that he meets. It is Jeschute’s lover, Orilus, who has killed Sigune’s beloved, Schionatulander. By doing penance, Sigune hopes to expiate the guilt she feels because of this knight’s death. She waited too long to grant her minne (“courtly love”) to Schionatulander. Parzival pities Sigune when he hears her story. His first thought is to find the knight who killed Sigune’s love and avenge her loss. This offers us an important insight into Parzival’s character. While he is yet naïve and untutored, he is still capable of feeling genuine riuwe (remorse) (Mustard 178; 140,2), which is a sign of his triuwe (“fidelity”) (Mustard 178; 140,1). Sigune compliments Parzival on these virtues and then asks his name. He says that his mother always called him bon fils, cher fils, beau fils (“good son, dear son, beautiful son”) (Mustard 78; 140,6). When she hears this response, she recognizes with whom she is speaking. Sigune was raised by Herzeloyde, Parzival’s mother, after her mother, Schoysiane, died. Having been a member of Herzeloyde’s household, she heard these names frequently when Herzeloyde used them to ad-dress her son. She informs him of his true name, Parzival, along with its etymology, “right through the middle” (Mustard 78; 140, 17). She goes on to inform Parzival of his ancestry, of the fact that he is the King of Norgals, and that her dead lover had been protecting Parzival’s lands when he was killed. She further informs Parzival that Orilus and Orilus’s brother, Lehelin, have done Parzival much harm.

It is interesting to note that in Chretien’s poem, Parzival guesses his own name, not knowing whether he is right or wrong, and his iden-tity is not made explicit until after his visit to the Grail castle (Blamires 177). Wolfram, however, underlines the transformative influence of Sigune on Parzival by allowing her to give Parzival his identity, thus identifying her once more with the A+ axis of Neumann’s schema.

Parzival’s second meeting with Sigune occurs immediately after his departure from the Grail castle. Both characters have changed. Parzival has failed to ask the all-important question. Since he cannot grasp the significance of that act yet, Sigune must help him to compre-hend it. She has moved from the forest of Brizljan to the Grail forest. This change of venue indicates a change in the plane of action. Both characters have moved further away from courtly society (Blamires 179), and their deeds have assumed a greater religious significance. For Parzival, this scene will begin a new and important part of his jour-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (213)

The Women in Parzival 213

ney. Wolfram draws attention to this when he says, “alrerst nu aventi-urt ez sich,” “His adventures begin now in earnest” (Mustard 135; 249,4).

Sigune’s primary virtue, her triuwe (“fidelity”), which might also be translated either as her loyalty or compassion, is immediately obvi-ous. As in the other scenes where she meets Parzival, one has the feel-ing that one is looking at a still life. The constancy of her triuwe adds to this impression. She remains as we first see her throughout the scene. Parzival comes and leaves, but Sigune never changes her posi-tion. She holds her dead, embalmed lover in her lap. The resemblance to a pieta is unavoidable. It is worth remembering that the word pieta comes from the Latin pietas, which along with dignitas and gravitas were the primary virtues of a noble Roman. Pietas represented adher-ence to duty, which Sigune incarnates in this scene. Wolfram says that all earthy loyalty is like a fleeting breeze when weighed against the constancy one sees in her (Mustard 135f.;249, 24f.). As important as this virtue is, Sigune and Parzival seem to hold disparate views con-cerning it (Blamires 179f.). For Sigune it is based on compassion. For Parizval it subsumes his relationship with God and man. It is an ex-pression of compassion and love (Blamires 181).

While the ambiguity that arises from the difference between po-tential triuwe, which Parzival possesses, and actual triuwe, which is lacking in his relationship with Anfortas (Blamires 181), won’t be worked out until Book IX, the important point in this scene is that Sigune is again cast as Parzival’s mentor. Once more we see her acting as a symbol of the A+ axis. She tells Parzival a great deal concerning the Grail society, how it came to be, and who belongs to it. She pre-dicts a bright future for Parzival as Grail King. But then she finds out that Parzival did not ask Anfortas the all-important question when he visited the Grail castle; that is, he did not ask Anfortas why he was suf-fering.

Her estimation of Parzival now changes completely, much to Par-zival’s dismay. He asks how he can atone for his failure at the Grail castle. Sigune’s response is, “you can spare yourself the atonement…. I know well that you lost your honor and your knightly fame at Mun-salvaesche. You will get no other answer from me” (Mustard 139; 255,24-29). Parzival leaves her at this point confused and depressed, in the belief that he will never be able to recover from his blunder.

This last episode deserves some attention with regards to Sigune’s movement along the A+ axis. Some of the reasons for locating her on this axis have been mentioned already. As we have seen in Parzival’s first encounter with her, she gives Parzival his identity. She moves him along the path of wisdom. She also helps Parzival understand the Grail

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (214)

214 Letters—Philosophy

society and how he is to fit into that society. There are other reasons to place Sigune on this axis. If one looks at the top of the schema, one sees that the virgin is just to the right of the F+, signifying the first real difference between the M and A axes of the feminine. It is, of course, Sigune’s fate to be a virgin. This focuses her role as the muse of inspi-ration as opposed to the nurturing mother.

However, Sigune is much more than an archetype. As helpful as an archetypal approach can be to literary figures, there is always the danger of seeing the archetype rather than the figure itself as the end and trying to force the figure into a preconceived mold. This obfus-cates rather than clarifies the figure’s character. Sigune is not just an idea or a projection of a psychological state, but a human being. There-fore her character is in some respects ambivalent. While the prepon-derance of her actions places her on the A+ axis, there are other aspects of her behavior that suggest qualities of the M axis (Figure 2e). One of the characteristics of that axis is its conservative nature. The M axis encourages growth, but that growth must occur in a set environment, an environment controlled by the Great Mother. If something happens to that environment, the offending party can no longer be a part of it. This quality is not the same as the grasping mother who holds fast and en-snares, but some of the consequences are often the same as if it were. Sigune encourages Parzival and predicts a bright future for him only until she finds that he has not asked the question. When she discovers his error, she cannot see a way around it. This conservatism appears to destroy the bright future which she just foresaw. While Sigune’s char-acter is fundamentally a positive one, here it is not. She must find a way around this impediment if she is to remain a marker of the A+ axis for Parzival.

Another problem Sigune must deal with in this regard is the fact that she never returned her lover’s love while he was alive, a fact she freely admits (Mustard 79; 141,20 f.). Sigune’s devotion to the conser-vative demands of chastity incorporated in the conceit of courtly love deprived her of the love relationship for which she yearned. It also denied Schionatulander the opportunity of progressing along his path as a courtly knight and may have hastened his untimely death. The exact circ*mstances surrounding Schionatulander’s death are unclear, but there seem to be reasons to suspect it was involved with his unrequited love of Sigune. If this is in fact the case it would place Sigune in this relationship on the negative M axis. She ensnares Schionatulander in a relationship that is a dead end. On the other hand, had she not done this she would not have become the virgin lover that she is at the end of her life and would therefore have sacrificed much of her symbolic authority as we shall see later on.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (215)

The Women in Parzival 215

The third meeting of Parzival and Sigune occurs just before Par-zival’s meeting with Trevrizent in Book IX. There is general agree-ment that this meeting with Trevrizent is the climax of Parzival’s education and that Parzival has everything he needs to realize his des-tiny as the Grail King when he leaves Trevrizent. Therefore, Sigune’s meeting with Parzival just prior to this meeting is of utmost impor-tance. Her first two meetings with Parzival have followed important events in his life, the first, the embarrassing episode with Jeschute, in which he has his first experience with the world of women after he leaves home, and the second, his even more unsuccessful encounter with the Grail society. The third meeting with Sigune does not follow but precedes the all-important meeting with Trevrizent in which he will finally see his destiny clearly.

Again there is an intensification of the religious atmosphere. Sigune is portrayed as a hermit (Blamires 183). However, she is wear-ing a ring. When Parzival asks about the ring because anchorites do not involve themselves in romantic relationships, Sigune answers that the ring symbolizes her pure devotion to Schionatulander. In comment-ing on this scene Blamires says: “…what Sigune stands for is not purely religious, but a fusion of the worldly with the religious” (Blamires 183). I agree with him. The dualism of the spiritual and the worldly, of agape and eros, begins to fade here. In this meeting, Sigune’s love has lost all of its worldly aspects. Sigune’s devotion to Schionatulander throughout Wolfram’s work suggests that the author felt the unio mystica, which was one of the pillars of courtly love (Singer, Vol. II 31), finally had found its realization. Sigune’s love for God and for Schionatulander merge in this scene (Mustard 234; 435,13-15). Her triuwe (“fidelity), which defines her relationship to Schio-natulander, she also offers to God, thereby combining these two loves in a virtue that is both spiritual and secular but seems to surpass both. In overcoming the duality of world and spirit, Sigune synthesizes the two into a third quality that represents the result of the courtly love tradition as it works itself out in Wolfram. As Blamires says, “Triuwe, in this episode, has become quite definitely more than merely the basis of compassion: it is now the foremost expression of love for God, in which love for one’s fellow man is included” (Blamires 184).

At this point where minne and triuwe converge, Parzival and Sigune are united in leit (sorrow)—she for her fallen lover, and he for his wife. She has yearned for God, and he for the Grail (Blamires 184). The growth that both have experienced because of their respective quests now unites them. Sigune, who in the past has received Par-zival’s compassion, now offers hers to him. She withdraws her censure of him ( Mustard 237f.; 441, 18f.) and puts him on the path to find

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (216)

216 Letters—Philosophy

Trevrizent, their mutual uncle. Parzival asks advice of her now, “liebiu niftel, gip mir rat,” “dear cousin, advise me” (Mustard 238; 442.1 ff.) in a statement that in its simplicity and directness is reminiscent of the question he will ultimately ask his uncle. Her act of rescinding her harsh judgment of Parzival is all the more important because she has been in close contact with Cundrie, who cursed Parzival in Arthur’s court. Her forgiveness foreshadows Cundrie’s forgiveness later. So this entire scene can be viewed as a prelude to the final denouement when Parzival finally establishes himself as the King of the Grail. After her censuring of Parzival, Sigune’s actions in this third meeting clearly reestablish her squarely on the A+ axis of the chart.

The fourth and final meeting between Parzival and Sigune occurs on Parzival’s own initiative (Blamires 188). The previous three epi-sodes with Sigune have been chance meetings, but here Parzival ac-tively seeks out his cousin. When he finds her she has died, sealing her devotion (triuwe) to her fallen lover with her death. She has finally achieved a perfect union with Schionatulander. Although she is dead, her body is still in the posture of prayer. This confirms the close union between spiritual and earthly love mentioned above and secures her a permanent place on the A+ axis. Parzival sees to it that Sigune’s body is placed next to her lover’s body and then closes the grave where both have been laid to rest.

Cundrie

Cundrie is one of three characters in Wolfram’s work who curses Parzival. The other two are Sigune, as mentioned above, and the ser-vant at the Grail castle. She is unique in Wolfram’s work because of her description. While the superlatives used in describing the other female characters are general terms of praise one associates with women of the court, Cundrie’s description is as specific as it is horrific.

We first hear of her intellectual accomplishments, which are con-siderable. She is fluent in French, Latin, and Arabic. She has been trained in dialectic, geometry, and astronomy; that is, she has studied both the trivium and the quadrivium. We also hear of her elegant dress. But whereas courtly ladies instill joy at court, she “struck down great rejoicing” (Mustard 169; 312, 30). Her physical appearance indicates something is terribly wrong. Her hair is “black and hard, not pretty, and soft as the bristles of a pig. She had a nose like a dog’s, and two boar’s teeth stuck out from her mouth, each a span in length. Both eyebrows were braided and the braids drawn up to the ribbon that held her hair…. Cundrie had ears like a bear’s, and no lover could desire a face like hers, hairy and rough.” Her hands “looked like a monkey’s

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (217)

The Women in Parzival 217

skin. Her fingernails were none too fine, and…they stuck out like a lion’s claw. Rarely was a joust fought for her love” (Mustard 169; 313, 18-25,29ff.). A quick look at Neumann’s schema is enough to place this character in the lower half along with other negative feminine characters from mythology whose appearance is witness of their disrup-tive influence (Figure 2f). The witches and Gorgons both are hideous beings who represent death and dismemberment. The difficulty with Cundrie stems from the fact that she is without question a representa-tive of the Grail. How can a member of the Grail society be portrayed in this way? The only plausible answer is that there is something wrong in the Grail society itself beyond the fact that its king, Anfortas, is ill.

To confirm this theory it will help to point out that while the Grail society has a king, it has no queen. Anfortas, whose spouse was sup-posed to fill that role, made some bad mistakes in his choice of women and in the process was wounded with a wound that only Parzival will be able to heal. Not coincidentally, Parzival will also provide the Grail society with a queen. Only after he does both these things will the Grail society fulfill its proper function. It is a woman who symbolizes that the society is faulty; it is a woman who will help restore the proper balance there.

Cundrie’s chiding of Parzival reveals that she sees the question that Parzival neglected to ask the same way Sigune does; that is, as a question of compassion (Blamires 347); however, her vehemence in attacking Parzival at Arthur’s court indicates that there is more at stake here than Parzival’s standing with the Grail society. She views Par-zival’s failure as threatening the very being of the knightly Arthurian society to which Parzival belongs (Blamires 348). Cundrie’s attack is not limited to Parzival’s lack of compassion. She also berates him for his lack of manly honor (Mustard 171; 316, 13) and knightly virtue (Mustard 171; 316, 14). She believes his faults are systemic and that he has squandered any chance he may have had for salvation, saying that he is destined for hell (Mustard 171; 316, 11). Here again she agrees with Sigune. She compares him unfavorably with both his brother, Feirefiz, and his father, Gahmuret (Mustard 171; 317, 8ff.).

This is the conservative negative M axis trying to protect that which is reassuring and familiar. It is the same reaction, though much more violent, that we noticed above when Sigune chided Parzival in their second encounter.

In discussing this scene, Blamires points out the interesting fact that while Cundrie is addressing matters that pertain only to the Grail society, she is doing it not in that society but at Arthur’s court. The court itself is completely passive and takes no stand concerning Par-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (218)

218 Letters—Philosophy

zival or Gawan, whom Cundrie also criticizes. Parzival’s decision to leave the court is his own and is neither ratified nor contradicted by Arthur’s court (Blamires 149).

Cundwiramurs

If one of the defining characteristics of Cundrie is her explicit ug-liness, then one of Cundwiramurs’s is her beauty. Wolfram is not given to excess in describing this beauty. His technique in describing Cundwiramurs is rather oblique. He describes the beauty of Jeschute carefully and then says concerning Cundwiramurs that she was even more beautiful than Jeschute (Blamires 219). As is the case in all me-dieval romances, the exterior always indicates the quality of the per-son’s interior. We know from the beginning then that Cundwiramurs will occupy the positive area of both axes. The question here is which of the axes predominates, the M or the A. Sigune and Cundrie are closer to the A axis. Cundwiramurs’s character, however, will include more of the M axis, not just because she is the mother of Parzival’s sons, Hardeiz and Loherangrin, but because of the role she occupies in Parzival's development (Figure 2g).

Cundwiramurs is not the first woman Parzival has loved. Gurne-manz’s daughter, Liaze, attracted him to such a degree that upon leav-ing Gurnemanz he promised to marry Liaze when he felt he had sufficiently distinguished himself as a knight. As is so often the case in Wolfram, fate contrives to associate two characters with each other, in this case Liaze and Cundwiramurs, who at first seem unrelated. Gurnemanz is Cundwiramurs’s maternal uncle. Liaze’s brother, Schen-taflurs, sought to help Cundwiramurs against Clamide who was trying to force her into marriage. In the process, Schentaflurs was killed in a war that is still raging when Parzival arrives in Cundwiramurs’s king-dom of Pelrapeire. By defeating Clamide, Parzival wins Cundwira-murs. The sequence of events that leads to this victory and subsequent marriage is an interesting chapter in Parzival’s life and tells us a much about Cundwiramurs, how Wolfram perceived her character, and how he conceived the marriage relationship between the future Grail King and Queen.

After she welcomes Parzival into her castle and provides what meager fare she can because of the famine her castle is experiencing, Parzival retires. It is Cundwiramurs who comes to him that night. She initiates their first private contact. Wolfram is anxious to confirm that, “the proper limits of womanhood were not broken” (Mustard 105; 192,2). The extremities that her besieged city now endure are the mo-tive force behind this visit to Parzival. Wolfram again emphasizes that

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (219)

The Women in Parzival 219

her visit has nothing to do with any romantic inclinations, “…she came now, not for such love as gains the name of changing maids to women, but for help and a friend’s advice” (Mustard 105; 192,9). Chretien, Wolfram’s source, strongly suggests a certain amount of sexual dalli-ance in this meeting, but Wolfram insists that both Parzival and Cund-wiramurs were totally innocent of any amatory desires (Blamires 235). She is there solely to implore Parzival’s aid against Clamide so that she may save her town. While Wolfram is quite explicit that Cundwira-murs gets into bed with Parzival while he is still asleep, he for the third time assures his audience that the two do no more than talk while they are in bed together. When Cundwiramurs wakes Parzival, she says that she will tell him what she desires to say only if he will show such re-straint that he not “wrestle” with her (Mustard 106; 194,1). She ex-plains the problem with Clamide and Kingrun, his seneschal, who are both trying to force her into a marriage with Clamide. Parzival agrees to fight Kingrun the next day. He defeats him, and when he returns to the Cundwiramurs and her joyful people, Cundwiramurs embraces him and says that she shall never marry any man but the one she has just embraced. The two spend the next two days and three nights together “happy with each other in their affection” (Mustard 110; 203,1). Then Parzival must complete the victory that he began by defeating Kingrun. He defeats Clamide and charges him, as he did Kingrun, to go to Cun-neware, a lady at Arthur’s court, to pledge her his allegiance and assure her that Parzival was still fighting for her.

At the end of Book IV, Wolfram assures us that the love between Cundwiramurs and Parzival “stood in such strength that no wavering could affect it” (Mustard 120; 223,2f.). Concerning Cundwiramurs’s feelings for Parzival when he asks that he be allowed to go see how things fare with his mother, the text says, “He was dear to her…and she had no desire to deny him” (Mustard 121; 223, 27f.). This is the last direct reference we have of Cundwiramurs until Book XVI. She is mentioned in passing in Book XII, when Ogeluse offers Parzival her lands and herself (Mustard 326; 619,3). Parzival declines and says that he has a more beautiful wife whom he prefers to her (Mustard 326; 619, 4f.). It is clear from this encounter that Parzival is not only sure of Cundwiramurs’s love for him, but even more importantly of his love for her.

There is, however, one problem with their love that Parzival feels acutely. As we approach the end of the work, Parzival has been away from his wife for several years. He says, “I parted from her—too long ago” (Mustard 382; 732,22). In his despondency over their long sepa-ration, he considers taking another lover, but quickly sees that his love for Cundwiramurs is so strong that he cannot even consider such a

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (220)

220 Letters—Philosophy

thing and then gives himself up to the sorrow of loving her but being without her. He states that those who are fortunate enough to have found love and have it with them at present are blessed but that he is not in their number. He concludes by deciding to do without love, “From these joys I shall depart.” (Mustard 382; 733,20). It might be noted parenthetically that these words bear a striking resemblance to Gottfried’s words at the beginning of Tristan when he says that those who don’t understand the true nature of love are welcome to their joys but that his way and theirs diverge sharply. Wolfram says, got gebe freude al diesen sharn, (“May God bestow joy on all these hosts”) (Mustard 382; 733,19), while Gottfried records, die laze ouch got mit fröuden leben (“may God let them live with joy”) (Gottfried 54).6

The intent is similar in both passages. Gottfried believes that those who are not of the edlen herzen (“noble hearts”) will never un-derstand the love Tristan and Isolde feel for each other. Wolfram also indicates that the love Parzival feels for Cundwiramurs is not an option for others. It turns out that they are both correct. It is clear that Gottfried’s hero and heroine respond to a different amatory ethic than the courtly love conceit as it was commonly practiced in his day. It is just as clear that Wolfram’s hero cannot go along with the courtly dis-play of his day. His destiny is different from theirs. The future Grail King must be held to other standards. And those standards, of course, have to do with the Grail. That must be Parzival’s primary concern, not his love for his wife. That is where Anfortas made his mistake. Carl Wesle writes well concerning the earthly love that Parzival feels for Cundwiramurs (and she for him) when he says,

Wenn irdische Minne den Wert der Treue in sich trägt…, hat sie etwas gemein mit der gotes minne, steht nicht in Gegensatz zu ihr, ist vielmehr ihr irdisches Abbild…. So ist die Treue, die Parzival in den langen Jahren Condwiramurs bewahrt, ein Band, das ihn auch in diesen Jahren der Gottentfremdung immer noch mit Gott verbindet.

When earthly love carries within itself the virtue of loyalty…, it has something in common with the love of God. It does not stand in opposition to it, rather it is its earthly reflexion…. So it is with the loyalty which Parzival shows to Cundwiramurs during several long years. It is a bond that in these years when

6 In keeping with tradition I have given the line number rather than the page number when quoting from Gottfried. The translations from Gottfried are my own.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (221)

The Women in Parzival 221

he is distant from God still connects him with God” (as quoted in Blamires 249).

Clamide, the knight who tried to force Cundwiramurs to marry him, is a good example of what this love would be like if it were not tempered by this type of religious devotion. In Book IV when he sees that he cannot have Cundwiramurs, the most beautiful woman in Par-zival’s work, he is completely undone. The power of this type of love when left unchecked by a higher force is demonic and destroys every-thing in its path (Blamires 255).

A similar type of problem affects Parzival in the famous scene where he sees three drops of blood in the snow. These remind him so powerfully of the beauty of his wife that he succumbs to a stupor and is incapable of any rational action. Only after he has chosen the Grail as his life’s goal, as opposed to his wife, is Parzival able to reunite with Cundwiramurs, who then becomes a “mediator between the transcen-dental powers of God as expressed through the symbol of the Grail and of the world as expressed through minne” (Blamires 250).

After her initial meeting with Parzival where she takes the initia-tive in saving her country, Cundwiramurs becomes completely depend-ent on Parzival. It wouldn’t be too strong a statement to say that she becomes his anima. Thus, we are led to consider the Jungian implica-tions of this character and where she might fit on Neumann’s schema. The first conclusion is obvious. Her great beauty places her squarely in the positive upper half of the chart. Her concern for her people as the widowed queen of Pelrapeire suggests that she has qualities of the M+ axis in her makeup. But her primary function as just mentioned is as the inspiration that allows Parzival to overcome the discouragement he feels in his search for the Grail. This, of course, suggests the A+ axis as being her true home.

Besides Cundwiramurs, Herzeloyde is the only figure discussed who has both M+ and A+ characteristics. But as the future queen of the Grail, Cundwiramurs claim to this honor seems to me more secure. If one looks at Neumann’s schema, one sees at the top on either side of the M+ and A+ axes the name of Mary, the mother of Christ. Par-zival’s redemption of the Grail society is a Christomimetic act. It should come as no surprise then that his wife fulfills the equivalent female role.

Conclusion

Looking at the paths charted on Neumann’s schema by the six characters discussed in this paper, one notices the following. First, the

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (222)

222 Letters—Philosophy

characters considered cannot be represented by a point on the schema. While Neumann’s chart contains various mythological and religious figures as points, any careful consideration of a literary figure must show that figure’s action. Good figures never remain static. Second, of the seven paths charted (there is one for Herzeloyde and Parzival and one for Herzeloyde and Gahmuret), only two are similar, those for Ampflise and Belecane. Both of these characters begin by moving up-ward on the A+ axis, but then retreat to the center of the schema and move down the M- axis because they wish to hold Gahmuret.

The other figures all describe different courses on the schema. While Sigune, Belecane, and Ampflise describe the M- axis, Sigune and Cundrie travel on the A- axis. Herzeloyde moves along different axes in her relationships with her husband and her son, as one might expect, and Cundwiramurs moves directly between the M+ and A+ axes, thus confirming that she has the requisite qualities to become the Grail Queen.

It is also interesting that the six women considered represent all the axes of Neumann’s schema. Is it possible that a truly successful work of literature of the scope of Wolfram’s Parzival will always pre-sent female characters that, when taken together, represent the entire feminine archetype? One thinks, for example, of the Divine Comedy, The Canterbury Tales, or Orlando Furioso. Isn’t one of the most satis-fying aspects of these works the sense of completeness at the end? They seem to symbolize the entire cosmos, and how could that be pos-sible without also modeling the complete feminine archetype?

If one were to do this type of analysis with other works from the courtly literature of the German High Middle Ages, eventually one would be able to compare different female characters by the path they trace on the schema, and by doing so one might check to see whether what has been written about them concurs with their trajectories on the schema. Obviously different authors will write differently about their heroines, but just as obviously this method might help to define various types of heroines and show the critic what to look for in their actions.

References Berman, Morris. The Reenchantment of the World. Ithaca: Cornell University Press, 1981.

Blamires, David. Characterization and Individuality in Wolfram’s ‘Parzival.’ London: Cambridge University Press, 1965.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (223)

The Women in Parzival 223

Brontë, Emily. Wuthering Heights. Ed. Christopher Heywood. New York: Broadview Press, 2002.

Goethe, Johann Wolfgang von. Goethes Faust: Der Tragödie erster und zweiter Teil Urfaust. Ed. Erich Truntz. Hamburg: Christian Wegner Verlag, 1963.

Gottfried von Strassburg. Tristan. Ed. Karl Marold. Vol. 1. Berlin: Walter de Gruyter, 2004.

Lachmann, Karl (Ed.). Wolfram von Eschenbach. Karl Lachmann. 6th ed. Berlin: Walter de Gruyter, 1926.

