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taurus
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MCNAIR
S C H O LA R S
PROGRAM
Research Journal
S p r i n g 2 0 1 3 | Vol. V
canis major
MCNAIR
SCHOLARS PROGRAM
RESEARCH JOURNAL
Spring 2013 | Volume V
The Ronald E. McNair Postbaccalaureate Achievement Program at
St. Edward’s University is a federal TRIO program funded by the
U.S. Department of Education.
COPYRIGHT © 2013 BY
ST. EDWARD'S UNIVERSITY
ALL RIGHTS RESERVED
COVER DESIGN BY KAITLYN ADAMS
The McNair Scholars Program is a federal TRIO program funded at
158 institutions across the United States and Puerto Rico by the U.S.
Department of Education. It is designed to prepare undergraduate
students for doctoral studies through involvement in research and
other scholarly activities. McNair participants are either firstgeneration college students with financial need or members of a
group that is traditionally underrepresented in graduate education
and have demonstrated strong academic potential. The goal of the
McNair Scholars Program is to increase doctoral degree awards
for students from underrepresented segments of society.
TABLE OF CONTENTS
9
10
11
12
24
47
ACKNOWLEDGEMENTS
A NOTE FROM THE MCNAIR DIRECTOR
A NOTE FROM THE EDITOR
USSR: CONTINUITY IN A NEW RUSSIAN FEDERATION
Erica Carillo | Dr. Mity Myhr
TRANSITION TO DEMOCRACY IN THE MIDDLE EAST
Dellea K. Copeland | Dr. Rodrigo Nunes
PHYSICAL CHARACTERISTICS, PERSONALITY TRAITS,
AND ATTRACTION
Genesis Granados | Dr. Jeannetta Williams
65
Eryn Lee | Dr. Mary Kopecki-Fjetland
79
DEVELOPMENT OF PARKINSON’S DISEASE FROM
PESTICIDE EXPOSURE IN CAENORHABDITIS ELEGANS
Katherine Najera | Dr. Fidelma O’leary
91
103
116
UNDERGRADUATE EXPOSURE TO CHROMATOGRAPHY
MODULATION OF ACETYLCHOLINE SIGNALING AND
ITS EFFECTS ON PROTEIN AGGREGATE CLEARANCE
AND TOXICITY IN A TRANSGENIC CAENORHABDITIS
ELEGANS ASH NEURON
Leslie Nix | Dr. Fidelma O’leary
EXAMINATION OF THE ROLE OF THE CALCINEURIN
OSM-9 IN MEDIATING OLFACTORY ADAPTION
TO ISOAMYL ALCOHOL IN CAENORHABDITIS ELEGANS
Elizabeth Pelser | Dr. Fidelma O’Leary
ATTEMPTS AT EUROPEAN UNIFICATION: THE LONG VIEW
Elvia Valle | Dr. Peter Austin
RONALD ERVIN MCNAIR
“Whether or not you reach your goals in life depends entirely
on how well you prepare for them and how badly you want
them. You’re eagles! Stretch your wings and fly to the sky.”
RONALD E. MCNAIR
Physicist and NASA Astronaut
8
ACKNOWLEDGEMENTS
MCNAIR DIRECTOR AND PRINCIPAL INVESTIGATOR
Molly E. Minus, PhD
EDITOR
Justin Vargas, ABD
ST. EDWARD'S UNIVERSITY FACULTY EDITORIAL BOARD
Kendra Abbott, PhD | Biology
Catherine Bacon, PhD | English
Elisa Diaz Martinez, PhD | Social Science
Delia Paskos, PhD | Psychology
Michelle Robertson, PhD | Sociology
James E. Payne, PhD | Global Studies
Neal Wise, PhD | Political Science
LAYOUT/DESIGN
Kaitlyn Adams
FACULTY MENTORS/RESEARCH DIRECTORS
School of Behavioral and Social Sciences
Mity Myhr, PhD
Rodrigo Nunes, PhD
Jeannetta Williams, PhD
University Programs
Peter Austin, PhD
School of Natural Sciences
Fidelma O’Leary, PhD
Mary Kopecki-Fjetland, PhD
9
A NOTE FROM THE DIRECTOR
As we complete our tenth and our first year in our third funding cycle, we are proud
to present our fifth edition of the St. Edward’s University McNair Scholars Program
Research Journal. The scholarly articles in this journal represent the culmination of
research conducted by scholars in between spring 2012 and fall 2013.
The Ronald E. McNair Postbaccalaureate Achievement Program is a
federally funded TRIO program that prepares students from low-income and
first-generation and under represented groups in graduate programs for doctoral
study with eventual completion of the doctoral degree. The purpose of the
program is to provide the academic and personal support necessary for overcoming
socioeconomic obstacles that might otherwise prevent these students from earning
doctoral degrees. A key component of the program is the opportunity for scholars
to conduct research under the direction of a faculty mentor. Following their
research, scholars present their research at symposiums on campus and at national
conferences and also submit their paper for publication in our faculty blindreviewed research journal.
As you will discover as you read this journal, McNair scholars are a diverse
group, and this year their research comes from a variety of disciplines from the
behavioral and natural sciences. However, what they all have in common is a
passion for their research topic and their discipline and a strong commitment for
accomplishing not only their research goal but of pursuing a doctorate degree.
These scholars are to be commended for their perseverance throughout the rigorous
research experience and for the quality of effort they put forth. They well represent
the McNair Scholars Program and St. Edward’s University.
For the fourth year, the outstanding design of the journal was made possible
by the support from Graphic Design Assistant Professor Tuan Phan and his student
worker who did the design, Kaitlyn Adams. We are extremely grateful for the
time and effort provided by our faculty editorial board that read all the submitted
articles to assist us in selecting articles for publication. In addition, we want to
thank the scholars’ faculty research directors who provided many hours of guidance
to the scholars throughout the research and writing process.
MOLLY E. MINUS, PHD
Director | McNair Scholars Program
Associate Vice President for Academic Affairs
Professor of Education
10
A NOTE FROM THE EDITOR
It is an honor to present this special electronic issue of the McNair Scholars
Program Research Journal. This issue marks the fifth volume of the journal. It has
been a pleasure to read, edit and publish the innovative research findings contained
in this journal. These published manuscripts are the result of almost a year of
research, data collection, analysis and writing that began in spring 2012, continued
into the summer with an intensive research program.
We would like to acknowledge our faculty editorial board: Kendra Abbott,
PhD, Biology; Catherine Bacon, PhD, English; Elisa Diaz Martinez, PhD, Social
Sciences; Delia Paskos, PhD, Psychology; Michelle Robertson, PhD, Sociology,
Neal Wise, PhD, Political Science and James Payne, PhD, Global Studies. Special
thanks go to all the research directors and faculty mentors for giving of their time
and expertise and to our student graphic designer Kaitlyn Adams, who made the
electronic launch a success.
Finally, we extend our special thanks to Dr. Molly Minus, Director of the
McNair program, for her tireless effort, dedication and commitment to the McNair
Scholars Program. Thank you so much for continuing to support first generation
and low-income and undergraduates from underrepresented groups and make their
dreams into a reality.
It is our hope that this journal will serve as a catalyst for future scholarly and
practical action. And so, it is thus with great pleasure, I am delighted to introduce
the articles and essays the editorial board selected for the fifth edition of the
St.Edward's McNair Scholars Research Journal.
JUSTIN VARGAS
Editor
11
CARILLO
USSR: Continuity in a New
Russian Federation
ERICA CARILLO Dr. Mity Mihr
St. Edward’s Univeristy
Abstract
The question of organizational continuity of the Russian government
from the days of the Soviet Union to the present Russian Federation
has been debated by historians and scholars. By analyzing the political
trends throughout the later years of the Soviet Union leading up the
disintegration of the Communist party, this research attempts to explain
the transfer of powers from Communist party officials, political parties
and factions that played a role in the transition phase to the Russian
Federation that is present today. Furthermore, this research aims to
answer who were the particular parties and factions involved, what caused
certain political parties to become dominant forces in the change, and how
that affects government today. Finally, this research will help to outline
the connections and continuity of the old USSR government to the present
day Russian Federation.
12
Introduction
The question of organizational continuity of the Russian government
from the days of the Soviet Union to the present Russian Federation has
been debated by historians, scholars, and journalists. By analyzing the
political trends throughout the later years of the Soviet Union leading
up the disintegration of the Communist party, this research shall explain
the transfer of powers from Communist party officials, political parties
and factions that played a role in the transition phase to the Russian
Federation that is present today. Furthermore, this research aims to
identify the particular parties and factions involved, and ask what caused
certain political parties to become dominant forces in the change, and
how that affects government today. This research will argue that there
are connections and continuity from the USSR government to the Russian
Federation.
Russia is a country in constant transformation. From the beginning
of the 20th century, with the onset of the Russian Revolution, Russia has
been changing. The 1917 Revolution, led by Vladimir Lenin, changed the
political and social identities of groups in the country and set into place
a communist government led by the Bolsheviks.1 From the start of the
USSR, each political leader has brought different ideas on how the USSR
government should be run.
Perhaps the most iconic leader of the USSR was Joseph Stalin
(S.L.1925-1953). Most known for his authoritarian approach to
governmental management and the political purges of his perceived
opposition, Stalin enacted various five-year economic plans which aimed to
industrialize the economy and collectivize rural farms.2 Stalin’s approach
to government is considered authoritarian by many scholars and historians
and the most impressive trait of his regime.3
Transitioning from an authoritative style of government, Nikita
Khrushchev (S.L.1953-1964) could be considered a modest reformer,
13
ERICA CARILLO
breaking away from the strict policies set in place by Stalin. Trying to limit
the enforcement of Stalin’s political policies, Khrushchev could be credited
for decreasing restrictive policies in the USSR. For example Khrushchev
led reform to stop the political purges and the despot imprisonment.4
Most known for serving during the most tumultuous years of the Cold
War, Khrushchev tried to interact more with the West, meeting with
Presidents Harry Truman and President John F. Kennedy.5 Following
Khrushchev’s leadership, the USSR experienced a series of Soviet leaders
whose political leadership was similar to Khrushchev’s pragmatic reforms,
thus by the 1980’s economic and social reforms were necessary.
Scholars have recently focused their attention on the transition period
of Russia from 1991-2000. Since the fall of the USSR in 1991, Russia
has been through a series of political changes and reforms, attempting to
become a free-market democracy.6 Some schools of thought argue that
there is a clear connection between the managerial styles of government
leaders of the USSR and present day Russia, while others cite clear breaks
from the governing styles of the USSR arguing that Russia is now a
democracy.
Kathryn Stoner-Weiss, assistant professor at Princeton University,
argues that although political change has occurred, the government
of Russia continues to be repressive, reminiscent of that of former
Communist leaders and government.7 Adding to this oppression is the
fact that after almost a decade, Russia has failed to create a completely
consolidated democracy or produce a market economy. Of the most
pressing political, economic, and social issues, Weiss states, is the issue
of creating a consolidated power center able to extend into all eightynine provinces that comprise the Russian Federation. The perpetuation
of former governmental styles, such as those from the former USSR are
often times kept in place because a working form of government is better
than a disorganized but more representative government. Being able to
govern across the expanse of Russia is an argument of the tough job of
democratizing and eradicating old forms of government, many of which
14
USSR: CONTINUITY IN A NEW RUSSIAN FEDERATION
are more effective in rural areas as a form of stable central authority as
seen by the inhabitants of the area.8
Michael McFaul, assistant professor at Stanford University, also
supports the continuity thesis by discussing the low voter turn-outs in
the elections following Yeltsin.9 Analyzing the trend, a polarization has
occurred within the voting population between those aimed at change and
moving away from the former communist government, versus those who
do not particularly want change. Many of the reasons citizens did not
favor change was the concern for their low, yet stable standards of living
ensured by pensions and aid.10 Voters accepting and expecting pensions
has effected voting outcomes as voters are more inclined to keep officials
in office who continue the government pension program.
Finally, various media outlets and journalists have documented the
last decade, offering many observations of the political figures in play
since Boris Yeltsin, many of whom were appointed by him to office at the
beginning of the decade, such as Vladimir Putin and Dmitry Medvedev. In
recent years, political elections have been surrounded by controversy such
as voter fraud and vote purchasing. Journalists have observed that only
two leaders have been elected since the end of Yeltsin’s term.11 Medvedev
and Putin have both served as Prime Minister and President, with Putin’s
reelection this year. This coupled with voter demonstrations this past
spring has led many journalists to argue the thought of a continued
repressive regime in Russia, despite a democratic front.12
Other historians, however, cite examples of progress and a
discontinuities with Soviet past. Brian Moynahan, for example, argues
that Russia has been progressively moving forward economically.13
Claiming the economic upturn Russia has gained by creating jobs in the
private sector, and the free market economy now tied with the oil reserves
in Siberia, Moynahan argues for the economic freedom now felt that was
not available under the former Soviet Union.14
Yoshiko Herrera, assistant professor at Harvard University, argues
claims that the voter turn-out in the recent decade has been marked by a
15
ERICA CARILLO
younger demographic than in previous election years.15 The most recent
election, Herrera argues, demonstrated the disillusion and anger felt by
the youth in Russia over their marginalized influence of the government
with the campaign of Vladimir Putin, and the demonstrations against his
election, something unprecedented in earlier years. In opposition to the
previously mentioned media outlets, many journalists argue that there
are higher levels of freedom of speech and political organization than
protestors and other youth movements in Russia have had in the past.16
Despite current restrictions, the journalists point out the ability to organize
is progress in itself, with room for improvement and more protective
measures are needed for the transition in the future.17
In analyzing primary sources accounts of transformation and
secondary sources relating to the history and evolution of the Russian
government, I will be making connections between the former Soviet
Union and the Russian Federation to prove that there is a strong
connection between the two. I have read, as well, various analyses of the
Russian government, both the Federation and the former USSR and of the
fall of the USSR. The significance of my research will be to demonstrate
the connections and to contribute to the literature on the large historical
debate surrounding Russia.
My limitations are that the background and history of the government
transformation are fairly recent. There are few accounts that allow
for depth from the topic, and many of the historical background I am
provided with still reflect Cold War era sentiments. Many primary sources
are in Russian, and I cannot translate directly. As an English speaker,
many translations and sources are from a Western standpoint, making
my sources slightly biased. The recent events I am investigating also limit
me in researching in what many historians would argue a current topic.
No distance has been allowed for the analysis of the transformation.
However, there is considerable amount of evidence to lay the foundation
for evaluating this significant time period in our most recent history. This
evaluation will help us to understand current Russian affairs and perhaps
16
USSR: CONTINUITY IN A NEW RUSSIAN FEDERATION
better interact with Russia in the future.
The USSR’s last political leader was Mikhail Gorbachev (S.L..19851991). Mikhail Gorbachev paved the way for reform in the Soviet
Union by enacting Perestroika and Glasnost, both reforms meaning
“restructuring” and “openness.”18 Restructuring of the government
was the aim of Gorbachev by creating more democratic processes in
the communist state. Gorbachev acknowledged the need for a more
transparent governmental body as he continued to develop a more open
relationship with the West. Gorbachev hoped to create a more peaceful
and functioning Soviet Union in which its citizens felt safe to actively
participate in the government, whether in positive or negative ways.
Gorbachev made many efforts to improve relations with the West
and met with United States presidents Ronald Reagan (P.1981-1989) and
George H. Bush (P.1989-1993) discussing the relationship between the
West and the Soviet Union.19 Under the INF Treaty, Ronald Reagan and
Gorbachev signed an agreement eliminating two classes of weapons of
mass destruction, intermediate and short range missiles.20 Later in 1991,
George H W Bush (P.1989-1993) and Gorbachev signed the START Treaty
in Moscow, reducing strategic nuclear weapons by half and the following
year agreed to eliminate both tactical nuclear weapons on both sides.21
At a summit in Malta, both Bush and Gorbachev decided that both sides,
both countries did not regard each other as enemies, ending the “Cold
War” as according to Gorbachev.22 Despite this mutual agreement, the
following months would change the West’s interpretation of events.
Gorbachev’s government models of perestroika and glasnost had
negative and positive effects on the Soviet Union. The reforms allowed
for direct elections in the Communist Party and also allowed for other
political parties to organize. The restructuring of the government allowed
for new central legislation and organization as well such as representative
parliaments in each respective state.23
Other effects of these reforms were the new political freedom the
Soviet citizen gained. Despite Gorbachev’s aims at reform and desire
17
ERICA CARILLO
to continue with the Soviet Union along with the popular ideology of
the Soviet Citizen to not change the government set up, the freedom to
organize new political parties and factions allowed for specific groups to
organize. These political groups and nationalist groups, now organized,
raised concerns and disputes long repressed by the totalitarian regime of
the USSR. These sentiments and movements manifested and helped fuel
the various revolutions in 1989 within the Soviet satellite states such as
Poland, East Germany, Bulgaria, Czechoslovakia, and Romania.24 These
events added pressure to the reformist Gorbachev to choose to create a
more democratic government system, or enact strong restrictive policies
to control the organization of the political parties causing change in the
Soviet Union and satellite states.25 These positive and negative reactions to
Gorbachev’s reforms were catalyst in the next stage of the Soviet Union.
Political unrest caused a more conservative sentiment to occur in the
officials and the military within the USSR. Fear of continued unrest and
no quick reform to quell revolutions led to a coup d’etat of Gorbachev
in August 1991.26 The coup led to the fear of reforms on the part of
reformers, the fear that the changes made might be repealed. Because of
this many other soviet states advocated for independence outright, creating
a domino effect of government change in Eastern Europe. Boris Yeltsin,
President of the Russian SFSR during the dissolution of the Soviet Union,
opposed the coup d’etat but would later play a big political role in the new
foundation of the Russian state.27
Following the coup and independence of various states, presidents of
Ukraine, Belarus, and Russia, Yeltsin, met in December 1991 to discuss
the plan to dissolve the Soviet Union.28 The plan was to continue a loose
union of the former Soviet states, but to do away with the USSR entirely.
Gorbachev resigned his power on December 25, 1991 and the USSR
formally was dissolved.29 The Russian Federation was announced as a
successor state and was therefore allowed to hold its former weapons
and resources.30 The path towards a democratic Russia was beginning to
unfold.
18
USSR: CONTINUITY IN A NEW RUSSIAN FEDERATION
Boris Yeltsin became the first Russian President under a democratic
government in 1991.31 Quick to make reforms, Yeltsin wanted to
transform Russia’s collectivized economy into a free-market economy with
privatization, competition, and price liberalization.32 His plan of “shock
therapy” was thought to be the catalyst necessary for the economy, that
an influx of capital that a free-market economy would create would be
enough to start the economy in a positive trend.33 Despite the thought,
the economic control fell into small pockets of businesses and business
leaders, creating small monopolies and causing wealth distribution to not
fall evenly. Along with this, many former USSR officials and business
owners continued to conduct business in the former Soviet manner, with
bribery and corruption. It has been speculated by many scholars and
historians that Yeltsin’s political campaign and rule was riddled with
corruption. Many accounts of office buying occurred during this early
period of the Russian Federation. Distrust of the government and failing
economic reform negatively affected Yeltsin’s ratings with the Russian
people. In 1993, two years after his appointment to office, Yeltsin ordered
the dissolution of parliament, illegally.34 Parliament pushed for the motion
to remove Yeltsin from office, while the military and Yeltsin pushed for
more presidential power. This political turmoil led to the raid on the
Russian Presidential White House, injuring approximately 160 people.35
Yeltsin, having won over the parliament did away with the former
constitution established in 1991, limited opposition from political parties,
and kept moving forward with still failing economic reforms.36 Economic
stabilization was an ongoing issue for Russia during the 1990’s with
Yeltsin’s approval ratings continuously falling throughout his appointed
presidency. In 1999, Yeltsin announced his resignation and appointed his
successor as Vladimir Putin, his Prime Minister at the time.37 Approval
ratings were at Yeltsin’s lowest when he left office.38
Vladimir Putin (P. 2000-2008, 2012-present) began his political
career as a KGB member in the former USSR. Following the dissolution
of the USSR, Putin became a cabinet member as Yeltsin’s Prime Minister
19
ERICA CARILLO
in 1991.39 Appointed as President by Yeltsin, Putin enacted economic
reforms in an effort to stabilize the turbulent economy. Putin is credited
for nationalizing and marketing the oil and gas industry in Russia and
establishing it on the world market. His energy policy created an increase
in foreign investment in Russia. Along with this, wages and Russia’s
GDP increased under his economic reforms and is credited for reviving
Russia’s economy.40 Despite the positive reforms Putin has put into place,
scholars and political scientists argue that his methods of governing
are undemocratic and authoritative. Scholars in the West argue that
his government and officials operate in a “mafia” state with corruption
and bribery common.41 Putin denies these claims but executes political
authority over protesters and terrorist threats in the Chechnya. Approval
ratings for Putin are high, with economic stability the biggest cause, but
the authoritarian idea of his governing is still debated.42
Comparisons to the old former USSR are evident in the governing
styles of some Russian leaders. Many see the comparison between Putin
and Khrushchev’s leadership in the political opposition. Putin has recently
quelled riots in the winter of 2011-2012 with his upcoming election in
May, while Khrushchev jailed political opposition during his leadership.