Neumann, Erich. The Great Mother: An Analysis of the Archetype. Trans. Ralph Manheim. Princeton: Princeton University Press, 1974.

Singer, Irving. The Nature of Love. Vol. 2. Chicago: The University of Chicago Press, 1984.

Wagner, Richard. The Ring of the Nibelungen Fourth Part: The Twilight of the Gods (Götterdämmerung). Trans. Frederick Jameson. New York: Kalmus, no date.

Wolf, Norbert R. “Die Minne als Strukturelement in Parzival Wolframs von Eschenbach.” Euphorion 64 (1970): 59-74.

Wolfram von Eschenbach. Parzival. Trans. Helen M. Mustard and Charles E. Passage. New York: Vintage, 1961.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (224)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (225)

Parzival and the Hero Cycle

Jessica Pierce Southern Utah University

Abstract The purpose of this paper is to show that there is more to becoming a hero than the journey alone; a hero must develop psychologically and philosophically before he can claim the title of “hero”. By using Plato’s tripartite soul theory which states a person must learn to bal-ance reason, the spirited element and bodily appetites, and E.R. Dodds’s Shame and Guilt society theory in which the two societies are separated by the differing standards of each society, I show how a character must balance these aspects of himself to become a hero. For example, the Shame society is concerned with upholding a good reputa-tion while the focus of the Guilt society is maintaining personal stan-dards. I believe that combining the tripartite soul and Shame and Guilt society theories makes up the psychological and philosophical back-ground of the hero. To these theories I will be adding my own hero cycle which maps out a hero’s development through the course of a story. I will also introduce the grace line, which is the falling and re-demption of a hero as he moves through the hero cycle.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (226)

226 Letters—Philosophy

While studying Wolfram’s Parzival, a cycle, which will be termed the hero cycle, manifests itself in the development of the characters Parzival and Gawan.

The hero cycle correlates to the society with which the hero is as-sociated (Figure 1). E.R. Dodds theorizes in his book, The Greeks and Irrationals, that there are two societies the Shame and Guilt societies. These societies differ in the emphasis on societal worth and individual worth. Societal worth defines the Shame society. People in this society guard their reputation because it is the summation of their character. For example, the character, Gawan, is accused of killing a man unfairly in a duel. And so he fears that his fellow knights will think he is a mur-derer. An invitation for a duel is offered to Gawan, he accepts it to clear his name. The modern equivalent of this can be seen with Marty McFly from the Back to the Future series. Whenever Marty is called a chicken or a coward he makes the same decision as Gawan to fight, because if he does not prove his bravery the accusation of cowardice is correct. Therefore Gawan, a knight from the courtly society, embodies the idea that King Arthur’s court is a shame driven society (Dodds, 32) (Wolf-ram) (Back to the Future).

In the other society, the Guilt society, the importance of individ-ual worth takes precedence over reputation. It is more important that the hero realizes who he is than what others think of him. This shift can be seen in the story of Oedipus Rex. Oedipus is secure in his position as king, but when he is accused of killing King Laius, he starts to ques-tion his situation. He starts to have questions like: “Who killed the king?” “Did I kill the king?” “Who am I?” The first question is one that a person from the Shame society would ask. If Oedipus only asked “Who killed the king?” then the title of murderer would be the defini-tion of Oedipus Rex. The next question, “Did I kill the king?” shows a shift from merely a title of society to a more personal opinion of self. Instead of looking outward for the killer Oedipus starts to turn the search inward. The last question, “Who am I?” marks the internal focus of Oedipus Rex and by asking this question shows that he is now in the Guilt society (Dodds, 33-4)(Harrison).

Parzival starts to question his purpose in life much like Oedipus Rex. Parzival makes two mistakes. First, he kills his cousin Ither and second, he fails to ask a pivotal question while he stays at the Grail castle; one that would set the Grail inhabitants free from a curse. Be-cause he lacks knowledge, Parzival does not understand how he has disgraced himself. He wanders for some time in search of answers to his questions and goes through the average sage phase as demonstrated below. Parzival shows in his attempt to identify himself that he is from the Guilt society. He does not care what other people think about him;

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (227)

Parzival and the Hero Cycle 227

Figure 1. The Hero Cycle

instead, he is more concerned with defining his character, which is the key focus of the Guilt society.

In addition to appeasing the rules of the society the hero espouses, he also has to balance what Plato calls the tripartite soul. Plato theorizes that the soul is divided into three elements: reason (logic or wisdom); the spirited element (emotional drives like courage, anger, love); and

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (228)

228 Letters—Philosophy

bodily appetite (desire or need). How the hero maintains the balance between these elements drives the character forward in the story. Using Marty McFly as an example again, his spirited element or pride leads his actions when he is called a coward. In Parzival the character Gawan deals with the tripartite soul through the course of his adventures (Lavine, 49-53) (Back to the Future).

Gawan travels to the magician, Clinschor’s, castle. There Gawan finds a series of trials that no knight has been able to withstand before. First, there is a wildly bucking bed that Gawan finds will not allow him any rest. Next, a lion is released into the room. Gawan discovers that to kill the lion he must avoid the bed or else it will crush him. Once the lion is dead, arrows are fired into the room and Gawan must seek some sort of shelter or else he will die. All of these trials symbolically repre-sent the tripartite soul. The bed is bodily appetite; the lion is the spirited element being courage and pride; and the arrows represent knowledge and quick wit. By conquering all of the elements Gawan is able to suc-ceed where so many other knights have failed. It is important to note that in most stories the main character or protagonist will not have to face all elements of the tripartite soul at once. For example, Parzival succumbs to his bodily appetite when he kills his cousin Ither to obtain his red armor.

With this understanding of the Shame and Guilt societies and the tripartite soul, it is easier to understand the structure of the hero cycle. Two of the most important components of this cycle are the desire and the grace lines. The desire line functions as a marker to indicate the balance of the hero’s tripartite soul and the grace line marks when the hero has made a definitive decision that shows the true nature of his character. Associated with the grace line is a period or phase of delib-eration that leads up to the crossing of the grace line. These lines come into focus as a character goes through the hero cycle.

In most stories, the hero starts as a perfect fool. The balance of the tripartite soul is almost equal where bodily appetite has been replaced with more basic needs like food and shelter. Parzival is in the perfect fool phase while he lives with his mother. It is only when he encounters knights for the first time and is exposed to a new society that he is able to progress as a character.

After a few adventures, Parzival meets his cousin, Ither, outside of King Arthur’s castle. The exchange that takes place shows Parzival crossing the desire line. Ither has red armor with which Parzival be-comes entranced and will do anything to obtain. Parzival challenges Ither to a duel for the armor and kills him. Killing Ither for his armor illustrates Parzival crossing the desire line. He did not need the armor; rather, he wanted it. This also shows that his tripartite soul desires bod-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (229)

Parzival and the Hero Cycle 229

ily appetite rather than the spirited element and reason. Once Parzival has obtained the armor he becomes an average knight.

The balance of the tripartite soul in an average knight favors the spirited element and bodily appetite. Reason is not as prevalent as the other elements. Parzival finds the Grail Castle and while he stays there this imbalance is obvious. The Grail castle is under a curse because of the actions of Anfortas. He is the king of the Grail society and as a young man he fell in lust with a woman named Orgeluse and fought for her honor. This results in Anfortas receiving a wound to his groin by a poison tipped spear. The way to cure Anfortas is to ask him the ques-tion, “What ails you?” Parzival, even though he sees Anfortas in obvi-ous pain, forgoes asking this question because he thinks at this time he was behaving as a knight should and as a result Parzival is cursed as well.

Shortly after Parzival leaves the Grail castle, he encounters King Arthur’s camp. It is here that Cundrie, a member of the Grail society, brings Parzival and Gawan’s misdeeds to light. The course of action taken by Parzival and Gawan reinforces the differences in their socie-ties. Parzival, coming from the Guilt society, seeks guidance to rectify his wrong doings, while Gawan, being driven by the Shame society, accepts the duel to clear his name. It is at this time that Parzival meets Trevrizent, the hermit. This meeting marks the beginning of the aver-age sage phase.

The average sage phase is when the hero has a personal dilemma and receives guidance from an outside source. This source uses his life and personal experiences as examples to aid the hero in overcoming and understanding his circ*mstances. For example, Trevrizent had been a knight of the Grail castle when his brother, Anfortas, received the fateful wound. Trevrizent left to pray for forgiveness on behalf of An-fortas. It is here that Parzival learns he could have been king of the Grail castle, but because he did not ask the question he brought dis-grace upon himself. This error upsets Parzival to the point that he with-draws from society and wanders the countryside in order to answer the question, “Who am I?” An example of a modern sage today is Yoda from the Star Wars series. He helps Luke master his Jedi powers and gives him advice about the course of action he should take concerning his friends (Star Wars: Ep. VI).

When Parzival leaves to contemplate his situation and the advice given to him by Trevrizent, he enters the grace phase. The grace phase is a period where the hero processes the information given to him by the sage and compares it with the path that he has been following and tries to come to a decision. The duration of the grace phase depends on the hero. It could be several years, months, or moments. Parzival, for

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (230)

230 Letters—Philosophy

example, takes about four years to come to a decision. Gawan, on the other hand, sleeps on his decision. Once a hero comes to a decision he is able to cross the grace line.

The grace line marks the moment when the hero makes a decision that reveals his true nature and defines his character. For Gawan, this comes when he learns that the man, with whom he must duel to clear the charges of murder, is in love with and is loved by Gawan’s younger sister, Itonje. Knowing that a duel between the two men would ulti-mately result in death for one or both of the men and heartache for Itonje, Gawan decides to find a different way to defend his honor. Par-zival, however, crosses the grace line during the time he wanders the countryside. He is only mentioned in passing when Gawan is the focus of the story, but these glimpses show an evolution of Parzival’s charac-ter. This manifests itself when Gawan meets Orgeluse and he offers to be her knight. She scoffs at Gawan’s offer and states that many knights have fought for her honor except for one. This knight turns out to be Parzival and since he refuses to fight for her he proves that he has con-trol of his tripartite soul because she is the same woman that enticed Anfortas and ultimately brought the curse on the Grail castle.

It is important to note that there are minor grace lines that the hero crosses as well. These moments also define the character, but the con-sequences from the decision made at the time do not impact the hero until later, or are not as dire and immediate as the consequences that the hero receives when he is in a later phase. Parzival leaving the pivotal question unasked at the Grail castle is one instance of a minor grace line; another example can be seen with Peter Parker from the first Spi-derman movie.

After Peter fails to get compensation for winning a fight in a wrestling match, he witnesses someone rob the fight promoter. As he is escaping, the robber runs towards Peter. The promoter shouts at Peter to stop the man, but Peter, angry that he did not get all of the money promised him, lets the man go by without any attempts to stop him. By not stopping the man, Peter shows that his tripartite soul is heavily un-balanced in favor of bodily appetite in that he wants revenge for not being fully compensated. Peter finally realizes he needs to find balance with his tripartite soul when he discovers his Uncle Ben dying after the robber just mentioned fatally wounds him. Both of the examples given show that at the time the character made the decision the consequences were not immediate, but the incident prompts the character to change an aspect of himself (Spiderman).

An example of a major grace line comes from the Star Wars: Re-turn of the Jedi. When the Emperor is killing Luke, Darth Vader watches passively. It is in this moment that Darth Vader decides the life

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (231)

Parzival and the Hero Cycle 231

of his son is more important to him than the rules of the Emperor. He kills the Emperor, which in the end, results in his own death as well. It took years for the moment to come, but Darth Vader was able to cross the grace line and somewhat redeem his character (Star Wars: Ep. VI).

Darth Vader is also an example of a hero refusing to cross the grace line because of selfish desires. Also, a character can refuse to cross the grace line to redemption and instead focus on selfish desires. The characters Orilus and Clinschor from Parzival exemplify this. Orilus’s wife Jeschute appears as though she has had an affair when really she met a very young and foolish Parzival. Orilus refuses to lis-ten to his wife’s story and assumes she slept with another man. He lets his pride and wrath control his actions, and as a result he decides to punish his wife Jeschute by not allowing her to change into any new clothes and denying her and her horse inadequate food. In addition to the physical treatment, she is also not allowed to speak to Orilus. It is only when Parzival meets the couple and explains to Orilus the truth that Orilus is able to believe and forgive his wife.

Another Star Wars example can be seen with Qui-Gon Jinn from Star Wars: The Phantom Menace. Qui-Gon seeks the advice of Yoda about the course he should take with the training of Anakin. Yoda warns that Anakin is too old and too fearful to be a proper Jedi, but Qui-Gon ignores Yoda’s warning and decides to train Anakin anyway. This decision results in innumerable tragedies as is evidenced in the later films. Both Qui-Gon Jinn and Orilus let their pride and avarice guide their actions and others must suffer for it (Star Wars: Ep. I).

Another character in Parzival that refuses to cross the grace line for selfish reasons is the magician Clinschor. Little detail is given about this character, but it is revealed that he used to be a knight and slept with a king’s wife. As a result, the king had him castrated. Instead of learning from his mistake, Clinschor let his anger and lust for revenge drive him to terrorize several towns and to enslave and entrap women in the castle that Gawan encounters. This shows that his tripartite soul is heavily in favor of the bodily appetite and the spirited element. The modern equivalent of Clinschor would be the Joker from the Batman series. The Joker shares the same ruthlessness and complete disregard for the rules of society, and he lacks compassion for others much like Clinschor (Kane).

The characters Orilus, Qui-Gon, Clinschor, and the Joker illustrate how if a hero does not balance his tripartite soul he can become a petty villain or a true villain. The difference between a petty villain and a true villain is the balance of the tripartite soul. For a petty villain, the balance is heavily in favor of the bodily appetite and the spirited ele-ment while reason no longer has a strong influence on the character.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (232)

232 Letters—Philosophy

The balance of the tripartite soul for a true villain has bodily appetite being the lead element and the spirited element has turned to more negative emotions like pride or revenge and reason is now justification for the actions that the true villain undertake.

If a character can balance the tripartite soul properly and choose to cross the grace line with good intentions he can then progress to the level of a hero. Gawan and Parzival, once they cross the grace line, are both able to enjoy their rewards after their trials and adventures. Gawan is married and Parzival is able to ask the question at the Grail castle that frees everyone trapped inside. He is then made king of the castle. Parzival now exhibits the qualities found in a perfect hero. He main-tains control over his tripartite soul, and he is secure in himself and answers the question, “Who am I?” Gawan, however, is an average hero because he still struggles with the tripartite soul which is shown by the affair he has with Antikonie.

Through the examples given from Parzival, one can articulate the hero cycle as the characters progress through the story. First by under-standing the society the hero espouses clarifies the actions that are ac-ceptable and appropriate for a character to take, whether it is upholding honor in the Shame society or seeking personal knowledge in the Guilt society. Next, comprehending and striking a balance with the tripartite soul drives the character forward with his progress on the hero cycle. This progression is marked by the desire line and how the hero bal-ances the elements of the tripartite soul governs if the character is a hero or a villain. Also, the grace line and grace phase focus the charac-ter and his relation to a true hero.

As the story of Parzival has shown, a character can evolve from a fool yearning for knowledge of another world to a knight exploring and challenging all that he encounters until he has a question that he cannot answer on his own and seeks guidance. If the character keeps his tripar-tite soul in balance and makes a decision for positive progress based on the assistance given to him by the sage then he will be able to cross the grace line and become a hero. Whether it is a hero from the Shame so-ciety that has defended his name or a hero form the Guilt society that has to search inward to discover who he is before facing his foe a per-fect hero can be found in anyone as long as a balance has been estab-lished with the tripartite soul and the decision made to cross the grace line and accept fate as it comes.

Works Cited Back to the Future. Dir. Robert Zemeckis. Perf. Michael J. Fox, Crispin

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (233)

Parzival and the Hero Cycle 233

Glover, Christopher Lloyd, and Lea Thompson. Universal Pictures. 1985. Film.

Dodds, E. R. The Greeks and the irrational. Berkeley: U of California Press, 1951. 28-63. Print.

Harrison, James. “Oedipus Rex”. Tanner Center. Cedar City, Utah. 28 Jan. 2010. Lecture.

Kane, Bob, and Bill Finger. Creators. Batman. Art by Bob Kane, and Jerry Robinson. DC Comics. 1940. Print.

Lavine, T.Z. From Socrates to Sartre: the Philosophic Quest. New York: Bantam Books, 1984. 43-53. Print.

Spiderman. Dir. Sam Raimi. Perf. Willem Dafoe, Kirsten Dunst, James Franco, and Toby Maquire. Columbia Pictures. 2002

Star Wars: Episode I—The Phantom Menace. Dir. George Lucas. Perf. Jake Lloyd, Natalie Portman, Ewan McGregor, and Liam Neeson. Lucasfilm. 1999. Film.

Star Wars: Episode VI—Return of the Jedi. Dir. Richard Marquand. Perf. Carrie Fisher, Harrison Ford, Mark Hamill, and Billy Dee Williams. Lucasfilm, 1983. Film

Wolfram von Eschenbach. Parzival. Trans. A.T. Hatto. New York: Penguin Books, 2004. Print.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (234)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (235)

Victory of the Ash Buttocks: The Role of Hybridity in Colonization, Decolonization, and Postcolonization

Jennifer Gibb Dixie State College

Abstract The creation of the colonial hybrid as a political tool played an inte-gral part in the conquest of indigenous lands by colonial rulers as well as the ability to maintain control of these locations. Eventually hybrid-ity turned on its creators and armed native peoples with the ideologies and knowledge to overthrow colonial powers. This gave rise to a post-colonial period in which the internalization of hybridity left lingering effects, both sociological and psychological, for the once colonized people. This timeline of hybridity can be traced through Things Fall Apart by Chinua Achebe, Death and the King’s Horseman by Wole Soyinka, and The House of the Spirits by Isabel Allende. These works of literature provide the opportunity to experience hybridity in states, forms, and intensities different from our own and affords the ability to understand colonialism in the emotionally charged circ*mstances in which they occured.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (236)

236 Letters—Literature

An understanding of colonial hybridity is vital to the comprehen-sion of modern race issues in their historical context, but it is within a purely historical context that a deeper understanding is abstracted into facts and dates. It is therefore important to study hybridity within other frameworks. Works of literature can provide insight into colonialism, postcolonialism, and hybridity in the emotionally charged contexts in which they occurred. It is through works of literature that the role of hybridity in colonization, decolonization, and the aftermath of post-colonization become clear: Hybridity is central to the fissures caused by colonization and decolonization as well as the healing to be done postcolonization.

Colonial hybridity is the notion that indigenous people are through various means civilized, educated, and assimilated into the colonizers’ culture while at the same time relegated to a state of perpet-ual otherness that allows their continued subjugation. The creation of this colonial hybrid played an integral part in the conquest of indige-nous lands by European rule as well as the ability to maintain control of said locations from a distant center of power. Things Fall Apart, Death and the King’s Horseman, and The House of the Spirits create a time-line of colonization through which hybridity can be viewed.

Imagine a great war fought between two white colonizers and thousands of native Igbo tribesmen hungry to preserve their culture, freedom, and way of life. This, of course, could never occur, but in Things Fall Apart, Chinua Achebe shows how a very small number of white colonists are able to infiltrate and take over Igbo society. Achebe uses Part One to explore the richness of this native culture, while Parts Two and Three examine the various methods and designs used by Colonizers to take control of a stable, strong community. The creation and exploitation of the hybrid “other” enables the colonists to gain con-trol but also has far reaching effects into the culture, its people, and the future social psychology of their posterity.

When six missionaries arrive in Mbanta, only one of them is white. The interpreter is Igbo but from a different location, and Achebe uses their arrival to show the folly of being subject to a white man by poking fun at his translations. The interpreter says ‘my buttocks’ in-stead of ‘myself.’ When speaking to these two outsiders, the villagers continue to call the interpreter “your buttocks” (85). This allusion to those who make themselves subservient being ‘a buttocks’ resonates throughout the second half of the novel. Similarly, the guards who work for the District Commissioner are called Kotma and Ashy-Buttocks for the ash-colored shorts they wear. These Kotma are indis-pensable to the white administrators in controlling the indigenous peo-ple. They enforce the laws and will of the newly established white

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (237)

Victory of the Ash Buttocks 237

government, act as jailers to those who have offended this government, and even facilitate the arrest of the tribal leaders of Umuofia (a pivotal point in the novel that signals the complete loss of indigenous rule).

The Kotma are a poignant example of Ania Loomba’s description of hybridity in that they “mimic but never exactly reproduce English values, and that their recognition of the perpetual gap between them-selves and the ‘real thing’ will ensure their subjection” (146). This state of existence undoubtedly caused a psychological split for the Kotma, but it also caused a social rift between them and their native counterparts. The “Kotma of the Ash Buttocks” were scorned and ridi-culed by the clan, and the clan in turn was left feeling betrayed and broken. At a great meeting of the clan, Okika expresses this sentiment, “We who are here this morning have remained true to our fathers, but our brothers have deserted us and joined a stranger to soil their father-land” (115). This desertion has far greater effects than a simple act of disloyalty. Because Umuofia could not have been colonized without the exploitation of the hybrid other, in the end Umuofia defeated itself.

The most clear-cut example of hybridity in Things Fall Apart is Mr. Kiaga. He is a native missionary left behind in Mbanta after Mr. Brown returns to Umoufia. There he not only preaches the gospel and acquires new followers, but he also behaves like a white man ignoring many social norms and customs. Mr. Kiaga saves twins from death in the Evil Forest and welcomes outcasts into the congregation. He seems to do this out of genuine love and concern and with the best of inten-tions. This character might well have been based on Achebe’s father, who was in fact a missionary. Achebe’s own viewpoint can therefore reflect the voice of the colonial hybrid: “…in our village you had two sides—the ‘people of the Church’, as we were called, and the ‘people of the world’, the others. And there was a certain amount of distance; although we were in the same village there was a certain distance” (quoted in Serumaga 129). Achebe’s comment shows how hybridity locked many indigenous people into a state of perpetual otherness. They were neither white nor native.

It is unclear in the novel why Mr. Kiaga chose to align himself with the beliefs and social framework of the colonizers, but Achebe offers other examples of why natives may have chosen to take on the mantle of the hybrid. One such example is Nneka, who had four preg-nancies that resulted in the birth of twins, an occurrence that is looked down upon in the Igbo culture. Because when twins are born, they are placed in the Evil Forest to die, it is no surprise that, “She was very heavy with child…they found she had fled to join the Christians”(87). Another example is Okonkwo’s own son, Nwoye, who voluntarily leaves his way of life to align himself with the faith of the colonizers.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (238)

238 Letters—Literature

He does so because he does not understand many of the cultural prac-tices of his people and because he wishes to leave the abusive and op-pressive hand of his father. Many of the other natives who are drawn to the Christians are disillusioned with Igbo society or are excluded from it altogether, such as the outcasts or osu. “An osu could not attend an assembly of the free-born, and they, in turn could not shelter under his roof. He could not take any of the four titles of the clan, and when he died he was buried by his kind in the Evil Forest. How could such a man be a follower of Christ?”(90). Mr. Kiaga welcome the osu into the folds of the Church, and hybridity spreads under the veil of religion.

Although there are several examples and explanations given in the novel as to why many of the natives allow themselves to be molded into the hybrid other, it may well be that the introduction of the colo-nizers was made possible through the pre-established social psychology of the Igbo tribe. Victor C. Uchendu points out that

“The Igbo world is one in which change is expected. Change is accepted as a realistic adjustment to the status and role structure, as an adjustment to the world around them…Believing that he chose his roles, the Igbo is con-strained to make a success of his social position or career” (233).

Furthermore,

“The individual freedom of choice fostered by Igbo culture al-lows innovation. There is opportunity for experimentation as well as tolerance for failure and admiration for success. The most important factor for the acceptance or rejection of an in-novation is its status implication for the individuals and groups concerned” (234).

The attitude towards change and the desire to make oneself a suc-cess produced the perfect situation for the colonizers to create and ex-ploit the hybrid other.

Things Fall Apart shows how hybridity enables colonizers to gain control. Death and the Kin’s Horsem*n takes the reader further down the colonial timeline to show how hybridity allows the colonizers to remain in power. It illustrates the difficulties that continue when one distinct culture attempts to impose its norms and beliefs on another. The hybrid characters display how they are both necessary to colonial power as well as integral to preservation of indigenous culture.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (239)

Victory of the Ash Buttocks 239

Sergeant Amusa is a native who serves under Simon Pilkings, the District Officer, to maintain control of his own indigenous people. He is not treated with respect by Pilkings, and when he attempts to do his bidding in the market, he is again met with disrespect by the native people. He is told to leave, and when he refuses, he is mocked and ridiculed. His only recourse is to return to Pilkings and exaggerate the situation so that Pilkings might retaliate. Although Amusa may seem to hold a position of power as a law enforcement officer, he is actually quite powerless because of the hybrid nature of his situation in which he exists between two different social groups but not a part of either one. This position has left him without standing in any social group other than perhaps that of his fellow hybrids.

Another interesting hybrid character in Death and the King’s Horseman is Joseph, Pilking’s house boy. Although he appears rela-tively few times throughout the play, he is an excellent example of how the colonizer felt about the hybrid other that they had themselves cre-ated. Joseph serves Pilkings like a slave. Although Joseph has been converted to Christianity, Pilkings openly mocks him for his belief in what the colonizers have taught him. “Don’t tell me all that holy water nonsense also wiped out your tribal memory” (24). Pilkings’s treatment of Joseph emphasizes the colonizers’ intention and need to ensure that the hybrid remain subjected to perpetual otherness.

Joseph’s subservience is a stark contrast to Olunde, the Elesin’s son. With Pilkings’s help, Olunde was sent to England to study medi-cine. He returns upon hearing the news of the king’s death because he understands the fate of his father. His conversations with Jane and Pilkings show that his education has given him the understanding to defy the hypocrisy of the colonizers. (The English are at war to protect their freedoms while they oppress others in distant lands.) Olunde’s experiences within the motherland of the colonizers as well as his edu-cation give him the power to stand up to Pilkings and his wife. His final act of completing the suicide that his father was unable to com-plete is actually done to maintain social cohesion of his native people but also serves to show Pilkings that he cannot completely overtake and/or assimilate the Yoruban culture. Elesin poignantly states: “You may have stopped me in my duty but I know now that I did give birth to a son. Once I mistrusted him for seeking the companionship of those my spirit knew as enemies of our race. Now I understand. One should seek to obtain the secrets of his enemies. He will avenge my shame, white one. His spirit will destroy you and yours” (52).

The scene, which most poignantly displays the dual facets of the hybrid other, takes place when the girls in the market ridicule Amusa. This scene is actually a symbolic display of hybridity clashing against

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (240)

240 Letters—Literature

itself. Amusa is an example of how hybridity acts as a tool in the hands of the colonizers, while the girls show how the goal within hybridity to educate indigenous people turns on the colonizers. In his essay, Ola-kunle George points out that the girls represent the educated, “Western-ised” native and the white man’s future adversary (215). They are able to defend their community because they understand the colonizers’ language and cultural patterns—because they are the hybrid other. The fact that the girls can be perceived as victorious over Amusa has clear meaning. The girls have these departing words for Amusa: “Then tell him to leave this market. This is the home of our mothers. We don’t want the eater of white left-overs at the feast their hands have pre-pared” (31). Although these words are somewhat harsh, they re-enforce the underlying meaning behind the conflict. The more like the colonizers the natives become, the more they are able to defy the loss of their culture. Therefore, in a sense, in losing their native self they are able to reclaim it.

The House of the Spirits provides a picture of hybridity’s progres-sion down the colonial timeline into postcolonialism. Set in Chile, the story plays out during an era in which hybridity no longer occurs in-termittently but has taken over most of the culture. The few remaining groups who have not been Europeanized are referred as “Indians.” They are often “othered” and cast in an unflattering light. For example, when Esteban Trueba arrives at Tres Marias as the Patron, one of the poor, unwashed Indian children defecates at his feet. This symbolic action makes him appear more like an animal. This idea that the Indians are a lower race of people works to the advantage of the upper class who subjugate them. Hybridity and colonization have locked them into the socioeconomic status of what Ana Maria Manzanas and Jesus Benito refer to as an “internal colony.” This occurs when “the colo-nized Other was seen to share the geographical space of the colonizer… (and when) these ethnic Others continue to be kept apart and contained, ‘linguistically and spatially,’ as if in a final attempt to avoid their inevi-table hybridization, both social and cultural” (50-51).

Allende makes it clear within the novel that the Indians are kept apart from society to avoid their hybridization, thereby continuing their oppression: “The peasants were still living exactly as they had in colo-nial times” (68). This is accomplished through various means of vio-lence: physical, political, and economic. Esteban exhibits all of these forms of violence towards the people of Tres Marias at some point in the novel. He beats Pedro Tercero in front of his father when his ac-tions go against Esteban’s wishes. He ensures their continued poverty by paying them with pink slips of paper they must use to purchase goods through him. This allows him to work them day in and day out

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (241)

Victory of the Ash Buttocks 241

with no hope of independence from their reliance on him as their pa-tron. Trueba and the other patrons force them to vote the way they see fit and threaten them with physical violence and the loss of employ-ment if they go against the patrons’ political agendas.

In contrast to the Indians, Esteban Trueba behaves like the colo-nizers once did. He bathes and dresses for dinner. He wears fine clothes and seeks to gain wealth even at the expense of others. He ruth-lessly rules over the natives who work on his land with the belief that they are incapable of doing things properly or taking care of themselves in an acceptable way. As patron he acts as the colonizers would, be-lieving that all things indigenous are to be disdained. He clearly ex-presses his feelings about Tres Marias and its inhabitants when he states, “The place would go to hell! There would be no one to give orders, sell the crops, take responsibility for things… They need some-one to do their thinking for them, someone around to make decisions, someone to help them” (283). Trueba takes great pride in the fact that he is educating the people of Tres Marias and encouraging their immer-sion into a more European cultural system. During the second half of the novel, the lower classes begin to revolt against the oppressing upper class. It is no surprise that this comes after they have been hybridized. It is as if colonization began a cycle of oppression, followed by hy-bridization, and then an uprising against subjugation.

Things Fall Apart illustrates the devastating affects of colonial hybridity in the early stages of colonization. It ends with the tragic death of Okonkwo, who cannot live to face the fate colonialism has left him. The story may end with Okonkwo’s death, but the far-reaching social implications of colonization affected the native people into post-colonization and into the authors’ own lifetimes. This is why Things Fall Apart, Death and the King’s Horsem*n, and The House of the Spirits are able to depict colonization as a dynamic force that became ingrained in the society and psychology of those who lived it, espe-cially through colonial hybridity, which changed the way the colonized viewed not only themselves but also the culture that made them who they are. In an interview given in 1964, Achebe explained that coloni-zation had left his people with “a ‘crisis in the soul.’ We have been subjected—we have subjected ourselves too—to this period during which we have accepted everything alien as good and practically every-thing local or native as inferior…and the whole society during this pe-riod began to look down on itself” (quoted in Nwoga 125). These sentiments reverberate throughout the timeline of hybridity created by these three novels.

The creation of colonial hybridity has therefore caused social rifts as colonialists invaded and destroyed indigenous cultures and also cre-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (242)

242 Letters—Literature

ated internal psychological strife. This damage can never be erased, but there is a possibility to move forward with a deeper understanding of hybridity. Hybridity is not monodirectional. Even as the colonized are forced to assimilate parts of their oppressor’s culture, various as-pects of the indigenous cultures are absorbed into the colonizers’ litera-ture and culture. Homi Bhabha asks that we open ourselves to the idea of international culture “not based on exoticism or multi-culturalism of the diversity of cultures, but on the inscription and articulation of cul-ture’s hybridity…and emerge as the others of ourselves” (quoted in Laragy 3). In a world of globalization and unprecedented access to information among various cultures and peoples, we are all in some way living in a state of hybridity. Literature provides the opportunity to experience hybridity in states, forms, and intensities different from our own and affords the ability to understand colonialism beyond its historical context. Traveling the literary timeline of Things Fall Apart, Death and the King’s Horseman, and The House of the Spirits is a journey that offers a unique understanding of the creation and history of hybridity with the goal of a more complete understanding of the pre-sent.

Works Cited Achebe, Chinua. Things Fall Apart: Authoritative Text, Contexts, and Criticism. Ed. Francis Abiola Irele. New York: Norton, 2009. 3-117.

Allende, Isabel. The House of the Spirits. New York: Bantam, 1985.

George, Olakunle. “Tragedy, Mimicry, and ‘The African World.’” Death and the King’s Horseman: Authoritative Text, Backgrounds and Contexts, Criticism. Ed. Simon Gikandi. New York: Norton, 2003. 207-22.

Laragy, Elizabeth. “Hybridity.” Queen’s University Belfast. Web. 5 Oct. 2009.

Loomba, Ania. Colonialism/Post colonialism. 2nd ed. New York: Routledge, 2005.

Manzanas, Ana Maria, and Jesus Benito. Intercultural Mediations: Hybridity and Mimesis in American Literatures. New Brunswick: Transaction, 2003.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (243)

Victory of the Ash Buttocks 243

Nwoga, Donatus. “Interview with Chinua Achebe.” Things Fall Apart: Authoritative Text, Contexts, and Criticism. Ed. Francis Aviola Irele. New York: Norton, 2009. 124-26.

Serumaga, Robert. “Interview with Chinua Achebe.” Things Fall Apart: Authoritative Text, Contexts, and Criticism. Ed. Francis Aviola Irele. New York: Norton, 2009. 129-35.

Soyinka, Wole. Death and the King’s Horseman: Authoritative Text, Backgrounds and Contexts, Criticism. Ed. Simon Gikandi. New York: Norton, 2003. 1-63.

Uchendu, Victor C. “The Igbo World.” Things Fall Apart: Authoritative Text, Contexts, and Criticism. Ed. Francis Aviola Irele. New York: Norton, 2009. 225-35.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (244)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (245)

A Mean and Ungentlemanly Act: Casaubon’s Passive Aggressive Maneuvering in George Eliot’s Middlemarch

Randy Jasmine Dixie State College

Abstract In the infamous catechism of rational self-interest from Balzac’s Pere Goriot, the Machiavellian criminal Vautrin boasts, “I’m like a great poet, but I don’t write my poems: my poems are what I do, what I feel” (p. 86). No one would ever mistake the blustery Vautrin for George Eliot’s withered and inept scholar Edward Casaubon, but this state-ment can be productively examined in relation to both characters. Whereas Vautrin clearly comes across as a pragmatic character, Casaubon hides his personal desires within mummified layers of bitter-ness, scorn, and silence. Casaubon’s greatest achievement, the work for which he will be known to posterity, is not his unwieldy and ulti-mately unfinished “Key to All Mythologies”; instead, it is the codicil he adds to his will that disinherits his wife Dorothea if she marries his

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (246)

246 Letters—Literature

cousin Will Ladislaw. This legal tactic is shrewd, merciless, and effec-tive—adjectives that cannot be applied to the rest of his life’s work. In this paper, I argue that Casaubon attempts to make up for all of his other failings by revealing his jealousy and codifying his resolve in the legal document he leaves behind. As Eliot builds her great realist pro-ject, Casaubon’s egoism (a trait held by all of the characters in the novel) is presented as being particularly selfish and malicious. I also suggest that, from a practical standpoint, the passive aggressive nature of Casaubon’s actions make them far more effective than any open protestations would have been. Just as Vautrin hides behind his aliases and disguises, Casaubon is able to secrete his intentions toward his wife and his cousin behind the blanket of his pathetic failures. Mr. Casaubon’s legal amendment of his will is his great poem.

Almost invariably, Edward Casaubon from George Eliot’s Middlemarch is viewed as a weak and ineffectual character, blindly plodding through both his hopelessly ambitious scholarly work and his ill-conceived marriage to the young and vibrant Dorothea Brooke. No doubt with significant reason, readers and scholars alike are moved to comment on the failings of this particularly irksome man. On a current blog dealing with literary and pop culture topics, Anthony Campbell has actually coined the term “the Casaubon delusion.”

This pejorative designation is based on Casaubon’s attempt to “show that all mythologies of the world are corrupt fragments of an ancient corpus of knowledge” (Campbell). Campbell elaborates on this delusion, describing it as the “tendency of the mind to search for all-inclusive answers.” Campbell goes on to point out that “we are all li-able to fall into it [the so-named delusion] in one way or another, probably because it is an exaggeration of an inbuilt function of our minds.” Presumably, Casaubon overindulges in this impulse, ulti-mately offering his name to the condition. According to Campbell, the failure of Casaubon is so monumental that it can be used to explain and name an entire range of human pathology. These observations are in-teresting, and they are in line with the way many readers ultimately view Casaubon. I suggest, however, that Casaubon’s psychological disorder is not delusional at all. In my opinion, Casaubon suffers from a type of recognized and defined oppositional disorder, specifically passive aggressive personality disorder.

Most of the casual and student readers with whom I have dis-cussed the novel are inclined to experience negative reactions toward

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (247)

Casaubon's Passive Aggressive Maneuvering 247

this character. Most wince at the thought of Dorothea marrying such a prune of a man. They readily join Casaubon’s young cousin Will Ladislaw in his rejection of Casaubon’s metaphysical scholarship as pie-in-the-sky dreaming. They are also amused by Dorothea’s sister, Celia, and her frank descriptions of Casaubon as “very ugly” (Eliot, p. 15), with “two white moles with hairs on them” (p. 16). Celia is also bothered by “how he scrapes his spoon” while he is eating soup and by the fact that “he always blinks before he speaks” (p. 43).

Contemporary literary criticism has not been much kinder to Casaubon. The fictional scholar and his work are often identified as embodying a quixotic element within the pages of Eliot’s novel. Ac-cording to Malcolm Bull, “the writing of [Casaubon] focuses on the past and is characterized by a chaotic and fragmentary style” (quoted in Faubert, p. 47). Michelle Faubert believes that “Dorothea views her impending marriage to Casaubon as the certain fulfillment of her desire to be subsumed in ‘a divine consciousness,’ a superhuman intellect, which she mistakenly ascribes to the merely pedantic Casaubon” (p. 50). From very early in the marriage, Dorothea begins to adjust her attitude toward her husband, suspecting that she has married a man with “a blank absence of interest or sympathy” (Eliot, p. 188). Such assessments seem perfectly accurate on the surface, but these scathing condemnations of Casaubon ignore his position of relative power in the world he has chosen for himself.

Interestingly, one critic who takes a slightly different tack is Dwight H. Purdy, who in his examination of Eliot’s repeated use of the word “poor” suggests that this epithet is used as often to describe Casaubon, as it is to describe his wife: “For every ‘Poor Dorothea,’ a ‘Poor Casaubon.’ The narrator, absolutely consistent with Casaubon, invests a great deal in the adjective’s power to arouse sympathy. Whenever it appears, it comes with a thick array of other rhetorical pleas for compassionate understanding” (Purdy, p. 810). Purdy calls for a benevolent, yet still patronizing, reading of this man.

Is all of this negative criticism fair? Do we have, when we exam-ine Edward Casaubon more closely, merely a pathetic scholar and im-potent husband? Is he deserving of only our scorn or our sympathy? Like all of the developed characters that Eliot presents in Middlemarch, the admittedly flawed figure of Casaubon is more complex than he first appears to be. Throughout the body of her work, and particularly in Middlemarch, Eliot invites examination of her characters as actual hu-man beings, complete with strengths and weaknesses and psychological complications. In my look at Casaubon, I will attempt to, as Kate Flint puts it, “engage with imaginary characters” (Flint, p. 65) as if they ex-isted in the real world. Casaubon impresses readers as a human being

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (248)

248 Letters—Literature

(a view famously shared by E. M. Forster in Aspects of the Novel), and most of these readers picture him always among his research note-books, papers, and rough drafts. This disorganized and unpublished body of work is the primary evidence used to condemn him as a failure: a failure on such a large scale as to offer Campbell the name for his patented theory of delusion.

Like his psychological make-up, however, the truly lasting ac-complishments of Casaubon’s life may be underestimated and misun-derstood. His major problems stem from his lack of progress on his academic work and from his miscalculation in his personal life. He does not question his choice of Dorothea as his wife, but he questions the very necessity for marriage. I do not agree with several popular conclusions about him, his work, and his marriage. He does not see his own life as a complete failure; his jealousy of Ladislaw and Dorothea does not stem, I would argue, from a fear of cuckolding; although he does want his Key to be published, I do not believe he sees this work as a significant scholarly contribution that must see the light of day be-cause of its transcendent truth.

Casaubon actually lives a life of luxury. He is able to pursue his academic work because of his great wealth and his nominal ecclesiasti-cal position. In fact, he is able to carry out his aggressive dislike for Ladislaw, a feeling that predates his marriage to Dorothea, in a variety of passive aggressive ways. After Dorothea first meets Ladislaw and asks about his career prospects, Casaubon snipes, “I fear that my young relative Will Ladislaw is chiefly determined in his aversion to these callings by a dislike to steady application” (Eliot, p. 75). Casaubon keeps his relative at arm’s length, and he never misses an opportunity to spread a negative opinion of Ladislaw behind his back.

Casaubon is also able to exert a great deal of influence on Doro-thea, much of it even after he has shuffled off the mortal coil. Al-though he keeps both the strength of his resentment toward Ladislaw and his suspicion of his wife’s lack of fidelity to his scholarly work secret while he is living, the amendment that he makes to his will dis-couraging the marriage between Dorothea and Ladislaw (Dorothea would be disinherited of the wealth and property from her husband if this happens), actually serves as a very formidable legacy. Casaubon clearly has looked up from his books long enough to form these opin-ions about Ladislaw and Dorothea and to act on them in his typical passive aggressive manner.

It is truly an extraordinary event when Casaubon shows up at Tip-ton Grange and commences his courtship of the youthful Dorothea Brooke. He has spent his life engaged in scholarship, interacting only rarely with fellow scholars and high Church of England officials, but

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (249)

Casaubon's Passive Aggressive Maneuvering 249

for some reason he sees the possible benefits in having a female com-panion later in his life. He quickly realizes, however, that he has made a miscalculation by proposing marriage to Dorothea:

Mr. Casaubon . . . spent a great deal of his time at the Grange in these weeks, and the hindrance which his courtship occa-sioned to the progress of his great work—the Key to all My-thologies—naturally made him look forward the more eagerly to the happy termination of courtship. But he had deliberately incurred the hindrance, having made up his mind that it was now time for him to adorn his life with the graces of female companionship, to irradiate the gloom which fatigue was apt to hang over the intervals of studious labor . . . Hence he de-termined to abandon himself to the stream of feeling, and per-haps was surprised to find what an exceedingly shallow rill it was. (Eliot, p. 57)

Even before the actual marriage, Casaubon knows, not only that his physical needs will not be met, but that he has overestimated the power of those needs. He certainly cannot go back on his decision, so he is anxious to get married merely to get back to work.

Later in the novel, when Casaubon learns of the seriousness of his health problems, and when he begins to come to terms with the reality of his rapidly approaching death, his actions do not follow the pattern of someone who is delusional. He is jealous of a possible future rela-tionship between Dorothea and Ladislaw, but his fear is based on the damage to his reputation as a scholar that will result from such liaisons. Casaubon is sure that Ladislaw is maligning his work in front of Doro-thea, and this fear, far from being delusional, is absolutely correct. On only their second meeting, Ladislaw says to Dorothea of Casaubon’s work, “it is a pity that is should be thrown away . . . for want of know-ing what is being done by the rest of the world. If Mr. Casaubon read German he would save himself a great deal of trouble” (p. 197).

Ladislaw’s continued criticism erodes Dorothea’s faith in her husband’s project, and this is the infidelity that Casaubon has always feared: “Poor Mr. Casaubon! This suffering was the harder to bear be-cause it seemed like a betrayal: the young creature who had worshipped him with perfect trust quickly turned into the critical wife” (p. 418). Casaubon sees Ladislaw not as a sexual threat, but as an intellectual threat, someone who will expose his scholarly ineptitude to his once-devoted disciple. It is to limit the damage of this attack that Casaubon adds the codicil to his will, an action that even those closest to the cou-ple misread as a fit of passion and sexual jealousy—a mean and ungen-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (250)

250 Letters—Literature

tlemanly act that inaccurately casts doubt upon his wife’s moral charac-ter—an unintended, but perhaps not a wholly undesirable consequence for Casaubon once deceased.

Casaubon’s final legal act as Dorothea’s husband is a noteworthy success if viewed from a certain perspective. He clearly detects Doro-thea’s reservations about his work and her hesitancy to have it pub-lished posthumously. The narrator tells us, of Dorothea, that “the poor child had become altogether unbelieving as to the trustworthiness of that Key which had made the ambition and the labor of her husband’s life” (p. 455). With her doubt so clear and his death imminent, Casau-bon has very few options, and he resolves on a course of action that seems to defy all earlier assessment of his character. He acts swiftly, decisively, and profoundly to try to affect a lasting influence over not so much his relationship with his wife, but his reputation. He shows Dorothea and everyone close to her the power and influence someone in his position can command. It is important to note that this action follows the pattern set by Casaubon earlier in the novel. His most im-portant and strongest feelings are always expressed through letters. This is how he proposes to Dorothea, and this is also how he continu-ally expresses his displeasure with Ladislaw, eventually forbidding him to visit Lowick. Like most people who exhibit some form of passive aggressive tendencies, passion, criticism and even reprimand of others is often expressed in absentia.

Of Casaubon’s legal action, Sir James Chetham angrily reflects, “‘I say that he has most unfairly compromised Dorothea. I say that there never was a meaner, more ungentlemanly action than this—a codicil of this sort to a will’” (p. 461). Mr. Brooke adds by way of pos-sible justification, “‘Poor Casaubon was a little buried in books—he didn’t know the world’” (p. 461). These last words particularly, spoken by the character in Middlemarch who clearly is the most delusional, ring with irony and further legitimate the idea of Casaubon’s success through absence and inscrutability.

Unlike Mr. Brooke, Casaubon actually knows the world very well and seems to understand perfectly his place in it. After all, he has lived the life of a wealthy and unencumbered clergyman and landowner. His position and his money have allowed him to remain aloof from his in-tellectual inferiors and from his sniping critics. Although his academic work is hopelessly out of step with current trends in scholarship and will never be completed or published, “Poor Casaubon” seems an inap-propriate and misleading description. He is not an isolated, threadbare scholar who dies among the stacks of his personal library without any-one noticing. He is a petty and conniving man who has the power to get what he wants, at least for a while.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (251)

Casaubon's Passive Aggressive Maneuvering 251

As I have been arguing throughout, Casaubon is not delusional, but instead he exhibits model passive aggressive behavior. The Hand-book of Personality Disorders describes the category of “passive ag-gressive personality disorder (PAG),” which is an “oppositional disorder—a DSM-IV [Diagnostic and Statistical Manual of Mental Disorders, fourth edition] category closely related to [PAG]” (Mag-navita, p. 156). People who fit into these categories are often angry and depressed, and in the example given in the Handbook, the subject mani-festing these disorders “burned out from trying to meet impossible ex-pectations . . . [and] adopted the strategy of resisting coercion at all costs” (Magnavita, p. 156). This description sounds eerily familiar to Casaubon as he is working on his Key to All Mythologies, while con-stantly frustrating all of Dorothea’s attempts to assist him. Further-more, PAG/oppositional disorder sufferers often attempt to “win by losing,” and even more relevantly to Casaubon, they enjoy sending, sometimes elaborate, messages to those they feel have wronged them, and these messages are often connected to “after-death fantasies” (Magnavita, p. 156). Once again, the behavior associated with this type of disorder accurately describes Casaubon’s actions.

Casaubon relays his displeasure toward Ladislaw always by way of letters, and he ultimately manifests his disappointment with Doro-thea through the amendment to his will. He envisions these maneuvers as capable of controlling and frustrating his principle antagonists, even in his permanent absence. Casaubon can confidently be diagnosed as suffering from PAG, but this analysis in no way suggests that he is de-lusional. The characteristics attributed to his PAG make him come across as unpleasant and off-putting to those around him, and to readers as well; however, this type of behavior also seems to be a viable de-fense mechanism for someone living in a world as complex as the intri-cate provincial society of Middlemarch. I would go even farther and say that perhaps passive aggressive behavior might be the basis for living a highly successful life, particularly in a less moral world than the one over which Eliot has artistic control.

Although Eliot was a realist, she was also a moralist; Harold Bloom suggests that she possesses “a nearly unique spiritual authority” (p. 1) among her novel-writing contemporaries. All that I am suggest-ing here is that under such circ*mstances, Casaubon’s spiteful doings are sure to be trumped by Dorothea’s near-saintly devotion to helping others. In another, less spiritual world, Casaubon would probably be even more successful than he turns out to be with his machinations.

In the infamous catechism of rational self-interest from Balzac’s Pere Goriot, the outspoken criminal Vautrin boasts, “I’m like a great poet, but I don’t write my poems: my poems are what I do, what I feel”

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (252)

252 Letters—Literature

(p. 86). No one would ever mistake the muscular, blustery, and mono-maniacal Vautrin for Casaubon, but this statement can be productively examined in relationship to both characters. Whereas Vautrin clearly comes across as a pragmatic character who does whatever he wants, Casaubon hides his personal desires within mummified layers of bitter-ness, scorn, and silence. Vautrin is clearly immoral and dangerous, but he is also inviting and intriguing to many readers because of his un-apologetic Nietzschian honesty and his larger-than-life presence. He does, however, end up imprisoned at the end of the novel, at least partly because he has chosen open rebellion against society as his primary means of self-satisfaction. Casaubon, on the other hand, while no su-perman, coolly and calculatedly lives a life with material comfort en-tirely devoted to his chosen purpose. At the end of that life, he is still able to affect many of those around him through his passive aggressive actions. His Key is never published, but his petulant letters, his aloof behavior, and his spiteful codicil constitute the cannon of his life’s work.

Casaubon’s influence is negated only by the remarkable, and somewhat unbelievable, responses to his codicil from both Dorothea and Ladislaw. Dorothea decides that the wealth she inherits from her husband can be put to better use by others, whether she ultimately de-cides to marry Ladislaw or not. Ladislaw himself, although not saintly by nature, is made nearly so by his love for Dorothea, and he too elimi-nates his cousin’s hold over him primarily through acts of altruism. Place Casaubon in the Paris of Balzac, however, and I think you have a character who wields an enormous amount of power; you also have a character who is read as being dangerous rather than delusional. His passive aggressive behavior and his oppositional tendencies would serve him well in a world ruled by narcissism and materialism.

In the end, I don’t find myself defending or even admiring Casau-bon. Instead, I simply suggest that he is often misread as a failed and laughable character. I am puzzled as to why other characters in this novel are rightly identified as complex, while Casaubon frequently is not. Such critical assessments only deal with the surface of the man, and I think do a disservice to the significant literary project that George Eliot creates in Middlemarch. Her characters do consistently come across as human beings, none more so than Edward Casaubon.