Despite having the new freedom of assembling and protesting, many
protestors were jailed and continue to serve sentences under the pretext of
political enemies of the state. The desire to stop political opposition shows
a disconnect in the fundamentals of what a democracy is, and a connection
to the former actions of dealing with political opposition used in the Soviet
Union. The continued leadership of key figures such as Putin and Dmitry
Medvedev, former Prime Minister and Deputy Chief of Staff to Vladimir
Putin, show another connection to the dictator style leadership found in
the USSR. Despite needing to conduct free elections, many cite corruption
and that many elections are rigged with the outcome known days before
the actually election is held. This method was often used in the early
USSR, but was stopped during Stalin’s leadership. The façade made with
elections is to promote an idea of democracy, despite many of the public
20
USSR: CONTINUITY IN A NEW RUSSIAN FEDERATION
knowing the corruption involved with the government and office elections.
Finally, in more recent years, political and economic corruption has been a
topic of discussion in Russia, with many people accusing the government
of being in charge of the corruption in question. Putin again denies
these claims, but many accounts exist of police and government officials
accepting and giving bribes for favors and positions. These practices
occurred during the USSR and allowed for the oligarchy of Soviet leaders
to continue to control the economy after the fall of the USSR.
In conclusion, there is a connection between the governing styles of
former Soviet Union leaders and the recent Russian Federation leaders.
The cycle of reform and restrictive policies are evident in the governments
in place in Russia over the last 100 years. With progress with winning
the Russian Revolution, the Communist government enacted restrictive
policies for all of its citizens. With the progress seen with the fall of the
Soviet Union, the new Russian Federation restricts its citizens and runs
the country in a corrupted manner. Despite these claims, there is still
more to be done in terms of research and also more to analyze as there
is development in Russia each day. Perhaps the cycle of progress and
change could continue but with a more democratic trend. Drawing
from this research it is clear that in terms of leadership there are far more
continuities from the USSR in the current administration of the Russian
Federation than there are discontinuities.
Endnotes
1
Robert Conquest, V I Lenin (New York: The Viking Press, 1982), 45.
2
Brian Moynahan, The Russian Century: A History of the Last Hundred Years (New York:
Random House, Inc., 1994), 79.
3
Vera Tolz, Russia (London: Oxford University Press, 2001), 56.
4
Ibid, 93.
5
A Alexeyev, A Short History of the USSR (Moscow: Progress Publishers, 1972), 87.
6
Stephen F Cohen, “The Soviet Union’s Afterlife,” The Nation, January 9, 2012, 16.
7
Zoltan Barany, Russian Politics: Challenges of Democratization (Cambridge: Cambridge
University Press, 2001), 34.
21
Endnotes
ERICA CARILLO
8
Barany, 38.
9
Ibid, 45.
10
Cohen, 17.
11
Jon Yin, Government of the USSR Under Perestroika (Ontario: Northernmost View Press,
1991), 45.
12
Cohen, 17.
13
Barany, 51.
14
Ibid, 58.
15
Ibid, 55.
16
Vadim Nikitin, “Back in the USSR,” The Nation, January 20, 2012, 17.
17
Ibid, 18.
18
Frederick C Corney, “What Is to Be Done with Soviet Russia? The Politics of Proscription
and Possibility,” Journal of Policy History 21, no. 3 (July 2009): 272.
19
Yin, 102.
20
Ibid, 58.
21
Ibid, 64.
22
Mikhail Gorbachev, “Is the World Safer Without the Soviet Union,” The Nation, January 9,
2012, 12.
23
Yin, 77.
24
Gorbachev, 13.
25
Yin, 87.
26
Cohen, 15.
27
Cohen, 16.
28
Tolz, 124.
29
Moynahan, 212.
30
Alexeyev, 112.
31
Nikitin, 20.
32
Tolz, 180.
33
Yin, 89.
34
Cohen, 17.
35
36
Caroline Humphrey, “Remembering 1989 and its aftermaths in the depths of Russia,”
Focaal 2010, no. 58 (2010): 113.
Ibid, 114.
37
Ibid, 115.
38
Yin, 134.
39
Barany, 137.
40
Barany, 145.
41
Ibid, 152.
42
Ibid, 166.
22
Bibliography
USSR: CONTINUITY IN A NEW RUSSIAN FEDERATION
References
Alexeyev, A. A Short History of the USSR. Moscow: Progress Publishers, 1972.
Barany, Zoltan. Russian Politics: Challenges of Democratization. Cambridge: Cambridge University Press, 2001.
Cohen, Stephen F. “The Soviet Union’s Afterlife.” The Nation, January 9, 2012, 14-18.
Conquest, Robert. V I Lenin. New York: The Viking Press, 1982.
Corney, Frederick C. “What Is to Be Done with Soviet Russia? The Politics of Proscription and Possibility.” Journal of Policy History 21, no. 3 (July 2009): 264-281.
Dimitrov, Philip. “Does ‘Populism’ in Europe’s New Democracies really matter?” Demokratizatsiya 17, no. 4 (Fall 2009): 310-323.
Florinsky, Michael T. Russia: A Short History. New York: The Macmillan Company, 1964.
Friedman, George. “Russia’s Strategy.” STRATFOR , April 20, 2012, 12-15.
Gorbachev, Mikhail. “Is the World Safer Without the Soviet Union.” The Nation, January 9, 2012, 11-13.
Hemment, Julie. “Soviet-Style Neoliberalism?: Nashi, Youth Voluntarism, and the Restructuring of Social Welfare in Russia.” Problems of Post-Communism 56, no. 8 (November-December 2009): 36-50.
Hosking, Geoffrey. Russia and the Russians. Cambridge: Harvard University Press, 2001.
Humphrey, Caroline. “Remembering 1989 and its aftermaths in the depths of Russia.” Focaal 2010, no. 58 (2010): 112-116.
Leeson, Peter T, and William N Trumball. “Comparing Apples: Normalcy, Russia, and the Remaining Post-Socialist World.” Post-Soviet Affairs 22, no. 3 (July 2006): 1-36.
Moynahan, Brian. The Russian Century: A History of the Last Hundred Years. New York: Random House, Inc., 1994.
Nikitin, Vadim. “Back in the USSR.” The Nation, January 20, 2012, 18-21.
Nimitz, August H. “A Return to Lenin - But Without Marx and Engels?” Science and Society 73, no. 4 (October 2009): 452-473.
Oversloot, Hans, and Ruben Verheul. “Managing Democracy: Political Parties and the State in Russia.” Journal of Communist Studies & Transition Politics 22, no. 3 (September 2006): 383-405.
Schmidt, Giles. Of the Rus Commonwealth. New York: Cornell University Press, 1966.
Time Life Books. The Soviet Union. Amsterdam: Time Life Book, 1990.
Tolz, Vera. Russia. London: Oxford University Press, 2001 .
Voyce, Arthur. Moscow. Norman: University of Oklahoma Press, 1980.
Wittram, Reinhard. Russia and Europe. London: Thames and London, Inc., 1975.
Yin, John. Government of the USSR Under Perestroika. Ontario: Northernmost View Press, 1991.
23
COPELAND
Transition to Democracy in
the Middle East
DELLEA COPELAND Dr. Rodrigo Nunez
St. Edward’s Univeristy
Abstract
Abstract
The 2011 Arab Spring began when a Tunisian fruit cart vendor, Mohamed
Bouazizi, saturated himself with gasoline and set himself on fire in front
of the governor’s office. Bouazizi’s personal protest reflected the mounting
frustrations citizens had toward their corrupt governments. Before the
burns had taken his life, protests erupted across the entire country.
Tunisia’s cry for justice reverberated across the region and resulted in
the toppling of long-standing authoritarian regimes. Poor economic
circumstances and low government accountability pushed the people to
demand political reform. Though the political uprisings had similar origins
and resulted in the toppling of regimes, the outcomes in Egypt and Tunisia
are distinct. This work examines the similar revolutionary processes
experienced by Egypt and Tunisia and the phenomena that led to their
differing outcomes.
24
One year after the Arab Spring, both countries are trying to establish
democratic regimes, yet Egypt has had minimal success and Tunisia is
considered the standard for democratic transition in the Middle East. It
was discovered military intervention in the Egyptian political arena has
been a hindrance to Egypt’s transition. The reluctance of the military
to relinquish power undermines Egypt’s already precarious transition.
Though the Tunisian military did not intervene politically, it still had a
significant role during the revolution and had the potential to seize power.
The incentives for maintaining political power are debatable.
Given the transition to democracy has been more successful in Tunisia
than in Egypt, the focus of this study was to determine the possible
explanations regarding the Egyptian military hold on power. A systematic
comparison of two case studies was conducted using secondary academic
sources. Four hypotheses were developed and tested in relation to:
economic stability prior to revolution, income inequality and resistance to
democratization, military control of resources, and military ideology.
This study examined the potential explanations for why the military
chose to intervene in Egypt, but refrained from the political arena in
Tunisia. The results suggest democratic transition in the Middle East may
be additionally difficult for states with militaries that are more active in the
political and economic systems.
The Arab Spring
Mohamed Bouazizi was a university graduate and like countless others
in Tunisia, couldn’t secure employment after earning his degree. With a
family to support, Bouazizi took to the streets and sold fruit from a small
cart. One day, a female municipal investigator claimed he was operating
without a permit and seized his property. Bouazizi resisted and struggled to
keep his only source of income. The investigator slapped him in the face.
Anger mounting, he continued to physically struggle with the investigator
before being pulled off by her colleagues and beaten. He then went to the
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municipal building and demanded his property only to be assaulted again.
He then tried to file a complaint at the governor’s office but was refused an
audience.
His frustration had reached new heights. In the hottest part of the day,
Bouazizi returned to the gate outside of the governor’s office and saturated
himself with gasoline. Humiliated, destitute, and oppressed, he lit himself
on fire. He died on January 4th, ten days before President Ben Ali
fled Tunisia.
Bouazizi’s vehement personal protest reflected the mounting
frustrations citizens had toward their stagnant and corrupt government.
Civilians, inspired by his individual protest which had gone viral,
erupted into protests across the entire country – now called the “Jasmine
Revolution.” Tunisia’s cry for justice quickly reverberated across the region
and ultimately resulted in the toppling of multiple authoritarian regimes.
This regional awakening and movement of masses of people against unjust
governments took place in the spring of 2011 and is now called “The
Arab Spring.”
The revolutions in Tunisia and Egypt bore similar economic
origins. Both populations were weary of high unemployment as well
as government corruption. Unable to make their complaints heard
individually, people massed together in the streets and expressed their
discontent through a series of street demonstrations, marches, riots,
and violent crashes (Hashim, 2011). Haggard and Kaufman attribute
the motivation of political protests to economic distress regarding
unemployment, inflation, fuel transportation, and the decrease of real
wages. The same trend was evident in Egypt and Tunisia as poor economic
circumstances and low government accountability pushed the people to
demand political reform via replacement of the government and regime.
After decades of oppression, the people ousted long-term presidents and
their cabinets in order to establish a new government that would be more
responsive and demanded regimes that would better guarantee their civil
rights and financial security.
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TRANSITION TO DEMOCRACY IN THE MIDDLE EAST
One year after the Arab Spring, both Egypt and Tunisia were
attempting to establish democratic regimes. However, Egypt has failed in
comparison to its more stable counterpart, Tunisia. While the uprisings
had similar economic origins and both resulted in the toppling of the
authoritarian regimes, the outcomes in Egypt and Tunisia are distinct. In
part, this is due to the manner in which the ousted presidents left office.
When former Egyptian president, Hosni Mubarak, resigned from office,
he handed power directly to the military. One year after the revolution,
Egypt’s interim government continued to be controlled by the Supreme
Council of Armed Forces (SCAF). In contrast, former President Zine El
Abidine Ben Ali had fled Tunisia after firing his entire government, leaving
a political vacuum and providing civilians an opportunity to control the
interim government.
Egyptian military involvement in the political arena has been a
hindrance to its transition to democracy. One year after the uprising,
the military is still in control and has yet to consider the implementation
of substantial and wide-sweeping reforms. Furthermore, no elections
have been held and Egypt’s mixed economy has yet to be liberalized.
The military institution remains unresponsive to the newest demands
by Egyptians for the military to transfer power to civilians. Instead of
gradually rescinding from politics as expected, the military has formally
expanded its power by extending martial law. The extension of martial
law has resulted in the dissolution of parliament and the suspension of the
Egyptian Constitution. Furthermore, the Supreme Constitutional Court,
reportedly packed with Loyalists before Mubarak resigned, carefully made
decisions in favor of the military’s retention of power.
The reluctance of the military to relinquish power undermines Egypt’s
already precarious and tentative transition to democracy. The incentives
for the military to maintain political power are debatable. Linz and Stepan
(1996) associate the success of a democratic transition with “which groups
are most powerful, and especially on whether elections or sweeping
decree reforms are considered to be the first priority”. Elections were
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obviously not a priority for Egypt as they were for Tunisia. The Tunisian
civilian controlled interim government held elections only ten months
after the uprisings. The most powerful groups in Egypt, the business and
military elite, have yet to implement widespread and serious reform.
Therefore, more reasons comprise the incentive for military extension of
political power. The reluctance to transition has negatively impacted the
transition to democracy and will affect the organization and stability of
the future regime. Tunisia’s transition is considered to be more successful
as the country has moved swiftly to hold elections and consider sweeping
reform. Though the Tunisian military chose not to intervene politically, it
nevertheless had a substantial role during Tunisia’s “Jasmine Revolution”
and had the public support necessary to intervene in the political process.
This study examined the potential explanations for why the military
chose to intervene and maintain a hold on political power in Egypt, but
refrained from political intervention in Tunisia.
Democracy
Democracy is generalized as “a unique system for organizing relations
between rulers and the ruled” (Schmitter et al., 1991). There are many
definitions of democracy, due to the variation within this type of
government. Though there is little consensus on one succinct definition,
it may be concurred that democracy inherently includes security, liberty,
freedom of speech, and political equality (Dahl, 2000), secret balloting,
government accountability, and competition for political office (Schmitter
et al., 1991). However, not all democracy is created equal nor are the
processes that lead to democratization (Geddes, 2009). This study uses the
most popular and minimal definition of electoral democracy equating it
“with regular elections, fairly conducted and honestly counted” (Schmitter
et al., 1991).
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TRANSITION TO DEMOCRACY IN THE MIDDLE EAST
Review of Related Literature
Economic Crisis
If Egypt’s transition was not amidst an economic crisis, elites will support
the previous establishment. When the economy is working against elites,
they will support a regime that can offer economic stability. Business elites
are more inclined to support stable regimes, otherwise they will move their
private funds to another country (Geddes, 2009). In Egypt, it is assumed
the business elites and military elites are in alliance due to the capability
of the military to maintain political and economic stability. It is important
for the military to promote economic stability because a deteriorating
economic performance disrupts the ability of rulers to politically bargain
and increases the strength of the opposition. Authoritarian regimes depend
on a variety of coalitions and the “cooperation of some segments of the
business elite is crucial for stability of authoritarian rule” (Haggard et al.,
1997). The defection of business elites weakens the incumbents as they will
begin to organize and fund the regime’s opposition (Geddes, 2009). As the
economy suffers, prospects for future investment and growth begin to look
bleak and business elites will no longer support the regime in power and
will be more willing to accept regime change, including democracy.
If the economy fails, business elites will defect from the regime and
may support the military as it is capable of offering stability in the face of
unpredictability (Khadduri, 1953). Business elites will support whichever
regime provides them financial security, regardless if it’s democratic or
non-democratic. If this argument is correct, we should expect Egypt to
have a stable economy and elite society to support the previous political
establishment. In Tunisia, a weaker economy may account for the defection
of the elite business class from the old regime and swift adoption of
the new.
Inequality
If there is a substantial amount of inequality, elites may support military
intervention, assuming they are allies. This argument operates under the
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concept that elites fear democracy when inequality is high due to the threat
of wealth redistribution (Acemolgu et al, 2001). When income distribution
is more equal, elites fear redistribution less and have lower resistance to
democracy. They will be more willing to cede some power rather than risk
the costs of revolution. When threatened, elites may grant redistribution
and avoid challenging the political system, grant democracy to make
redistribution promises credible, or repress the masses (Acemolgu et al,
2001). Income equality and capital mobility reduces the fear of democracy
as the former reduces expected redistribution, and the latter provides an
exit option if taxes become confiscatory (Geddes, 2009). For some nations
in the Middle East, it is believed fear of redistributive taxation is not a
plausible reason for resistance to democratization since a substantial
amount of reproduction assets are state and foreign owned (Geddes,
2009). However, both Egypt and Tunisia have diversified economies and
are not dependent on revenue from natural resources. If this argument is
correct, we should find higher inequality in Egypt than in Tunisia because
of the resistance to democratization by the elite class. If there is a high
amount of inequality, elites will fear democracy lest the disenfranchised
poor come to power and levy heavy taxes in an effort to shrink the income
gap. Providing the military and business elites are in alliance, the military
may intervene in the transition to maintain the political and economic
status quo.
Control of Resources
It is common in new democracies for conflict to erupt between civilians
and the military over the defense budget. Acquiring the resources necessary
to remain up to date may prove difficult as politicians must use state funds
to placate the competing demands that democracy brings (Hunter, 1997).
Additional electoral competition drives politicians to increase social and
economic spending that supports their constituents at the sacrifice of
the defense budget. If the military has a history of human rights abuses,
politicians may withhold funds as punishment (Hunter, 1997). The military
in both countries may suffer budget cuts as democracy continues to emerge
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TRANSITION TO DEMOCRACY IN THE MIDDLE EAST
and politicians seek to attract voters through patronage.
When Brazil’s military feared the decrease in budget, the armed forces
counteracted with efforts to form alliances with legislators. However,
officials were more concerned with advancing their political fortunes than
backing the military (Hunter, 1997). Similarly, Egypt’s military may have
wedged itself into the political system to protect its corporate interests. By
taking control of the government, rather than forming alliances with selfmotivated legislators, the Egyptian military may fare better at protecting
its interests.
If the military has a large amount of economic power, it will be
reluctant to give up power in fear of being dispossessed. State elites
who control a large portion of production assets fear losing power and
therefore losing access to state-derived wealth (Geddes, 2009). It is likely
a military that is not wholly dependent on the state is an independent
institution with its own source of power and wealth (Hashim, 2011).
Additionally, a military with a substantial amount of economic power
would oppose economic liberalization and privatization efforts
(McGregor, 2011).
If the argument is true, we expect the military in Egypt will have a
vested interest in the economy and higher expenditures than the Tunisian
military. The Tunisian military is expected to have little investment in the
economy and lower expenditures.
Ideology and Islamization
If military officers see themselves as a non-class group whose concerns
align with national interests, extension of military power will be
rationalized (Stepan, 1971). The military may be viewed as a neutral
institution that may be called upon as a moderator of political activity
for a temporary amount of time. The military’s acceptance of this role
is dependent upon its perception regarding its capacity to rule. Even if
the military does rise to power, its ruling capacity may be diminished by
restricting the right to systematically change the political system, thus
granting civilians more control (Stepan, 1971).
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A unified military may make contributions to a developing country,
however, the unifying force of the military may be overestimated. The
military is not completely isolated from outside political tensions and may
be infiltrated by political and social pressures (Stepan, 1971). If anything,
the military may amplify hidden tensions and convert them into full
crises. Internal divisions within the military may lead to an eruption of
violence as was the case in Nigeria, Sudan, and Indonesia. Modernization
of new countries tends to heighten traditional conflicts, especially within
the military where cooperation and obedience is required (Stepan, 1971).
Tension within an unstable military is usually between ethnic groups, one
dominating the officer corps, the other composing the larger group of
enlisted soldiers.
The potential of the military to make contributions to the
development of Egypt is dependent on whether the armed forces is unified
or quietly suffering from internal divisions. If the military is unified, it
increases the capacity in which it can successfully rule and implement
meaningful change. If the argument is true, the military is expected to
have a history of consistent political involvement and a clear ideology as a
non-class organization with a duty to safeguard the rights of the people.
Research Question
Given that the transition to democracy has been more successful in
Tunisia than in Egypt due to military intervention in the latter, the
focus of this study was to determine the reason behind military political
intervention in Egypt and the absence of military intervention in Tunisia.
In order to test the potential explanations regarding military intervention
and reluctance to give up power, this study sought to answer the
following questions:
1. Is the economy in Egypt more stable than in Tunisia?
2. Is inequality higher in Egypt than in Tunisia? If not, why are elites
resistant to democratization?
3. Is the Egyptian military financially implicated and putting its
corporate interests over the interests of civilians?
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TRANSITION TO DEMOCRACY IN THE MIDDLE EAST
4. Has the military been historically involved in the political arena
at the request of politicians? Is the military unified or are there hidden
tensions at work?
Methodology
The investigation was conducted using the comparative method applied
to two cases: Egypt and Tunisia. The cases were selected for analysis
because of an interest in the particular situation rather than a general
theory. Furthermore, Egypt was measured against Tunisia, as the latter is
considered a model of the revolution. A systematic comparison of Egypt
and Tunisia was conducted via secondary data analysis. Compilation
and analysis of literature was gathered in relation to each hypothesis.
The majority of articles were written in the last 10 years by experts
and published in scholarly journals such as Foreign Policy, Journal of
Comparative Politics, American Political Science Review, and Journal of
Democracy. Information was collected from articles and book excerpts
regarding democratization, the relationship between elites and the regime,
the effect of income inequality, previous military roles in Latin America,
military role under various Egyptian presidents, and the rise of
Islam extremists.