Works Cited Balzac, Honore. Pere Goriot. Trans. Burton Raffel. New York: Norton, 1997.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (253)

Casaubon's Passive Aggressive Maneuvering 253

Bloom, Harold. Introduction. Modern Critical Interprestations: Middlemarch. Ed. Bloom. New York: Chelsea House, 1987. 1-7.

Campbell, Anthony. “The Casaubon Delusion.” Anthony Campbell’s Home Page. http://www.acampbell.ukfsn.org/essays/skeptic/casaubon. html. Accessed 31 Mar 2010.

Eliot, George. Middlemarch. New York: Barnes and Nobel Classics, 2003.

Faubert, Michelle. “A Possible Source for George Eliot’s Edward Casaubon.” ANQ: A Quarterly Journal of Short Articles, Notes, and Reviews 18.2 (2005): 46-52.

Flint, Kate. “The Materiality of Middlemarch.” Middlemarch in the Twenty-First Century. Ed. Karen Chase. Oxford University Press, 2006. 65-86.

Magnavita, Jeffery J, ed. Handbook of Personality Disorders: Theory and Practice. Hoboken: Wiley, 2004.

Purdy, Dwight H. “‘The One Poor Word’ in Middlemarch.” Studies in English Literature, 1500-1900 44.4 (2004): 805-21.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (254)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (255)

Measurement of the Imaginary Index of Refraction of UOx in the Extreme Ultraviolet

Heidi M. Dumais, R. Steven Turley, and David D. Allred

Brigham Young University

Abstract We measured the transmittance and reflectance of two reactively sput-tered diodes prepared with approximately 20 nm of UOx in the extreme ultraviolet (XUV) at the Advanced Light Source at Lawrence Berkeley National Laboratory. Fitting the reflectance data to the Parratt model yielded the thickness of the UOx film. This thickness combined with a simple analysis of the transmission measurements provides estimates for the imaginary part of the index of refraction for UOx at approxi-mately every tenth of a nanometer from about 3 nm to 30 nm with em-phasis in the 12- to 13-nm range. The analysis discussed in this paper yields only the imaginary part of the complex index but will lead to a more robust analysis to find both the real and imaginary parts of the index of refraction. These values provide researchers with information for modeling, design, and fabrication of optical systems in the extreme ultraviolet.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (256)

256 Physical Sciences

I. Introduction The motivation for studying materials in the extreme ultraviolet

(XUV) includes integrated circuit applications,1 astrophysical observa-tions,2 planetary physics,2,3 and high-resolution microscopy.4,5 Photo-lithography techniques for microelectronics involve projecting an image over photo-sensitive materials to etch patterns for integrated circuits. The use of shorter-wavelength light in this process increases the resolution, leading to smaller features and faster circuits.1,6 In astro-physics, energetic processes that emit in the XUV can be studied in greater detail as better optics are developed in that range.2 In planetary science, helium ions trapped in the Earth’s magnetic field radiate in the XUV.3 As a result, images and movies of the Earth’s magnetic field have been made using XUV optics from the IMAGE satellite.7 In opti-cal microscopy, shorter wavelengths improve resolution of smaller samples with less preparation than that of electron microscopy. Under-standing the optical properties of materials in the XUV allows for the design and fabrication of optical systems that can be used for all of these applications, in addition to a better understanding of the materials themselves.4,5

Lunt8 predicted that uranium would be a useful element in XUV optical systems. Elemental uranium has been studied for application in thin-film XUV optical systems;9,10,11 however, the formation of oxides on the surfaces of uranium films makes using the pure element diffi-cult. Uranium oxides themselves can be used for similar applications with greater stability. Uranium dioxide has been studied in the visible and infrared12 but not the XUV. The constants in the XUV are often predicted (but not measured) using the independent atom approxima-tion (IAA).13 The IAA weights the optical constants of each element by its density in the compound. This approximation is most valid at high energies (x-rays) and away from band edges. Its use in the XUV for compounds is being investigated here and elsewhere.14,15,16 Programs at the Center for X-Ray Optics (CXRO) website17 typically use the IAA to calculate optical constants for the compounds, using elemental data such as that from Henke et al.13 Recent in situ measurements of the optical properties of elemental uranium in the XUV18 conflict with those recorded in the CXRO database. The following analysis simply compares the measured values with the CRXO values.

Light incident on a material can be transmitted, reflected, or ab-sorbed. An equation for the intensity of light reveals which parts of the index of refraction affect reflection and absorption:

( )tii

eIIβδ

λπ

+−⋅=

14

0 (1)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (257)

Imaginary Index of Refraction in the Extreme Ultraviolet 257

where I and I0 are the measured and incident intensity, λ is the vacuum wavelength, t is the distance the light travels, 1-δ is the real part of the index of refraction, and β is the imaginary part. From Equation (1), the imaginary part of the index of refraction gives rise to an attenuation factor that corresponds to absorption. The real part of the index of re-fraction would affect the intensity of the reflected fields.

Both the real and the imaginary parts of the index of refraction depend on the wavelength of light incident on the material. Most mate-rials, including air, strongly absorb XUV light, which ranges from 1 to 60 nm. This range of wavelengths is also highly sensitive to surface roughness and contamination. Additionally, the real part of the index of refraction for materials in this region of the spectrum lies near unity for many materials, resulting in low reflection. This is because the Fresnel coefficients depend on the difference in the refractive index between various layers. Consequently, mirrors for this region must be con-structed of layers of thin films with precise thicknesses meant to cause constructive interference between reflected fields from each interface. Figure 1 shows a simplified schematic for light incident on a four layer stack of thin films (on the nanometer scale) with reflectance at each interface. For clarity, Figure 1 does not show the multiple reflections that would occur at each interface. To properly model the reflectance and transmission of a stack of thin films, the recursive Parratt method,19 which considers the fields traveling up or down in each layer, must be used.

Figure 1: Reflection at thin film interfaces.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (258)

258 Physical Sciences

II. Background and Calibration We measured two multilayer samples at Lawrence Berkeley Na-

tional Laboratory’s Advanced Light Source (ALS). Both samples were prepared by sputtering uranium onto a silicon diode with a 7.69-nm SiO2 layer. Half of each diode was covered by a shutter to leave it un-coated for comparison; however, the first sample was reactively sput-tered (with oxygen), while the other was oxidized after sputtering.

To calibrate the measurements made at ALS, the response of the uncoated part of the diode was compared with the standard measured by the ALS beamline 6.3.2 personnel. Using Matlab, the normalized signal was given a wavelength offset to minimize the squared differ-ence between the calibration curve and our measurement. The resulting wavelength shift, 0.0038 nm, was subtracted from each wavelength measurement made. This value amounted to a negligible difference, as the precision of our wavelength measurements was 0.01 nm.

After calibration, the reflectance and transmission of the sample at various wavelengths was measured to provide data for the calculation of the index of refraction of the sample material. Measurements of the transmitted intensity are made at a set wavelength by varying the angle of incidence of the beam. Each successive run has a different wave-length, so that analysis of each run yields the index of refraction at that wavelength. The reflectance runs vary the incident angle from near grazing to near normal for a given wavelength. III. Analysis

As a result of measuring the reflected intensity from near normal to near grazing, the curves varied by several orders of magnitude. These curves show peaks and valleys in the reflectance measurement due to interference between fields that were reflected at the various thin film interfaces on the diodes. Figure 1.1 illustrates the principle behind how light incident on the top surface can be reflected at several inter-faces and yield a more intense reflected beam than would be possible with a single material layer. The angles at which the maxima and min-ima occur depend on the thickness of the layers. It is therefore possible to use the reflectance runs to calculate the thickness of each thin film layer.

The samples were prepared to be at least 20 nm thick; however, to find a more precise thickness, the reflectance data were fit to the Parratt recursive method19 including a Nevot-Croce correction factor for the surface roughness by varying the real and imaginary parts of the index of refraction and the film thickness in Matlab. This method uses the

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (259)

Imaginary Index of Refraction in the Extreme Ultraviolet 259

indices to calculate Fresnel coefficients for each interface. The thick-ness of the SiO2 layer was held constant at the measured value of 7.69 nm based on ellipsometry performed on the uncoated diodes at the BYU campus. The large changes in reflectance during a single run re-quire a weight function to prevent the optimization program from over- or under-emphasizing any one portion of the data.14 Figure 2 shows a typical reflectance run fit to the Parratt model including the weight function, the data, and the fit curve. The average thickness of the UOx layer for these runs was 21.8 ± 0.7 nm for the sample allowed to oxi-dize after sputtering, and 27.4 ± 0.4 nm for the sample that was sput-tered with oxygen. Several reflectance runs were performed on the same diode position for each sample at different wavelengths to obtain these average thicknesses and standard deviations. These thicknesses allowed for a first approximation of the imaginary part of the index of refraction based on analysis of the transmission data.

Figure 2: Typical reflectance data fit to the Parratt model using a weight func-tion.

Measurement of the transmission as a function of angle at a given wavelength provided the data for the determination of the imaginary part of the index of refraction. The wavelengths measured ranged from 1 to 40 nm in varied step sizes. As a first approximation, the transmis-sion intensity was assumed to be of the form of Equation (1), with the following simplifications:

teII αξ −= 0 (2) where I is the transmitted intensity, I0 is the incident intensity, t is the distance the light travels through the sample, ξ is a factor that includes attenuation due to reflection, surface contamination, and surface rough-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (260)

260 Physical Sciences

ness. Figure 3 shows a cross-section of the sample with these parame-ters.

Figure 3: Geometry of transmission approximation.

The distance t is given by

θsin0tt = (3)

where θ is the angle measured from grazing which assumes perfect sample alignment and t0 is the UOx film thickness. To correct for possi-ble misalignment of the sample, we add another fitting parameter to θ and substitute the expression for t into Equation (2) to get

)sin(0

φθα

ξ +−

=t

eII (4) where φ corrects for the misalignment of the sample. Fitting the meas-ured values to this model by varying the product of αt0, φ, and the product of I0ξ, we arrive at a value of αt0 for each transmission run. The value of φ was within 0.3 degrees of zero for each run. This indi-cates that the alignment was very good and that Equation (4) represents the behavior of the data relatively well.

The reflectance analysis provided a value for t0, the film thick-ness, allowing for the isolation of α. By comparing the attenuation fac-tor introduced in Equation (2) with that acquired from an expression for the intensity of the field, Equation (1), we can arrive at an equation for β in terms of α,

παλβ4

= (5)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (261)

Imaginary Index of Refraction in the Extreme Ultraviolet 261

Using Matlab, we calculated a value for β at each wavelength accord-ing to the preceding analysis. Figure 4 shows the results for the sample sputtered in the presence of O2 and the sample that was allowed to oxi-dize after sputtering. The differences in the imaginary index for these samples indicate the importance of deposition techniques on structure in determining the optical properties of thin films.

Figure 4: Measured imaginary index of refraction for sputtered UOx samples.

IV. Results and Discussion Figure 5 compares the values of the imaginary part of the index of

refraction predicted by the CXRO database for U, UO2, and U3O8 with both samples as a function of wavelength. The reactively sputtered sample seems to follow the U curve in the longer-wavelength region before dropping to the U3O8 values in the shorter-wavelength range. The sample oxidized after sputtering qualitatively matches the CXRO values for U3O8. Comparison with silicon and silicon dioxide values indicated that the presence of these elements did not influence the measurements made during this research. These data indicate that the sample that oxidized naturally formed a higher oxide, probably U3O8. The reactively sputtered sample appears to have formed a lower oxide; however, the peak in the index was shifted toward longer wavelengths for the lower-oxide sample. The IAA cannot explain this type of behav-ior in a compound’s refractive index. This indicates that further study of the lower oxide sample should be undertaken.

The analysis of the transmission data to arrive at the imaginary component of the index of refraction did not include the measured re-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (262)

262 Physical Sciences

flectance in the model. A more robust and in-depth analysis is required to confirm these results and calculate the real component of the refrac-tive index. The BYU XUV research group is continuing to analyze these data in a more robust calculation to include both transmission and reflection to find both the real and imaginary parts of the index of re-fraction. Preliminary results indicate that the approximation discussed in this paper represents the data well and therefore provides a valid and accurate method for finding the imaginary part of the index of refrac-tion.

Figure 5: Comparison of CXRO predicted beta (imaginary portion of index) with measured values for both diodes.

V. Conclusion The imaginary index of refraction for UOx has been measured for

two different sample preparation procedures. The data indicate that the index of elemental uranium does influence the compound’s index, but the IAA cannot fully predict the behavior of β as a function of wave-length. Future research will refine these results, enable us to draw con-clusions about the structure of the samples, and provide both the real and the imaginary parts of the index of refraction for UOx in the XUV range. These values will aid researchers in the modeling of XUV opti-cal systems for application to photolithography, astronomical imaging, planetary science, high-resolution microscopy, and materials charac-terization.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (263)

Imaginary Index of Refraction in the Extreme Ultraviolet 263

VI. Acknowledgments The transmission and reflection measurements needed to calculate

β were made at beamline 6.3.2 of the Advanced Light Source at the Lawrence Berkeley Laboratory by the authors, Keith Jackson, Zephne Larsen, and Alison Wells with the aid of Eric Gullikson, with beamtime granted under user contract # ALS-03197. The Advanced Light Source is supported by the Director, Office of Science, Office of Basic Energy Sciences, of the U.S. Department of Energy under Contract No. DE-AC02-05CH11231.

This research was funded by the Rocky Mountain NASA Space Grant Consortium and Brigham Young University.

References U. Stamm, “Extreme ultraviolet light sources for use in semiconductor lithography—state of the art and future development,” J. Phys. D: Appl. Phys. 37, 3244–3253 (2004). See, for example, http://www.ssl.berkeley.edu/euve/sci/EUVE.html and bibliography cited therein.

B.R. Sandel, A.L. Broadfoot, J. Chen, C.C. Curtis, R.A. King, T.C. Stone, R.H. Hill, J. Chen, O.H.W. Sigmund, R. Raffanti, D.D. Allred, R.S. Turley, and D.L. Gallagher, “The extreme ultraviolet imager investigation for the IMAGE mission,” Space Science Reviews 91, 197-242 (2000).

W. Chao, B.D. Harteneck, J.A. Liddle, E.H. Anderson, and D.T. Attwood, “Soft X-ray microscopy at a spatial resolution better than 15 nm,” Nature 435, 1210-1213 (2005).

K.A. Goldberg, I. Mochi, P. Naulleau, T. Liang, P.Y. Yan, and S. Huh, “EUV pattern defect detection sensitivity based on aerial image linewidth measurements,” J. Vac. Sci. Technol. B27, 2916 (2009). See also references therein.

D. Attwood, “Soft X-rays and extreme ultraviolet radiation: principles and applications,” Cambridge University Press, Chapter 10 (1999). See also http://ast.coe.berkeley.edu/sxreuv/2005/Ch10.pdf and http://

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (264)

264 Physical Sciences

courses.ee.psu.edu/ruzyllo/ee518/ EUV%20Presentation.ppt

IMAGE Mission EUV images available online at http://euv.lpl. arizona.edu/euv/

S. Lunt, “The use of genetic algorithms in multilayer mirror optimization,” Thesis, Brigham Young University (1999).

I.A. Artioukov, R.M. Fechtchenko, and A.L. Udovskii, Nucl. Instrum. Methods Phys. Res. Sect. A 372, 517 (2004).

D.D. Allred, M.B. Squires, R.S. Turley, W. Cash, and A. Shipley, “Highly reflective uranium mirrors for astrophysical applications,” Proc. SPIE 4782, 212–223 (2002).

R.L. Sandberg, D.D. Allred, and S. Lunt, Proc. SPIE 5193, 191–203 (2003).

Q. Chen et al. “Structural characterization and optical properties of UO2 thin films by magnetron sputtering,” Applied Surface Science 256, 3047–3050 (2010).

B.L. Henke, E.M. Gullikson, and J. C. Davis, “X-ray interactions: photoabsorption, scattering, transmission, and reflection at E=50-30000 eV, Z=1-92,” Atomic Data and Nuclear Data Tables 54 no.2, 181-342 (July 1993).

G.A. Acosta, “Scandium oxide thin films and their optical properties in the extreme ultraviolet,” Ph.D. dissertation, Brigham Young University (2007). Available online at http://www.physics.byu.edu/faculty/Allred/ CV/Theses/acosta_dissertation_6.pdf

J.B. Muhlestein, “Optical constants for Y2O3 in the extreme ultraviolet,” Thesis, Brigham Young University (2009). Available online at http://volta.byu.edu/pubs/JosephThesis.pdf

N. Brimhall, N. Herrick, D.D. Allred, R.S. Turley, M. Ware, and J. Peatross, “Measured optical constants of copper from 10 nm to 35 nm,” Optics Express, Vol. 17 Issue 26, pp. 23873-23879 (2009).

CXRO resources available online at http://henke.lbl.gov/optical_ constants/

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (265)

Imaginary Index of Refraction in the Extreme Ultraviolet 265

N. Brimhall, N. Herrick, D.D. Allred, R.S. Turley, M. Ware, and J. Peatross, “Characterization of optical constants for uranium from10 nm to 47 nm,” Applied Optics Vol. 49, Iss. 9, pp. 1581–1585 (2010).

L.G. Parratt, “Surface studies of solids by total reflection of X-Rays,” Phys. Rev. 95 (1954) 359.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (266)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (267)

Persistence of Magnetic Domain Memory Through Field Cycling in Exchange Bias Thin Films

Joseph Nelson, Brian Wilcken and Karine Chesnel Brigham Young University

Abstract The occurrence of memory effects in the formation of magnetic domains is both of fundamental and technological interest. We have probed the amount of domain memory in ferromagnetic thin films by using soft x-ray speckle cross-correlation metrology. We have found that a very strong domain memory (over 90%) can be induced in the ferromagnetic layer when sub-jected to exchange couplings with an antiferromagnetic layer. We show here the variation of the degree of memory as function of magnetic field through magnetization loop and the persistence of this memory through repeated field cycling.

1. Introduction Let’s imagine a magnetic hard disk that could be subjected to

magnetic fields of any strength and not lose its data. Among many other uses, hard disks made from such a material would be extremely

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (268)

268 Physical Sciences

useful for long-term data archives, which presently must be re-recorded every few years to protect against data degradation by external mag-netic fields. The microscopic magnetic domains in such a material would need to have some kind of intrinsic memory or ability to repro-duce a former morphology after application of a strong magnetic field. It is therefore technologically important to understand and control the fundamental properties that lead to the persistence of magnetic memory in some materials [1].

We are particularly interested here in the occurrence of memory effects in the formation of magnetic domains and their morphology throughout the magnetization cycle. A few years ago, it was found that memory effects can be triggered by the presence of structural defects in thin films [2]. When the film is smooth, the pattern formed by the mag-netic domains is completely random each time the domains form. How-ever, partial magnetic domain memory can be observed when the roughness of the sample is increased. In that case, the domains nucleate (begin forming) mostly at the same locations, that is, in the vicinity of structural defects. More recently, we have found that magnetic domain memory can be more fully controlled and optimized to almost 100% by inducing exchange couplings [3]. This effect has been evidenced in exchange bias (EB) films made of ferromagnetic/antiferromagnetic (FM/AFM) multilayers of finely adjusted thicknesses [4]. In such sys-tems, the magnetic domain memory is found to be extremely high and robust over a large extent of the magnetization process [5]. We present here results obtained on a [Co(4Å)/Pd(7Å)] IrMn(24Å) stacking, where the Co/Pd multilayer is AF and the IrMn alloy is AFM. The thicknesses have been optimized so that the Neel temperature and associated block-ing temperature of this system is about 300K. Our measurements have been performed at low temperature, below the blocking point, in a zero-field (ZFC) state so the net magnetization of the system is zero.

2. Methods To quantify the degree of domain memory in the FM films, we

have used soft x-ray resonant magnetic scattering (XRMS) metrology. The XRMS technique was developed relatively recently [6], using the interaction between polarized light and magnetization in matter [7]. Essentially, the x-rays are tuned to the magnetic resonant energy of the material so that the scattering pattern generated is unique to the mag-netic morphology of the sample.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (269)

Persistence of Magnetic Domain Memory 269

Fig. 1. (a) Sketch of the coherent x-ray resonant magnetic scattering experi-ment. The sample (not to scale) is here mounted in transmission geometry. Under the illumination of coherent x-rays, it produces a speckle pattern col-

lected on a charge-coupled device (CCD) camera. (b) Cross-correlation pattern resulting from cross-correlating two scattering patterns similar to the one

shown in (a).

In our experimental setup, shown in Figure 1(a), the x-rays irradi-ate the sample in transmission such that the magnetization in the mate-rial is parallel to the beam. The magnetic domains scatter the x-rays laterally, which are detected by charge-coupled device (CCD) [8]. The pattern formed by the coherent x-rays is called a speckle pattern and is unique to the exact microscopic configuration of the magnetic domains, as its amplitude is related to the true Fourier Transform of the magnetic profile.

Because the speckle pattern is unique to the exact pattern formed by the domains, the similarity between two speckle patterns is indica-tive of the similarity between the respective domain patterns. We use this fact to measure the memory in the system by quantifying the simi-larity between speckle patterns and, ultimately, the “degree of memory” ρ. To estimate ρ we use the technique of speckle cross-correlation [9]. The technical aspects of this approach and all the optimization steps are presented in detail elsewhere [10]. Briefly, if A and B are two distinct images, cross-correlating A and B is symbolized by the notation A B⊗ , and results in a correlation pattern as shown in Figure 1(b).

The intensity of the peak in the center of such pattern indicates the similarity between the two images. We then integrate the peak in this cross-correlation result and normalize the integration by the cross-correlation of A with itself ( A A⊗ ) and B with itself ( B B⊗ ) as follows:

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (270)

270 Physical Sciences

.

A B

A A B Bρ

⊗=

⊗ ⊗∑

∑ ∑

We refer to ρ as the degree of correlation, which translates here as the degree of memory. If A and B are exactly the same image, ρ will be equal to 1, the highest possible correlation value. If the two images are extremely different, ρ will be near zero. Thus, ρ provides an intuitive measurement of the domain memory of the sample.

3. Magnetic memory through magnetization loop To obtain our scattering patterns, we demagnetized our EB film at

high temperature, then performed a zero-field cooling (ZFC) down to low temperature to enhance exchange couplings in the material. We then recorded speckle patterns at different values of applied magnetic field, H, along the magnetization loop, shown in Figure 2(a). This mag-netization loop, plotting the net magnetization of the film, M, as a func-tion of the magnetic field H, was measured by vibrating sample magnetometry (VSM) at Brigham Young Uuniversity, in the ZFC state at 20K. The fact that the descending branch does not match the ascend-ing branch reveals a hysteresis effect, characteristic of FM materials. The amount of hysteresis at M=0, called the coercive field, is here about 30 mT. The saturation field on the ascending branch is about 350 mT and the nucleation field is about 50 mT, when descending from positive saturation. At saturation, all the magnetic moments are point-ing in the same direction, so the magnetic profile of the FM film is flat and no magnetic feature can be observed in the scattering signal. A magnetic scattering signal (or magnetic speckle pattern) only occurs at nucleation when domains nucleate and start to propagate. While the field increases along a given branch of the magnetization loop, the magnetic scattering signal is intensified and peaks at the coercive point, then decreases and fades away at the opposite saturation. We have re-corded magnetic speckle patterns at several points along each branches of the hysteresis loop. We repeated this measurement for several cy-cles, in order to cross-correlate speckle images taken at the same point on the hysteresis loop but separated by one or more cycles through the loop. The result of cross-correlating two images taken at the same field and separated by one or more cycles is called return-point memory (RPM). One interesting question is to understand the behavior of the RPM along the magnetization branch and if the behavior remains symmetrical.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (271)

Persistence of Magnetic Domain Memory 271

Figure 2. (a) Magnetization loop of our [CoPt]IrMn film measured by VSM, after ZFC cooling at 20K, with indication of nucleation, coercive and saturation

points, respectively Hn~ 50 mT, Hc~ -30 mT and Hs~ 350 mT. (b) Resulting degree of magnetic memory ρ for RPM, evaluated on the ascending branch (right curve) and descending branch (left curve) of the magnetization loop.

Results from our analysis are shown in Figure 2(b). Here, we cross-correlated scattering patterns separated by one field cycle. The result on the ascending and the descending branches are plotted to-gether in Figure 2(b). First, we observe an extremely high domain memory, above 90%, meaning that the magnetic domains are returning to about 90% of the same morphology before and after the application of a full field cycle. This high degree of memory is obtained when the magnetization (on the vertical axis in Figure 2(a)) is near the coercive region. Second, we observe that the degree of memory varies with the magnitude of the applied field. Along the ascending branch, for exam-ple, going down from positive saturation toward negative saturation, it starts at a low level, about 0.35, at nucleation (when the first domains form), then peaks to 0.9 in the coercive region, and finally decreases again down to below 0.4 when the sample goes toward negative satura-tion. This low–high–low behavior is noteworthy because it is consistent with an exchange-coupling-induced magnetic memory as outlined in our recent paper [3]. It is interesting to note that this behavior differs from the memory observed in the rough films was highest at nucleation and relatively low in this coercive region [2]. Third, we observe that the behavior of RPM along the ascending and descending branches is fairly symmetrical, which is consistent with the symmetry of the mag-netization loop itself. Some minor differences observed on the extremi-ties of the branches, for example at H = 0, can be explained by an artificial bias resulting from instrumental limitations—the intensity of the scattering signal being very low, close to saturation, the signal-to-noise ratio is fairly poor at these extremities.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (272)

272 Physical Sciences

4. Magnetic memory through field cycling Next, we wanted to know how robust this memory was after more

than one field cycle. We collected scattering patterns at three specific field values (H = 0, 75, and 150 mT), and repeated the measurement after one cycle, two cycles, and up to five field cycles separation. We then cross-correlated the patterns based on the number of field cycles separating them. We quantified the amount of RPM but also the amount of conjugate-point memory (CPM), where images on the de-scending branch are correlated with their conjugate images on the as-cending branch. For example, if an image were taken at 75 mT, it would be correlated with an image taken at -75 mT after a half-loop cycle.

Figure 3 shows our results, measured for the three points H = 0 (nucleation), H = 75mT (coercive point), and H = 150 mT (above coer-cive point). We observe a very high RPM, above 95%, at the coercive point, as indicated in Figure 3(a). We also observe that both RPM and CPM are pretty high in the coercive plateau region (H ~ 75 mT up to 250 mT). Both RPM and CPM are found to be above 90% in that re-gion and also decreased very little after repeated field cycling. The lower value observed at H = 0 for CPM is potentially due to a combina-tion of an experimental bias effect in the film caused by presence of an extra in-plane component in the applied field and an artificial bias caused by low signal-to-noise ratio at nucleation. More importantly, we find that for each given field value, the degree of correlation stays fairly stable, decreasing very little after repeated field cycling [11]. This sta-bility reveals that the magnetic domain memory is very robust through-out field cycling.

Figure 3. (a) Degree of RPM trough field cycling at H = 0, 75, and 150 mT.; (b) Degree of CPM trough field cycling at H = 0, 75, and 150 mT (a number N=1.5

means a separation of one cycle and a half, etc.)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (273)

Persistence of Magnetic Domain Memory 273

5. Conclusion In conclusion, we observe extremely high magnetic domain mem-

ory in our exchange-bias thin films. Not only are the domains over 90% reproducible after cycling through the hysteresis loop, but they con-tinue to be just as reproducible after repeated field cycling. Such sys-tems would be extremely useful for long-term data storage, as well as applications in which saturation by magnetic field is likely. In these applications, the information stored could not be erased by magnetic fields when below the blocking temperature.

Acknowledgments We thank Matt Carey and Eric Fullerton for preparation of ex-

change bias films and Steve Kevan for valuable discussions about the cross-correlation methods and results. We acknowledge the Advanced Light Source, at Berkeley, California, who made the experiment possi-ble. We recognize Brigham Young University’s Office of Research and Creative Activities (ORCA) for the monetary support for the VSM in-strumentation and for the research time.

References [1] H. Richter, “Density limits imposed by the microstructure of

magnetic recording media,” J. Magn. Magn. Mater. 321, 467–476 (2009)

[2] M. S. Pierce et al., “Disorder-induced magnetic memory: Ex-periments and theories”Phys. Rev. B 75, 144406 (2007).

[3] K. Chesnel, E. E. Fullerton, M. J. Carey, J. B. Kortright, and S. D. Kevan, “Magnetic memory in ferromagnetic thin films via exchange coupling,” Phys. Rev. B 78, 132409 (2008).

[4] S. Maat, K. Takano, S. Parkin, and E. Fullerton, “Perpendicular exchange bias of Co/Pt multilayers,” Phys. Rev. Lett. 87, 087202 (2001).

[5] K. Chesnel, J.A. Nelson, S.D. Kevan, M.J. Carey, and E.E. Fullerton. "Oscillating spatial dependence of domain memory in ferromagnetic films mapped via x-ray speckle correlation." Phys. Rev. B 83, 054436 (2011)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (274)

274 Physical Sciences

[6] F. de Bergevin and M. Brunel, «Diffraction of X-rays by mag-netic materials» Acta. Cryst. A. 37 (1981)

[7] M. Blume, “Magnetic scattering of X-rays” J. Appl. Phys. 57, 3615 (1985)

[8] K. Chesnel, J. J. Turner, M. Pfeifer, and S. D. Kevan, “Probing complex materials with coherent soft X-rays,” Appl. Phys. A-Mater. Sci. Process. 92, 431–437 (2008).

[9] M.S. Pierce, et al. “Disorder-induced microscopic magnetic memory”, Phys. Rev. Lett. 94, 017202 (2005)

[10] B. Wilcken, “Magnetic Memory in Exchange Bias Thin Films” senior thesis, Brigham Young University, Department of Physics & Astronomy (2009)

[11] J. Nelson, “Spatial and temperature dependence of magnetic memory induced by exchange couplings”, senior thesis, Brig-ham Young University, Department of Physics & Astronomy (2010)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (275)

Rare, Though it Shouldn’t Be: A Virgin's Perspective on Sexual Activity

CoCo James, Andrea Santurro, and Spencer Blake Salt Lake Community College

Abstract In 2009, a survey was given at Salt Lake Community College (SLCC). This survey was a replication of a study previously given at Truckee Meadows Community College (TMCC) in 1988. It surveyed attitudes on first sexual experience of sexual intercourse. Because of the sensi-tive nature of the survey, accommodations were made to facilitate stu-dent anonymity. To avoid sampling only those who would be willing to indicate that they have had sex by participating in the survey, a section was created for those who had not yet participated in sexual inter-course. This section was not in the original TMCC survey. This work is related to the responses that the additional section created. The survey showed the reasons students gave for not participating in sexual inter-course. It also showed that just because that hadn’t participated in in-tercourse, that didn’t mean they were sexually inactive.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (276)

276 Social Sciences

In 2009, a survey was given at Salt Lake Community College (SLCC) (James et al. 2009) This survey was a replication of a study previously given in 1988 at Truckee Meadows Community College (TMCC) in Reno, Nevada (Stroub 1988). Information was gathered in both surveys about students’ first experience of sexual intercourse; the age at which it took place, the nature of the relationship in which it occurred, and the psychological imprint left on the participants. The 2009 SLCC survey was conducted to compare the responses from stu-dents on the other side of the Great Basin against those on the Wasatch Front, two decades later.

Because of the sensitive nature of the survey, accommodations were made to facilitate student anonymity. One of those accommoda-tions forms and creates the foundation of this paper. To avoid sampling only those students who would be willing to indicate that they had had sex by participating in the survey, a section was created for those who had not yet participated in sexual intercourse. Thus, the survey could be passed out to all of the students,1 regardless of their level of sexual experience. Those who had had sexual intercourse could fill out one section. Those who had not had sexual intercourse could fill out a dif-ferent section. In this way, each respondent could participate in the survey without “announcing” to others around them (by participating in the survey) their own personal experience. This additional section was not in the original TMCC survey.

This section provided some interesting data on the attitudes of those who had not participated in sexual intercourse. It showed how they viewed themselves, as well as how they felt society viewed them. It revealed what sexual activities they had participated in. It disclosed some of their concerns and some of their reasons for abstinence. It also allowed the participants to express their attitudes about birth control and STDs. These responses have given insight into “the college virgin,” at least those at SLCC.

Results Three main attitudinal patterns emerged in the study. First, a ma-

jority of respondents listed religion as the main factor explaining why

1 To create a random sample, classes were selected from SLCC General Education courses. This would give a broad-based student sample from the college. Classes that were selected included Anthropology, Education, English, History, Math, Philosophy, Psychology, and Sociology.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (277)

Much Ado About Nothing: A Virgin's Perspective on Sexual Activity 277

they had not participated in sexual intercourse. Second, just because a respondent hadn’t participated in sexual intercourse did not mean that he or she was completely inactive sexually. Finally, these students were proud and felt a sense of accomplishment that they had abstained from sexual intercourse to that point in their lives. The Virgin Label

Given the strong message that mass media sends to youth that sexual activity outside of marriage is expected and acceptable, why are some college students abstaining? Can they not find a suitable partner? Have they not yet had the opportunity? Are they waiting until mar-riage? Have they been afraid of contracting sexually transmitted dis-eases (STDs)? Do they have medical concerns? Or, have they adopted a different message than the one portrayed by mass media?

To the question “Why have you not participated in sexual inter-course?” each respondent could check all the answers that applied to them (Table 1). Consequently, the total percentage could and does equal greater than 100%. Respondents marked “waiting until mar-riage” more often than any other reason for their current celibacy (79.3%).2 The next most common response (76.2%) was “religious beliefs,” with just over three out of every four respondents indicating this as their reason for not having sexual intercourse. The next highest was “haven’t found the right person,” with just under half (41.5%) of the respondents selecting this reason.

By far, the most common attitude conveyed in the survey was a religious belief about abstaining from sexual activity. These results mirror those of other studies that focused on sexual behavior and reli-gious attendance. Tim B. Heaton and Cardell K. Jacobson’s 1994 study showed that strength of religious beliefs, along with frequency of church attendance, influenced and delayed first intercourse in the re-spondents. In 2003, A.M. Meier’s work showed that adolescent girls who attended church regularly delayed participation in sexual inter-course. Also, studies have indicated that lower alcohol consumption is related to less risky sexual behavior and strongly held religious beliefs often lower alcohol consumption in individuals.

2 92.7% of this group indicated “religious beliefs” as their reason for waiting until mar-riage.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (278)

278 Social Sciences

Table 1. Why have you not participated in sexual intercourse?

Male Female Total

Religious beliefs 37.3% 38.9% 76.2%

Haven't had the opportunity 6.7% 5.2% 11.9%

Haven't wanted to 7.8% 16.1% 23.8%

Waiting until marriage 35.3% 44.0% 79.3%

Afraid 7.3% 11.4% 18.7%

Haven't found the right person

21.8% 19.7% 41.5%

In a follow-up question, “If religion was a factor, what is your re-

ligious affiliation?”, the Church of Jesus Christ of Latter-day Saints (LDS) was cited 68.9% of the time. Only 4.8% listed a faith different than LDS; however, it should be noted that 19.2% left that question blank. There were also 7.1% of the responses that were illegible.

The Bill Clinton Effect

Although the respondents reported that they had not yet partici-pated in sexual intercourse, this did not mean that they had completely abstained from sexual activity. In fact, about two out of every three had participated in some form of sexual behavior (Table 2). Over half of the respondents (50.3%) reported “touch over clothing,” 40% re-ported “touch under clothing,” and 14.5% had participated in oral sex. Only 37.6% indicated that no sexual activity had occurred.

Another interesting attitude that emerged was in regards to birth control. The most common response from SLCC virgins about which form of birth control they planned to use someday was “the pill.” In contrast, the sexually experienced respondents reported the most com-mon response as “condoms” (James et al. 2009). This difference might be in that the sexually active respondents viewed the condom as both birth control and a way of preventing STDs, whereas the virgins weren’t personally concerned with spreading or catching STDs since they weren’t sexually active.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (279)

Much Ado About Nothing: A Virgin's Perspective on Sexual Activity 279

Table 2. Sexual activities in which you have participated

None 37.60%

Touch over clothing 50.30%

Touch under clothing 39.90%

Mutual masturbation 17.10%

Masturbation 31.10%

Oral sex 14.50%

Phone/Internet sex 8.80%

Other 3.50%

Condoms are closely associated with the idea of “safe sex,” and a

majority of the virgins in this study do not expect to be at risk, because of their own abstinence and the expected absence of STDs in their fu-ture partner. As one respondent put it when asked about STD preven-tion in the future, “He is going to be a virgin. ☺” In fact, as many people cited some form of abstinence as their plan to prevent STDs as those who cited condom use.

Proud to Still Have My Innocence

Most respondents held positive views about themselves for their virginity. They felt a sense of accomplishment. They stated that their decision to remain celibate was a good choice, one that set them apart from the crowd. It was a decision that would be beneficial to them in the future. When asked how they felt about their virginity, typical re-sponses were “happy to be clean,” “proud to say I’m a virgin,” “glad I haven’t, just to say I have,” and “I am unique and not a tramp.” Some responses indicated a willingness to wait until marriage, “I’m excited to wait for that special occasion,” and “the smart choice: marriage.” Oth-ers noted the difficult nature of this choice, saying, “tough but worth it” and “curious but willing to wait.” Still others had a different view of celibacy, “I’m not some sex-addicted gigolo” and “I feel awesome for not giving in to vagin*l tyranny.”

One interesting observation was the communicative nature of the respondents. They underlined words, wrote in the margins, drew sym-bols (such as smiley faces), and commented at length. They seemed very anxious to express that their virginity was the result of a personal choice, and not that they were socially awkward in some way. In gen-eral, they were intent on conveying their religious beliefs about sexual

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (280)

280 Social Sciences

activity and pride in their personal choice to abstain from intercourse. A handful of respondents felt diminished in some way by their lack of experience, but even they did not want to convey desperation. As one respondent put it, “Just because I haven’t done it don’t mean I haven’t done crazy things.”

Conclusion

One could conclude that religion plays a significant socialization role in forming sexual attitudes and influencing sexual behavior. Al-though mass media is a powerful influence, religion and its message of abstinence until marriage is still playing a role in the choices of about two thirds of SLCC students who remain celibate. These students fell outside of the societal norm, and they understood that. They were still willing to wait, and a good portion of them referred to their religious values as the reason. Specific religious vocabulary was used in their descriptions of their feelings, and specific religious practices were cited as factors in their decisions.

Being a virgin is not the same as refraining from all sexual activ-ity. To a majority of the respondents, intercourse is much different from other forms of sexual activity. The respondents still considered themselves virgins if they had participated in activities such as mutual masturbation or oral sex. The term “sexual activity” is far broader than the term “sexual intercourse.” Some respondents, who had participated in activities such as mutual masturbation and oral sex, described feel-ings of pride in their virginity. Still others had resisted more activities but felt less pride in their abstinence.

Nonetheless, those who embraced the abstinence message had in-ternalized it. They fully recognized and acknowledged the difficulty of remaining celibate given the messages they receive on a daily basis; however, they expressed their desire to withstand those messages. They conveyed that their virginity was a deliberate choice and not the result of circ*mstance. Most of them see themselves as different, unique, and even special. As one respondent reflected, “Rare, though it shouldn’t be.”

References James, CoCo, Cunningham, Richard, and Blake, Spencer. Survey of first experience of sexal intercourse. Journal of the Utah Academy of Sciences, Arts, and Letters 86:287-305, 2009.

Stroub, Dee. Survey of First Experience of Sexual Intercourse (Reno,

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (281)

Much Ado About Nothing: A Virgin's Perspective on Sexual Activity 281

Truckee Meadows Community College, 1988).

Heaton, Tim B., and Jacobson, Cardell K. 1994. Race differences in changing family demographics in the 1980s. Journal of Marriage and the Family 15-290-308.

Meier, A.M. 2003. Adolescents transition to first intercourse, religios-ity, and attitudes about sex. Social Forces 81(3): 103-25.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (282)

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (283)

Americanization of Russian Culture and Its Effects on English Language Acquisition in that Country

Olga A. Pilkington Dixie State College

Abstract This paper examines linguistic and cultural changes that took place in post-Soviet Russia and analyzes them in relation to the acquisition of English as a foreign language in that country. The research reveals the link between Americanization of Russian culture and English language learning. According to the data collected for this project, Americaniza-tion of Russian culture has a positive effect on English language acqui-sition. The findings demonstrate that exposure to culture alone (not supplemented by formal instruction) is sufficient to acquire some Eng-lish language vocabulary. The effect of Americanization is not genera-tion specific and influences older and younger members of the society alike.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (284)

284 Social Sciences

Introduction Since the fall of the Soviet Union in 1991, Russian culture has

been gradually westernized by the increased freedom of travel abroad, more frequent visits by European and American tourists, the availabil-ity of foreign media, and other factors, but mostly by the desire of the Russian people to catch up with the rest of the western world in the field of consumer goods and services. Cultural changes in modern Rus-sia are numerous; many travelers to the country comment that by now big Russian cities are not much different from major American or European capitals. The most visible change in Russian culture, how-ever, is the influence of modern American culture. Every major Rus-sian city now has a MacDonald’s, a multiplex cinema, shopping malls. Many people in Russia are just as curious about the lives of Hollywood stars as the Americans, and many people aspire to look and to behave just like their American idols.

The effects of globalization and Americanization are vast and complex. They can ignite debates on both sides of the ocean. It is not the purpose of this study, however, to analyze all the spheres of Ameri-can influence on Russian culture; the focus of the present work is to look at the effects that Americanization is having on English language acquisition in Russia and to determine whether these influences are positive or negative, generation specific or universal.

First of all, it is explicit that the cultural changes that the Russian Federation has undergone in the last two decades have influenced the foreign language teaching practices. The availability of authentic teach-ing materials alone has had a huge positive effect on teaching English as a foreign language. Classroom acquisition of English changed from memorization of reading rules and irregular verbs to learning how to communicate using the language. English language teaching abandoned the use of anti-western propaganda and turned to western culture in general and American culture in particular for examples of language use in everyday life.

The language classroom in Russia is not the only place where one can get a good dose of Anglophone culture. The media has become saturated with Americanized television shows, copy-cat situation comedies, and Hollywood blockbusters dubbed into Russian, not to mention Russian versions of popular American magazines, translations of current best sellers, and the access to the Internet. Over the years, all of these have created a Russian culture that is heavily influenced and dependent on American tastes and views.

As Claire Kramsch, an expert on foreign language acquisition, points out, “It is a truism to say that teaching language is teaching cul-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (285)

The Americanization of Russian Culture 285

ture” (p. 177), but does easy access to culture facilitate acquisition? This is the question I will attempt to answer in this study.

Method

Participants This work is based on the information provided by three partici-

pants who all are native speakers of Russian and have been living in Russia all their lives. The participants include two adults and a child. The names of the participants have been changed for privacy purposes:

Nina, a 58-year-old chemist, has limited English language profi-

ciency. She has studied English at a university as an undergraduate student as is currently taking English language classes for adults.

Aleksei, a 57-year-old professor of chemistry has never studied English.

Tatiana, a 10-year-old public school student has been learning English for three years in school.

Design

This was a qualitative research study based on interview data col-lected via phone conversations. Each participant was interviewed over the phone using focused conversation techniques described in Corbett (2003, pp. 121–123). These techniques include avoiding any kind of evaluation during the interview, encouraging the respondent to provide the information her or she wants instead of asking leading questions, and interviewing each subject several times. During the interview analysis, nonverbal responses such as voice pitch were also taken into consideration.

Each subject provided information relevant to different parts of the study. For example, the interview with Aleksei helped to determine whether someone who has never studied English could acquire English-language words exclusively by being exposed to Americanized culture. The interview with Nina provided data about adult learners of English and how they might be influenced by the Americanization of Russian culture. Tatyana’s responses serve as a examples of a new generation of English-language learners who grow up in the new Americanized cul-ture.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (286)

286 Social Sciences

Procedure All of the interviews were conducted in Russian and later tran-

scribed and translated into English. This work will use only English translation of the transcripts.

Subjects’ interviews lasted about an hour each. During the inter-views, the subjects were first prompted to talk about American influ-ence on Russian culture in general and then to speak about any linguistic influence they noticed (if any). Later in the interviews, each subject was asked to respond to a few questions specific to his/her background in English-language learning.

Although the interviews differed depending on the subject’s background, some questions were the same for all three subjects. Eve-ryone was asked to provide specific examples of English-language ac-quisition through exposure to Americanized Russian culture. All participants were asked whether exposure to Americanized Russian culture had influenced their English-language acquisition.

Results

The major question of this study is whether the Americanization of Russian culture affects English-language acquisition in that country, and if so, whether the influences positive or negative. The interview data collected clearly demonstrate a link between modern Russian cul-ture and English language acquisition. In the case of Aleksei, the acqui-sition of English vocabulary takes place unnoticeably and without formal instruction; to some extent, it is involuntary:

Aleksei: I watch the news and read [news articles] on the Internet. Most of the political and computer-related terms are not Russian words.

Interviewer: Really?

Aleksei: Yes, they are from English, because all of it comes from America. All computer terms and political terms are the same as in America. Interviewer: What words are you talking about?

Aleksei: “Electorate,” “impeachment,” “speaker,” “user,” “ac-count,” “spammer.”

Interviewer: Interesting… What does “account” mean in

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (287)

The Americanization of Russian Culture 287

Russian?

Aleksei: When you are on the Internet, you open a website and you have to sign in. “Account,” it is like your information on the Internet. There is a Russian word for it, but it is not used. One has to say “account.”

This interview fragment demonstrates several things. First of all, Aleksei has learned some English vocabulary without any formal in-struction and solely from exposure to the Americanized culture. His explanation of the word “account” shows that the meaning in English and in Russian is identical, and it is very likely he will not have any trouble at all transferring this word from his Russian vocabulary into an English one if the need arises.

Second, Aleksei realizes that he has acquired words from a for-eign language. Such vocabulary as “user,” “account,” and “spammer” is not considered Russian by the participant. In fact, he labels them “not Russian words” and demonstrated knowledge of their origin.

Lastly, Aleksei shows disappointment that the Russian word for “account” is not used any more. He acknowledged it not only verbally, but also by the change in the manner of speaking and the pitch of his voice. He sounded irritated and upset.

This last bit of information in combination with the fact that Alek-sei has never shown interest in formal English language instruction allows one to suppose that, in his case, acquisition of English vocabu-lary is involuntary; however, Aleksei has acquired the words and uses them frequently whenever appropriate. Without this vocabulary, some of his daily activities such as watching the news and surfing the Inter-net would become frustrating since he would not be able to understand and process the information as effectively as he does now. Aleksei also noticed that English words have become popular in aspects of culture other than politics or computers. An example he gave from his every-day life illustrates how Russian culture becomes more and more Americanized as more English vocabulary flows into the Russian lan-guage. As Russia implements an education reform that will make the Russian higher-education system more similar to an American one, new words enter the lexicon of professors and students. Aleksei gives an example:

Aleksei: Everyone now says “campus.” It is like in America. They call it “campus” now, not “student’s town.” Everything is being renovated, and it is now “campus.”

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (288)

288 Social Sciences

This statement clearly links sociocultural changes in modern Rus-sia with the increase in word borrowing from English. The use of newly borrowed words demonstrated by Aleksei allows classifying this new vocabulary as “nonce borrowings.” According to Paradis and Nicoladis (2007), nonce borrowings constitute a “single lexeme insertion into a phrase in a clause where all other elements come from the other lan-guage” (p. 284). This is exactly the use that Aleksei himself demon-strates, and he suggests that others do the same.

In Aleksei’s mind, structural renovations of universities are linked to lexical borrowings from English. Because renovations are done in an American style, it is not surprising that the new labels are borrowed from English.

While it is obvious (as Aleksei demonstrates) that to function properly in a modern Russian society one has to acquire some English-language vocabulary, it is not as clear whether the American influence on Russian culture and language is of any assistance to those who learn English with the help of formal classroom instruction.

The interviews with Nina and Tatyana provide the data necessary to answer this question.

For Nina, “It is easier to study words that one has already heard. Easier to comprehend something that sounds familiar.” Tatyana has a similar view, “Sometimes the teacher tells us the new words to learn, and I know I have already heard one or two of the words, but I don’t know how to translate. I just know that they sound familiar, and it is easier to remember them when I learn the translation.”

Both comments indicate that exposure to English-language vo-cabulary in everyday life is beneficial when it comes to formal instruc-tion. In some ways, knowledge of American culture and knowledge of even limited English vocabulary that inevitably comes with it create a sort of background knowledge that, once accessed, speeds up acquisi-tion. What both Tatyana and Nina describe are examples of cognitive strategies such as auditory perception, elaboration, and transfer. All of them are based on tapping into previous knowledge and using it to cope with the new information (Brown, 1994, p. 177).

The Americanization of Russian culture has provided not only an infusion of random English words into Russian language, but it has also accomplished much more. It has minimized the perceived social dis-tance between the two cultures and, by doing so, eased the process of acquisition (Acton, 1979, cited in Brown, 1994, pp. 179–180). Per-ceived social distance is the attitude one has about the differences be-tween two cultures. The shorter the perceived social distance, the easier it is to learn a foreign language (Brown, 1994, p. 180–181).

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (289)

The Americanization of Russian Culture 289

During the interviews, Nina and Tatyana demonstrated different ways of presentation of self. Nina always used the first-person singular pronoun when discussing her experience, even though she attended an English-language class with 10 other people. Tatyana preferred to use the first-person plural pronoun when talking about her experiences. This allows an assumption that, while Nina’s English-language learning experience is associated with her individual discoveries of American culture, Tatyana’s experiences are linked to school and to classroom acquisition, but not to her individual observations. Different realiza-tions “of communicative orientation” can not only signal sociocultural differences between participants but can also help determine the par-ticipants’ views of the subject discussed (Corbett, 2003, p. 124).

While Tatyana associated learning English only with her class-room experiences, she demonstrated knowledge, usage, and acquisition of the English language outside the classroom as well. During the in-terview she singled out several English words as “every day” and “common” to her. These words were “shopping,” “Okay,” and “cool.” Tatyana also indicated that on several occasions in the company of her classmates, she used code-mixing (mixing two or more languages in speech) incorporating the above words. She claims to have done so for comic effect. When asked where she learned these words, Tatyana re-sponded that she could not remember; however, she provided an exam-ple of how she first encountered the word “shopping”—it was written on one of her T-shirts and her mother told her what it meant.

The use of codemixing and the inability to clearly identify the ori-gin of acquisition of certain words indicates that they are very likely entering the vocabulary through Americanized Russian culture, as the “shopping” example demonstrates.

Tatyana also showed an interesting notion not expressed by other participants that American culture is not foreign to her. In fact, in some instances, she failed to separate American/Western and Russian cul-tures. For example, she showed great surprise when she was told that Finding Nemo—her favorite animated film—was a Disney cartoon. She said she did not know that. To her it was Russian. Tatyana also did not see Harry Potter as an English boy; in her mind he was not a foreigner.