The analysis is limited to a small number of cases. Due to the limited
amount of time and resources, intensive analysis of two cases may
prove more promising than superficial analysis of many cases (Lijphart,
1971). Conclusions may be limited to these specific nations and not
applicable elsewhere as the study of so few cases cannot lead to credible
generalizations. Furthermore, the revolutions in Egypt and Tunisia are
fairly recent and new information continues to be rapidly added to the
current body of work.
Results
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Economic Crisis
In a non-crisis transition, business elites will support the existing political
and economic system as long as the economy is working in their favor.
Data from the World Bank (Figure 1) shows the Egyptian economy was
stable and growing. Concurrently, the Tunisian economy was stagnant. It
is suspected the military in Egypt was supported by business elites because
of its capacity to maintain the growing economic system. The Tunisian
economy negatively impacted all classes; therefore, there may have been
little desire from any particular group to maintain the economy as it
was. The hypothesis was accepted. There was an established relationship
between elite support and the state of the economy.
figure 1. GDP Growth in Egypt and Tunisia 2007 2011.
Inequality
The GINI Index (Figure 2) shows the income inequality in Egypt had been
decreasing over a period of seven years (0.34 to .31) and was lower than
the inequality in Tunisia (.4). 1 is considered perfect inequality; 0 is perfect
equality. Egypt did not have a substantial amount of inequality to warrant
fear of redistribution or resistance to democratization. In contrast, Tunisia
had a less stable economy and suffered an economic crisis during the
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TRANSITION TO DEMOCRACY IN THE MIDDLE EAST
transition. Because the economy was unfavorable to many, it is concluded
there was minimal resistance to the overthrow of President Ben Ali and
his regime.
figure 2. Income Inequality in Egypt and Tunisia 2001-2008.
Given the higher inequality in Tunisia, it should be expected that the
military would have a greater role and the support of the business elite.
However, the military and business elites do not seem to be in alliance.
Otherwise, the armed forces may have intervened in order to protect the
economic interests of the elite. Despite its potential for intervention, the
military chose not to support the previous regime or manage construction
of the new one. Also, the low resistance from the business elite may be
attributed to the liberalized economy. Because elites privately own their
wealth, they have the ability to move their capital to another country and
avoid confiscatory taxes.
If there was some resistance to democratization, it may have been
counterbalanced by the economic crisis. Inequality may have been high,
but the economy overall was failing. It was speculated the business class
would support a regime that has a better chance of reinvigorating the
economy rather than a regime that will certainly maintain its
flatlining state.
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Inequality was higher in Tunisia and experienced less resistance to
regime change than in Egypt. Therefore, resistance of the elite class to
Egypt’s democratic transition is due to other rival explanations and the
hypothesis was rejected.
Control of Resources
Egypt’s economy is mixed, with about half privately owned by civilians
and the other half is speculated to be under the ownership of the military.
It estimated about 10 to 40 percent of Egypt’s economy is dominated by
military. There are no exact figures because no information is made readily
available by the Egyptian government or military (McGregor, 2011). The
economy in Egypt is predominately state owned, whereas the economy
in Tunisia has been liberalized since its beginning. The first president of
Tunisia, Habib Bourguiba, implemented an economically liberal model
of development that led to flourishing of private businesses and the
consolidation of the private sector.
In Egypt, there may be a call for economic liberalization. However, the
military would resist the privatization of markets as it would threaten their
economic holdings. In February 2011, the military displayed resistance
to economic reform. Cabinet members interested in changing economic
status quo were dismissed by the Supreme Council of Armed Forces.
Numerous businessmen also in favor of economic reform were brought
up on corruption charges by military tribunals (McGregor, 2011). The
economic reaches of the military are far and wide, entangling itself in
various markets: manufacturing, construction, food production, bottled
water, olive oil, mining, land reclamation, and tourism (Abdelhadi, 2011).
It also has massive control over infrastructure and therefore has popular
support throughout Egypt.
In Tunisia, armed forces turned on Ben Ali and refused to fire on
protesters because the military had a low level of loyalty to the previous
regime. It seemed this was due to a lack of cooptation. Despite his
military background, Ben Ali purposely kept the military small and poorly
resourced in fear it would become a threat to his hold on power. Ironically,
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TRANSITION TO DEMOCRACY IN THE MIDDLE EAST
the small size of the military was the deciding factor in his political demise.
Figure 3 shows the Egyptian military was better resourced than the
Tunisian military. It was concluded that if the military was well resourced
by the previous regime, it will be more loyal to the pre-existing political
formula. Therefore, rising opposition to the political formula may result in
the tightening of power by the SCAF.
figure 3. Military Expenditures in Egypt and Tunisia 2009-2011.
The Egyptian military is less likely to shift power to civilians because
of their vast economic hold. There are several reasons militaries develop
vast economic enterprises. First, they have corporate interests that the state
is responsible for fulfilling. Second, military enterprises are more efficient
than those of the public sector. However, they hinder efforts of economic
liberalization. Third, the senior officers believe its enterprises contribute
to economic development and boost the image of the military (Hashim,
2011). The Egyptian military seems determined to protect its interests and
defend the military-industrial-buisness complex.
There are multiple groups that may rise to power in Egypt, each with
a distinct impact on military affairs. A secular pro-democracy government
would advocate liberalizing the economy and implement reforms for
privatization. An Islamist government would likely rollback the neoliberal
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reforms that led to the emergence of the despised rich capitalistic class
under former President Mubarak. Military prerogatives may remain
undisturbed under the rule of the Muslim Brotherhood, however, this may
also result in the loss of monetary support from the United States.
The Egyptian military controls a substantial amount of the economy.
There are no exact numbers due to the secrecy of the military and
the government, but it is estimated by Andrew McGregor to be about
10%. Another source, Magdi Abdelhadi, estimates the military controls
8%-40% of the economy. McGregor discusses an impending call for
economic liberalization and predicts the military will try to tighten its
power in resistance to liberalization. Furthermore, the military in Egypt
is vastly more resourced than the Tunisian military and seeks to protect
its corporate interests by maintaining aspects of the previous regime.
The hypothesis was accepted. It was concluded there was a relationship
between military economic investment and its involvement in the
establishment of a new regime.
Ideology and Islamization
If the military has been invited into the political system in the past, it is
more likely to believe it has a political role. In the case of radical elements
present, involvement may be further justified by the military. In the Middle
East, democracy was forced upon the region after World War I. Western
concepts and existing institutions were never reconciled and as a result,
“democracy from its very inception failed to command general respect”
(Khadduri, 1953). When neither the left or right of the political spectrum
could garner enough support to implement reform, civilians will call upon
the military due to the army’s capacity for implementing swift reforms
(Khadduri, 1953; Hashim, 2011).
The past failure of democracy has created a desire for a “strong
regime.” When people began to discover how “scandalously [democracy’s]
processes could be misused by unscrupulous leaders”, a preference for
traditional institutions resulted. Pious Muslims viewed democracy as
a system that permitted the “enrichment of the few at the expense of
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TRANSITION TO DEMOCRACY IN THE MIDDLE EAST
exploited masses” (Khadduri, 1953). These poor masses, determined to
improve their economic situation, were prone to falling under the influence
of radical ideas.
The military in Tunisia is historically different from Egypt. The
military wasn’t a contributor to the new regime after the country’s
independence in 1956. It was an entirely civilian affair, therefore, there was
no established “organic link between the military and political system” in
Tunisia as there had been in Egypt (Cook, 2001).
Since the military coup against the Egyptian monarch in 1952, the
role of the military in the political arena has been on the decline. Over
the last 60 years presidents have vied for power against highly influential
military leaders. Wary of its strength and influence, presidents have sought
to demilitarize the political arena by removing military officers from key
ministry positions. The decreased role in politics was compensated with
economic perks, facilitating the development of today’s military-industrialbusiness complex and securing military allegiance to the regime.
The first Egyptian president sought to limit military influence from the
beginning. President Muhammed Naguib, a member of the Free Officers
Movement, came into power shortly after Egypt’s independence. Naguib
felt the military should act purely as a moderating force and step down
from power as soon as possible. His close friend and colleague, Gamal
Abdel Naser, disagreed. Nasser felt the military needed to remain in power
and democracy needed to be suppressed in order to suppress Islamic
political parties from coming into power and diluting the influence of
the military. Nasser accused Naguib of secretly supporting the recently
outlawed Muslim Brotherhood, and a power struggle over military control
erupted. Though the previous regime had been overthrown by the military,
it had been ousted by only a minority in the officer corps, and the rest
of the military was up for grabs. Nasser ultimately won them over and
assumed the presidency.
During his tenure, Nasser reluctantly appointed General Hakim
Abdel Amer to the position of commander in chief. Nasser recognized
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the influence Amer had over the military and appointed him in an effort
to gain control of the military. Unfortunately, Amer and Nasser clashed.
When Nasser tried to remove Amer from his position in 1961, there was
a near rebellion from the officer corps. Nasser backed down and basically
decided to indulge the officer corps (Hashim, 2011). Senior officers
continued to reject attempts of the Arab Socialist Party, created by Nasser,
to exercise control over them. Furthermore, Amer perused the officer corps
for personal loyalty and personally provided them with patronage.
The politicization of the military by Amer decreased the effectiveness
of the military and ultimately resulted in the embarrassing defeat in 1967
by Israel. Following the defeat, Amer and his power base were removed.
Nasser’s successor, Anwar Sadat, rode the wave of despise for the military
and continued to clean house and reduce military political power. By the
1970’s, the officer corps was unwilling to become involved in politics.
Sadat restructured the military and cut ties with the Soviet Union, thus
ending the military’s biggest arms supply and leaving the military grasping
for support. In contrast, Tunisia was oriented toward the West and had
aligned itself with the United States early on. The geographic location of
Tunisia meant the military was not as important as it was in Egypt, which
shares a border with Israel. Egypt’s national security was a top priority and
was compromised when allegiance with the Soviet Union came to an end.
In an attempt to decrease the extensive need for weaponry, Sadat proposed
an Egyptian-Israeli peace. This resulted in a divided the officer corps.
Some felt Egypt wasn’t making peace with honor; others thought peace
with Israel was not worth alienation from the Arab World. This view was
especially prevalent in junior and middle-ranking officers among whom
nationalist and mainstream Islamist sentiment was common (Hashim,
2011). Sadat was later assassinated by Islamist junior officers during a
military parade.
In Tunisia, the allegiance of the military was questionable due to the
lack of cooptation from the Ben Ali regime. Tunisia has had minimal issues
with Islamic extremism as its secular traditions, educated middle class, and
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TRANSITION TO DEMOCRACY IN THE MIDDLE EAST
history of promoting socioeconomic equality for women are an effective
defense against rising extremism. However, some marginal radical Islamic
groups have become more visible now that previous state restrictions have
been rolled back. Sadat’s vice president, Hosni Mubarak, came into power in 1981.
He inherited a military whose allegiance had been compromised by the
rise of religious extremism. Conscripts from impoverished backgrounds
were particularly subject to extremist ideology. Failure of mobility within
the officer corps bred bitterness from junior officers toward senior
officers as well as the emerging rich capitalistic class. Similar to Nasser,
Mubarak sought to control the military by appointing an independent
and prominent officer, Abu Ghazala, to the position of defense minister.
Ghazala’s charisma and ambition posed a threat to Mubarak and he was
removed from office in 1987. Mubarak moved to further depoliticize the
armed forces. The “curbing of the military’s role in politics was sweetened
by giving them economic perks” (Hashim, 2011) and allowed the military
to develop non-defense related businesses exempt from taxes and the
convoluted red tape of bureaucracy.
Within Egypt, rising Islamist opposition turned into an assault on
the state. The stability of the country was doubtful as terrorists attacked
the tourism industry and the government led harsh crackdowns against
insurgents. Mubarak developed a counterinsurgency campaign without
involving the armed forces and defeated the militant Islamists. However,
government oppression only fueled the Islamist fire and thirst for revenge.
The extremist base had enlarged, and links between officers and antiregime extremists continued to emerge. Stability came to be associated
with Mubarak and instability with Islamists. Stability was favored by the
West, Israel, and the Egyptian military though the Egyptian people did not
overwhelmingly support Mubarak.
During the uprisings, Egyptian protesters urged the military to side
with them against Mubarak, as the military had done in Tunisia (Shehata,
2011; Hashim, 2011). As Mubarak’s regime found itself in a tight position
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against the masses in Tahir square, the military emerged onto the political
scene for the first time in years, promising it would guarantee a democratic
transition (Hashim, 2011). Fearing more violence would hurt military
legitimacy and influence, it broke with the regime and forced Mubarak out
of office (Shehata, 2011).
The army restored order, promised to promote stability, lift emergency
laws, and transfer power to civilians within 6 months (Hashim, 2011).
One year after the uprisings and none of this has happened. In contrast,
Tunisia’s General Ammar promised to uphold Tunisia’s revolution and
guarantee stability ahead of elections. These comments were welcomed
by demonstrators but sparked concerns over whether the armed forces
would seek a political role (Arieff, 2011). It is evident after one year the
Tunisian armed forces did not intervene in the political arena. Regardless,
the promise by the interim government to hold elections was fulfilled only
10 months after the uprisings.
In 1936, the Egyptian military academy was open to all classes. The
incoming students were from more humble origins than the previously
admitted cadets, however, socioeconomic differences were irrelevant due
to the shared experiences of the academy as well as experiencing Egypt’s
first defeat by Israel (Hunter, 1971). It is concluded that military officers in
Egypt view themselves as a non-class group and may, therefore, rationalize
their extension of power in order to maintain national security in the face
of an impending weak regime (Hashim, 2011).
As a “neutral” institution, the Egyptian military originally accepted the
role as temporary political moderator. The abundant resources available
to the military may have bolstered its perception regarding its capacity
to rule. Its rise to power went unlimited as it was not denied the right to
systematically change the political system. There is a negative relationship
between military and civilian power. As the military continues to change
the political system and act less as a moderator, civilians increasingly lose
control over the military.
Originally unified, the military now suffers from internal divisions
42
TRANSITION TO DEMOCRACY IN THE MIDDLE EAST
between junior and senior officers. More division is evident in the rise of
Islamism among conscripts who may pose a threat to the secular goals of
the armed forces. The tension between secularism and Islamism has the
potential to become amplified within the military and result in a full crisis.
The Egyptian military has a history of political involvement, however,
it has been relatively dormant in the political arena since its catastrophic
defeat in 1967. The military disdains minimal “dirty police work” after
being trained for war with Israel for 30 years (Hashim, 2011) and is
considered a last resort for domestic issues. The ideology of the military
is still unclear. In the past, it may have viewed itself as a non-class
organization, but with the rift between higher and lower class officers, as
well as the rise of anti-regime extremists within its ranks, it is evident there
are tensions between different groups of people within the institution.
Civilians may view the military as guardians of the people against corrupt
regimes, however, that is not the view of the military. Senior military
officers were reluctant to support the protesters until they realized their
influence and legitimacy were at risk.
The hypothesis was rejected. The military is no longer a non-class
organization, does not prioritize the interests and rights of the people,
and its role in politics has decreased over the last 60 years. Islamization
has infiltrated the military, causing a rift in the institution and bolstering
the Islamic parties. The opposition from the secular military toward the
Muslim Brotherhood is based less on ideological differences and more on
the economic implications involved were the Islamists to gain
political power.
Conclusions
The Egyptian military has a history of political involvement, however, it
has been in substantial decline since the inception of the republic in 1952.
Prior to the Arab Spring, it was as uninvolved in the political arena as the
apolitical Tunisian military. It is concluded economic interests ultimately
43
DELLEA COPELAND
motivated the intervention of the military in the political arena. The
Egyptian armed forces are deeply invested in the economy as previous
presidents have bought their allegiance through financial benefits. In
contrast, the Tunisian military had little investment in the economy and
was not lavishly funded by the previous regime because of Ben Ali’s fear
of a military coup. While Tunisia has been attacked by Israel in the past,
it is minimal in comparison to the Egyptian-Israeli conflict that spans a
series of decades and vicious battles. The need for a large arsenal with
modernized weaponry is less important to Tunisia than it is to Egypt.
The Tunisian military gained mass support after the uprisings when
it refused to fire on protesters and ousted Ben Ali from office. It helped
stabilize the security situation by weeding out elements of the domestic
security apparatus that were seen as still loyal to the old regime (Arieff,
2011). Though the military had the capacity to intervene in the interim
government, it chose not to. The ideology of the military was clear when it
chose to protect the rights of the people over loyalty to the Ben Ali regime.
Because of its apolitical stance and loyalty to the people, the Tunisian
military may have been an appropriate temporary moderator.
Were the Tunisian military to take control, it is concluded it would
have been for ideological reasons. The view of the military as a safeguard
would have kept the military in power as long as it felt the people were
still under threat after Ben Ali’s departure. On the other hand, Egypt’s
military prioritizes its economic implications over the will of the people.
This is evident in the reluctance of the senior military officers to support
the protests from the very beginning.
Islamization is not a major ideological threat to the Egyptian or
Tunisian armies. Islamic leaders would most likely roll back the neo-liberal
reforms implemented by Mubarak that created the rich capitalistic class,
whom the military despises. The worry of the military is financial. If the
Islamists were to gain power, Egypt’s relations with the United States
would possibly deteriorate, and funding for the military would drastically
decline. In Tunisia, the Islamists in the political arena are considered to be
44
TRANSITION TO DEMOCRACY IN THE MIDDLE EAST
moderate with no intentions of turning Tunisia into an Islamic state.
Military intervention in Egypt was driven by a need to protect
its own reputation and corporate interests. In an effort to maintain a
mixed economy and US funding, the military has worked to block prodemocracy secularists and Islamist parties from gaining power. The
transition to democracy has been effectively put on hold. It is concluded
any discussion of implementing an effective democratic transition must
take into consideration the issue of maintaining key military interests.
The emergence of a weak democracy poses a threat to the stability of the
economy, making the military reluctant to hand full power to civilians. If
the military hands power to the civilians, it may have the sentiment that it
can take power back if their corporate interests are at risk.
Suggestions and Future Research
The results suggest democratic transition in the Middle East may be
additionally difficult for states with militaries that are more active in the
political and economic system. It may be necessary to co-opt the Egyptian
military in the new regime in order to achieve a smoother
democratic transition.
Further research could be conducted regarding the viability of a
partnership between the secular military and Islamist parties.
References
Acemoglu, Daron, and James A. Robinson. “A Theory of Political Transitions.” American Economic Association 91.4 (2001): 938-63. Print.
Alterman, Jon B. “Egypt: Stable, but for How Long?” The Washington Quarterly 23.4 (2000): 107-18. Print.
Brooks, Risa. “An Autocracy at War: Explaining Egypt’s Military Effectiveness, 1967 and 1973.” Security Studies 15.3 (2006): 396-430. Print.
Cooper, Mark N. “The Demilitarization of the Egyptian Cabinet.” International Journal of Middle East Studies 14.2 (1982): 203-25. Print.
Dahl, Robert Alan. On Democracy. New Haven: Yale UP, 2000. Print.
45
Geddes, Barbara. “What Causes Democratization?” The Oxford Handbook of Comparative Politics. Oxford: Oxford UP, 2007. N. pag. Print.
Haggard, Stephan, and Robert R. Kaufman. “The Political Economy of Democratic Transitions.” Comparative Politics 29.3 (1997): 263-83. Print.
Hashim, Ahmed S. “The Egyptian Military.” Middle East Policy 18.3 (2011): 63-128. Print.
Hunter, Wendy. Eroding Military Influence in Brazil: Politicians against Soldiers. Chapel Hill: University of North Carolina, 1997. Print.
Khadduri, Majid. “The Role of the Military in Middle East Politics.” The American Political Science Review 47.2 (1953): 511-24. Print.
Linz, Juan J., and Alfred C. Stepan. “Actors and Contexts.” Problems of Democratic Transition and Consolidation: Southern Europe, South America, and Post-communist Europe. Baltimore: Johns Hopkins UP, 1996. 66-83. Print.
Schmitter, Phillipe, and Terry Karl. “What Democracy Is and Is Not.” Journal of Democracy (2011): n. pag. Print.
Shehata, Dina. “The Fall of the Pharaoh.” Foreign Affairs 90.3 (2011): 26-32. Print.
Stepan, Alfred C. The Military in Politics; Changing Patterns in Brazil. Princeton: Princeton UP, 1971. Print.
United States of America. Political Transition in Tunisia. By Alexis Arieff. Congressional 46
Research Service, n.d. Web.