On the other hand, Aleksei and Nina—the older participants—drew clear lines between Russian and foreign. Aleksei was aware of the origins of the new words in his vocabulary and showed open remorse for the abandonment of their Russian equivalents. Nina’s examples of separating Russian and foreign in her environment include an example of visual culture. When asked about the textbook she used in her Eng-lish class, Nina said that she did not like it because of the way it was organized. She pointed out that she was unhappy about the text being

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (290)

290 Social Sciences

separated into a workbook containing exercises and a textbook contain-ing grammar explanations. She said that this separation so popular in Western published English as a Second Language materials felt foreign to her and was inconvenient. She said it would have been easier for her to study if the new grammar and the exercises were side by side in one book—the way that it common for Russian-language materials.

Both Nina and Aleksei noticed that Americanization of Russian culture tended to elevate the status of English and to diminish the status of the Russian language. The examples they gave included names of new businesses that used English words such as “Elegance,” “Holly-wood,” and “Saloon” instead of Russian words. Aleksei also said that most of the time such names would be spelled with a combination of Cyrillic and Roman alphabets. As Corbett (2003) explains, it is com-mon for a westernized culture to use the Roman alphabet “for its picto-rial qualities” (p. 159). He also points out that, “In cultures aligned to the West, English is often used to glamorise a product or service being sold to the public” (p. 160).

Discussion

Judging by the responses and the experiences of the participants in this study, the Americanization of Russian culture has a definite ef-fect on the English-language acquisition in that country. All of the par-ticipants indicated some degree of familiarity with English that they have acquired through the surrounding environment. Aleksei is proba-bly the best example since he has never studied English formally and his knowledge of English vocabulary is due exclusively to the Ameri-canization of the Russian society.

While Tatyana is the one who demonstrated the strongest connec-tion between modern Russian culture and English-language acquisition, the fact that Nina also noticed some changes in her English studies in-dicates that the effect is not generation specific. However, the younger members of the Russian society probably benefit the most because they grow up in the Americanized culture and accept some of its Anglo-phone elements without questioning.

Corbett (2003) suggests that “Information exchange is culturally shaped” (p. 127). Modern Russian society is a good example of this statement. As Aleksei indicated, it has become impossible to exchange and to process information without the knowledge of at least some Eng-lish-language vocabulary. Americanization of Russian culture has brought about not only social, but also linguistic changes. According to the Whorfian hypothesis, grammar can influence our thought process and thus language can in some ways dictate culture, but the current

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (291)

The Americanization of Russian Culture 291

cultural situation in Russia demonstrates the opposite—cultural changes dictate linguistic ones.

The opinions about cultural changes in Russia differ; however, none of the participants indicated animosity toward Americanization of the culture in general. Aleksei was the only one who voiced his dissat-isfaction with the usage of nonce borrowings such as “account” and “campus.” An example of the same participant’s acceptance of other aspects of Americanized Russian culture, on the other hand, is his fa-vorite television program—Happy Together—a Russian-language ver-sion of the American sitcom Married with Children. As Clifford J. Levy (2007) describes it, “The show is an authorized copy of the American sitcom ‘Married With Children,’ with a Russian cast and dialogue but scripts that hew closely to those of the original” (p. 1). Happy Together is not the only recent example of the popularity of American sitcoms in Russia. My Fair Nanny (The Nanny) and The Vo-ronins (Everybody Loves Raymond) are now part of Russian culture. When such shows air, it is not a secret that they are copied from American originals; in fact, very often viewers get so interested in the prototype that the Russian producers discuss inviting the original stars.

Cultural and linguistic changes go hand in hand. As Seelye (1994) writes, “When for one reason or another members of one language community are forced to function either within or alongside another language, both their language and way of life inevitably change” (p. 4). As Russian participants demonstrate, “cultural community” can be eas-ily substituted for “language community,” and “another language” can become “another culture” without altering the meaning of Seelye’s phrase. Seelye also suggests that in the situation he describes above there is a “considerable positive correlation between linguistic change and social change” (p. 4). Again, as the participants in the study indi-cate, “considerable positive correlation” also exists between cultural change and linguistic opportunities for the people of new Russia.

It is clear that there is a correlation between the Americanization of Russian culture and English-language acquisition. This correlation is positive and not constricted by generation divides. It can be explained by the sensitivity of community members to language patterns around them. As Paradis and Nicoladis (2007) demonstrate, even preschool children are old enough to sense language patterns of their communities (p. 294). It is not surprising that adults follow the same path and try to acquire and use language patterns of the surrounding community.

The Americanization of Russian culture has provided Russian so-ciety with new language patterns, which are easily assimilated and have had a positive effect on English-language acquisition in Russia.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (292)

292 Social Sciences

References Brown, H. D. (1994). Principles of language learning and teaching. Englewood Cliffs, NJ: Prentice Hall Regents.

Corbett, J. (2003). An intercultural approach to English language teaching. Clevedon: Multilingual Matters LTD.

Kramsch, C. (1993). Context and culture in language teaching. Oxford: Oxford University Press.

Levy, C. J. (2007). Still married, with children, but in Russian. The New York Times, September 10. Retrieved November 30, 2008, from http://www.nytimes.com/2007/09/10/world/ europe/10sitcom.html?pagewanted=1&_r=2&hp

Paradis, J. and Nicoladis, E. (2007). The influence of dominance and sociocultural context on bilingual preschooler’s language. The International Journal of Bilingual Education and Bilingualism, 10(3), 277-297.

Seelye, H. N. (1994). Teaching culture: Strategies for intercultural Communication. Lincolnwood, Illinois: National Textbook Company

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (293)

Reassessing American Foreign Policy Amidst the Maelstrom: The Last Su-perpower? Revisiting the Paradigm of Imperial Decline

G. Michael Stathis Southern Utah University

Abstract The economic and political maelstroms of the past few years have not only brought into question the status of the United States as a super-power, but have raised questions about the very nature of what we have called a superpower. While there is still much to admire in the United States as a great power one might be led to ask whether it is the last superpower. Once again Paul Kennedy’s paradigm of overextension, or imperial overstretch and decline, a paradigm of imperial decline if you will, have come into focus, and again we turn to Samuel P. Hunt-ington’s more optimistic response to ponder the potential fate of the empire of liberty. And should the United States fall victim to Ken-nedy’s theory of imperial demise, will another superpower emerge? Or have we reached a point when the necessary elements of superpower status have proven too taxing for even the most innovative of powers? Huntington postulated that unlike other great powers that have come and gone, the United States has had that rare ability to “renew” its power and itself and that outcome is likely to hold true at least one

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (294)

294 Social Sciences

more time due in some part to the audacity of hope reflected in the new American President. But beyond that the realities of the new century will almost certainly prove too overwhelming to allow the birth of any new superpowers. Two other questions have emerged to further com-plicate this issue: should the paradigm of imperial decline prove sound will it lean towards the traditional notion of gradual decline and fall, or as Niall Ferguson has recently postulated will it come quickly as a “thief in the night,” and secondly, as teachers and scholars how do we react academically to the paradigm of decline in the shadow of the re-cent maelstrom? Clearly the paradigm of imperial decline remains a relevant topic. And history seems to have favored the process of grad-ual decline rather than a precipitous and quick fall. Interestingly, as a recent contributor to the literature of imperial decline has noted, we have the enviable advantage of historical perspective, and that should form the better part of motivation for academics regarding this vital issue.

Introduction: Revisiting the Paradigm of Imperial Decline

The economic and political maelstroms of the past few years have not only brought into question the status of the United States as a su-perpower but have also raised questions about the very nature of what we have called a superpower. While there is still much to admire in the United States as a great power, one might be led to ask whether it is the last superpower? Once again Paul Kennedy’s paradigm of overexten-sion, or imperial overstretch and decline, a paradigm of imperial de-cline, if you will, have come into focus, and again we turn to Samuel P. Huntington’s more optimistic response to ponder the potential fate of the empire of liberty. And should the United States fall victim to Ken-nedy’s theory of imperial demise, will another superpower emerge? Or have we reached a point when the necessary elements of superpower status have proven too taxing for even the most innovative of powers? Huntington postulated that unlike other great powers that have come and gone, the United States has had that rare ability to “renew” its power and itself and that outcome is likely to hold true at least one more time due in some part to the audacity of hope reflected in the new American President. But beyond that, the realities of the new century will almost certainly prove too overwhelming to allow the birth of any new superpowers. Two other questions have emerged to further com-plicate this issue: should the paradigm of imperial decline prove sound, will it lean towards the traditional notion of gradual decline and fall, or

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (295)

The Last Superpower? 295

as Niall Ferguson has recently postulated will it come quickly as a “thief in the night,” and secondly, as teachers and scholars, how do we react academically to the paradigm of decline in the shadow of the re-cent maelstrom?

Clearly the paradigm of imperial decline remains a relevant topic of discussion and concern including focus on current and future pros-pects for the United States in the shadow of the recent maelstrom. It remains to be seen whether the era of the superpower is passing, as there are limited prospects for any new contenders for that vaunted title. As to whether imperial decline and fall comes quickly or through a long process, history still seems to favor the latter case. Interestingly, as one of the more recent contributors to the literature of imperial de-cline has noted, we have the enviable advantage of historical perspec-tive, and that should form the better part of motivation for academics regarding this vital issue.

The Paradigm of Imperial Decline

We begin with what Paul Kennedy called imperial overstretch re-sulting from overextension either geographically, economically, or militarily, which inevitably leads to the exhaustion of vital domestic resources, decline and fall.1 As a later commentator on the subject, Piers Brendon, has put it, “…the ascendancy of states or empires results from the superiority of their material resources, and that the wealth on which that dominance rests is eroded by the huge military expenditures needed to sustain national or imperial power, leading inexorably to its decline or fall.”2 Kennedy was, of course, not the first chronicler of declinist literature. Indeed, the subject was touched on in the ancient world by Thucydides, Polybius, and Tacitus, while in Islamic tradition Ibn Khaldun gained notoriety both in his realm and in the West. Clearly, the iconic version of this paradigm was Edward Gibbon (did he really blame the Christian right for Rome’s decline and collapse?). Both Oswald Spengler and Arnold Toynbee brought the discussion into the 20th century, where lately a host of writers have reexamined it, in-cluding Kennedy, Niall Ferguson, and Brendon. Recent motivation has had much to do with the decline of British power, the decline and col-

1Paul Kennedy, The Rise and Fall of the Great Powers: Economic Change and Military Conflict from 1500 to 2000 (New York: Random House, 1987, note especially the chap-ters The Soviet Union and Its “Contradictions,” and The United States: The Problem of Number One in Relative Decline, 488-514, and 514-535. 2 Piers Brendon, “Like Rome Before the Fall? Not Yet,” The New York Times, February 25, 2010, 27 (A).

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (296)

296 Social Sciences

lapse of the U.S.S.R., speculation about the state of the United States, and, in a broader context, the fate of great powers altogether.

A New Twist on an Old Theme

Niall Ferguson recently returned to the subject of the paradigm of imperial decline in his generally impressive piece “Complexity and Collapse: Empires on the Edge of Chaos.”3 Ferguson is generally ac-curate if not complete in his short look at the recognized modern litera-ture regarding the paradigm of imperial decline, including Henry St. John, First Viscount Bolingbroke in 1738 (The Idea of a Patriot King), Giambattista Vico in Scienza nuova (1725), Edward Gibbon, (The His-tory of the Decline and Fall of the Roman Empire, 1776–1778), the various works of Frederick Hegel and Karl Marx, Ostwald Spengler (The Decline of the West, 1918–1922), the work of Arnold Toynbee (A Study of History, 1934–1961), Paul Kennedy’s The Rise and Decline of the Great Powers (1987), and, more recently, Jared Diamond's Col-lapse: How Societies Choose to Fail or Succeed (2005). Not unex-pectedly, he leaves out a classic non-Western perspective on the subject in Ibn Khaldun’s Muqaddimah (Introduction to History), some popular but very interesting images in film such as The Fall of the Roman Em-pire (1964), and Apocalypto (2006), as well as some recent and more optimistic views by Samuel P. Huntington, Fared Zakaria, Piers Bren-don and even Paul Kennedy, which prove to be interesting omissions.4

Ferguson rightly points out that most of this declinist literature cites multiple causes and gradual or prolonged decline and eventual fall, but he also suggests that at least in some cases it was not an in-stance of protracted decline and fall at all, but rather something accel-erated and sudden “like a thief in the night.”5 And, of course, the suggestion is that this may apply to the United States. While he, and others such as Paul Kennedy, may yet be proved right in general, impe-rial fall usually does not come overnight, or as Ferguson puts it in his concluding statement: “A defective brake or a sleeping driver can be all it takes to go over the edge of chaos.”6 In truth, even Ferguson speaks of sudden or quick fall in terms of a human generation or even a century, which is hardly quick. Even the artistic device that he cleverly uses as tapestry for his argument belies the idea of suddenness. The

3 Niall Ferguson, “Complexity and Collapse: Empires on the Edge of Chaos,” Foreign Affairs 89: 2 (March/April, 2010): 18-32. 4 Ibid., 19 and 26. 5 Ibid., 22. 6 Ibid., 32.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (297)

The Last Superpower? 297

five paintings by Thomas Cole generally entitled The Course of Empire (1833–1836) portray the more traditional notion of gradual rise, de-cline, and fall.7 Moreover, the suggestion that Rome’s fall could be described as relatively sudden from 406 to 476, less than a century and a generation even at that time, essentially ignores the fact that the Western Empire by 400 was little more than a shadow of what it had been some two centuries before under Trajan or Marcus Aurelius. In-deed, many historians use the death of the latter as a convenient point to begin the discussion of Roman decline and fall. A better historical example of a precipitous imperial fall would be the case of the Aztec Empire as the result of a thief in the night and a true clash of civiliza-tions (1521). Still, Ferguson makes a case that the United States may prove an exception to the idea of gradual decline in persuasive terms and must be observed at least as seriously as Huntington’s reaction to Kennedy’s original suggestion of American decline. Ferguson offers an unexpected, and yet plausible, premise that, if nothing else, refreshes the academic discussion.

Of the more recent academic proponents of the paradigm of impe-rial decline, Paul Kennedy is arguably the most influential if not iconic, while Jared Diamond has proven the most recently engaging because of his emphasis on what might be called green issues involving agricul-ture, land use, ecology, and other more traditional reasons for decline such as war and civil disruption.

Ferguson’s reference to Cole’s paintings, The Course of History, proved an apt symbolic backdrop to frame his discussion, but today the most common source for popular imaginings of the paradigm of decline are to be found in film. Two of the more interesting entries are An-thony Mann’s The Fall of the Roman Empire and Mel Gibson’s Apoca-lypto, the former representing the more traditional explanations of decline and fall, while the latter at least touches on more recent insis-tence on green causes.

The Fall of the Roman Empire, the 1964 film epic from producer and movie impresario Samuel Bronston and director Anthony Mann, was opulent and well received by critics and proved to be a literate (thanks in part to Will Durant who served as a consultant) entry into the sword and sandal films of the period. The film opens with a prologue that is somewhat simplistic but not entirely inaccurate and clearly em-phasizes the sub-paradigm of gradual decline.

7 Cole’s paintings include: The Savage State, The Arcadian or Pastoral State, The Con-summation of Empire, Destruction, and Desolation.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (298)

298 Social Sciences

Two of the greatest problems in history are how to account for the rise of Rome and how to account for her fall. We may come nearer to understanding the truth if we remember that the fall of Rome, like her rise, had not one cause but many and was not an event but a process spread over 300 years. Some nations have not lasted as long as Rome fell.8

The first half of the film takes place, more or less, on the Danube fron-tier in 180 A.D., where Emperor Marcus Aurelius led Roman legions against Germanic tribes. Later, the focus shifts to the East and problems with Persia (Iran). All of this is complicated by the death of Marcus Aurelius and the accession of his son Commodus. The thesis of this film, if an epic film really has such a thing, is that a combination of events—pressures on the northern frontiers from Germanic tribes and in the East from the Persians—coupled with the untimely death of a one of Rome’s five good emperors, Marcus Aurelius, and the disastrous reign of his less than dynamic son, Commodus. There are even some brief references to green causes: drought, famine, and population growth. Again, this is more or less accurate and true to the prologue regarding a process and multiple causes.

One might view this film from today’s perspective and create an overly clever scenario regarding the United States— substituting Cold War pressures in Europe, the impact of which continued (contributing to a growing national debt and other financial pressures) long after the collapse of the Soviet Union in 1991, pressures in the East, including potential regional threat from Iran, and the election of a president who proved to be less than dynamic, George W. Bush. We end the tempting comparisons here. After all, George H.W. Bush was no Marcus Aure-lius, and the United States is one of those “nations” that has not yet lasted as long as Rome fell. Still, a case can be made for a combination of events and processes over almost 10 years that have weakened the United States considerably: the coincidence of the disastrous presi-dency of George W. Bush; the terrorist acts of 9/11; war in Afghani-stan; an ill-advised invasion of Iraq, clearly a war of choice; and the emergence of the Islamic Republic of Iran as a significant, but trouble-some, power in the Persian Gulf, in great part the result of Bush’s war with Iraq. At the very least, it could be said that the United States in-herited by Barack Obama as President of the United States was a world

8 The Fall of the Roman Empire. Anthony Mann, dir. and Samuel Bronston, prod. 185 mins. Samuel Bronston, 1964; The Miriam Collection, 2008, DVD.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (299)

The Last Superpower? 299

away from that which George W. Bush took from William Jefferson Clinton’s hands.

Gibson’s evocative Apocalypto cited superstition, blood lust, and fear as elements of decline in a late Mayan city–state. And, of course, there is the contrast of these negative factors in the urban city versus the comparative pristine family life of outlying tribes in the rainforest. As we see in a puzzling climax, Gibson totally dismisses earlier por-trayals of the Maya as benign astronomer/priests; surely the Mayan priests would have had full knowledge of the solar eclipse that arrives as deus ex machina to fundamentally change the course of the story. Gibson is guilty of other historical shortcomings as well, including ob-vious errors in the time line: the zenith of the Mayan city–states passed several hundred years before the arrival of the Spaniards. Gibson’s final answer to the cautionary tale of potential apocalypse, returning to the forest, may be clichéd, but it too gives some resonance to other green arguments.

Even with some critical weaknesses, Paul Kennedy’s thesis based on the overextension of great powers, what he called imperial over-stretch, is once again of interest. On the one hand, there was sound cause for criticism when Kennedy published his work, The Rise and Fall of the Great Powers, in 1987. For one thing, he speculated as to events from 1987 to 2000 and proved to be off target as far as the United States was concerned (as pointed out by Huntington in his im-portant counterpoint regarding the United States as discussed below) though fairly accurate with the Soviet Union.9 The United States made significant strides towards economic stability under William Jefferson Clinton, who balanced the national budget (indeed, produced surpluses) and began a process to pay off the national debt. Lest it be forgotten, it was essentially the years between 1991 and 1999 that inspired refer-ence to the “American moment.” On the other hand, it became quite tempting to reconsider Kennedy from 2006 on. After the invasion of Iraq in 2003, it became all too clear that the United States was overex-tended militarily, politically, and economically. Embroiled in essen-tially three wars, an unprecedented event, the “War on Terror,” the war in Afghanistan, and the war in Iraq, failing international coalitions and associations, growing trade deficits, and what would amount to a dou-bling of the national deficit and debt, by 2008 the Empire of Liberty was on the verge of catastrophe. Perhaps Kennedy was just a bit pre-

9Paul Kennedy, The Rise and Fall of the Great Powers: Economic Change and Military Conflict from 1500 to 2000 (New York: Random House, 1987, note especially the chap-ters The Soviet Union and Its “Contradictions,” and The United States: The Problem of Number One in Relative Decline, 488-514, and 514-535.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (300)

300 Social Sciences

mature in his analysis. Indeed, much of what Kennedy had warned about in his notion of imperial overstretch seemed to be coming about.10

There is little argument that Kennedy was fairly prescient in fore-casting the demise of Soviet power, although he could not have fore-seen the unexpected details of that stunning event. Essentially he hit the major point and was so much closer to the truth than the later Reagan won the Cold War scenario. Overextended militarily, politi-cally, and economically the Soviet Union was hardly in a position to make the dramatic transitions called for by Mikhail Gorbachev to com-pete in a world that had come to demand a much higher degree of fi-nancial and economic competition than the Soviet state was capable of achieving. Gorbachev’s bold efforts at reform failed, and the Soviet Union dissolved in 1991. Certainly, this was a case of imperial over-stretch. The irony, of course, was in how the so-called “evil empire” came to an end—a failed coup, simple refusal to sign the Treaty of Un-ion, and a presidential resignation on Christmas Day. “Never before has there been a case of an empire that caved in without a war, revolution, or invasion.”11 Or as George C. Herring described it “…an event as momentous in its ramifications as it was anticlimactic in its occur-rence.”12

Jared Diamond represents a fairly recent interpretation of the paradigm of imperial decline, one that tends to focus on so-called green causes. In Collapse: How Societies Choose to Fail or Succeed, Dia-mond examines a number of early (and some more recent) societies from an ecological point of view, “…human environmental impact and climate change intersecting, environmental and population problems spilling over into warfare…and societies collapsing swiftly after attain-ing peak population numbers and power.”13 Not all of them fit under the title imperial, but several do, and perhaps the most intriguing case

10 Ibid., 514-515. 11 Sir Isaiah Berlin quoted in Walter LaFeber, America, Russia, and the Cold War, 1945-1996, 8th ed. (New York: McGraw-Hill, 1997), 347. 12 George C. Herring, From Colony to Superpower: U.S. Foreign Relation Since 1776 (Oxford: Oxford University Press, 2008), 913. 13In reference to the collapse of the Chaco Canyon Anasazi and the Long Hours Valley Anasazi, Diamond concluded “Despite these varying proximate causes of abandonments, all were ultimately due to the same fundamental challenge: people living in fragile and difficult environments, adopting solutions that were brilliantly successful and under-standable ‘in the short run,’ but failed or else created fatal problems in the long run, when people became confronted with external environmental changes or human-caused envi-ronmental changes that societies without written histories and without archeologists could not have anticipated.” See Jared Diamond, Collapse: How Societies Choose to Fail or Succeed (New York: Penguin Books, 2005), 137 and 155.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (301)

The Last Superpower? 301

is that of the Maya. Until the ruins of several of Mayan city–states were rediscovered by John Stephens and Frederick Catherwood in 1839, Mayan imperial power and civilization had not only fallen but had virtually disappeared in the subtropical forest and had very nearly been forgotten altogether. Ironically, as the Spaniards led by Hernán Cortés marched through the Central Petén, what had been the Mayan heartland, in 1524–1525, he passed within miles of the early Mayan urban centers of Tikal and Palenque without noticing the well-preserved ruins because they were covered by the jungle, and there were no people there to tell him of them. The formula for the Maya’s decline and fall was long term, gradual, but complete.

They did damage their environment, especially deforestation and erosion. Climate changes (droughts) did contribute to the Maya collapse, probably repeatedly. Hostilities among the Maya themselves did play a large role. Finally, politi-cal/cultural factors, especially competition among kings and nobles that led to a chronic emphasis on war and erecting monuments rather than on solving underlying problems, also contributed.14

Ironically, the Maya, whose astronomical and mathematical genius had created their Long Count calendar, were unable to foresee the ultimate damage they were doing to their own world. They forsook long-term survival for short-term wealth and glory. What was left of the people in depopulated cities eventually did go back to the forest, Gibson was partially right, abandoning the unsustainable metropolis. Curiously, the Maya never formed a single empire, because no single Mayan city–state or alliance could grow enough food to feed such an endeavor.

The relevance of Diamond’s case studies to modern society, espe-cially the United States, will no doubt be questioned given what could be called their pre-modern nature, whereas Paul Kennedy focused on historical examples that existed in the modern era. But both empha-sized elements of imperial overstretch, and both presented cases that noted long-term processes or longevity. Kennedy’s case for the United States seemed to have lost validity in the late 1980s and the 1990s as it actually grew in power and seemed to validate Samuel P. Huntington’s critique of the Kennedy paradigm in 1988/1989.15 But in 2010, it may

14 Ibid., 159-160. 15 Samuel P. Huntington, “The U.S.-Decline or Renewal?” Foreign Affairs 67: 2 (Winter 1988-1989): 76-96.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (302)

302 Social Sciences

be Huntington’s notion of a dynamic United States that unlike other great powers possesses the ability to renew its power that seems to be in question.

Some More Optimistic Scenarios

Well into Barack Obama’s second year as President of the United States, domestic news may be improving but prospects for continued annual federal deficits are grim, as is news on employment. Meanwhile, in foreign affairs, there may be a promise for an end in Iraq within the year, but Afghanistan still smolders, while aspects of the war on terror have begun to destabilize Pakistan, and there are signs of al-Qa’ida beyond the Persian Gulf and American attacks have followed. Over-stretch, indeed. Instead, this paper turns to Kennedy’s chief critic, Samuel P. Huntington.

For years, PBS ran a promotion for its laudable series The Ameri-can Experience showing images from different decades in American development backed by the wondrous music of John Barry from the film “Dances With Wolves.” The narration promoted the notion that the United States was that unique country that had the capacity to con-tinually reinvent itself, a point that has proven to be true more or less.

Certainly this was the general point that Huntington promoted in his refutation of Kennedy regarding the United States in his notable piece “The U.S.—Decline or Renewal?” in 1988. Despite the market crash of October 1987 and the enormous sense of pessimism that fol-lowed, Huntington posed the simple question “Is the United States fun-damentally a nation in decline? Or is it in the midst of renewal?”16 At the time, Huntington suggested that far from being a great power in decline, the United States was in the process of what he considered a fairly regular process of “renewal.”17 Citing the necessary economic and financial figures at the time, he conceded that the United States had hit a major block in the road, actually coming close to supporting Ken-nedy’s overstretch thesis, something that was likely to reoccur, but also held that unlike other great powers described by Kennedy, the United States was fundamentally different and therefore not as prone to the outcome of decline and fall.

Declinist literature sets forth images of a nation winding down economically, living beyond its means, losing its competitive

16 Ibid., 77. 17 “The image of renewal is far closer to the American truth than the image of decadence purveyed by the declinists.” Ibid., 76-77.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (303)

The Last Superpower? 303

edge to more dynamic peoples, sagging under the burdens of empire, and suffering from a variety of intensifying social, economic, and political ills.18

Huntington offered something of his own great power model, countering Kennedy’s assessment of the United States and generally a host of negative opinions quite secure in contemporary finan-cial/economic fact. The two fundamental elements of this model em-phasized the ability to renew national power and the diversity or dynamism of the sources of a state’s power.

The ultimate test of a great power is its ability to renew its power. The competition, mobility, and immigration character-istic of American society enable the United States to meet this test to a far greater extent than any other great power, past or present. They are the central sources of American strength.19

Unlike any other power of the time, Huntington believed, “…American strength is peculiarly multidimensional,” that is, not singularly based on either economic power, political power, or military power, and pos-sesses the ability to adapt, to shift emphasis according to changing na-tional and international condition.20 Huntington also held that the continuation of American superpower status would accrue according to the simple fact that there was unlikely to be an emergence of an “alter-native hegemonic power” in the 21st century. In this Huntington was almost certainly correct.21 His ultimate conclusion was simple enough, “…the United States is less likely to decline than any other country. It is distinguished by the openness of its economy, society, and politics. Its engines of renewal are competition, mobility, and immigration.”22 It is interesting to consider these “engines of renewal” from 2001 to 2010.

Huntington may actually prove to be right in his assessment of the United States, but any power, especially one that could be described as overextended, is vulnerable to the kind of scenario that might resemble the so-called perfect storm, that unexpected coincidence of events where the sum is greater than the parts. Still, the United States does indeed have that innate capacity to reinvent itself every now and again,

18 Ibid., 77. 19 Ibid., 90. 20 Ibid., 90-91. 21 Ibid., 92. 22 Ibid., 89

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (304)

304 Social Sciences

often amounting to a true renewal of national power. This is evident to a great extent in the events of the past five months. The election of 2008 on many levels marked a seismic change in the American political landscape, bringing new economic approaches, dramatic alterations of domestic policies, and significant shifts in foreign policy. All told, it could amount to changes that verge on the revolutionary. But only time will tell if the hope and skill of a new administration is equal to the myriad challenges facing the United States and the world at this time, and if Huntington’s older premise of American renewal will again re-store American power.

The United States is not immortal, and American preeminence is not inevitable. Yet, some states endure for extraordinary lengths of time, and little reason exists to assume that recent prophecies of American decline are more accurate than earlier ones. Every reason exists, however, to encourage belief in such prophesies in order to disprove them. Happily, the self-renewing genius of American politics does exactly that.23

Huntington’s earlier reference to the “self-renewing genius of Ameri-can politics” seems to be reflected in some more recent voices, if not in a few recent events.

While Fareed Zakaria has offered a broad spectrum of problems facing the United States as a superpower, he has nevertheless con-cluded, not unlike Huntington, that it remains a power apart from oth-ers, “…such problems must be considered in the context of an overall economy that remains powerful and dynamic.”24 He also notes other elements of American power: higher education, a vibrant demography, flexibility, resourcefulness, and resilience.25 The primary problem identified by Zakaria is what he calls dysfunctional politics. He de-scribes the United States as “A can-do country…saddled with a do-nothing process, designed for partisan battle rather than problem solv-ing.”26 Zakaria notes that the so-called unipolar moment may fade, and clearly many dimension of power are shifting away from the United States, but it is not about to happen suddenly, and it may be that ulti-mately the shift of many of these elements to the rest of the world may still favor the United States,

23 Ibid., 96. 24 Fareed Zakaria, “The Future of American Power: How America Can Survive the Rise of the Rest,” Foreign Affairs 87: 3 (May/June): 30. 25 Ibid., 31-39. 26 Ibid., 41.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (305)

The Last Superpower? 305

The world is changing, but it is going the United States’ way. The rest that are rising are embracing markets, democratic government (of some form or another), and greater openness and transparency. It might be a world in which the United States takes up less space, but it is one in which American ideas and ideals are overwhelmingly dominant.27

This sentiment is even echoed by the political right. Recently, T. Boone Pickens said, “This is the greatest nation in the world. When we get off course, we have the ability to change and do it quickly.”28

Neil Ferguson finally suggests that we may be approaching a world without a superpower of any kind, neither a unipolar nor multi-polar world. “The future, in short, might prove for a time to be apolar, a world without even one dominant imperial power, the 9th century, per-haps, but without the Abbasid caliphate.”29 But this scenario would still leave the United States in the mix.

Even Paul Kennedy concedes that in some areas the American moment may not be quite over,

It is reasonable to argue that the United States’ military power, being so massive, will face few direct challenges in the years ahead, even if it will always find it tricky to handle asymmet-ric threats from terrorists and other nonstate actors.30

Of course, Kennedy remains cautious about the United States’ eco-nomic power where he suggests that America has “…reentered a multi-polar world after an unusual half century of its own preeminence,” and the United States’ soft power, which he emphasizes was “frittered away” with the “flawed foreign policies of the past seven years.”31 Amazingly, Kennedy is now not quite ready to condemn the United States to historical heap of fallen great powers, despite the emerging calamities of 2008, which leaves us to speculate about the possibility of American renewal.

Perhaps the most recent commentary on the paradigm of imperial decline also happens to fit into this more optimistic niche. Piers Bren-

27 Ibid., 43. 28 Quoted in Esquire 151: 2 (February 2009): 97. 29 Fergusson, Colossus: The Price of America’s Empire (New York: The Penguin Press, 2004), 298. 30 Paul Kennedy, “The Distant Horizon: What Can ‘Big History’ Tell Us About Amer-ica’s Future?” Foreign Affairs 87: 3 (May/June 2008): 132-133. 31 Ibid.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (306)

306 Social Sciences

don, the respected British historian who has made his own mark in de-clinist literature with The Decline and Fall of the British Empire: 1781-1997, recently defended Vice President Joseph Biden’s rejection of projections of American decline, “…prophecy that we are going to be a great nation that has failed because we lost control of our economy and overextended.” Essentially Brendon agrees with Biden that reports of America’s demise are greatly exaggerated.32 He also notes signifi-cant differences in the respective cases of the decline of other great powers and the modern case of the United States, particularly this oft-cited example of Rome,

Rome was prone to internecine strife whereas America is con-stitutionally stable. Rome was overwhelmed by barbarians whereas America’s armed forces are so powerful as to prompt dreams of what is known in military doctrine as “full spectrum dominance.” Even in an age of terrorism and nuclear prolifera-tion, it is hard to visualize an attack on America as devastating as that inflicted by Vandal, Goths, and Huns on Rome.33

Brendon also gives some cautionary, but more or less positive, advice on what the United States should do to avoid possible decline, as shall be seen below.

Does the Paradigm of Imperial Decline Apply to the United States?

Over the past six years or so, reference to Kennedy’s paradigm was again quite tempting, with wars in Afghanistan and Iraq, growing national deficits and debt, a close call with full-scale economic calam-ity domestically and globally, and, until the last days of March 2010, dim prospects for a health care bill that was singularly important for this president…a maelstrom indeed.

There is reference in the vernacular of American college and pro-fessional football to sudden change resulting from a turnover, by inter-ception or fumble, forcing an immediate redirection according to an immediate negative or positive change in circ*mstances. President Barack Obama suddenly finds himself with a Nobel Peace Prize in his back pocket, domestic success in national health care legislation, some

32 Piers Brendon, “Like Rome Before the Fall? Not Yet,” The New York Times, February 25, 2010, 27 (A). 33 Ibid.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (307)

The Last Superpower? 307

modestly good news regarding economic recovery, the prospects for troop withdrawals in Iraq this year and next year in Afghanistan, and the signing of New START, the first nuclear arms reduction treaty in two decades, in Prague on April 8, 2010, and the Nuclear Security Summit in Washington, D.C. on April 12, 2010. Sudden change indeed from just a few weeks ago. All of this coincides with a recent prescrip-tion from one of the contributors to the paradigm of decline, Piers Brendon,

Despite its grave problems, there are some relatively simple steps America could take to recover its position. It could bring its military commitments into line with its resources, rely more on the ‘soft power’ of diplomacy and economic engage-ment and, as George Washington said, take advantage of its geographically detached situation to “defy material injury from external annoyance.” Such a policy would permit more investment in productive enterprise and pay for butter as well as guns, thus vindicating Joe Biden’s faith in the recuperative capacities of the Great Republic.34

Brendon is probably correct in his conclusion just as Huntington was right about the dynamism of American power and the ability of the United States to renew its power, as is Diamond’s reference to the his-torical advantage of hindsight. Indeed, Joe Biden may yet prove to be quite accurate as well, but only if American leadership initiates the right policies. Hope alone may not be enough, and the time for simple renewal may actually have past. It may take something closer to rein-vention.

Prospects for a New Superpower

Two questions arise at this juncture of the discussion. One, if in-deed the United States on the “edge of chaos,” as Ferguson has put it, and falls as an imperial power or more to the point as a superpower, what is the likelihood that another will emerge? Is it possible that the United States is the last superpower? And two, what other states, if any, still possess the potential for superpower status?

Using Huntington’s arguments about the perseverance of Ameri-can power, particularly the dynamic and adaptable nature of American power, it presents an unlikely scenario that, given a failure of the

34 Ibid.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (308)

308 Social Sciences

United States, some other less dynamic or adaptable state will rise to take its place as a true superpower. Hindsight regarding the Soviet Union is useful here. Given what we know now, was the U.S.S.R. a true superpower, particularly if somehow you factor out its strategic nuclear weapons?35 The list of potential candidates is actually a fairly short one: the People’s Republic of China, the Russian Federation, India, Brazil, a united states of Europe should the European Union ever move to that eventuality. All of these candidates are at least partially dubious in the short-run, even China. Not only do they have enormous domestic problems, they lack the kind of resources that the United States historically had at hand. The most interesting prospect would of course be a united Europe, but given the European Union’s inability to make final strides towards a full economic community a political union is unlikely soon. The People’s Republic of China also presents great possibilities, but until it deals successfully with a myriad of problems including a realistic currency policy, pollution, and a variety of local national issues, it is not at all clear this is the stuff of a stable super-power. The more likely conclusion would suggest the end of the su-perpower and the beginning of a world of rough parity, or as Richard Haas has suggested a “nonpolar world…a world dominated not by one or two or even several states but rather by dozens of actors possessing and exercising various kinds of power.”36 This later scenario would likely include a gradual decline in American power to a level roughly comparable with a number of other states and a world where compro-mise and accommodation would be increasingly necessary.

Conclusions: The Last Superpower?

What should the teacher and scholar say about the paradigm of imperial decline and potential American decline? How should we react to papers that take extreme positions predicting decline or continued preeminence? As Brendon has said, “All too often, however, students of the past succumb to the temptation to foretell the future.”37 This is a temptation fraught with obvious dangers, but clearly as Diamond re-

35 As Tom Clancy famously put it in April 1988, “Nuclear weapons are the only legiti-macy the Soviet government has to be a world power. The Soviet Union is a third-world country in every real sense—but a third-world country with 10,000 deliverable nuclear warheads. The country cannot feed itself. You cannot drive from one side of the country to another on a paved road.” 36 Richard Haas, “The Age of Nonpolarity: What Will Follow U.S. Dominance?” For-eign Affairs 87: 3 (May/June 2008): 44. 37 Brendon, “Like Rome Before the Fall?”

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (309)

The Last Superpower? 309

minds readers, American leaders have the enviable advantage of his-torical perspective if they choose to use it.38

Perhaps improbably, the dark clouds of pending disaster have parted and the United States seems to have veered away from the edge of chaos, at least for the moment. But clearly necessary changes are in the offing, including governmental cuts in programs at home and abroad, and President Obama has at least given lip service to a number of environmental issues that threaten the United States, unlike his predecessor. Michael Mandelbaum has offered that largely because of the misadventures of the George W. Bush Administration, particularly in “its profligate fiscal policies, the United States will do perhaps a good deal less abroad over the next two decades than in the last two.”

This retrenchment will not come about because the views of the Founders have gained currency among the wider U.S. pub-lic or as the result of the disappointments and failures of recent U.S. military interventions. The principal cause will be the fiscal condition of the United States. The country will bear the burden of a huge and growing national debt, from three principal sources: the chronic deficits from 2001 to 2008; the very high costs of coping with the financial crisis of 2008 and the recession it dramatically deepened; and, most importantly, the skyrocketing bill for Social Security and Medicare as the baby-boom generation becomes eligible for these entitle-ments.39

Mandelbaum’s prognosis is sobering to be sure, but at least he has moved beyond the language of decline and fall. Clearly, the paradigm of imperial decline remains a relevant topic. The ultimate question is again whether it will be a case of imperial decline for the United States, by slow process or as a thief in the night, or renewal? History seems to have favored the process of gradual decline rather than a precipitous fall allowing time enough to take advantage of historical perspective. And in answer to that pressing question regarding the United States; for the moment the tables seem to be tipping towards renewal. It is inter-esting to return to Paul Kennedy who recently added a positive note regarding the importance of statecraft as soft power and America’s fu-ture,

38 Diamond, 525. 39 Michael Mandelbaum, “Overpowered? Questioning the Wisdom of American Re-straint,” Foreign Affairs 89: 3 (May/June 2010): 118-119.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (310)

310 Social Sciences

…the United States’ current unpopularity worldwide is re-versible—and that the best way to reverse it might be by tak-ing a page out of the playbook of previous hyperpowers. Those empires learned an important lesson: the need for ac-commodation, cutting deals, cultivating allies—and keeping the steel behind the curtain, for use only in emergencies.40

Kennedy’s rather surprising optimism emphasizing accommoda-tion and compromise seems a good point to end the discussion for the time being as far as foreign policy is concerned. And it is likely that these turns abroad may help to allow renewal at home. Even in a re-duced capacity, the United States will remain something of an eco-nomic, political, and military colossus as Niall Ferguson has said, one not likely to see another contender for the title of superpower in the near future.

Professor of History Frank Bourne of Princeton University always opened and closed his course on Ancient Rome with the phrase De no-bis fabula narrator, that is, Their story is our story. Indeed, there is much to be said about the American debt to Rome on many levels as well as a number of similarities. But the fatal eventualities borne of the Roman imperial paradigm may not hold true for the United States, as Piers Brendon noted earlier. Hopefully, these may yet serve as instruc-tive warnings (apologies to Edward Gibbon and Paul Kennedy) rather than harbingers of doom. It is far too early to speculate about the fall of the United States as a great power or perhaps even its possible de-cline, but it is all too clear that this superpower has lost a significant amount of its power, influence, and prestige. It is also clear that much of the blame must rest with the last presidential administration and both its economic and foreign policies. But what will it take to regain this mantle of prestige and power? A simple answer would follow a sig-nificant “renewal” in three areas: politics, economy, and statecraft.

Samuel P. Huntington hinged much of his thesis for American “renewal” on what he called the “self-renewing genius of American politics,” something that Fareed Zakaria has also subscribed to, and to a greater or lesser extent that may have been evidenced in November 2008. But a full realization of a resurgence of his “engines of renewal” as “competition, mobility, and immigration” may take something closer to “reinvention.”

For most Americans in 2008, simple political “renewal” seemed to be not enough; they looked to what amounted to something closer to

40 Kennedy, “The Distant Horizon,”132.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (311)

The Last Superpower? 311

political “reinvention” and were confident that they had found it in Barack Obama. The prospects for political renewal seemed at once full of initial promise after November 2008. The United States elected a new president and rather dramatically altered the face of Congress in the shadow of the Republican domination of the previous eight years. President Obama’s promises of hope and change struck vibrant chords among a significant part of the American public. Wall Street, however, seemed unconvinced by the message and still waits for more finan-cial/economic substance, as does one of the United States creditors and economic partners, the People’s Republic of China.41

It is in the financial/economic realm where simple “renewal” may fall short of the mark. Here something closer to “reinvention,” at least up front, may be necessary to restore stability both domestically and internationally. And to be honest neither the stock market nor so-called financial experts are convinced of the validity of the Obama recovery plan.42 A stimulus package, tax adjustments, an unprecedented new Federal budget, and literally a host of financial bailouts have ushered in what Obama hopes will begin a recovery process to an economic crisis that is still not over. It is not at all clear whether they will also stimu-late positive competition or social and economic mobility, or whether they will restore the desirability of immigration to the United States for the sake of a better life.

The broad experience of the George W. Bush Administration as well as the particular tenor of John McCain’s 2008 campaign for the presidency cast a dim light on diplomacy and statecraft. Candidate Barack Obama was regularly criticized for suggesting possible talks with those it considered to be troublesome world leaders. President Bush had rather openly refused to “reward” some of these people with diplomacy. What was lost here was the simple fact that, one, these are exactly the people you need to talk to, and two, even limited diplomacy is preferable to war.43 The good news is what appears to be an early commitment to diplomacy and statecraft by President Obama with the

41 Note the comments of Chinese Premier Wen Jiabao on March 13, 2009: “We are concerned about the safety of our assets. To be honest, I’m a little worried.” He went on to urge the United States to “…honor its word and stay a credible nation and ensure the safety of Chinese assets.” 42 Ironically, many of the critics could be tied to the ill-advised policies that helped bring about the economic/financial demise. 43 This was exactly the point intended by President John F. Kennedy in his Inaugural Address (January 1961), “Let us never negotiate out of fear. But let us never fear to negotiate.” Possibly a passing sentiment in the 1961 inaugural but clearly one of the cornerstones of Kennedy’s Commencement Address at American University in June 1963.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (312)

312 Social Sciences

appointment and initial efforts of Hillary Rodham Clinton as Secretary of State, George J. Mitchell as Special Emissary to the Middle East, and Richard Holbrooke as Special Representative to Afghanistan and Pakistan. The potential for a renewal of positive statecraft would prove critical to a general renewal of American prestige and power.

Writing about the challenges facing the United States in 2006–2007, Dennis Ross, former Middle East envoy and negotiator for both George H.W. Bush and William Jefferson Clinton, said “We can re-deem our foreign policy and our place in the world. But if we are to do so, statecraft must no longer be a lost art. It is time to rediscover it.”44 Clearly, Ross was spot on regarding the need for statecraft at a time when a president seemed loath to use it properly, and today it is still part of what must be a broad process of renewal. But the problems fac-ing the United States in 2007 were certainly less than the full load that President Obama faced as the newly elected president in 2009 or those that continue in 2010.

This is a critical time in the history of the United States, and while it is unlikely to fall abruptly, according to Niall Ferguson’s scenario of a thief in the night, there has clearly been a significant loss of power and prestige, although again not likely to be enough to immediately strip away the title and reality of superpower status. But certainly this is a time that demands some degree of renewal, if not some reinvention. There is the famous story of Benjamin Franklin at the close of the Con-stitutional Convention in Philadelphia in 1787, where it is said he paused to consider whether the image of the sun painted on the back of the chair that George Washington had occupied throughout the pro-ceedings was a rising sun or a setting sun. He finally concluded, “…now at length I have the happiness to know that it is a rising and not a setting sun.” Only time will tell if Franklin’s optimism will again apply to the “empire of liberty” in the 21st century.

Bibliography Apocalypto. Mel Gibson, dir. and prod. 139 mins. Touchstone Pictures, 2006; Buena Vista, 2007, DVD.

Barnett, Thomas P.M. “Obama’s New Map.” Esquire 151: 3 (March 2009): 53-54.

44 Dennis Ross, Statecraft: And How to Restore America’s Standing in the World (New York: Farrar Straus, and Giroux, 2007), 341.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (313)

The Last Superpower? 313

Bobbitt, Phillip. The Shield of Achilles: War, Peace, and the Course of History. New York: Anchor Books, 2002.

_______. Terror and Consent: The Wars for the Twenty-First Century. New York: Alfred A. Knopf, 2008.

Brendon, Piers Brendon. “Like Rome Before the Fall? Not Yet.” The New York Times, February 25, 2010, 27 (A).

_______. The Decline and Fall of the British Empire: 1781-1997. New York: Vintage Books, 2010.

Brzezinski, Zbigniew. “From Hope to Audacity: Appraising Obama’s Foreign Policy.” Foreign Affairs 89: 1 (January/February 2010): 16-30.

Diamond, Jared. Collapse: How Societies Choose to Fail or Succeed. New York: Penguin Books, 2005.

The Fall of the Roman Empire. Anthony Mann, dir. and Samuel Bronston, prod. 185 mins. Samuel Bronston, 1964; The Miriam Collection, 2008, DVD.

Ferguson, Niall. Colossus: The Price of America’s Empire. New York: The Penguin Press, 2004.

_______. “Complexity and Collapse: Empires on the Edge of Chaos.” Foreign Affairs 89: 2 (March/April 2010): 18-32.

_______. Empire: The Rise and Demise of the British World Order and the Lessons For Global Power. New York: Basic Books, 2002.

_______. “Hegemony or Empire?” Foreign Affairs 82: 5 (September/October 2003): 154-161.

_______. “Wall Street Lays Another Egg.” Vanity Fair No. 580 (December 2008): 190-205.

French, Howard W. “Thinking Globally; America’s Rise to Dominance, With Slips Along the Way. The New York Times, November 24, 2008, 7 (C).

Fromkin, David. In the Time of the Americans: FDR, Truman, Eisenhower, Marshall, MacArthur—The Generation That Changed

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (314)

314 Social Sciences

America’s Role in the World. New York: Alfred A. Knopf, 1995.

Gibbon, Edward. The Decline and Fall of the Roman Empire. London: W. Strahan and T. Cadell, 1776-1788; New York: Washington Square Press, 1963.

Haas, Richard N. “The Age of Nonpolarity: What Will Follow U.S. Dominance?” Foreign Affairs 87: 3 (May/June 2008): 44-56.

Herring, George C. From Colony to Superpower: U.S. Foreign Relations Since 1776. Oxford: Oxford University Press, 2008.

Holbrooke, Richard. “The Next President: Mastering a Daunting Agenda.” Foreign Affairs 87: 5 (September/October 2008): 2-24.

Huntington, Samuel P. "The U.S.-Decline or Renewal?" Foreign Affairs 67: 2 (Winter 1988-1989): 76-96.

_______. “The Lonely Superpower.” Foreign Affairs 78: 2 (March/April 1999): 35-49.

_______. "The Clash of Civilizations." Foreign Affairs 72: 3 (Summer 1993): 22-49.

_______. “If Not Civilizations, What? Paradigms of the Post-Cold War World.” Foreign Affairs 72: 5 (Novem-ber/December 1993): 186-194.

Kagan, Robert. Of Paradise and Power: America and Europe in the New World Order. New York: Alfred A. Knopf, 2003.

Kennedy, Paul. The Rise and Fall of the Great Powers: Economic Change and Military Conflict from 1500 to 2000. New York: Random House, 1987.

_______. “The Distant Horizon: What Can ‘Big History’ Tell Us About America’s Future?” Foreign Affairs 87: 3 (May/June 2008): 126-132.

Ibn Khaldun. The Muqaddimah: An Introduction to History. Franz Rosenthal, trans. Princeton: Princeton University Press, 1989.

Kissinger, Henry. Diplomacy. New York and London: Simon and Schuster, 1994.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (315)

The Last Superpower? 315

_______. Does America Need a Foreign Policy? New York and London: Simon and Schuster, 2001.

Linderski, Jerzy. “Si Vis Pacem, Para Bellum: Concepts of Defensive Imperialism.” From The Imperialism of Mid-Republican Rome. Papers and Monographs Volume 29. Rome: American Academy in Rome, 1984, 133-164.

Mandelbaum, Michael. “Overpowered? Questioning the Wisdom of American Restraint.” Foreign Affairs 89: 3 (May/June 2010): 114-119.

Meyer, Karl E., and Shareen Blair Brysac. Kingmakers: The Invention of the Modern Middle East. New York and London: W.W. Norton& Company, 2008

Morgenthau, Hans J. Politics Among Nations: The Struggle for Power and Peace. 5th ed. Revised. New York: Alfred A. Knopf, 1978.

Niebuhr, Reinhold. The Irony of American History. Chicago: University of Chicago Press, 2008.

Polybius. The Rise of the Roman Empire. Ian Scott-Kilvert, trans. London and New York: Penguin Books, 1979.

Rashid, Ahmed. Descent Into Chaos: The U.S. and the Disasters in Pakistan, Afghanistan, and Central Asia. New York: Penguin Books, 2009

Rice, Condoleezza. “Promoting the National Interest.” Foreign Affairs 79: 1 (January/February 2000): 45-62.

_______. “Rethinking the National Interest: American Realism for a New World.” Foreign Affairs 87: 4 (July/August 2008): 2-26.

Ricks, Thomas E. The Gamble: General David Petraeus and the American Military Adventure in Iraq. New York: Penguin Press, 2009.

Ross, Dennis. Statecraft and How to Restore America’s Standing in the World. Farrar, Strauss and Giroux, 2007.

Schlesinger, Arthur M., Jr. War and the American Presidency. New York and London: W.W. Norton & Company, 2004.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (316)

316 Social Sciences

Stathis, G. Michael. “Thucydides: Still Relevant in Post-Cold War International Relations.” Journal of the Utah Academy of Sciences, Arts, and Letters 75 (1998): 192-206.

_______. “Statesmanship and Politics: A Realist Interpretation With Perspectives on American Statecraft.” Journal of the Utah Academy of Sciences, Arts, and Letters 82 (2005): 228-249.