GENESIS GRANADOS
GRANADOS
Physical Characteristics,
Personality Traits, and
Attraction
Dr. Jeannetta Williams
St. Edward’s Univeristy
Abstract
Abstract
Studies suggest that tattoos have both negative and positive effects on
how individuals are perceived. This study focused on the effects of
tattoos on attraction and personality traits. A non-probability sample
of 94 adults between the ages of 18 and 25 were recruited to participate
via personal contact, social media sites, email, and flyers. The data
collected was analyzed using SPSS software. The perception that nontattooed individuals have of tattooed individuals was observed in terms
of personality and attractiveness. Participants were given a demographic
survey, rated pictures of tattooed and non-tattooed women and men,
and rated their personalities. Non-tattooed participants were also asked
to assess the personalities of tattooed individuals. Results showed that
non-tattooed participants found tattooed individuals not significantly
less attractive than non- tattooed individuals. Also, the tattooed female
47
GENESIS GRANADOS
condition was not seen as the least attractive from all the picture
conditions. An interesting finding was that women participants rated on
average the tattooed man condition to be more attractive than the nontattooed man. Additionally, women perceived the non-tattooed female to
be significantly more attractive than the tattooed female. Non-tattooed
participants perceived tattooed individuals to be similar to them in
neuroticism and openness to new experiences. Tattooed individuals were
perceived to be more extraverted, less conscientious and agreeable.
keywords: body modification, tattoos, attraction, five-factor theory of
personality, similarity theory-matching theory
Introduction
In different cultures around the world, tattoos are seen as important
components of society (Gary & Jacobson, 2005; Beach et al, 2002). Tribes
such as the Iban in Borneo have used tattoos as a sign of strength and
honor (Beach et al, 2002). The history of tattooing is rooted to Polynesian
tribes that used a traditional process of applying tattoos or tatau (Losch,
2003). The process was passed down generation to generation and could
be time consuming for the person learning the art (Losch, 2003). Tatau
was done by hand and the artist had to practice the skill of applying the
right amount of pressure to the skin to create intricate designs with the
sharp tool (Losch, 2003). Likewise in other tribes, leaders used a needle
artifact that was tapped precisely into the skin to insert the ink (Beach et
al, 2002). In western societies, a similar method is used to draw the tattoo
on the dermal layer through the process of puncturing the skin with a
rapid injecting needle (Tiggemann & Hopkins, 2011).
Body modifications, specifically tattoos, have been used by both sexes
as symbols of uniqueness. There has been a rise in tattoos since the 1990s
due to the advancement of tattoo equipment in the industry and variation
on eclectic images (Laumann &Derick, 2006).Celebrities and the media
48
PHYSICAL CHARACTERISTICS, PERSONALITY TRAITS, AND ATTRACTION
have glamorized tattoos with stars such as Lady GaGa, Angelina Jolie,
Ryan Gosling, and David Beckham sporting the ink (http://www.popsugar.
com/Celebrity-Tattoo-Pictures) and shows such as LA ink showing the life
of a tattoo artist in Los Angeles (http://tlc.howstuffworks.com/tv/la-ink).
Furthermore, body art has become more culturally widespread and has
become less associated to gangs or organizations (Tate & Shelton, 2008).
Tattoos can be seen in different social classes and across all generations
(Forbes, 2001; Swami & Furnham, 2007; Tiggemann & Hopkins, 2011;
Wohlrab, Fink, Kappeler, & Brewer, 2009a). Laumann and Derick’s
(2006) national data sample study showed that 65% of their tattooed
sample had gotten a tattoo by the age of 24. Younger generations have
shown to have multiple tattoos compared to older generations (Laumann
& Derick, 2006).
In some instances tattoos are seen as social and sexual signals of
having favorable genes when it comes to partner selection (Koziel,
Kretschmer, & Pawlowski, 2010; Swami & Furnham, 2007; Wohlrab,
Fink, Kappeler, & Brewer, 2009b). Other studies show that tattoos are
correlated to risky behavior such as usage of marijuana and alcohol
and personality traits such as openness to new experiences (Forbes,
2001; Nathanson, Paulhus, & Williams, 2006; Tate & Shelton, 2008).
In general, it should be taken into account how tattoos affect attraction
among individuals. This study focuses on how tattooed individuals
are perceived by their non-tattooed counterparts in terms of attraction
physical attractiveness and personality traits. The concept of attraction
was measured by physical attractiveness ratings and personality traits.
Tattoo Effects on Physical Attractiveness
Tattoos may affect the perceived physical attractiveness of both men and
women. In a recent study done by Wohlrab, Fink, Kappeler, and Brewer
(2009b), men and women were randomly assigned to one of six conditions
of tattooed and non-tattooed pictures of both genders. Participants were
49
GENESIS GRANADOS
then expected to rate the set of pictures on the dimensions of aggression,
attractiveness, dominance, health, and masculinity/femininity. Results
showed that tattooed males were seen as more attractive and competent
than non-tattooed males; they were given higher ratings in dominance by
women and men, showing superiority in attracting partners and deterring
potential same-sex competitors (Wohlrab, Fink, Kappeler, & Brewer,
2009b). In an additional study, Wohlrab, Fink, Kappeler, and Brewer
(2009a) had participants rate one of three picture conditions with figures
that were either tattooed or non-tattooed on the dimensions of sensation
seeking and sociosexual orientation. Tattooed men were seen as more
sensation seeking and having more sexual partners than non-tattooed men
(Wohlrab, Fink, Kappeler, & Brewer, 2009a).
Besides physical attractiveness, tattoos have been used to measure
biological stability in genes. Koziel, Kretschmer, and Palowski (2010)
recruited two groups of women and men with tattoos and/or piercings
in various parts of the body (excluding ears) and a control group with
no tattoos and/or piercings. Participants in both conditions were asked
to complete a demographic questionnaire and then their FA or level of
fluctuating asymmetry was measured using the second and fourth finger
lengths and wrist breadth of each hand. The researchers calculated the
differences between right and left hand by subtracting and then calculating
the relative FA (Koziel, Kretschmer, & Palowski, 2010). FA or level of
fluctuating asymmetry shows developmental stability due to showing if an
organism has good genes that can help adapt to biological changes leading
to the “biological quality hypothesis”. The other hypothesis, known as
the “attractiveness increase hypothesis” states that people get tattoos to
hide their flaws and increase their attractiveness (Koziel, Kretschmer, &
Palowski, 2010). Results showed that the “biological quality hypothesis”
only worked for men since tattoos can show that men have good genes
while the “attractiveness increase hypothesis” was invalid since it did not
increase attractiveness for either sex (Koziel, Kretschmer, & Palowski,
2010). In addition, tattooed men had lower FA levels showing biological
50
PHYSICAL CHARACTERISTICS, PERSONALITY TRAITS, AND ATTRACTION
stability (Koziel, Kretschmer, &Palowski, 2010).
Similarly, the body modification of scarification has shown to increase
men’s attractiveness. Burris, Rowland, and Little (2009) asked women
and men to rate the attractiveness of unscarred and scarred opposite sex
faces. Participants were given different scenarios for each scarification
condition as well as definitions of long and short-term relationships prior
to the rating. Men with posttraumatic scarring (scarring achieved due to
combat or heroic action) were perceived as more attractive in short-term
relationships instead of long-term relationships (Burriss, Rowland, &
Little, 2009). These results added to the evidence that men with some sort
of body modification are perceived as more masculine and attractive than
people with no body modification.
On the other hand, tattoos have the opposite effect on the perceived
attractiveness of women. In a study conducted by Swami and Furnham
(2007) men and women in the United Kingdom rated 16 female line
drawings with 2 different hair conditions and 8 different tattoo conditions
on their attractiveness and sexual promiscuity levels. Participants were
also asked to estimate the drawings on alcohol consumption. Results
showed that women with tattoos were seen as less physically attractive,
as more sexually promiscuous, and as heavy drinkers compared to nontattooed women (Swami & Furnham, 2007).This perception becomes
more negative when the number of tattoos increases on the woman’s
body, women were then found to be less attractive and more promiscuous
(Swami & Furnham, 2007).There is a possibility that women do not
perceive the negative perceptions of tattoos created by the opposition of
the traditional social role that females are meant to be feminine and have
no pain tolerance (Tate & Shelton, 2008; Wohlrab, Fink, Kappeler, &
Brewer, 2009b). Tattooed women with blonde hair were seen in a more
negative light than brunettes (Swami & Furnham, 2007). This study adds
to the theory that women without tattoos are more attractive than women
with tattoos.
From a marketing perspective, women with tattoos are perceived in
51
GENESIS GRANADOS
a positive light. Totten, Lipscomb, and Jones (2009) gave questionnaires
to students enrolled in principles of marketing classes that were based on
attitudes of body art. These questionnaires had 37 items being measured
by a 5 point Likert scale. Survey results showed that the majority of
the college student sample disagreed with the negative stereotypes that
tattooed individuals have a partying lifestyle, are promiscuous, and are
aggressive specifically when the sample came from the East Coast and were
younger (Totten, Lipscomb, & Jones, 2009). The survey also showed that
women with tattoos were seen as the most attractive from the survey but
only when the body art was not extensive or extreme meaning that the
body art was minimal (Totten, Lipscomb, & Jones, 2009).
Tattooed men and women are viewed differently in physical
attractiveness. Some studies have shown that tattoos increase a man’s
attractiveness and partner selection (Wohlrab, Fink, Kappeler, & Brewer,
2009a; Wohlrab, Fink, Kappeler, & Brewer, 2009b). On the contrary,
tattooed women are viewed negatively and less attractive than nontattooed women (Swami & Furnham, 2007). Totten, Lipscomb, and Jones’
(2009) study contrasts with these findings and shows that tattooed women
are seen as more attractive than non-tattooed women. These studies add
to the theory that tattoos do affect perceptions leading to the attractiveness
factor.
Tattoo Effects on Personality
Personality has also played a factor in the perception of tattooed and
non-tattooed individuals. Tate and Shelton (2008) gave women and men
a demographic survey, a piercing and tattoo questionnaire, the NEOPersonality Inventory Revised, and the Marlow-Crowne Social Desirability
Scale to examine a possible correlation between body modification and the
big five personality dimensions. Tattooed individuals scored significantly
lower in agreeableness, conscientiousness than non-tattooed individuals
(Tate & Shelton, 2008). However, these results did not show a large effect
size between both populations and the researchers caution before making
52
PHYSICAL CHARACTERISTICS, PERSONALITY TRAITS, AND ATTRACTION
assumptions of tattooed individuals’ personalities (Tate & Shelton, 2008).
Other studies have shown that people with body modifications such as
tattoos have engaged in more risk-taking behavior than non-tattooed
individuals (Forbes, 2001; Koziel, Kretschmer, & Pawlowski 2010;
Swami & Furnham, 2007; Nathanson, Paulhus, & Williams, 2006). Also,
body modification was seen as a sign of creativity (Nathanson, Paulhus,
& Williams, 2006). Additionally, studies have shown that individuals
who get tattoos have a high need for uniqueness (Tate & Shelton, 2008;
Tiggemann & Hopkins, 2011).Tiggemann and Hopkins (2011) study
supports the theory that tattooed individuals need to feel unique. Their
study consisted of recruiting participants in a music store; some of whom
had tattoos and/or piercings. Participants were given a music preference
questionnaire, a questionnaire of the extent of tattoos and piercings,
another questionnaire rating reasons behind the body modification;
additionally participants were asked to fill out measures of uniqueness and
appearance (Tiggemann & Hopkins, 2011). Results showed that tattooed
individuals scored higher in the uniqueness scale than non-tattooed
individuals (Tiggemann & Hopkins, 2011).
Tattooed women are seen to have different personality traits than their
non-tattooed counterparts. Degelman and Price (2002) gave a survey in
which participants rated a photograph of a woman with and without a
tattoo on 13 characteristics using a 5-point Likert scale for each. Women
without tattoos were seen as more intelligent, attractive, artistic, athletic,
motivated, generous, mysterious, religious and honest than women with
tattoos (Degelman & Price, 2002). On the other hand, women identified
with the idea that getting a tattoo increased the feeling of independence
(Forbes, 2001).
Non-tattooed individuals perceive tattooed individuals differently
than themselves when using personality measures (Forbes, 2001).In a
survey study, Forbes (2001) had men and women answer a questionnaire
with demographic and background information dealing with childhood
experiences, Lippa’s Big Five personality factors, Secord and Jourard Body
53
GENESIS GRANADOS
Cathexis Scale and questions on body modification. Participants without
body modifications viewed people with body modification differently than
themselves in all five personality factors (Forbes, 2001).Non-tattooed
individuals also mentioned in this study that some of the reasons that they
would not get tattoos were because they found modifications unattractive,
did not want one when older and their family would not approve.
Additionally, women worried over pain, disease and cost (Forbes, 2001).
Behaviors such as openness to experiences, risk-taking behavior and
self-esteem can play a role on body modification. Nathanson, Paulhus, and
Williams (2006) gave different surveys on personality, body modification
and peer group associations at different times to participants. The
first stage had participants answer questions about personality, body
modification and peer group association. The body modification part
asked participants about tattoos, clothing style and hair and makeup
choices. Stage two, given months later, had participants take home packets
that included a misconduct inventory. Results showed that openness
to experience, subclinical psychopathology and low self-esteem played
independent roles on the prediction of body modification (Nathanson,
Paulhus, & Williams, 2006). The results showed a spurious relationship
between misconduct and body modification except drug abuse had a
correlation with body modification (Nathanson, Paulhus, & Williams,
2006).
Apart from tattoos, piercings have an effect on how a person’s
personality is viewed. Seiter and Sandry (2003) had undergraduate
students and business managers rate a male model’s photographs with
no jewelry and two different piercing placements. The participants rated
the possible job candidate on dimensions of credibility, hirability and
attractiveness. Individuals with piercings had lower ratings in sociability,
character, trust and hirability than those without piercings (Seiter &
Sandry, 2003).The study further added that having a piercing damaged a
person’s image when it came to hiring them for a job position. Character
and trust decrease more when they have an ear piercing instead of nose
54
PHYSICAL CHARACTERISTICS, PERSONALITY TRAITS, AND ATTRACTION
piercing (Seiter & Sandry, 2003). Also, non-pierced individuals rated
pierced individuals as more neurotic and less extraverted, open to new
experiences, agreeable and conscientious when compared to themselves
(Forbes, 2001 & Tate & Shelton, 2008). This adds support that body
modification can affect how people view other individuals and make
assumptions of their characters. Results showed the possibility that nonpierced raters gave a different rating to pierced individuals due to feeling
that there was dissimilarity among each other following a similarity theory
(Seiter & Sandry, 2003).
Most studies have shown that tattoos have both positive and
negative effects on the perception of people with them. The similarity
theory of attraction has also not been widely used to observe whether
individuals with tattoos are attracted to other individuals with these body
modifications (Seiter & Sandry, 2003; Wohlrab, Fink, Kappeler, & Brewer,
2009b). The matching theory based on the ideas of Elaine Hatfield and
Erving Goffman proposes that individuals are attracted to other people
based on similar physical attractiveness, age, race, personality and social
status (Spreecher & Hatfield, 2009). Furthermore, limited studies
on how cultural factors can have an effect on the perceptions of body
modifications. These cultural factors may include religion and ethnicity.
Also, studies have not focused on the generational differences of the
perceptions of body modifications.
This study focused on how tattoos affected attraction among
individuals based on physical attractiveness and personality trait. Both
populations of tattooed and non-tattooed individuals were included in the
study to note the differences between their perceptions. Also, personality
was measured according to the five-factor theory of personality (McCrae,
Costa Jr., 2010).The five-factor theory of personality is a personality trait
theory that focuses on five individual factors, neuroticism, extraversion,
openness to new experiences, agreeableness and conscientiousness and
their role on an individual’s personality (McCrae & Costa Jr, 2010).
In addition, this study added to the literature that covers how body
55
GENESIS GRANADOS
modification such as tattoos can effect attraction and how the public
perceived tattooed individuals. This study furthered explained the
possible relationship between tattoos and personality traits.
It was hypothesized that non-tattooed individuals would rate
non-tattooed individuals as more physically attractive than tattooed
individuals due to sharing similar physical similarities following a
similarity theory specifically the matching theory. A second hypothesis
was that both men and women would perceive tattooed women as the
least attractive. A third hypothesis was that non-tattooed individuals
would view themselves differently than tattooed individuals on the
personality dimensions of openness to new experiences, conscientiousness,
neuroticism, extraversion and agreeableness. Non-tattooed individuals
would see tattooed individuals as scoring high in openness to new
experiences, extraversion and neuroticism. Also, tattooed individuals
were to be perceived as being less conscientiousness and agreeable than
non-tattooed individuals.
Method
Participants
Personal contact, social media websites, emails and flyers were used to
recruit a non-probability sample. 22 men and 72 women were recruited
making a total of 94 participants between the ages of 18 to 25 (M= 21,
SD= 1.4) who participated. 63 of these participants did not have tattoos
and 31 had tattoos. From the tattoo population, 5 were men and 26 were
women. The participants were told that the survey focuses on physical
characteristics and personality traits and their role on attraction. This
sample was divided into two condition groups based on demographic
answers. These two conditions were non-tattooed and tattooed
individuals. Participants were given the possibility of participating in a
raffle to win an incentive of a $25 gift card after completing the survey.
After completion, participants were debriefed.
56
PHYSICAL CHARACTERISTICS, PERSONALITY TRAITS, AND ATTRACTION
Materials
Two surveys were generated using the online Qualtrics software. Both
condition groups answered a demographic survey (age, gender, city and
state of residence. race/ethnicity, if they have any tattoos, and number
of tattoos). Additionally, participants were shown a 2 by 2 picture
comparison (non-tattooed and tattooed pictures of both genders) based
on Wohlrab, Fink, Kappeler, and Brewer’s (2009a) study. A 5-point Likert
scale (1: very unattractive to 5: very attractive) that was used to answer
“How attractive do you find this individual?” for each picture condition.
Also, the 44- item Big Five Inventory (BFI) (Donohue & Kentle, 1991;
Naumann & Soto, 2008) was given to participants. The non-tattooed
condition group participants were asked to do the same 44-item BFI on
their perceptions of tattooed individuals.
Procedure
Participants completed an online survey that lasted approximately 30
minutes. All participants answered a demographic survey in which
they were asked for their gender, age, city and state of residence, race/
ethnicity, if they had any tattoos, and the number of tattoos if applicable. This survey identified non-tattooed individuals and tattooed individuals.
Non-tattooed participants were asked to complete the 44-item Big Five
Inventory based on their personalities. Then they answered another
44-item Big Five Inventory based on their perceptions of tattooed
individuals. In addition, they rated four randomized picture conditions,
1) non-tattooed female, 2) non-tattooed male, 3) tattooed female, and 4)
tattooed male using a 5- point Likert scale (1: very unattractive to 5: very
attractive).
In condition 2, tattooed participants also filled out the 44- item Big
Five Inventory based on their personality. These participants also rated the
four randomized picture conditions with the 5- point Likert scale. In both
conditions, participants were asked if they were interested in participating
in a raffle to win an incentive of a $25 gift card after they were done with the
survey.
57
GENESIS GRANADOS
Results
Using a dependent- sample t-test, results indicated that non-tattooed
participants rated non-tattooed individuals (M= 3.00, SD= .75) no
differently in attractiveness than tattooed individuals (M= 3.06, SD= .73),
t(62)= .-75, p= .46. These results contributed to the rejection of the first
hypothesis.
A one- way within subjects analysis of Variance (ANOVA) and
dependent sample t-tests were used to obtain ratings for the picture
comparisons. Men with no tattoos rated the tattooed female highest in
attractiveness (M= 3.53, SD= .87) while the non-tattooed male was rated
the lowest (M= 2.65, SD= 1.06),t(1,16)= 448.4, p> .05. Women with no
tattoos rated the non-tattooed female the highest (M= 3.35, SD= .99) and
the non-tattooed male the lowest (M= 2.63, SD= .93), t(1,45)= 835.7, p<
.05. Tattooed men found the tattooed female to be the most attractive
(M= 3.40, SD= 1.34) and the tattooed male to be the least (M= 2.60, SD=
2 .60), t(1,4)= 80.9, p> .05. Tattooed women rated the non-tattooed
female the most attractive (M= 3.12, SD= .99) and the non-tattooed male
the least attractive (M= 2.31, SD= .84), t(1, 25)= 735.8, p> .05.
The women ratings for all of the picture conditions were slightly
significant in some cases, Huynh-Feldt adjusted F(1.98, 136. 82) = 14.48,
p< .05. Dependent t-tests were conducted to assess the differences between
the ratings of the pictures conducted at an alpha level of .008. The results
indicated that the non-tattooed female was rated more attractive (M= 3.26,
SD= .99) when compared to the non-tattooed male (M= 2.51, SD= .90),
t(71)= 4.99, p<. 008. The non-tattooed female was significantly rated as
more attractive than the tattooed male (M= 2. 67, SD= .87), t(71)= 3.98),
p< .008. The non-tattooed male was found to be less attractive than the
tattooed female (M= 3.11, SD= 1.0), t(71)= -4.05, p< .008. The tattooed
male was found to be less attractive compared to the tattooed female, t(71)=
-3.03, p< .008. There was no significant difference between the ratings of
the tattooed female and the non-tattooed female, t(71)= 1.62, p> .008.
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PHYSICAL CHARACTERISTICS, PERSONALITY TRAITS, AND ATTRACTION
In the self-ratings of the BFI, results were gathered using independent
sample t-tests. Non-tattooed participants were not significantly less
extraverted (M= 3.13, SD= .76) than tattooed participants (M= 3.42, SD=
.77) t(92)= 1.80, p> .05, d= 0.38. Non-tattooed participants were not
significantly more agreeable (M= 3.86, SD= .48) than tattooed participants
(M= 3.85, SD= .66), t(46.2)= -.87, p> .05, d= -0.018. Non-tattooed
participants were significantly less conscientious (M= 3.56, SD= .58) than
tattooed participants (M= 3.94, SD= .62), t(92) = 2.91, p< .05, d= 0.61.