Stoessinger, J.G. Crusaders and Pragmatists: Movers of American Foreign Policy. 2nd ed. New York and London: W.W. Norton and Company, 1985.

_______. Why Nations Go To War, 9th ed. Belmont: Thomson/ Wadsworth, 2005.

Thucydides. The Peloponnesian War. Walter Blanco trans. Walter Blanco and Jennifer Tolbert Roberts, eds. New York and London: W.W. Norton & Company, 1998.

Tucker, Robert W., and David C. Hendrickson. Empire of Liberty: The Statecraft of Thomas Jefferson. Oxford and New York: Oxford University Press, 1990.

Urquhart, Brian. “What You Can Learn from Reinhold Niebuhr.” The New York Review of Books 56: 5 (March 26, 2009): 22-24.

Woodward, Bob. State of Denial: Bush at War, Part III. New York and London: Simon & Schuster, 2006.

Zakaria, Fareed. “The Future of American Power: How America Can Survive the Rise of the Rest.” Foreign Affairs 87: 3 (May/June 2008): 18-45.

_______. The Post-American World. New York: W.W. Norton and Co., 2009.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (317)

The Economics of Geographical Ward Boundaries in the LDS Church

Daniel Robertson and Tyler Bowles Utah State University

Abstract Just a few years ago, Michael McBride published his intriguing article “Club Mormon: Free-Riders, Monitoring, and Exclusion in the LDS Church,” highlighting important incentives at work in the organization of the Church. In his discussion of the Church’s efforts to monitor its members, McBride mentions, almost in passing, that the Church uses geographical ward boundaries to maintain ward sizes small since smaller congregations require fewer monitoring costs. In this paper, we argue that the Church uses geographical boundaries not only to control ward size, but also to stimulate the creation of religious capital. Ward boundaries do this by stabilizing the ratio of high-contributing to low-contributing members in a ward. This results in each ward collec-tively having a type of “property right” over those within their bounda-ries. These aspects of ward boundaries increase the efficiency of religious capital production. We hypothesize that the benefits of thus restricting members’ choice of ward outweigh the associated costs.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (318)

318 Social Sciences

Introduction One interesting characteristic of the modern Church of Jesus

Christ of Latter-Day Saints (LDS) is that it continues to use geographic boundaries to organize its members into basic ecclesiastical units called wards, which are often compared with Catholic parishes. This means that in the LDS Church today, individual members’ addresses deter-mine not only when and where they will attend services, but also those with whom they will be worshipping. In other words, place is fate for current members of the LDS Church. Place used to be fate for mem-bers of the Catholic Church as well, but since the Second Vatican Council in the early 1960s, the Catholic Church has moved away from geographical parish boundaries in an attempt to focus less on geogra-phy and more on community. The comparison of wards with parishes, therefore, while meant to facilitate an understanding of the organiza-tional structure of the LDS Church for those unfamiliar with it, also highlights disparities between them and motivates the desire to know why they are different.

Some authors have already considered the effects of the policy changes concerning parish boundaries within the Catholic Church. Moving away from such boundaries, for example, can be seen as the introduction of competition into the Catholic Church (de Groot 2007; Hadaway 2009; McBrien 1995). These authors reason that the freedom for Catholics to choose their own parish gives priests the incentive to prepare better services and to take better care of the members of their parish in general; if they do not, their parish members will move to other parishes. There is some evidence that Catholics have been taking advantage of the religious marketplace to best accommodate their needs (Maines and McCallion 2004; Office of Pastoral Resources and Re-search, Archdiocese of Detroit 2005).1 A second argument in support of the actions of the Catholic Church is that letting individuals choose their parish will increase lay involvement in general—one of the objec-tives endorsed by the Second Vatican Council (Maines and McCallion 2004; p. 98). This argument is based upon the de facto congregational-ism hypothesis, which posits that the decisions that govern congrega-tions are increasingly being made on the local level in the United States. This local control gives congregations the flexibility they need to cater to their members’ needs, which may help explain why religious

1 This line of argument goes all the way back to Adam Smith in the fifth chapter of The Wealth of Nations.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (319)

Economics of Geographical Ward Boundaries 319

participation rates in the U. S. are relatively high (Warner 1993) and which therefore sheds some light on the reasons behind the policy changes of the Second Vatican Council. These two arguments, while by no means a complete summary of the work done on the Catholic Church, adequately portray the importance of the incentives that insti-tutional structures create and the impact they have on their members. Those who have considered the impact of the incentives created by the Second Vatican Council in separating place from fate seem to agree that such incentives are, if not positive, at least necessary for the con-tinuation of the Catholic Church in contemporary western culture.

We must then ask why the LDS Church continues to organize its wards geographically. It is not at first clear to what extent the competi-tion argument can be used for the LDS Church. The Church uses an uncompensated, lay clergy, so having more members does not translate into more money for the clergy. In addition, the budget for each con-gregation is mandated by the central headquarters in Salt Lake City, so having more members does not necessarily mean more money from Salt Lake City. More members may mean more money for the ward though, since the entire LDS Church holds a fast on the first Sunday of each month and each ward collects “fast offerings” from its members. Members are encouraged to donate an amount at least as great as their meals would have cost had they not fasted, and these donations remain in the ward and are distributed to the poor. It might seem, then, that ward leaders would want to recruit members with larger incomes into their wards to increase fast-offering levels, giving leaders more discre-tion to help their poor. There is a limit, however, to any incentive this may give wards to compete against each other. The LDS Church main-tains its wards at a standard, relatively small size. If a ward becomes too large, it will eventually be split into two new wards. Such a split would quash all earlier attempts of the original local leaders to recruit new ward members, and they would have to start over again. There does not seem to be, therefore, any compelling reason why one ward would compete against another for members within the church.

The argument concerning increased lay involvement, however, is not easily dismissed or evaded. The LDS Church depends heavily on its lay clergy, particularly at the local level. Almost every member has a role to play in the operations of the local ward. If letting members choose their own ward tends to increase lay involvement, why would the Church deny its members this freedom? It is this question we wish to address. We do so by building on Michael McBride’s “menu-monitoring model,” arguing that the Church uses geographical ward boundaries to make religious capital creation more efficient. Ward boundaries do this in part by stabilizing the ratio of high- to low-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (320)

320 Social Sciences

contributing members in each ward. They simultaneously give the ward a type of “property right” over those living in their jurisdiction. In short, the ward is given a relatively stable set of resources, and it therefore has the incentive to develop these resources for its own bene-fit. We suggest that since the Church has continued to use geographical ward boundaries, the efficiencies in religious capital creation gained from the use of ward boundaries must offset the costs incurred from any decrease in lay involvement associated with denying members the choice of ward.

Literature Review

In order to understand McBride (2007), it is useful to begin with Iannaccone (1992). Iannaccone develops a joint production model where “a person’s religious satisfaction depends on both his or her own inputs and those of others” (p. 274). The inputs of goods and time that one person devotes to his or her own religious participation benefit other members of the church by increasing the quality of the church. In this way, religious participation creates a positive externality for others, and, as a consequence, members will not choose to participate as much as is desirable from a club-wide perspective. That is, religious partici-pation exhibits “positive crowding.” Therefore, members have the in-centive to “free-ride” on the participation of other members, even when all the members are identical and equally value religious participation

Because of the unique nature of religion, however, the familiar so-lutions to positive externalities (e.g., subsidies) do not seem to be ap-propriate. Not only does paying people to participate seem disingenuous, but Iannaccone notes that “such schemes are rarely prac-tical” (p. 274). Iannaccone concludes that there is “a kind of ‘second-best’ solution” where“[i]nstead of subsidizing participation, churches can prohibit or penalize alternative activities that compete for mem-bers’ resources” (p. 275). By placing stigmas on and prohibiting par-ticular secular activities, the church would in effect be raising the price of those activities for church members, and the members would there-fore substitute away from the prohibited activities toward religious ac-tivities. Iannaccone is able to show that the church should target those secular activities for which there is a sufficiently high degree of substi-tutability.

While the free-rider problem among hom*ogenous populations is remedied by ongoing prohibitions, Iannaccone explains that only mem-ber heterogeneity can “account for one-time costs” (p. 281). The free-rider problem resurfaces among populations in which not all members are identical since “people with low levels of participation have an in-

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (321)

Economics of Geographical Ward Boundaries 321

centive to free-ride off groups with high average levels of participa-tion” (p. 281). Iannaccone concludes that the church is able to discour-age such behavior by exacting “one-time costs” from its members. These one-time costs, or sacrifices, screen out potential members with low levels of commitment. Those individuals who ultimately choose to make the sacrifice and join the church are therefore more likely to have high levels of participation. Using a game-theoretic framework, Ian-naccone is able to prove that in a church composed of two types of people, as long as one type always participates less and values partici-pation less than the other and is sufficiently large, there will be a sig-naling equilibrium where those who value participation more will “end up in groups that require their members to sacrifice a valued resource or opportunity” while those who value participation less will “end up in groups that require no such sacrifice” (p. 283). He calls this result Proposition 2 and uses it to explain the reason for the existence of less-demanding “churches” and more rigid “sects.”

In response, McBride (2007) argues that “[a] group would … only resort to [Iannaccone’s model of] stigma-screening if it cannot identify and selectively reward those who contribute to the group” (p. 398). This is not a startling argument—Iannaccone himself justified his model by emphasizing how it is notoriously difficult within a religious context to identify and reward high-contributors. McBride’s contribu-tion, though, is in detailing how a church (in this case, the LDS Church) might be able to do just that. “Instead of offering one club good,” he says, “the Mormon Church is better understood as implicitly providing a menu of club goods such that the more a member contrib-utes, the more excludable benefits that person receives.” That is, by excluding low-contributors from certain goods, the church gives indi-vidual members of the church an incentive to contribute more and free-ride less. Implementing such exclusion may be costly, however, de-pending on the time and resources required to implement it; therefore a more realistic policy would be that low-contributing members should be excluded from goods that can be excluded at low cost. The effec-tiveness of the incentives created by this exclusion ultimately depends upon the Church’s ability to make good on its intentions to exclude low-contributors from certain goods. McBride therefore places great emphasis on the “Church’s sophisticated administrative structure [which] is used to monitor members and enforce the terms of the menu” (p. 397). This emphasis can be seen in McBride’s characteriza-tion of his paradigm as a “menu-monitoring” model (as opposed to Iannaccone’s “stigma-screening” model).

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (322)

322 Social Sciences

Geographical Ward Boundaries In his discussion of the monitoring programs in the Church,

McBride acknowledges that there are “higher-order collective action problems that the [Church] must resolve to ensure that the monitors do their jobs” (p. 411). Effective monitoring benefits all members in McBride’s analysis, but the cost of monitoring—the time and the en-ergy required—are born by individual members. This dispersion of benefits and concentration of costs leads to another free-rider problem where there will be too little monitoring. It is here where McBride first mentions, almost in passing, the use of geographical ward boundaries in the Church:

The Church’s policy concerning ward sizes also helps [to mitigate the higher-order collective action problem]. Wards, which are defined according to geographical boundaries, are split once their memberships become large. Keeping wards small fosters repeated interaction through various Church-related activities and improves monitoring. (p. 412)

McBride’s insight here appears to be sound. Smaller groups, as first noted by Mancur Olson (1971), are less susceptible to free-riding since members are more likely to know each other and to be aware of each others’ actions. Geographical boundaries are an easy way of or-ganizing members into small wards and managing membership levels. But size is only one aspect of the ward affected by such boundaries. The composition of the ward is another. Boundaries determine not only how many members are in a ward but also which types of mem-bers are in which wards. To see what implications the composition of wards will have on Church vitality, we must first return to another im-portant result of the menu-monitoring model.

McBride emphasizes that a natural consequence of the menu-monitoring approach is that “any variation in conviction, religious capi-tal, outside economic opportunities, etc. among members…will result in observable variation in religiosity within the LDS Church” (pp. 414, 415). In the following paragraph, McBride posits that by tolerating the presence of low-contributors alongside of high-contributors, the church is actually facilitating interactions between the two types of members—interactions that can help the low-contributing members accumulate the religious capital they need to become high-contributing members. In-deed, one of McBride’s most perceptive insights is that there are some goods the church provides that are excludable at low cost but that are not excluded from anyone. The high-contributing members generating

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (323)

Economics of Geographical Ward Boundaries 323

the goods are therefore more likely to be brought into contact with the low-contributing members consuming the goods, increasing the likeli-hood of religious capital creation among low-contributing members. Using such logic, McBride concludes that “while the Church does not encourage free-riding per se, it openly allows low-commitment mem-bers to free-ride to a limited extent…in the hope that they will become high contributors” (p. 415). Two of the explicitly stated goals of the Church—to grow its membership and to increase the contributions of current members—can be reinterpreted as religious capital creation. McBride therefore sees the menu-monitoring approach, which gives individuals incentive to contribute more and which allows enough di-versity for high-contributors to generate new religious capital in low-contributors, as a way for the Church to attain its goals (p. 397).

It is not clear, then, what McBride means when he says that his logic “does not imply that the Church prefers variation in religiosity to every member being highly committed” (p. 415). The Church of course would say that it would like all of its members to be high-contributors. But the Church also maintains an extensive missionary program to bring more members into the Church, and few of those new members will begin as high-contributors. So there is an apparent ten-sion in the desires of the Church: Would the Church really prefer hav-ing many members or only high-contributing members? To shed light on this question, it is perhaps instructive to look more carefully at the nature of the creation of religious capital. Consider, for example, the long-term experience of a member of a religious organization. New converts to churches are barraged with new rites and ordinances, doc-trines,`1 and customs, not to mention new acquaintances and friends. After a year or two, though, if they have truly found a faith that suits them, most will have comfortably assimilated to their new faiths. How much more religious capital, then, will they require? In other words, it seems that the creation of religious capital, as with many other forms of production, experiences diminishing returns. If, indeed, it is the case that it is easier to create religious capital in new and less-involved members, then the Church should prefer to maintain some variation in religiosity in its congregations to create more religious capital more efficiently. Therefore, it would be reasonable that there would be an optimal level of diversity in a ward, some optimal ratio of high- to low-contributing members.2

2 In a working paper, Katherine Anderson uses both game and network theory to con-clude that unrestrained hom*ogeneous individuals will tend to form groups that are too large and that membership restrictions should be used to achieve optimal group size. She also mentions that “requiring a social or spatial connection can effectively substitute” for

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (324)

324 Social Sciences

If this is so, there would be two rationales to the splitting of wards that McBride mentions. One, of course, is to keep the size of the ward small, as McBride observed. But since the Church organizes all of its wards in the same way, each with the same leadership positions and titles, it also seems that a larger ward is more likely to have a surplus of high-contributing members. That is, wards with relatively large ratios of high- to low-contributing members may not use their available reli-gious capital efficiently since some of that capital may be unemployed. We can even say more than this if we assume diminishing marginal returns. Then wards with larger than optimal ratios of high- to low-contributing members (larger wards) cannot use their available reli-gious capital as efficiently as wards with optimal such ratios, even if they succeed in employing all available religious capital. So a second, more subtle, rationale for splitting the ward is to lower the ratio of high- to low-contributing members closer to its optimal level.

From there it is only a short step to argue that the Church will draw the ward boundaries in ways that optimize the diversity in each ward when it is able to do so.3 It is obvious that the Church cannot choose exactly which members will attend which wards, since house-holds are free to move whenever they wish. Stories of “ward shop-ping” are not unheard of, if not common, but the Church does have some limited control over which types of members attend certain wards since it can choose which neighborhoods to include in a ward. The Church, for example, may include high-income neighborhoods with low-income neighborhoods, or older neighborhoods with younger neighborhoods, or neighborhoods having more single-family homes with neighborhoods having more apartments. Anecdotal evidence sug-gests that ward boundaries are indeed drawn with these intentions.4 A certain stake in Provo, Utah, for example, has a number of wards that are only a few streets wide but approximately 15 streets long (Figure 1). Specifically, consider wards five through nine (ward nine does not

membership restrictions (p. 20). This justifies McBride’s view of ward boundaries limit-ing ward size. In this paper, we suggest that the LDS Church uses spatial connections in an attempt to optimize the composition of coalitions given the heterogeneity of its mem-bers. 3 To make strategic decisions in drawing boundaries, the Church would of course require the ability to draw the boundaries in many ways. This presupposes that in the area under consideration the Church is well established and that there are indeed enough members living in diverse neighborhoods to give Church leaders some latitude in choosing bounda-ries. 4 A more methodical study of LDS ward boundaries is required to make any definitive conclusions; we are aware of no such study.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (325)

Economics of Geographical Ward Boundaries 325

appear as narrow as the others but much of the northern area in the ward is nonresidential).

Figure 1: Ward boundaries of a Provo Stake

These wards are drawn this way since there are many young mar-ried couples who study at Brigham Young University (BYU) and who live in the stake. By making the wards long and narrow, Church lead-ers included neighborhoods with both long- and short-term residents in each ward, allowing the less well-established and somewhat busier (low-contributing) students to benefit from the stability and efforts of the more established (high-contributing) members.

This provides some evidence for the idea that the Church can cre-ate closer-to-optimal diversity by including different neighborhoods in one ward. Figure 2 corroborates this by showing that the western halves of wards five through nine lie in a different neighborhood than their eastern halves.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (326)

326 Social Sciences

Figure 2: Ward boundaries with official Provo neighborhoods overlaid

This central-west neighborhood containing wards three through nine is closer to BYU and therefore has a large student/renter popula-tion. The neighborhood directly to the east has relatively fewer apart-ments and more houses and therefore a relatively larger non-student/long-term resident population. The easternmost part of ward nine is a case in point: The portion of the dark-shaded neighborhood it snags could just as easily have been included in another stake. The area is circ*mscribed with roads, so one cannot argue that its inclusion in the stake and in ward nine is due to a natural division. When com-pared with wards five through eight, though, it is no surprise that it would be included in ward nine since that just continues the pattern of long, narrow wards.5

5 Wards one through four, of course, do not follow this long-but-narrow pattern. Al-though we have not yet examined these wards individually, we can conjecture that they have fewer newly married student couples. We can also conjecture that if they needed more diversity, their boundaries would be drawn in more peculiar ways. The presence of wards shaped so differently in a single stake only provides further evidence of our hy-pothesis.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (327)

Economics of Geographical Ward Boundaries 327

Other variables the Church seems to consider when drawing boundaries are the boundaries of both school districts and civic dis-tricts. As implied above, interactions with other members are one of the key factors in the creation of religious capital, but there is no need for the Church to limit the interactions it takes into consideration to interactions at church-sponsored activities. Constructive interactions between members in forums outside of Church will only strengthen their existing religious capital. The Church will therefore tend to draw ward boundaries in ways that maximize the interaction of its members in both secular and religious contexts. By drawing ward boundaries to coincide with school boundaries, for example, the Church assures that the children who go to church together also go to school together. The children in the Church will therefore have a good chance of creating a stable Church-oriented network of friends, which will encourage higher levels of religious capital among them. The Provo stake we considered above does not cut across high school or middle school boundaries. Since those boundaries are so large, one would need to consider a col-lection of stakes to see how stake and ward boundaries interact with them, but the stake does lie within the boundaries of two different ele-mentary schools (Figure 3).

Figure 3: Ward boundaries with elementary school boundaries overlaid

It does not seem that the Church took these elementary school boundaries into consideration when drawing ward boundaries, since

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (328)

328 Social Sciences

wards five through nine all cut across school boundaries. Perhaps Church leaders, knowing that the western halves of those wards had a large college student population and would therefore have fewer chil-dren on average, did not find it necessary to consider elementary school boundaries when drawing ward boundaries; achieving an optimal high- to low-contributor ratio was a higher priority. This would be consistent with our hypothesis of strategic ward boundary drawing.

Another way to interpret the peculiar boundaries of wards five through nine is that they increase the stability of the ward and the sta-bility of its religious capital. Some elements of religious capital appear to be transferable and others nontransferable: knowledge of church doctrine, principles, and policies, for example, will not diminish when a member moves from one ward to another. The mutual trust that devel-ops between members in a specific ward and the corresponding ability to work well together, however, will certainly not follow the member who moves to another ward where he or she knows no other members. The time that it takes for such trust to develop is a cost the Church must bear each time a member moves. It is therefore in the interest of the Church to discourage frequent moving. Common economic logic sug-gests that members of the Church would likely transfer their member-ship records from one ward to another more often if they could do so without cost. The Church is acting in its best interest, then, by making place fate for ward membership, since this implicitly raises the cost of transferring records from one ward to another to at least the amount it would cost to move one’s place of residence to the new ward. Since it is therefore costly to transfer membership from one ward to another, members will tend to remain in wards for longer periods of time on average. This will give members more opportunities to interact with each other, to get to know and help each other, or to put up with each other as the case may be, all of which will tend to increase members’ levels of religious capital. Without the opportunity for prolonged inter-action with other members, it is less likely that a member will develop enough religious capital to become a high-contributing member.

This idea of stability hints at another benefit derived from geo-graphical boundaries: Such boundaries create an incentive for high-contributing members to help low-contributing members develop reli-gious capital. In an article focusing on the proselytory efforts of the LDS Church, Rick Phillips (2008) discusses certain tensions between the centrally organized full-time missionaries and the more locally ori-ented ward members. He focuses on how the goal of the full-time mis-sionaries is to maximize total membership, while the “ward’s highest priority is sustaining a vibrant religious community that meets the needs of its diverse membership” (p. 632). Since “[n]ew converts drain

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (329)

Economics of Geographical Ward Boundaries 329

ward resources,” he says, “the ward seeks committed converts who can quickly demonstrate that investing in them will pay dividends” (pp. 632, 633, emphasis added). In the context of this paper, we could sub-stitute “low-contributing members with high-contributing potential” for “committed converts” in this quote. What is interesting about the itali-cized statement is the implicit assumption it makes that high-contributing members will benefit from the future contributions of their investments in low-contributing members’ religious capital. Suppose, for example, that some high-contributing members of a certain ward spent time helping a low-contributing member in the ward to develop religious capital. If that low-contributing member, having attained a sufficient amount of religious capital to become a high-contributor, could choose on a whim to attend whichever ward s/he wanted, then the high-contributing members that initially invested in them would not be likely to obtain the “dividends” from their “investment.” They would have no (economic) incentive to invest in that person. The assumption Phillips makes is that geographical boundaries give the ward, for lack of a better term, a “property right” over those residing in their jurisdic-tion.6 The ward is given a more or less stable set of resources and its objective is to utilize and develop those resources to create a vibrant community. The idea of a property right is not quite right here, though, since members can move at will from the ward, so perhaps a better way to put it is that geographical boundaries increase the probability that high-contributing members will benefit from their investments in low-contributing members, which increases the high-contributing members’ expected net benefit of investing and leads them to invest more than they would without the boundaries. The use of geographical bounda-ries, in this way, gives high-contributing members greater incentive to invest in low-contributing members.7

Those skeptical of this argument might respond that members would be more likely to help people develop religious capital if they could choose who those people would be. Would not geographical boundaries limit such so-called investments? What incentive does a member then have to invest time in someone living outside his or her

6 Those members who attend the temple covenant to consecrate their time, talents and means to the Lord, so in a sense they may be seen as assets of the church. 7 It is important to note that this incentive is only effective as long as the size of the ward is small. Once the ward becomes large, then members will suspect that the ward will be split and therefore the expected net benefit of any investment in current low-contributing members in the ward will fall dramatically. Perhaps this is one rationale to maintain a centrally organized missionary program that will continually initiate new growth, despite the tensions that will inevitably exist between such a program and local congregations.

(PDF) The Journal of the Utah Academy of Sciences, Arts, & Letters· 2010/4/9 · ogy Dept. TBF, Salt Lake Community College, 4600 South Redwood Road, Salt Lake City, UT 84123, and three - DOKUMEN.TIPS (330)

330 Social Sciences

ward boundaries? These are formidable arguments and certainly seem to call into question the prudence of the Church’s use of geographical boundaries, but in this context it is also important to remember the re-sults of Iannaccone’s analysis. Recall that in Iannaccone’s Proposition 2, he concluded that in the presence of heterogeneity (high-contributors and low-contributors commingled together) then there will ultimately be a schism where low-contributors would form one group and high-contributors another requiring a sacrifice to enter.8 McBride’s menu-monitoring method certainly appears to change the rules of Iannac-cone’s game in that it allows for more heterogeneity within the church on a church-wide level, thereby helping to avoid the types of schisms Iannaccone predicts for heterogeneous organizations. But there is noth-ing in the menu-monitoring approach to prevent members from self-partitioning into high-contributing wards and low-contributing wards. The Church would clearly not allow high-contributing wards to require a sacrifice for entry as Iannaccone predicts they would, but one can imagine all types of informal social norms that would develop to dis-courage entry of low-contributing members. Such partitioning would decrease the diversity within each ward and would therefore hinder the creation of new religious capital, despite the apparent benefits of self-partitioning considered at the beginning of the paragraph. By allowing diverse neighborhoods to be assigned to a single ward, geographical boundaries can help to maintain a certain level of intra-ward diversity. The high-contributing members then have an incentive to invest in the low-contributors. And the result is greater religious capital creation within the Church.

It is important to point out that this hypothesis requires that mem-bers actually do attend the ward in which they live. There is no mecha-nism in the Church to prevent members from unofficially participating in wards other than their own. But it is quite difficult for any member of the Church to become an official member of a ward in which he or she does not live. To do so would require not only the consent of the bishops of the wards involved, but also that of the stake president and even the First Presidency of the Church. It is also Church policy that such exceptions should be few. Trying to obtain an official exemption from church leaders with low probability of success may therefore be more hassle than it is worth. This means that for most members, offi-cial interactions with the Church must be conducted through