In the neuroticism trait, non-tattooed participants were not significantly
less neurotic (M= 2.82, SD= .80) than tattooed participants (M= 2.69,
SD= .65), t(92)= -.81, p> .05, d= -.17.Results showed that non-tattooed
participants were not significantly less open to new experiences (M= 3.82,
SD= .55) than tattooed participants (M= 3.96, SD= .52), t(92)= 1.20, p>
.05, d= 0.25.
When comparing perceptions of non-tattooed individuals, dependent
group t-tests were used to obtain results. Non-tattooed participants
perceived themselves as significantly less extraverted (M= 3.40, SD= .77)
than tattooed individuals (M= 3.40, SD= .47), t(59)= -2.46, p= .017. Nontattooed participants also saw themselves as significantly more agreeable
(M= 3.88, SD= .49) than tattooed individuals (M= 3.16, SD= .51), t(59)=
8.08, p= .000. Additionally, non-tattooed participants perceived tattooed
individuals as less conscientious (M= 3.18, SD= .46) than themselves (M=
3.59, SD= .57), t(59)= 4.57, p= .000.Tattooed individuals were perceived
as not significantly different in neuroticism (M= 2.80, SD= .80) than
non-tattooed participants (M= 2.83, SD= .43), t(59)= -.293, p= .771.
Furthermore, non-tattooed individuals saw tattooed individuals (M= 3.72,
SD= .57) not significantly different than themselves in openness to new
experiences (M= 3.80, SD= .55), t(59)= .72, p= .47.
Discussion
The objective of this study was to observe whether body modification such
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GENESIS GRANADOS
as tattoos have an effect on attraction among individuals and whether
non-tattooed individuals hold certain stereotypes about their inked
counterparts. Some of the hypotheses were rejected while
others were supported.
The first hypothesis stated that non-tattooed participants would rate
tattooed individuals as less attractive than non-tattooed individuals due to
following a similarity theory founded on the ideas of Elaine Hatfield and
Erving Goffman. Yet, the results showed that non-tattooed individuals
rated tattooed and non-tattooed individuals similarly, thus rejecting the
hypothesis. There is a possibility that the sample found tattoos to be
attractive due to their age group and the tattoo sample being minimal
(Totten, Lipscomb, & Jones, 2009).
The second hypothesis stated that tattooed women would be rated
the least attractive by both genders. Non-tattooed men and tattooed
men found that the tattooed female was the most attractive from the
conditions, however, there was no significant difference compared to their
ratings of the non-tattooed female. Non-tattooed women and tattooed
women found that the non-tattooed female was the most attractive, yet
these ratings were not significantly different to the ones given to the
tattooed female picture. Overall, the hypothesis was rejected because the
results did not show significant differences among the averages. Tattooed
women were found to be the most attractive in some of the cases (Totten,
Lipscomb, & Jones, 2009). However, the female conditions in this study
were found to be the most attractive from all picture conditions.
These findings do not support previous studies that state that women
with tattoos are seen as less physically attractive than non-tattooed
women (Degelman & Price, 2002; Swami & Furnham, 2007). This shows
that there is the possibility that body modifications such as tattoos are
becoming more culturally accepted in society.
Yet, an interesting finding was observed when it came to the women
population. The overall women population found the female pictures
(non-tattooed and tattooed) to be the most attractive compared to the
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PHYSICAL CHARACTERISTICS, PERSONALITY TRAITS, AND ATTRACTION
male pictures. Another interesting finding was that women participants
gave the tattooed male a higher average rating in attractiveness than
the non-tattooed male showing possible support for previous literature
(Wohlrab, Fink, Kappeler, & Brewer, 2009b). Additionally, the nontattooed female picture was seen as significantly more attractive than the
tattooed female picture. From these results, it can be concluded that there
is a possible small correlation between tattoos and attractiveness in both
sexes and that these body modifications do have an effect on attraction.
The third hypothesis stated that non-tattooed individuals would view
themselves differently than tattooed individuals in terms of the five-factor
personality theory. Non-tattooed participants rated tattooed individuals as
scoring high in openness to new experiences, extraversion and neuroticism,
while on the other hand, scoring low on conscientiousness and
agreeableness. Certain aspects of the results either supported or rejected
the hypothesis.
Non-tattooed participants perceived that tattooed individuals were no
different than themselves in openness to new experience and neuroticism
rejecting the hypothesis. In contrast, non-tattooed individuals viewed
tattooed individuals to be less conscientious and agreeable and more
extraverted than themselves, thus supporting the hypothesis (Forbes, 2001;
Tate & Shelton, 2008).
Additionally, when comparing the BFI self-ratings of non-tattooed
participants and tattooed participants no big differences were noticed
except for conscientiousness. Tattooed participants had a higher mean in
conscientiousness than non-tattooed participants showing the possibility
that tattooed individuals are conscientious of their surroundings and life.
Overall, having a body modification does not create significant differences
on an individual’s personality or set them apart (Forbes, 2001, Tate &
Shelton, 2008).
Though some interesting findings were seen there were some
limitations that the study faced. For example, the pictures used in the
picture comparisons had some pixilation issues. The pictures shown to
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GENESIS GRANADOS
the participants could have affected their ratings of attractiveness due to
being of poor quality and grey scale. Additionally, 154 participants were
gathered but 46 of these started but did not finish the survey making the
data not useful. 14 of the remaining 108 participants were over the age
of 25 so they were not part of the results. More participants could have
also increased male populations that could have led to more observations
over gender differences. Furthermore, no set cultural variable was set so
participants could have seen the pictures to be a different race than theirs
affecting their perceptions.
Future studies that should be added to the study include asking
tattooed participants at what age they got their first tattoos to see if it
supports previous research (Laumann & Derick, 2006). Additionally,
questions of the level of tattoos should be asked since there are different
perceptions between a person with one tattoo and multiple tattoos (Swami
& Furnham, 2007; Totten, Lipscomb, & Jones, 2009).Furthermore,
sexuality should be added as one of the questions of research since this
study was heteronormative and did not take into account same-sex
attraction. If this question is added in the future then there can be research
that can compare same and opposite sex attraction. A cultural variable
should be added because participants could be attracted to people of
their own cultural background adding support to the similarity theory.
Additionally, this survey was based on western culture and did not take
into consideration that other cultures can have an effect on perception.
Questions of drug usage should also be included due to previous studies
concluding that tattooed individuals are more likely to exhibit risky
behavior such as alcohol consumption and recreational drug usage
(Forbes, 2001, Nathanson, Paulhus, & Williams, 2006; Tate & Shelton,
2008). In addition, questions dealing with other body modification such
as scarification and piercings should be asked since research has shown
that these modifications affect perceptions (Burris, Rowland, & Little,
2009; Seiter & Sandry, 2003). Moreover, a uniqueness scale will be
added to observe if non-tattooed individuals and tattooed individuals
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PHYSICAL CHARACTERISTICS, PERSONALITY TRAITS, AND ATTRACTION
have a different need of uniqueness (Tate & Shelton, 2008; Tiggemann &
Hopkins, 2011).
If these items are added to this certain study then the data obtained
can generate significant results that can help further explain how body
modification plays a role in attraction. In conclusion, this study added to
the literature due to finding interesting results among the non-tattooed and
tattooed population.
References
Beach, T., Caragol, P., Dolan, M., Yost, P. (Writers), & Abraham, M. (Director). (2002).
Tattoo [Television series episode]. In Beach, T., Caragol, P., & Yost, P. (Producers),
Taboo. World: National Geographic Television.
Burriss, R. P., Rowland, H. M., & Little, A. C. (2009). Facial scarring enhances men’s
attractiveness for short-term relationships. Personality and Individual Differences, 46,
213-217.
Degelman, D., & Price, N. D. (2002). Tattoos and ratings of personal characteristics. Psychological Report, 90, 507-514.
Forbes, G. B. (2001). College students with tattoos and piercings: motives, family experiences, personality factors, and perception by others. Psychological Reports, 89, 774-786.
Gary, J., & Jacobson, G. (Both Producers and Directors). (2005). Modify[Motion Picture]. United States: Committed films.
Koziel, S., Kretschmer, W., & Pawlowski, B. (2010). Tattoo and piercing as signals of biological quality. Evolution and Human Behavior, 31, 187-192.
Laumann, A. E., & Derick, A. J. (2006). Tattoos and body piercings in the United States: a national data set. American Academy of Dermatology, 413-421.
Losch, K. “History of Tattoo.” Skin Stories. PBS, 2003. Web. 10 July 2012.
McCrae, R. R., & Costa Jr, P. T. (2010). The five factor theory of personality. In O. P. John., R. W. Robins., & L. A. Pervin. (3rd ed), Handbook of Personality- Theory and research,
(pp. 159- 181). New York, NY: The Guilford Press.
Nathanson, C., Paulhus, D. L., & Williams, K. M. (2006). Personality and misconduct
correlates of body modification and other cultural deviance markers. Journal of Research in Personality, 40(5), 779-802.
Seiter, J. S., & Sandry, A. (2003). Pierced for success? The effects of ear and nose piercing
on perceptions of job candidates’ credibility, attractiveness, and hirability.
Communication Research Reports, 20(4), 287-298.
Spreecher, S., & Hatfield, E. (2009). Matching hypothesis. In Encyclopedia of human
relationships(108). Retrieved from www.elainehatfield.com/ch108.pdf
Swami, V., & Furnham, A. (2007). Unattractive, promiscuous and heavy drinkers: perceptions 63
GENESIS GRANADOS
of women with tattoos. Body Image, 4, 343-352.
Tate, J. C., & Britton, S. L. (2008). Personality correlates of tattooing and body piercing in a
college sample: the kids are alright. Personality and Individual Differences, 45, 281-285.
Tiggemann, M., & Hopkins, L. A. (2011). Tattoos and piercings: bodily expressions of
uniqueness?, Body Image, 8, 245-250.
Totten, J. W., Lipscomb, T. J., & Jones, M. A. (2009). Attitudes toward stereotypes of persons
with body art: implications for marketing management. Academy of Marketing Studies
Journal, 13(2), 77-92.
Wohlrab, S., Fink, B., Kappeler, P. M., & Brewer, G. (2009a). Differences in personality
attributions toward tattooed and nontattooed virtual human characters. Journal of
Individual Differences, 30(1), 1-5.
Wohlrab, S., Fink, B., Kappeler, P. M., & Brewer, G. (2009b). Perception of human body
modification. Personality and Individual Differences, 46, 202-206.
64
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LEE
Undergraduate Exposure
to Chromatography
Dr. Mary Kopecki-Fjetland
St. Edward’s Univeristy
Abstract
Abstract
Chromatography is a method utilized by chemists and other natural
scientists as a means of separating substances into their various
components. Undergraduate students in their first year of studying
chemistry learn about various intermolecular interactions that take place,
and chromatography is an effective model that highlights this concept.
Due to many limitations including minimal laboratory experience, safety,
and affordability, some general chemistry-teaching labs postpone teaching
chromatography in their curriculum to another year after students gain
experience. Various methods were explored including dry-column flash
chromatography and after careful consideration of limitations and
problems that may arise, thin-layer chromatography (TLC) was selected
as the method of choice. After the selection of TLC, a focus was placed
on selecting analytes that would produce results that would fully engage
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students. This research establishes a TLC experiment allowing students
to identify unknown essential oils based on their chemical makeup. This
safe, cost-effective, and simple procedure exposes students to a form
of chromatography while emphasizing the concept of intermolecular
interactions. With this procedure, students compare their unknown oil
with known compounds and then can quantitatively and qualitatively
identify them. The experiment is currently being implemented in limited
sections of general chemistry labs, and its effectiveness will soon be
reported. Upon success, the procedure will be implemented across all
sections of general chemistry teaching labs.
Introduction
The chemistry teaching lab is where students receive hands-on experience
to supplement what is being taught during lecture. Abstract concepts come
to life when experiments are carried out and chemical interactions are
witnessed. As undergraduates in their first year, students typically do not
have the skills required to carry out complex tasks in a research lab, nor
do they have much background knowledge to understand the chemistry
that is happening. In order to educate students about various concepts
in chemistry along with laboratory techniques, the first-year general
chemistry laboratory integrates simple experiments that aim to solidify
chemical concepts while simultaneously introducing students to the
laboratory setting.
Although there are extensive amounts of procedures that would
effectively demonstrate studied material, only some qualify to be carried
out by inexperienced students. Experiments must be safe, be able to be
completed within a 3-hour lab period, results should be easily identified
and supplies must be affordable. Another factor that is imperative is that
experiments should also spark student’s interest and should be able to be
completed at their bench tops.
First, the student’s safety is taken into consideration. Chemistry can
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UNDERGRADUATE EXPOSURE TO CHROMATOGRAPHY
be extremely hazardous and while a student is learning, mistakes are
expected and do happen. Certain mistakes simply cannot be made with
hazardous chemicals or apparatuses due to possible critical injury and fatal
risks. The handling of these hazards only come after proper education and
repeated experience with them. Because of the learning curve that students
experience, experiments should not incur a large risk due to the chances
of error. Time restrictions must also be taken into consideration. At many
universities, laboratory periods are typically three hours in length, meet
only once per week and often begin with a pre-lab discussion. In order
to conserve time, experiments should be able to be carried out within
that time slot so students will be able to obtain results needed to make
conclusions. Conversely, if an experiment should take more than three
hours to complete, it should have the ability to be left sitting for one week
without compromising the quality of the experiment to be completed the
following week.
When first-year students are being introduced to experimenting in
the chemistry laboratory, it is best that experiments produce results that
are easily detected by crude senses or simple tests. For example, it is often
easy for students to distinguish between various colors or even a change
in fragrance. Without these determining factors as in advanced chemistry,
complex and expensive instruments are sometimes implemented which
cannot be used by inexperienced students. The alternative would be to
implement tests that do not include such instruments.
These basic experiments should also be very cost-effective. In reality,
all educational departments have a set budget that they use to provide for
their programs. If large classes of first-year students are taking general
chemistry at the same time each semester every year, they will be using
many resources and this will take a toll on the department’s funds. In
order to soften the financial blow, the most affordable route must be
taken. Additionally, the experiments should only require small amounts
of those supplies to further stretch the resources among the vast number
of students. Considering all of these variables, the number of qualifying
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experiments is drastically limited.
Chromatography is a technique among many that are not usually
taught to first-year students. Due to the tedious nature of the procedure,
some universities do not expose students to chromatography until
their second semester of chemistry or later. This can be difficult to
understand when strictly considering concepts because the theories that
chromatography represent are covered within the first chemistry course.
Chromatography is a process of separating mixtures of substances into
their various components based on certain criteria including polarity, and
molecular weight (Eith et. al.). The general process takes place by running
the analyte through a medium involving a stationary phase and a mobile
phase. The stationary phase typically holds one property while the mobile
phase holds the opposing and “carries” the analyte through the solid
phase. After the interaction between the stationary and mobile phases,
the various components are separated and are able to be analyzed for
identification, purity or used for other purposes.
Of the few types of chromatography that have been in use in
undergraduate instruction, many methods are time consuming and/or fail
at sparking some interest within the students (Horowitz). Students have
the tendency to complete the lab simply by going through the motions of
the experiment rather than to understand. Other widely used procedures
also lack involvement of everyday life applications which would grab the
attention of students newly entering the field.
Literature Review
Although a very common procedure throughout natural sciences such
as biology, biochemistry, and chemistry, chromatography is not often
introduced to undergraduate students until they study analytical or organic
chemistry. This is a problem because first-year general chemistry students
learn about various intermolecular forces, but exposure to these concepts
during their lab period can be limited. Professors at various universities have
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UNDERGRADUATE EXPOSURE TO CHROMATOGRAPHY
attempted to alleviate this problem through the simplification of complex
and/or more expensive processes, but most of the procedures are still aimed
at analytical and organic chemistry students.
Often times, inexperienced undergraduates are limited to liquid and
liquid-solid chromatography because there is no need to use complex
instrumentation. Particularly, chromatography using a column with gravity
as the driving force is used because of its simplicity, but this is the procedure
with the most problems primarily because it is obsolete (Shusterman et. al.)
and takes a great amount of time to complete (Horowitz). It is possible that
due to these issues, many undergraduate chemistry labs discontinue its use
and postpone this procedure until they receive training to use more advanced
and efficient equipment.
The exclusive training of students at or above the level of analytical
chemistry was discovered when reviewing previous procedures for new
students. Much of the “simple” procedures still involved the use of
expensive and complex instruments and was targeted toward secondyear students. In an attempt to broaden the common idea of simple
chromatography to ion chromatography (IC), there were many procedures
involving the use of an IC instrument (Eith, Sinniah, Whelan) which
universities typically do not have for use by inexperienced students.
Rather than proposing a new experiment others proposed an
alternative to performing gravity column chromatography. Pressurized
columns are often used in order to expedite the movement of the liquid
phase through the solid phase but are extremely dangerous and rely
on the use of costly glassware (Shusterman et. al.). Because pressurized
flash chromatography does not stand within the limitations of a general
chemistry lab, it cannot be used; but an alternative procedure of drycolumn flash chromatography was proposed. Shusterman described a
setup that involved the use of a vacuum near the bottom of the column
rather than pressure that is applied at the top of the column in pressurized
columns. Unlike traditional columns, this column is forced to “run dry”
after each elution and solvent is conserved making this a very cost-efficient
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procedure. Much of the procedure is identical to a traditional column
except for select parts which would make a very smooth transition. The
dry-column flash chromatography method reports success at separating
mixtures ranging from 150 mg to 1 g at near TLC quality. Additionally, the
procedure is very user-friendly with no finesse needed for great results.
Another procedure was proposed using a precise and commonly-used
procedure that can be used in classes ranging from high school to college;
even with non-science majors. Libbie S. W. Pelter and her team proposed
an experiment involving the analysis of the components of spearmint
and peppermint leaf extracts using thin-layer chromatography. The
process was simple in that students essentially placed carvone, menthol
(major components of spearmint and peppermint, respectively) and one
of the plant oils on a TLC plate and noted their colors after treating it
with a developing solvent and anisaldehyde and viewing them under an
ultraviolet (UV) lamp. They then analyzed the plates in order to determine
if the unknown oil was spearmint or peppermint. When viewed under a
UV lamp, the dots that became visible were distinct in color and made
identification very simple. The report also stated that the experiment can
be completed within a two-hour lab period.
In addition to the Pelter experiment, another lab proposed by Stephen
K. O’Shea and his team developed an experiment for an application in an
undergraduate organic chemistry lab. Despite the fact that this is another
example of a lack of experiments for general chemistry labs, some concepts
can be adapted from it. The experiment involves having the students
isolate essential oils from three different plants and identifying them
along with their main components via various types of chromatography.
Although isolation is a process that should be reserved for organic
chemistry students, the analysis portion of the experiment may readily
be explored. By using TLC as one of the analysis methods, this allows
students to qualitatively determine what each essential oil contains.
A procedure proposed by Don R. Davies and Todd M. Johnson
involved TLC, column chromatography and infrared (IR) spectroscopy.
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UNDERGRADUATE EXPOSURE TO CHROMATOGRAPHY
The procedure is aimed at organic chemistry students but may also be
adapted for the use by general chemistry students. Furthermore, the
experiment involved spearmint by isolating its major component of
limonene and analyzing the results through TLC and IR spectroscopy.
By combining multiple methods, students are exposed to more quality
scientific experiments involving the verification of results with multiple
techniques. With the lack of worthy chromatography experiments
aimed specifically at general chemistry students, this study is an attempt
to broaden the experimental possibilities for first-year undergraduate
chemistry students and eventually implement them into the teaching lab
curriculum.
Methodology
In order to design a new laboratory experiment for first-year
undergraduate chemistry students, many trial-and-error steps were
taken. Experiments were based off of previous attempts to integrate
chromatography into chemistry teaching labs, and the most efficient
methodology was established. Experiments initially intended for
use in advanced chromatography methods were applied to simpler
methods including thin-layer chromatography and dry-column flash
chromatography. Experiments that were tested were those that produced
prominent results involving colors and/or fragrances from subjects that
students are familiar with in order to maintain interest and understanding.
Tentative analytes included the components of spinach, spearmint and
peppermint, and others were introduced when necessary. Because a new
methodology was what was being explored, much of the processes carried
out were unknown although there were a few known starting methods
that were attempted.
Before beginning the exploration process, procedures of interest were
studied further in order to determine if the published results could be
accomplished and if the attempt was worthwhile. If all steps of potential
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procedures were replicable, then the adaptation process proceeded. Variables
such as equipment, substances and the type of chromatography method
were changed to determine if similar or improved results could be obtained
within the limits of the general chemistry lab. Additionally, portions of
multiple published procedures were compiled to see if some aspects of one
study would work with the method of another. Overall, with each attempt,
results were recorded for each component of the tentative experiments, and
the most effective one was proposed based on its ability to fit within the
limitations of a general chemistry lab.
After looking into various procedures, more attention was focused
on those that involved the identification of essential oils using thin-layer
chromatography due to the ease and affordability of the procedure. In
order to replicate the experiment explained by Pelter, 1% solutions of
spearmint, peppermint, carvone and menthol dissolved in ethyl acetate
were analyzed on an aluminum-backed TLC plate with a fluorescent
indicator. After visualizing the plate under an ultraviolet lamp, the plate
was stained with a p-anisaldehyde solution, and all major components of
each substance became visible after treatment. The stain was applied by
placing the plate face-down in a shallow pool of solution and allowing
the face of the plate to be completely covered by the stain. The back of
the plate was then dried and then heated at 100°C on a hotplate until
colored spots appeared on a pink background. When it was determined
that peppermint and spearmint could be distinguished using this method,
more oils were included. Adapting ideas from the experiment established
by O’Shea, clove bud and anise seed oils were introduced along with their
primary components eugenol and trans-anethole respectively. The same
procedure used for the peppermint and spearmint was adapted for the new
oils and data was recorded. Finally, orange oil and its main component
limonene was introduced out of interest, and analyses of these substances
were recorded.
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UNDERGRADUATE EXPOSURE TO CHROMATOGRAPHY
Results
Many different factors were recorded during the process of
experimentation. First, the qualitative idea of spots from the essential
oils matching that of their main component was considered. Next, the
retardation factor (Rf ) was calculated to represent an additional qualitative
aspect of the spots. Finally, the time necessary to complete the experiment
was noted. Outside of the experiment itself, the cost of supplies, safety and
disposal were considered.
The primary factor considered was if major spots that represented
primary components were visible after the separation of the essential oil
sample. After the replication of the Pelter experiment, anticipated results were
produced, and the identification of spearmint and peppermint was possible
when compared to carvone and menthol. Menthol and peppermint were not
visible under UV but spearmint and carvone were visualized. After treatment
with the p-anisaldehyde stain, all spots of each sample were seen with distinct
colors with carvone being represented with a yellow spot and menthol
appearing as a blue spot. Other spots were easily visible in the essential oils
showing that other components contribute to the chemical makeup. When
anise and clove were analyzed, very clear spots could be observed both
under UV light and after treatment with anisaldehyde. Clove maintained
a yellow appearance under UV light and turned green after staining while
anise maintained a dark blue to black color under UV light and turned yellow
after staining. Eugenol and trans-anethole had identical appearances when
compared to their essential oils. It should also be noted that both clove and
anise had a slight grey spot near the top of the solvent front which could be
representative of limonene or another substance. After the chromatograms
were stained, fading occurred very quickly. In fact, spots began to fade
within minutes of development. As orange oil, and limonene were tested,
they underwent the same treatment as the rest of the oils, but no spots were
visible under neither UV light nor anisaldehyde treatment. After reviewing
the experiment by Don R. Davies, a permanganate stain was used to visualize
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the limonene in his experiment; therefore, this same stain was applied to the
orange oil. The permanganate stain was applied in the same manner that the
anisaldehyde was applied without the application of heat, and golden spots
appeared on a magenta background representing the limonene in the orange
oil and from the pure solution.
Additional qualitative measures could also be utilized in order to
determine the identity of what each spot represents. In this measurement,
a retardation factor (Rf ) is calculated. This factor is “defined as the
quotient obtained by dividing the distance between the substance zone
and the starting line by the distance between the solvent front and the
starting line” (Hahn-Deinstrop) and is used in order to determine the
position of each spot. There are many established Rf values in literature
for various substances, and this is used for comparison with many
experiments for verification. However, when these values were calculated
for several substances on the plates, the values were significantly different
and required further analysis. When taking the entire experiment into
perspective, the entire procedure excluding the preparation of solutions
and other components can take approximately two hours which is well
within a three-hour lab period.
In order to stay within the limitations of a general chemistry lab,
the cost and safety of the experiment were analyzed. In general, the
experiment is very safe and does not require extensive knowledge to
perform the necessary tasks. Students will be handling very dilute samples
of essential oils (one percent in ethyl acetate) with capillary tubes, so
exposure will be minimal. The greatest amount of chemicals students
may come in contact with is the developing solvent which will be a small
layer of liquid covering the bottom of a beaker. Additionally, TLC plates
are very safe. Although fine silica gel is harmful when inhaled, a small
amount is tightly packed on the plate, and any chance of it being knocked
off comes with cutting the plates to size which will be performed by
teaching assistants and/or professors. Overall, any waste produced by the
experiment is easily disposed of in containers that are common in general
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UNDERGRADUATE EXPOSURE TO CHROMATOGRAPHY
chemistry laboratories.
Supplies for the experiment were extremely inexpensive. Every oil and
main component was purchased from Sigma-Aldrich chemical company.
Each substance was about $40 for roughly 10 mL although some oils
were more expensive because they came in larger volumes. Pairing the low
cost with the small amount of each that is used yields a very cost-efficient
experiment. It must also be taken into consideration that only drops of
each solution will be used by each student and TLC plates range in price
from one to two dollars per sheet and approximately 14 test plates may
be cut from one 20x20cm sheet if using a 7x4cm test plate. Aside from the
purchased items, ethyl acetate and heptanes are very common reagents that
are also found in many chemistry labs.
Discussion
The identification of essential oils was explored because it involved the
least amount of sample preparation and supplies which corresponds with
many of the limitations of a first-year chemistry course. The options that
included spinach and other vegetables were not explored because isolating
the components for analysis involved many time-consuming steps which
included the removal of a great amount of water from the samples. It
would also be difficult for students to connect to the experiment because
the professor and/or the teaching assistants would perform the isolation
of compounds prior to the start of lab which removes them from the
real-life connection of the experiment. Additionally, the dry-column flash
chromatography setup was not explored because it would require students
to work in groups in the case that there are not enough supplies. The
amounts of columns, vacuum ports, silica gel, etc. are limited and would not
allow each student to perform each step of the chromatography experiment.
In order to allow students to perform their own experiment, essential oils
were applied to TLC plates. Although the oils were purchased, they have
75
ERYN LEE
distinct fragrances which allow students to connect them to their source
since the raw plants will not be available.
The results obtained from the performed experiment suggest that all
oils excluding orange may be used and visualized using UV light and the
anisaldehyde dip. At this time, orange oil and limonene may not be used
due to the toxicity of the permanganate stain. Even under close supervision
of the students, use should be avoided because improper disposal of
waste could occur which could harm the environment or endanger others.
Further trials must be conducted with various stains in order to determine
if there is one that is more universal at making more substances visible.
Another attempt at reducing harmful chemical exposure was made during
the steps of applying the TLC stains. Various literatures use spraying or
dipping techniques to visualize their plates but this was avoided. Spraying
the stain requires additional equipment that is not common in general
chemistry labs and can also be very hazardous. Much of the harmful
chemicals are released into the air which poses a risk toward surrounding
people even if performed under a fume hood. Moreover, dipping TLC
plates requires a less concentrated solution, but a greater amount of the
solution which may readily deplete supplies (Hahn-Deinstrop). Placing the
plates face-down into a small amount of solution preserves limited supplies
while providing a safe alternative to spraying.
A proposed experiment for students would involve assigning them
an unknown oil along with known constituents. The students would then
spot their unknown versus the components in order to determine what
the primary component in their oil is. After this is determined, they would
refer to a condensed literature that contains information on what the
primary components of each are. They would then note their conclusion.
As an additional qualitative aspect, Rf values would be calculated and
compared to literature to act as a secondary determination of oils. Finally,
students should have the opportunity to smell their undiluted unknown
oil and compare it to the fragrance of its primary component to note the
similarities and how much it contributes to the properties of the oil. With
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UNDERGRADUATE EXPOSURE TO CHROMATOGRAPHY
all of their compiled data, they are to draw a conclusion and write up a
report including observations, data, results, conclusions and responses to
post-lab questions.
Although a tentative experiment can be drawn from this research,
there are problems that should be reviewed after further study. Due to the
limited time researching this topic, few trials were run and few alternatives
were attempted. A primary question in the study is whether or not the
aluminum-backed plates had a negative result on the experiment. Although
produced results were similar to those of the study that was replicated,
it would be useful to attempt the experiment on a polyester-backed plate
despite the fact that aluminum is the simplest and most affordable.
It was also noted while running the plates involving peppermint and
spearmint that menthol was not detectable after the peppermint and
menthol solutions have been sitting for over a week. After the preparation
of fresh menthol and peppermint solutions and running a test plate,
menthol was easily visualized. This happening suggests that menthol has
a short shelf-life while in solution and should only be prepared in small
quantities and used immediately. This discrepancy could also be due to the
fact that the solution was stored in a volumetric flask which did not have
a tight seal, and air in the atmosphere could have had an adverse effect. In
any case, menthol and menthol-containing solutions should be used in a
timely manner.
Finally, further studies would include implementing this experiment
into the curriculum of first year chemistry students and obtaining feedback
from them. It should be noted whether or not an inexperienced student is
able to complete the lab within the allotted lab period after receiving a prelab lecture. Furthermore, students should be asked whether or not the lab
was engaging and/or relatable to “real life” as this is a primary goal of the
research and feedback is essential to gauge the effectiveness of the project.
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ERYN LEE
References
Davies, Don R., and Todd M. Johnson. “Isolation of Three Components from Spearmint Oil: An Exercise in Column and Thin-Layer Chromatography.” Journal of Chemical Education 84.2 (2007): 318-20. Print.
Eith, Claudia, Maximilian Kolb, Andreas Seubert, and Viehweger Kai. Henning. Practical Ion Chromatography: An Introduction. Herisau: Metrohm, 2002. Print.
Hahn-Deinstrop, Elke. Applied Thin-layer Chromatography: Best Practice and Avoidance of Mistakes. 2nd ed. Weinheim: Wiley-VCH, 2007. Print.
Horowitz, Gail. “Undergraduate Separations Utilizing Flash Chromatography.” Journal of Chemical Education 77.2 (2000): 263-64. Print.
O’Shea, Stephen K., Daniel D. Von Riesen, and Lauren L. Rossi. “Isolation and Analysis of Essential Oils from Spices.” Journal of Chemical Education (2012): 665-68. American Chemical Society, 25 Jan. 2012. Web.
Pelter, Libbie S. W., Andrea Amico, Natalie Gordon, Chylah Martin, Dessalyn Sandifer, and
Michael W. Pelter. “Analysis of Peppermint Leaf and Spearmint Leaf Extracts by Thin-Layer Chromatography.” Journal of Chemical Education 85.1 (2008): 133-34. Print.
Shusterman, Alan J., Patrick G. McDougal, and Arthur Glasfeld. “Dry-Column Flash Chromatography.” Journal of Chemical Education 74.10 (1997): 1222-223. Print.
78
KATHERINE NAJERA
NAJERA
Development of Parkinson's
Disease from Pesticide
Exposure in Caenorhabditis
Elegans
Dr. Fidelma O’Leary
St. Edward’s Univeristy
Abstract
Abstract
Parkinson’s disease (PD) is an age related neurodegenerative movement
disorder classified with two pathological hallmarks: selective dopaminergic
neuron degeneration and the formation of Lewy bodies. It is the 14th top
cause of death listed by the Center for Disease Control (CDC). Within
Parkinson’s disease there are two main causes: Sporadic and Genetic.
Genetic cases only account for 5 % of cases and have been hypothesized
to be caused by a mutation in the Alpha synuclein gene. 90-95% of the
cases are classified as sporadic in which environmental risk factors and
individual genetic susceptibility is the cause. Caenorhabditis elegans was
used to investigate the link between Parkinson‘s Disease and the Pesticide
Rotenone. Rotenone is an organic pesticide found in several subtropical
leguminous shrubs of the genera Derris, Lonchocarpus, and Tephrosia
(Castrique). Rotenone inhibits mitochondrial complex I producing
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KATHERINE NAJERA
selective damage of the nigrostriatial dopamine system. This degeneration
is key in PD pathology. Rotenone has been shown to alter oxidative
stress, alpha synuclein phosphorylation, aggregation, Lewy pathology,
DJ-1 acidification and translocation, proteasomal dysfunction as well as
nigral iron accumulation (Cannon). Rotenone is also the only pesticide
to generate Lewy bodies in previous rat models (Perier). The impact of
Rotenone exposure in Caenorhabditis elegans was examined as a model to
assess the development of PD pathology and symptoms.
C.elegans were exposed to Rotenone in their OP50 food source,
Escherichia colia OP50 at the highest sub-lethal dosage of 20 μM
concentrations. Two strains of Nematode, PD and BY250, were
cultivated and maintained at 20 ° C. Worms were age synchronized to
L4, L4+ 24 hrs, and L4+48 hrs age groups. In the PD strain a western
blot, immunohistochemistry, lifespan assay, egg-laying assay as well
as a thrashing assay were conducted. In the BY250 strain florescent
microscopy, lifespan assay, egg laying assay as well as a thrashing assay
were conducted. Data thus far collected showed that in the PD strain the
L4+48 hour age group was the most sensitive to Rotenone exposure in all
three of the phenotypic assays suggesting an age-dependent response. With
this information it was concluded that Rotenone has the highest impact on
worms who have been allowed to age. Researching the effects of Rotenone
on model organism Caenorhabditis elegans can further our understanding
into the sporadic cases of Parkinson’s disease.
Introduction
Parkinson’s is an age related neurodegenerative movement disorder
affecting 1% of individuals over the age of 60. PD average age of onset is
50 with the disease being more prevalent in males. Males have a 1.5 times
higher chance of being diagnosed with PD; this chance also increases as
the individual ages. Common symptoms that present at the early stages
of the disease are a resting tremor, bradykinesia, rigidity and gait. As the
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DEVELOPMENT OF PARKINSON’S DISEASE FROM
PESTICIDE EXPOSURE IN CAENORHABDITIS ELEGANS
disease progresses one may begin to exhibit postural instability, usually
occurring in the late stages of the disease as pathological features worsen.
Pathological features are characterized as selective loss of dopaminergic
neurons in the substantia nigra pars compacta and the presence of
Lewy bodies in surviving dopamine neurons. The substantia nigra is the
area of the brain in which dopaminergic neurons are centralized. The
substantia nigra is characterized by dark pigmentation; and when there is
cell death in this area there is pigmentation loss. Cell death is attributed
to the formation of Lewy bodies in the nerve cell. A Lewy body is an
abnormal protein aggregation whose primary constituent is the protein
alpha synuclein. This is a presynaptic protein whose function is relatively
unknown. Parkinson’s disease is classified either as genetic or sporadic.
Genetic cases only account for 5 % of cases with research showing links
into 3 genetic mutations. These genes are the alpha synuclein, PARKIN
and DJ-1. Sporadic cases, however, account for 90-95% of diagnosed
cases. These cases arise from a combination of individual genetic
susceptibility as well as environmental risk factors. Epidemiological studies
into sporadic presentations suggest that exposure to pesticides, metals,
and solvents are possible risk factors (Cannon). The correlation between
PD and pesticide exposure was investigated in a study conducted by The
National Institute of Health (NIH). In this longitudinal study the use
of the pesticides, Rotenone and Paraquat, was examined in correlation
to the presentation and subsequent diagnosis of Parkinson’s disease in
agricultural workers. In this study it was concluded that individuals who
had a long term exposure to either pesticide had a 2.5x higher probability
of being diagnosed with PD than that of non-users.
Rotenone is an organic pesticide derived naturally from several
subtropical leguminous shrubs of the genera Derris, Lonchocarpus, and
Tephrosia (Castrique). It is is used as a pesticide, piscicide and insecticide.
Rotenone directly affects the complex I of the electron transport chain in
the mitochondria. Hindering the ability of the cell to produce Adenosine5’-triphosphate (ATP). This kills target organisms such as invasive fish
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KATHERINE NAJERA
species in North American fishery management, fleas, ticks and mites on
pets and livestock and garden aphids on garden plants. It is also widely
used in North America for agricultural used in fruits and vegetables crops.
Not only does Rotenone affect the ATP production of target organisms
but it also damages ATP production of non-target organisms in which it
comes in contact. It is especially dangerous in human exposure since it can
freely cross the protective brain barrier. C. elegans is a microscopic soildwelling nematode common in crop fields, benefiting the ecosystem of the
soil aiding in decaying materials. C.elegans would, therefore be, exposed
to Rotenone in its natural habitat during pesticide control in vegetable and
fruit crops. C.elegans were used due to the high conservations of genes and
metabolic pathways between invertebrates and humans using invertebrate
models having enormous potential in deducing the factors involved in this
neuronal disease (Nass). C.elegans have 8 dopaminergic neurons whose
location is well known and whose function in mediating motor function
has been verified. Four neurons of the cephalic sensilla are located around
the nerve ring (CEPDL,CEPDR,CEPVL,CEPVR); the anterior deirid
neurons (ADER,ADEL) are located over the terminal bulb of the pharynx
and, finally, the postdeirid neurons (PDER,PDEL) located at two-thirds
the body length of the worm. The average lifespan of the worm is also
relatively short, living only 15-18 days, allowing effects on age populations
to be examined. Non-human mammalian models also do not normally
present with Parkinson’s Disease (Vanderbilt).
Research Question
Will the administration of Rotenone induce Parkinson’s Disease pathology?
Methodology
C.Elegans Strains
A transgenic strain of c.elegans (PD strain) was used which contained the
genetic code for human α-Synuclein, the primary protein associated with
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DEVELOPMENT OF PARKINSON’S DISEASE FROM
PESTICIDE EXPOSURE IN CAENORHABDITIS ELEGANS
Lewy bodies formation in Parkinson’s patients. This was needed since
alpha synuclein is not an endogenous protein expressed in c.elegans. A
second strain BY250 was obtained from Vanderbilt University. This strain
contains green florescent protein (GFP) derived from jellyfish expressed
specifically in the 8 dopaminergic neurons.
C. Elegans Cultures
PD and BY250 strains of Caenorhabditis elegans cultures were maintained
according to standard protocol. Cultures were raised on Nematode
Growth Medium (NGM) petri plates and fed a diet of Escherichia coli
OP50 in Luria broth (LB) media. Cultures were propagated by chunking
onto freshly seeded, nutrient rich plates every five days. These plates were
maintained at 20°C in an incubator.
Rotenone
Rotenone was dissolved in in Dimethyl sulfoxide (DMSO) (.4mg/L).
The solution was then integrated into LB media in a final dilution of 20
μM concentrations. This concentration was based on a previous study
involving Rotenone and c.elegans. A tube of media was inoculated with
E.coli and incubated over night at 37°C.Bacterial cultures were tested
for pellet formation to ensure growth, indicating the concentration as
sub-lethal. Plates were seeded with .5 μL of Rotenone-OP50 per plate. A
matched control OP50 dilution was prepared without Rotenone.
Age Synchronization
Age synchronized population were obtained in order to assess Rotenone’s
affect with the aging of the worm. Age synced population were obtained
for L4 (42 hrs.) when the worm has reached young adulthood and
has become sexually mature, L4+24 (66 hrs.) equivalent to adult hood
in humans, as well as L4+48(114 hrs.). These populations were used
chemically from well-populated plates. Worms were washed off the plate
by adding M9 buffer solution to the plate dislodging the worms. Using
a pipette the M9 containing worms was moved to a 15mL tube. The
tube was then centrifuged for 1 minute on high pelleting the worms. M9
was then aspirated from the tube without disturbing the worm pellet.
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KATHERINE NAJERA
15mL of 20% alkaline hypochlorite solution was then added to the
tube in order to dissolve all adults while, leaving eggs intact. The 20%
alkaline hypochlorite solution was left for ~5 minutes after which it was
centrifuged again for one minute, this time forming an egg pellet. The
20% alkaline hypochlorite was aspirated without disturbing the worm
pellet. 15mL of M9 buffer solution was added to the tube to remove
any remaining 20% alkaline hypochlorite solution after which it was
centrifuged for one minute on high and repeated twice. 7 mL of M9
buffer solution was added and the egg pellet was resuspended. The tube
was allowed to rock gently for a minimum of 14 hours in which eggs
would hatch to the L1 larval stage. Their growth would be halted at
this stage since there is an absence of their bacterial food source. After
14+ hours worms were once again centrifuged and M9 was aspirated
without disturbing the L1 pellet. The pellet was resuspended and liquid
was distributed onto 5-Fluoro-2'-deoxyuridine (FUdR) containing plates.
This was done to ensure the population remained at the desired age by
preventing egg laying without harm to the worm.
Western Blot
In order to determine alpha synuclein expression a western blot was
conducted on the PD strain. This was conducted on all age groups for
rotenone treatment as well as control groups. Rotenone treatment groups
were exposed to rotenone starting at the desired age and exposure lasted
for three days. On the fourth day protein was extracted from the worm to
be used in the western blot analysis.
Immunohistochemistry
In order to determine the formation of aggregation of α-synuclein, also
known as Lewy bodies associated with rotenone exposure populations,
immunohistochemistry (IHC) was conducted for the PD strain. Rotenone
treatment groups were exposed to rotenone starting at the desired age and
exposure lasted 3 days. On the fourth day the worm was fixed and IHC
was conducted.
Neuronal Degeneration and Death
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DEVELOPMENT OF PARKINSON’S DISEASE FROM
PESTICIDE EXPOSURE IN CAENORHABDITIS ELEGANS
In order to examine neuronal death and degeneration associated with
rotenone exposure, Neuron degeneration assay was conducted on the
BY250 strain. . Rotenone treatment groups were exposed to rotenone
starting at the desired age and exposure lasted 3 days. On the fourth day
the worms were examined at using florescent microscopy visualizing the
GFP neurons in question. Degeneration was classified as fragmentation of
the fluorescence as well as the distance between the cuticle and the nerve
itself was noted. Death was classified as complete fragmentation of the
florescence or no visualization of the cell entirely. Pictures were taken of
atypical worms characteristic of its group later to be analyzed.
Lifespan Assay
To examine phenotypic effects of Rotenone a life span assay was
conducted on both the PD and BY250 strains. In this assay a single worm
was picked into a compartment of a specialized plate (Figure 1). Each
compartment received the same amount of OP50 food source of .5 μL.
Twice daily the worms were touched using a platinum wire verifying
survival. Survival was classified as the normal response to move away from
the wire while death was classified as no response to stimuli. In order to
ensure compatibility the worms received the same amount of touch stimuli.
This was conducted for 12 worms per age group per treatment.
figure1.ImageofthespecializedcompartmentalizedplatedusedfortheLifespanassay.
Eachcompartmentreceived.5μLofOP50foodsource.Asinglewormwasplacedineach
compartment. Two plates were used for a total of 12 worms per group.
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KATHERINE NAJERA
Egg-Laying Assay
An egg laying assay was conducted to determine the effect of rotenone on
egg laying in both the PD and BY250 strain. In this assay a single worm
was picked onto a lightly seeded (.3 μL OP50) plate. The worm was
allowed to freely roam around the plate laying eggs for 2 hours. After two
hours the worm was removed. The worm was then scored for L1 larvae
14 hours later since 14 hours are required for the egg to hatch into the L1
larval stage. This was conducted on 10 worms per group per treatment.
Thrashing Assay
A thrashing assay was conducted in order to examine the effects of
Rotenone on motor function. In this assay the number of thrashes were
counted per minute. A thrash was defined as a swing of the head and tail
in the same direction characteristic of a c.elegans suspended in liquid
(Figure 2). In order to remove the c.elegans from the solid NGM surface,
1mL of fast green dye M9 was added suspending the worm in liquid. The
worm was then given an adjustment period of 60 seconds in which they
were allowed to swim freely. After the adjustment period, 1 worm was
visually localized; and the number of thrashes it exhibited for 60 seconds
was counted. This was conducted for 10 worms per assay.
figure 2. Example thrash image, A thrash was defined as a swing of the head and tail in
the same direction.
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DEVELOPMENT OF PARKINSON’S DISEASE FROM
PESTICIDE EXPOSURE IN CAENORHABDITIS ELEGANS
Results
All Rotenone treated PD strain age groups exhibited the same trend in their
life-span assay. On days one and two of the assay the L4 and L4+24 hour age
group, the percent survival was the same. However, on day 3 of the assay, all
three groups separated themselves with L4 at 16% survival rate, L4+ 24 8%
survival rate and the L4+48 had 0% survival rate.
figure 3. Percentage survival for PD rotenone treated groups for 3 days.
figure4. AllRotenonetreatedPDstrainagegroupsexhibitedadecreaseinnumberof
thrashesperminutecomparedtocontrolPDstrainpopulations.Thegreatestdifference
was seen at the L4+24 age group with a decrease of 88 thrashes in treatment groups
compared to control.
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KATHERINE NAJERA
figure5.Resultsforthrashingassayconductedonbothrotenoneandcontroltreatment
groups.Eachbarrepresenttheaverageofnumberofthrashes/60secondsinwhichthe
assaywereconductedforatotalof10worms(n=10).Eachagegroupshowedadecreasein
numberofthrasheswhenexposedtorotenonefor3days.Thegreatestdecreaseoccurred
at the L4+24 age groups with a difference of 88 thrashes per 60 sec.
EgglayingresultsshowedanagedependentresponseinwhichL4+48rotenone
treatedPDstrainwormsonlylaidanaverageof.7eggs.Thisaveragewasthesmallestof
all three age groups for the Rotenone treatment groups.
Figure 6. Bar graph depicting average L1 larvae for Rotenone treated PD strain. This
assaywasrunfor12worms(n=12)forall.Graphsuggestsanagedependantresponseto
rotenoneinthisassay.TheaverageegglayingforL4was2L1larvae,L4+24was4.7,with
thesmallestaverageoccurringthetheL4+48hragegroupswithanaverageof.7L1larvae.
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DEVELOPMENT OF PARKINSON’S DISEASE FROM
PESTICIDE EXPOSURE IN CAENORHABDITIS ELEGANS
Discussion
From data thus far collected Rotenone seems to be exhibiting an age
dependent response on the PD strain. This correlated with the probability
or onset increasing with age in humans. This quantitative data could be
supplemented once western blot and immunohistochemistry are correctly
administered. In the motility assay all movement seemed to be altered
through observational data. The L4 worm seems to be exhibiting sudden
bursts of movement in comparison to constant thrashing. This was only
exacerbated when the worms would thrash so much until they would thrash
themselves into a ball seizing all movement until sudden uncontrollable
movement was exhibited. L4+24 seemed to be favoring one sided movement
in which thrashes seemed to be consistently performed to one side. As well
as the L4+48 movement seemed to be very labored with boxy robotic like
movement. This age group also seemed to fail at attempts to perform a
thrash. These phenotypic exhibitions account for three different outcomes,
the formation of Lewy bodies, neuronal degeneration and possibly death as
well as the pesticide having alternative affects on the worm. These outcomes
can only be addressed once Western blot tests, Imunnohistochemistry as well
as the use of fluorescent microscopy are performed on the worm strains. The
life span of the worm was noticeably shortened in the L4+48 populations
whose final survival percentage was 0 on what was only day 8 of their life.
The average lifespan of the worm is 15-18 days; therefore, at day 8 one
would expect to see worms alive. Also, in all L4+24 population the rotenone
exposure did not seem to damage the worm as much as in the other age
groups. This could be accounted for by aging as well as size of the worm itself.
In order to improve this experiment, future data will be collected on all groups
displayed above. Protein is being enriched currently to ensure a successful
western blot. Immunohistochemistry has also begun with worms being fixed.
Also to assess neuronal degeneration and death treatment, experiments are
being conducted in the BY250. Once all data is collected this Rotenone
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KATHERINE NAJERA
model of Parkinson’s will be used to investigate neruoprotective pathways of
antioxidants on the effects of aging in PD rotenone model c.elegans.
References
Cannon, Jason R., et al. “A highly reproducible rotenone model of Parkinson’s disease.” Neurobiology of Disease 34 (2009): 279-290. JSTOR. Web. 21 May 2012.
Castrique, Emma. “What is rotenone?” Molecule of the Month. University of
Bristol, UK, n.d. Web. 25 May 2012. <http://www.chm.bris.ac.uk/motm/
rotenone/startpageh.htm>.
Nass, R, D.M. Miller III, and R.D. Blakely. “C. elegans: a novel pharmacogentic model to
study Parkinson’s disease.” Parkinsonism and Related Disorders 7 (2001): 185-191. JSTOR. Web. 21 May 2012.
“NIH study finds two pesticides associated with Parkinson’s disease.” NIH News 11 Feb.
2011: n. pag. U.S. Department of Health and Human Services. Web. 21 May 2012. <http://www.nih.gov/‌news/‌health/‌feb2011/‌niehs-11.htm>.
Perier, Caline, et al. “The rotenone model of Parkinson’s disease.” TRENDS in Neuroscience 90
26.7 (2003): 345-346. Google Scholar. Web. 21 May 2012.
NIX
Modulation of Acetylcholine
Signaling and Its Effects on
Protein Aggregate Clearance
and Toxicity in a Transgenic Caenorhabditis
Elegans ASH Neuron
LESLIE NIX
Dr. Fidelma O’Leary
St. Edward’s Univeristy
Abstract
Aggregates of misfolded proteins are a hallmark of neurodegenerative
proteopathies, including CAG-repeat disorders such as Huntington’s
disease (Kakizuka, 1998). Expanding the polyglutamine tract of human
huntingtin protein beyond pathogenic threshold (35-40 repeats) results
in inefficient clearance of disease proteins by the ubiquitin-proteasome
pathway (Goldberg, 2003). Recent molecular studies indicate that
autophagy may also degrade these aggregates (Ravikumar et al.,
2002; Berger et al., 2006; Jia et al., 2007). In Caenorhabditis elegans,
autophagy is generally upregulated during starvation through the TOR
kinase pathway, and increased acetylcholine signaling has been shown
to result in an upregulation of autophagy in pharyngeal muscle cells
(Kang et al., 2007). We examined the effects of modulated acetylcholine
signaling in transgenic models of Huntington’s in C. elegans. These
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LESLIE NIX
strains express a fragment of the human huntingtin protein with 150
glutamine repeats in the ASH and other sensory neurons. Specifically, we
modulated acetylcholine signaling via treatment with 30mM exogenous
choline (acetylcholine precursor), 5mM pyridostigmine bromide
(acetylcholinesterase inhibitor) and 5mM arecoline hydrobromide
(muscarinic-acetylcholine-receptor agonist). All treatments were
administered in M9 buffer for 30m immediately prior to testing.
Following treatment, two behavioral assays were conducted to assess
mechanosensation and chemosensation. Worms were treated and tested
either 4 or 8 days after hatching. Treatment with pyridostigmine bromide
was most effective and partially rescued mechanosensation (28%)
and chemosensation (51%) on both days. These findings suggest that
treatments with acetylcholine precursor or receptor agonist may be masked
by endogenous acetylcholinesterase activity. Furthermore, a promising
treatment for Huntington’s may be an acetylcholinesterase inhibitor.
Introduction
Inclusion bodies, misfolded proteins, and aggregates are distinct signs of a
range of neurodegenerative disorders including Alzheimer’s disease (AD),
Parkinson’s disease (PD), and polyglutamine expansion diseases, which
include Huntington’s disease (HD) and related ataxias (Kakizuka, 1998;
Kopito and Ron, 2000; Stefani and Dobson, 2003). We have focused our
study on polyglutamine expansions. A novel feature of the polyglutamine
diseases is a polymorphism of the repeat length among healthy and
affected individuals. Molecular genetic studies have established that
Huntingtin alleles from normal chromosomes contain an average of 22
CAG repeats, whereas those from affected chromosomes contain greater
than 35-40, establishing an apparent pathogenic threshold (Andrew et
al., 1993). Although the mechanisms underlying expanded polyglutamine
toxicity are not fully understood, a hallmark of polyglutamine-expansion
diseases is intracellular aggregation of expanded polyglutamine proteins
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MODULATION OF ACETYLCHOLINE SIGNALING AND ITS
EFFECTS ON PROTEIN AGGREGATE CLEARANCE AND TOXICITY
IN A TRANSGENIC CAENORHABDITIS ELEGANS ASH NEURON
(Ross and Poirier, 2004).
Different cellular pathways may contribute to the degradation of these
polyglutamine proteins and the prevention of intracellular accumulation
of polyglutamine proteins into pathogenic aggregates. Proteasomes are
responsible for the degradation of wild-type polyglutamine proteins as well
as expanded polyglutamine proteins, though they may inefficiently cleave
and digest the latter due to the long glutamine repeats (Goldberg, 2003;
Venkatraman et al., 2004). This suggests the involvement of other protein
degradation systems in the clearance of polyglutamine disease proteins.
There is increasing evidence that the lysosomal degradation pathway
of autophagy may be important in the degradation of polyglutamine
aggregates (Ravikumar et al., 2002; Ravikumar et al., 2004; Iwata et al.,
2005; Berger et al., 2006; Yamamoto et al., 2006; Jia et al., 2007).
Autophagy is the major cellular pathway responsible for the
degradation of long-lived proteins and cytoplasmic organelles. During
autophagy, cellular components are sequestered into rearranged subcellular
membranes and packaged into autophagosomes for delivery to lysosomes
where they are degraded (Levine and Klionsky, 2004). Based on studies
in yeast and mammalian cells, it is thought that, in C. elegans, autophagy
occurs at low levels in most tissues during normal conditions but is rapidly
upregulated in response to environmental stressors. This is supported by a
low number of LGG-1::GFP punctae in wild-type animals; LGG-1/Atg8 is
involved the vesicle elongation phase of autophagy and appears to remain
in the completed autophagosome, making it an excellent marker for
autophagosomal structures (Meléndez et al., 2003; Hansen et al., 2008).
Autophagy can be induced by a number of stimuli, including nutrient
starvation, high temperature and hypoxia and is generally upregulated
when cells need to generate intracellular nutrients and energy (e.g. during
starvation or high bioenergetics demands), under cellular remodeling or to
rid themselves of damaging cytoplasmic components (reviewed in Klionsky
and Emr, 2000; Levine, 2003; Levine and Klionsky, 2004). The first
evidence linking autophagy to degradation of polyglutamine aggregates
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LESLIE NIX
was based upon studies using pharmacological agents that modulate
autophagy. Rapamycin, an inhibitor of TOR kinase and potent inducer
of autophagy, lessens the accumulation of polyglutamine in cultured
mammalian cells, protects against neurodegeneration in a fly model of
Huntington disease and improves behavioral performance in a mouse
model of Huntington’s disease (Wullschleger et al., 2006; Ravikumar et al.,
2002; Ravikumar et al., 2004; Berger et al., 2006).
The overactivated muscarinic acetylcholine receptor pathway normally
responds to starvation in the C. elegans pharynx and can cause excessive
autophagy, pharyngeal muscle dysfunction, and animal death (Kang et al.,
2007). Inhibitors of muscarinic signaling such as atropine, a muscarinic
acetylcholine receptor antagonist and a reduction-of-function mutation
in mpk-1, which encodes a MAPK activated by starvation, reduce the
excessive autophagy and the effects of the overactivated muscarinic
pathway. Loss of activity of DAPK-1, the C. elegans ortholog of the deathassociated protein kinase (DAP kinase), or RGS-2, a regulator of G protein
signaling, also reduces starvation-induced autophagy and partially reduces
the lethal effects of the overactivated muscarinic acetylcholine pathway.
These results suggest that the muscarinic acetylcholine signaling pathway
positively regulates autophagy in response to starvation and that DAPK-1
acts downstream of or in parallel to muscarinic signaling, possibly with
RGS-2 in the regulation of autophagy (Kang et al., 2007). These data
are consistent with previous reports in mammalian cells (Gozuacik and
Kimchi, 2006; Inbal et al., 2002; Pattingre et al., 2003a; Pattingre et al.,
2003b; Tallóczy et al., 2002).
There are two established models of polyglutamine expansion
protein-induced disease in C. elegans. One model involves the expression
of fluorescent-tagged proteins containing polyglutamine expansion
tracts in muscle cells. Transgenic animals that express polyglutamine
fragments containing 40 repeats (Q40-YFP) display visible aggregates in
muscle cells and impaired locomotion (Brignull et al., 2006; Morley et
al., 2002). A second model utilizes the expression of human huntingtin
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MODULATION OF ACETYLCHOLINE SIGNALING AND ITS
EFFECTS ON PROTEIN AGGREGATE CLEARANCE AND TOXICITY
IN A TRANSGENIC CAENORHABDITIS ELEGANS ASH NEURON
fragments containing a tract of 150 polyglutamine residues (Htn-Q150)
in ASH sensory neurons (Jia et al., 2007; Voisine et al., 2007). The ASH
neuron is a polymodal sensory neuron responsible for osmo- chemoand mechanosensation, as well as nociception. The ASH has synaptic
connections with AVA, AVB, and AVD, the forward and backward
command interneurons; and, therefore, the health of the ASH neuron can
be assessed by behavioral assays concerning sensation and locomotion
(White et al., 1986).
In the current study, we modulated acetylcholine signaling and
determined its subsequent effects on polyglutamine disease protein toxicity
by assessing behavioral responses mediated by the ASH neuron.
Materials and Methods
Maintenance of C. Elegans Strains
Caenorhabditis elegans were cultured using standard methods (Brenner,
1974). The standard N2 Bristol was used as the wild-type in this study. A
sodium hypochlorite solution was used to age synchronize the worms to
assess the progression of symptoms and pathology (Sulston & Hodgkin
1988). Transgenic strains included HA759 (rtIs11[osm-10p::GFP + osm10p::HtnQ150 + Dpy-20(+)],pqe-1(rt13)), HA659 (rtIs11[osm-10p::GFP
+ osm-10p::HtnQ150 + Dpy-20(+)]), and KP4 (glr-1(n2461)III). HA759
and HA659 transgenic animals express an N-terminal human huntingtin
fragment containing a polyglutamine tract of 150 residues (HtnQ150) in a
small subset of neurons, including the ASH sensory neurons (Faber et al.,
1999). The KP4 strain, which is defective in response to nose touch but not
osmotic repellents (Kaplan et al., 1995), was used as the negative control
for behavioral assays. All strains were ordered from the Caenorhabditis
Genetics Center.
Treatment
Worms were washed off plates with M9 buffer and either treated with
5mM arecoline hydrobromide, a muscarinic acetylcholine agonist
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(Cayman Chemical), 30mM exogenous choline, an acetylcholine precursor
(Sigma), 5mM pyridostigmine bromide, a cholinesterase inhibitor (Sigma),
or just the vehicle for 30 minutes prior to testing.
Behavioral Assays
Immediately after treatment, worms were assayed for quinine avoidance
and nose touch response. Previous studies have shown that the ASH
neuron is predominately responsible for both of these responses (Hillard
et al., 2004; Hart et al., 1999). Quinine avoidance was determined
according to the “smell-on-a-stick” method (Trommel et al., 1995). An
individual hair glued to the end of a Pasteur pipette was dipped in 10mM
quinine hydrochloride and presented in front of the worm’s nose. Time
to reverse was recorded, with a response time greater than 4s scored as a
negative response. The avoidance index for each treatment population was
calculated as the number of positive responses over the total number
of responses.
The nose touch response was measured as described in Hart et al,
1999. A horse-hair paintbrush was used as the source, with individual
fibers being measured to ensure highly similar thicknesses. Each animal
was subjected to ten trials and the percent response was recorded for each.
Dye-Filling
Health of the ASH sensory neurons was assessed through a dye-filling
assay. Worms were stained with the lipophilic vital dye DiI and viewed
under an epiflourescent microscope. ASH neurons were scored as either
present or absent. Due to the difficulties in dyeing animals, presence of
both ASI neurons was required for an ASH neuron to be scored as absent,
resulting in a ~50% underestimate of absent ASH neurons.
Measurement of Polyglutamine Aggregates
To measure Htn-Q150 aggregate formation in ASH neurons, animals were
fixed using paraformaldehyde and immunostaining experiments to detect
Htn-Q150 were performed using the protocol described (Faber et al., 1999).
Anti-huntingtin goat antiserum (N-18) was used as the primary antibody
(1:50 dilution)(sc-8767, Santa Cruz Biotechnology), and Texas Red-conjugated
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MODULATION OF ACETYLCHOLINE SIGNALING AND ITS
EFFECTS ON PROTEIN AGGREGATE CLEARANCE AND TOXICITY
IN A TRANSGENIC CAENORHABDITIS ELEGANS ASH NEURON
donkey anti-goat antibody was used as the secondary antibody (1:100
dilution)(sc-2783, Santa Cruz Biotechnology). The number of GFP-positive ASH
neurons that contained Htn-Q150 aggregates was determined.
Statistical Analysis
Nose touch and quinine aversion response data was analyzed using an
ANOVA with Tukey’s post hoc test to determine significant differences
between groups. Minitab© statistical software was used to perform
these tests.
Results
Pyridostigmine bromide partially rescues mechano- and chemosensation in
Htn-Q150 affected animals. Treatment with the acetylcholinesterase inhibitor
pyridostigmine bromide was shown to partially rescue the animals’ responses
to both the nose touch assay (28% rescue) and the quinine aversion assay
(51% rescue) (FIG. 1 and 2). Both N2 and KP4 animals showed correct
phenotypic responses for the nose touch assay (N2 greater than 90%, KP4
less than 10%), with HA659 and HA759 strains significantly outperforming
KP4 and underperforming N2 at both testing ages. No significant difference
was found between testing conditions on day 4 versus day 8. Treatment
with exogenous choline chloride significantly increased response to quinine
in day 8 HA759 animals, but statistical significance was not found in any
other treatment group. Results for quinine aversion were similar, although
treatment with the muscarinic acetylcholine receptor agonist arecoline
hydrobromide significantly reduced quinine aversion in day 8 HA659 animals.
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LESLIE NIX
figure 1. Summary of nose touch response. 10 trials per animal for 15 animals were
scoredpertreatmentgroup,unlessotherwisenoted.Statisticalsignificanceisdefinedas
p<.05 (A) Percent response for day 4 animals. (B) Percent response for day 8 animals.
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MODULATION OF ACETYLCHOLINE SIGNALING AND ITS
EFFECTS ON PROTEIN AGGREGATE CLEARANCE AND TOXICITY
IN A TRANSGENIC CAENORHABDITIS ELEGANS ASH NEURON
figure2. Summaryofquinineaversion.10trialsperanimalfor15animalswerescored
pertreatmentgroup,unlessotherwisenoted.Statisticalsignificanceisdefinedasp<.05
(A) Percent response for day 4 animals. (B) Percent response for day 8 animals.
*Resultsfromfluorescencetechniquesarestillbeinganalyzedatthetimeofwriting*
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Discussion
To address the hypothesis that increased cholinergic signaling decreases
protein aggregate toxicity, acetylcholine signaling was modulated by
introducing the precursor choline chloride, the muscarinic acetylcholine
recepteor agonist arecoline hydrobromide, and the cholinesterase inhibitor
pyridostigmine bromide. Significant improvement was only seen in
pyridostigmine bromide treatments, indicating plausible support for the
hypothesis. We believe the other treatment effects were possibly masked by
the activity of the endogenous cholinesterase, which degrades acetylcholine
at a rate of about 5,000 molecules per second, so that treatment effects can
only be seen when it is inhibited.
We are currently in the process of obtaining and analyzing the data
from the dye-filling assay and antibody staining. With this data, we hope
to determine whether these exogenous treatments are only palliative or
whether protein aggregates were reduced, possibly indicating increased
autophagy in the ASH neuron.
Future directions include testing the synergistic effects of
pyridostigmine bromide with other treatment options. Also, the causal link
between acetylcholine signaling and autophagy in this case must still be
established, which is the next course of action in this ongoing study.
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PELSER
Examination of the Role of
the Calcineurin OSM-9 in
Mediating Olfactory Adaption
to Isoamyl Alcohol in Caenorhabditis Elegans
ELIZABETH PELSER
Dr. Fidelma O’Leary
St. Edward’s Univeristy
Abstract
Olfaction is important to survival for many species—it directs
feeding, mating, and environmental interactions. Organisms such as
Caenorhabditis elegans rely heavily on olfactory responses as they lack
auditory and photoreceptors. C. elegans has just 32 pairs of chemosensory
neurons, but recent evidence suggests that some of these neurons modulate
their responses to odorants depending on environmental conditions, e.g.
feeding state (Bargmann 1997). OSM-9, a transient receptor vanilloid
protein, regulates the serotonergic circuitry C. elegans uses to sense
feeding states (Harris 2011). OSM-9 may be essential for adaptation to
the odorant isoamyl alcohol (Colbert 1995). This study further examined
the role of OSM-9 in mediating olfactory adaptation to isoamyl alcohol.
Olfactory adaptation assays were conducted using 3 strains: wildtype,
OSM-9 loss-of-function mutation (to demonstrate effects of complete
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ELIZABETH PELSER
loss of OSM-9’s effects in C. elegans) and AWA loss-of-function mutation
(lacking AWA chemosensory neurons used to weakly detect isoamyl
alcohol, thus confining OSM-9 function to the AWC neuron pair primarily
responsible for isoamyl alcohol detection). Olfactory adaptation assays
were conducted on all three strains (Bargmann 1991) and the chemotaxis
index (CI) for each was calculated. Adaptation produced statistically
significant decreased responses to isoamyl alcohol in all three strains:
wildtype CI decreased by 98%, osm-9 loss-of-function CI decreased by
71% and AWA loss-of-function CI decreased by 79%. These findings
suggest that adaptation to isoamyl alcohol does not require AWA neuron.
The results also suggest that OSM-9 is not crucial to isoamyl alcohol
adaptation and that an alternative mechanism may be employed.
Introduction
Of the five traditional senses, olfaction, the sense of smell, is the least well
understood. The process by which the brain translates sensory signals
into perceptions of smell is still unknown, though the mechanisms of
olfaction have been extensively mapped. Olfaction can be modeled easily
in Caenorhabditis elegans which are capable of rudimentary attraction
and repulsion to a variety of scents (Bargmann 1991) and can exhibit
adaptation to certain odorants. Chemosensory neurons in C. elegans detect
classes of odorants rather than specializing in the identification of single
chemicals. Bargmann, Hartwieg, and Horvitz (1993) identified the AWC
and AWA sensory neuron pairs as responsible for sensing volatile odorants
such as benzaldehyde and isoamyl alcohol. Using a series of laser ablations
they were able to identify specific odorants detected by single neuron
pairs; for example, butanone and benzaldehyde are detected by the AWC
neurons but not the AWA neurons. Laser ablation studies also revealed
that isoamyl alcohol is detected by both neurons—primarily through the
AWC but also weakly in the AWA. Isolation of new mutants of the odr
gene class enabled them to find the genes that encode responses to volatile
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EXAMINATION OF THE ROLE OF THE CALCINEURIN OSM-9 IN MEDIATING
OLFACTORY ADAPTION TO ISOAMYL ALCOHOL IN CAENORHABDITIS ELEGANS
odorants, though their mechanisms of action remained unknown at the
time. Bargmann and Colbert (1995) showed that olfactory adaptation is
its own discrete process marked by diminished chemotaxis and requiring
its own subset of cellular mechanisms. EGTA treatments demonstrated
that adaptation requires calcium that was subsequently implicated in the
cellular mechanisms of olfactory adaptation. Isolation and assay testing
of various mutants produced strains defective in chemotaxis to specific
odorants rather than entire classes suggesting a greater degree of olfactory
discrimination than first shown in the laser ablation tests. Another
olfactory response was discovered that showed a loss of discrimination—
cross-saturation. A saturating odorant is one present in sufficient quantities
to be detected without overwhelming the neuron and inducing adaptation.
In a saturating field of one odorant, C. elegans was unable to chemotax
towards a single point of a different odorant detected by the same neuron.
It did not seem to notice that the different odorant was present. This
phenomenon occurred only when C. elegans was well-fed; starvation
appeared to induce or enhance olfactory discrimination. The mechanisms
of this process are not well-understood.
Adaptation and memory retrieval are also dependent on environmental
cues as established by Colbert and Bargmann in 1997. Starvation prevented
the cross-saturation typically seen between certain odorants detected by
the same neuron. The effect of starvation was rescued by application of
exogenous serotonin that gives the animal the chemical cue of being well-fed
and suggests that chemical cues related to the feeding state modify cellular
mechanisms of adaptation in the sensory neurons.
Dissection of the exact cellular processes of olfaction and adaptation
revealed a complex system of chemical cues primarily dependent on calcium
influx. An increase in intracellular calcium promotes release of synaptic
vesicles without which there is no response to odorant detection. During
calcium influx AWC releases glutamate, an inhibitory neurotransmitter, to
its interneurons to maintain searching behavior (Chalasani, Chronis, et al.
2007). Interneuronal responses to glutamatergic signaling are dependent on
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ELIZABETH PELSER
the interneuron’s connectivity but also appear to rely on dynamic calcium
levels to produce the appropriate response. Lans, Rademakers, and Jansen
(2004) used imaging techniques to identify the proteins to which odorants
most likely bind. These proteins were found to be Gα subunits that dissociate
from G protein-coupled receptors upon odorant detection and carry out
independent functions in the cell. The Gα subunits can be either excitatory or
inhibitory, with the majority belonging to the gpa gene class. Dissociation of
G protein-coupled receptors with which Gα subunits are associated triggers a
downregulation of guanyl cyclase (L’Etoile and Bargmann 2000) that catalyzes
the reaction of GTP to cGMP. The lowered levels of cGMP then continue the
cell’s signaling cascade. In C. elegans guanyl cyclase is encoded by ODR-1, that
is widely expressed in odorant neurons and absolutely necessary for olfaction
and olfactory responses. ODR-1 expression has been implicated in odor
discrimination; but because of its widespread expression, it is difficult to study
in detail. Guanyl cyclase is also encoded by DAF-11 and carries out the same
functions. Expression of ODR-1 and DAF-11 are inhibited by odor sensation,
which over long periods of time can produce an adaptation response.
Long-term olfactory responses eventually trigger adaptation. Persistently
lower levels of cGMP in the cell facilitate the entry of EGL-4, a protein kinase,
into the nucleus (O’Halloran, Hamilton, et al. 2012). Nuclear entry of EGL4 is necessary for the adaptation response; production of C. elegans with
constitutively nuclear EGL-4 exhibit the diminished chemotaxis characteristic
of adaptation even when naïve to an odorant. Further studies have shown
that transient adaptation, which is marked by recovery from adaptation
after less than 2.5 hours, is converted into long-term olfactory adaptation by
nuclear entry of EGL-4 (Lee, O’Halloran, et al. 2009). Though guanyl cyclase
production is dependent on high levels of intracellular calcium, a decrease in
calcium levels does not directly affect the nuclear entry of EGL-4. Treatment
with EGTA, which blocks environmental calcium uptake by C. elegans, did not
affect EGL-4 localization and suggests that calcium acts either downstream
or parallel to EGL-4 during olfactory adaptation. The same study found that
nuclear entry of EGL-4 triggers the synthesis of polyunsaturated fatty acids
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EXAMINATION OF THE ROLE OF THE CALCINEURIN OSM-9 IN MEDIATING
OLFACTORY ADAPTION TO ISOAMYL ALCOHOL IN CAENORHABDITIS ELEGANS
(PUFAs) that appear to function downstream of EGL-4 to modulate olfactory
responses in certain neurons, especially in the OSM-9 protein.
OSM-9 is a protein that acts as a channel to enable calcium influx
during olfaction. Colbert, Smith, and Bargmann (1997) found that OSM-9 is
required for adaptation to certain odorants and not others, and is essential
to olfactory function in the AWA sensory neuron pair. Expressing a lossof-function mutation in OSM-9 can rescue aberrant behaviors caused by
mutant expression in other cation channels. TAX-6 secretes a calcineurin
that is used to negatively regulate olfactory adaptation (Kuhara, Inada, et al.
2002). Mutations in TAX-6 produce hyperadaptation to isoamyl alcohol, while
the loss-of-function mutation in OSM-9 produces defective adaptation to
isoamyl alcohol. This suggests that they share the same signaling pathway, or
communicate, during adaptation; and expression of both mutations shows
that the OSM-9 mutation completely suppresses the effects of the TAX-6
mutation. Following nuclear EGL-4 entry and PUFA synthesis, the PUFAs act
on OSM-9 to alter the signaling pathways dependent on OSM-9-mediated
calcium changes (Kahn-Kirby et al. 2004). The function of PUFAs is better
understood in the ASH sensory neuron that mediates several other sensory
inputs besides olfaction. However, Kahn-Kirby’s study of PUFA mutations
showed that PUFAs are necessary to modulate the function of OSM-9 during
olfaction. OSM-9 is classified as a TRPV—a transient receptor potential
vanilloid—and its functions extend far beyond olfactory responses. Because
OSM-9 is widely expressed in C. elegans, it is possible that the mutation
causing defective adaptation to isoamyl alcohol is acting on other OSM-9
proteins and altering their function. The chemosensory neuron ADF, which
provides the animal with information about its feeding state, uses OSM-9 to
regulate 5HT biosynthesis—the production of serotonin as a response to the
presence of food (Zhang et al. 2005). Zhang’s study, which used mutants to
infer the cell signaling pathway of the ADF, found that serotonin production
is dependent on a pathway initiated by OSM-9 and another TRPV, OCR-2. For
the purpose of this study, OSM-9 remains the primary focus due to its role in
chemosensation.
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ELIZABETH PELSER
Serotonergic signaling plays an essential role in C. elegans’ response to
odorants. Odorant responses often depend on the animal’s feeding state,
and without serotonin (and dopamine) signaling there is no information
about the feeding state. Alteration of serotonin production can
dramatically change C. elegans response to both attractive and repulsive
odorants, typically by diminishing the speed of response to each (Harris
et al. 2011). The serotonergic loop that modulates feeding state-based
olfactory responses also responds to insulin signals. A study conducted
by Chalasani et al. (2010) found that insulin signaling initiates from the
interneurons and can reach primary sensory neurons, suggesting a novel
feedback system that enables C. elegans to regulate its responses based on
memory. Further studies using mutations of the insulin-expressing genes
revealed that insulin plays a crucial role in C. elegans memory acquisition
and retrieval, especially during responses to benzaldehyde (Lin et al. 2010).
The pathway from serotonin to insulin and the implications of OSM-9
in serotonergic signaling are thus highly complex mechanisms mediating
relatively basic responses to odorants. Because C. elegans contains so
few neurons, the existing interneurons must mediate responses from
multiple sensory neurons, some of which vary widely in function. The
AIA interneuron, which receives input from AWC sensory neuron pairs,
uses guanyl cyclase to differentiate between inputs from various neurons
(Shinkai et al. 2011). Previous dissection of the sensory pathway revealed
that AIA signals to AIY and AIB, which receive input from the body during
starvation state (Kang and Avery 2009). The complex circuitry behind C.
elegans olfaction, memory and response suggests that the feeding state has
a profound effect on several neurons before behavior is directly observed.
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OLFACTORY ADAPTION TO ISOAMYL ALCOHOL IN CAENORHABDITIS ELEGANS
Methodology
The approach for finding the mechanism of starvation-induced olfactory
discrimination looked for correlations between genetic expression and
behavioral effects. The CX10 mutant strain has a loss-of-function mutation
in OSM-9; while the gene is expressed it is incapable of functioning. The
phenotype of this mutation is characterized by failure to adapt to isoamyl
alcohol, thus the strain will be used as a control for behavioral responses.
CX4, another mutant strain, experiences a loss of neuronal identity in the
AWA neurons, effectively removing the ability to detect odorants sensed
by the AWA. This strain is used as a neuronal control and accounts for
AWA’s detection of isoamyl alcohol. Use of this strain ensures detection and
adaptation exclusively in the AWC.
All populations were maintained on NGM (nematode growth
medium) plates, fed on a diet of Escherichia coli OP50 and incubated at
a temperature of 20°C for optimal growth. This protocol is in accordance
with the procedure created by Brenner in 1974.
In addition to isoamyl alcohol, benzaldehyde was selected as an
odorant to be used in adaptation assays. Both odorants are detected by
the AWC neurons, benzaldehyde exclusively so. Its use in these assays
controlled for effects specific to isoamyl alcohol adaptation and for effects
resulting from mutations. Exposure to either benzaldehyde or isoamyl
alcohol in their undiluted forms can have neurotoxic effects on C. elegans;
for this reason all odorants were diluted with ethanol. Benzaldehyde was
prepared in a 1:200 dilution and isoamyl alcohol in a 1:100 dilution. Pure
ethanol was used as a control odorant during testing.
To induce adaptation to an odorant, populations from three culture
plates were washed from their plates using M9 buffer and transferred to
a 10 mL conical tube. The tube was then centrifuged to produce a worm
pellet and the supernatant drained off to remove the bacterial food source;
this enabled starvation and also ensured that there would be no exposure
to odorants produced by the bacteria, which could potentially interfere
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ELIZABETH PELSER
with the study. The worm pellet was washed twice more in buffer and
then transferred to a fresh 3% agar plate, which is sufficiently thick to
prevent burrowing and ensure odorant exposure. All adaptation plates
were free of food so that cultures would be starved for 90 minutes. Prestarvation produces the appropriate adaptation response—the induction of
indifference in the absence of a food source— as seen by Bargmann (1995).
After 90 minutes, agar plugs on the lid of the plate were spread with either
3 μL benzaldehyde or 15 μL isoamyl alcohol. Populations were returned to
incubation for 2 hours to induce adaptation. After the adaptation period,
animals were washed once with M9 buffer and assayed for chemotaxis on
1.6% agar plates containing 1 μL of the same odorant/ethanol dilution
at one end and 1 μL ethanol at the other. 1 μL NaN3 was placed at each
odorant to anesthetize the worms and prevent further migration once
an odorant was chosen. Populations were pipetted into the middle of
the assay plate, slightly off-center so they could find the concentration
gradients on their own, and allowed to chemotax for one hour, after which
all living adult worms were counted and the chemotactic index calculated:
CI = (no. at attractant) – (no. at dilutant)/ total no. animals tested
Only adult worms were counted due to age-dependent improvement of
learning. Larval animals are characterized by novel-seeking behavior which
interferes with counting and calculation for adaptation. Worms that were
not moving and not in a region with NaN3 were tested for their response
to light touches with a platinum wire. Those that remained unresponsive
were considered dead or otherwise incapable and were not included in the
total count.
Results
Adaptation protocols were successfully performed on all strains with
statistically significant differences found to exist between the chemotaxis
indices of adapted and naïve populations in the N2 strain (Figure 1).
110
EXAMINATION OF THE ROLE OF THE CALCINEURIN OSM-9 IN MEDIATING
OLFACTORY ADAPTION TO ISOAMYL ALCOHOL IN CAENORHABDITIS ELEGANS
figure 1. N2 Adaptation to Benzaldehyde and Isoamyl Alcohol. Each data point
represents the average of 10 trials, with an average total n of 700-800 animals. P <
0.05 for differences between adapted and naïve populations responding to the same
odorant.
The average values for each index are not in accordance with standards
for olfactory adaptation, but the significant difference is nonetheless present.
Statistically significant differences between adapted and naïve chemotaxis
were also found in strains characterized by failure to adapt (Figure 2).
figure 2. CX10 Adaptation to Benzaldehyde and Isoamyl Alcohol. Each data point
represents the average of 10 trials, with an average total n of 400-600 animals. P
< 0.05 for differences between adapted and naïve populations responding to the
same odorant.
111
ELIZABETH PELSER
Use of the CX4 strain, which acted as a neuronal control for AWC
function, revealed similar differences between adapted and naïve exposure
(Figure 3).
figure 3. CX10 Adaptation to Benzaldehyde and Isoamyl Alcohol. Each data
point represents the average of 10 trials, with an average total n of 400-800
animals. P < 0.05 for differences between adapted and naïve populations
responding to the same odorant.
Discussion
No average chemotaxis index presented is in accordance with previous
literature; however, the significant differences found between adapted and
naïve populations indicate that adaptation was successfully induced. In
the case of N2 populations, benzaldehyde adaptation produced a negative
response normally indicative of aversion rather than indifference. The
exact cause is unknown, but may be a result of overexposure following
introduction of the odorant.
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EXAMINATION OF THE ROLE OF THE CALCINEURIN OSM-9 IN MEDIATING
OLFACTORY ADAPTION TO ISOAMYL ALCOHOL IN CAENORHABDITIS ELEGANS
Of further note is the CX10 strain that is normally characterized by
failure to adapt to isoamyl alcohol yet showed successful adaptation to the
odorant. It is possible that the lower n found in CX10 skewed the data;
CX10 populations in culture appeared to reproduce at a slower rate than
other strains. The data may suggest an alternative mechanism by which C.
elegans is capable of adapting to isoamyl alcohol possibly through the use
of an alternate intracellular signaling route to induce indifference to
an odorant.
CX4 showed normal adaptation to all odorants that indicates that the
AWA neuron pair does not influence adaptive responses to isoamyl alcohol.
This strain appeared to have numbers in accordance with the literature,
including the development of adaptation to benzaldehyde rather than
aversion. From the experiments conducted it can be concluded that loss
of AWA neuronal function does not inhibit adaptation to isoamyl alcohol,
and that the AWC neurons produce the adapted response to
this odorant.
OSM-9’s role as a calcineurin is indispensable to the function
of immediate odorant detection and response. Though it appears to
be unnecessary for adaptation to isoamyl alcohol, it may still play a
role in downgrading the response to odorants following prolonged
exposure. Further testing is to be conducted regarding OSM-9’s role
in other odorant-response behaviors, especially those occurring within
several minutes rather than an hour. It is possible that OSM-9 function
is time-dependent with prolonged odorant binding inducing a change
in cellular pathways that downregulates OSM-9 function to produce
adaptive responses. To determine OSM-9’s role in short-term responses,
behavioral assays will be coupled with tests to determine the genetic
basis of OSM-9 function. RNA extractions occurring at various stages of
starvation, short-term odorant exposure and adaptation will be used in
real-time PCR to quantify the expression of the osm-9 gene in different
conditions. Quantification of genetic expression may reveal transcriptional
113
ELIZABETH PELSER
upregulation or downregulation occurring following immediate odorant
exposure. Samples extracted after odorant adaptation may also reveal
whether or not nuclear EGL-4 entry and the subsequent synthesis of
PUFAs induce a transcriptional change in osm-9 expression as a means of
regulating its function.
References
Bargmann, C, Horvitz HR. Chemosensory neurons with overlapping functions direct chemotaxis to multiple chemicals in C. elegans. Neuron 1991; 7: 729-742
Bargmann C, Hartweig E, Horvitz HR. Odorant-selective genes and neurons mediate olfaction in C. elegans. Cell 1993; 74: 515-527
Bernhard N, van der Kooy D. A behavioral and genetic dissection of two forms of olfactory plasticity in Caenorhabditis elegans: adaptation and habituation. Learn Mem. 2000; 7: 199-212
Biron D, Wasserman S, Thomas JH, Samuel ADT, Sengupta P. An olfactory neuron responds
stochastically to temperature and modulates Caenorhabditis elegans thermotactic behavior. P Natl Acad Sci USA 2008; 105(31): 11002-11007
Chalasani SH, Chronis N, et al. Dissecting a circuit for olfactory behavior in Caenorhabditis elegans. Nature 2007; 450: 63-70
Chalasani SH, Kato S, Albrecht DR, Nakagawa T, Abbott LF, Bargmann CI. Neuropeptide
feedback modifies odor-evoked dynamics in Caenorhabditis elegans olfactory neurons. Nat Neurosci 2010; 13(5): 615-623
Colbert HA, Bargmann CI. Environmental signals modulate olfactory acuity, discrimination, and memory in Caenorhabditis elegans. Learn Mem. 1997; 4: 179-191
Colbert HA, Bargmann CI. Odorant-specific adaptation pathways generate olfactory plasticity in C. elegans. Neuron 1995; 14: 803-812
Ha H, Hendricks M, Shen Y, Gabel CV, Fang-Yen C, Qin Y, Colón-Ramos D, Shen K, Samuel
ADT, Zhang Y. Functional organization of a neural network for aversive olfactory learning in Caenorhabditis elegans. Neuron 2010; 68: 1173-1186
Harris G, et al. Dissecting the serotonergic food signal stimulating sensory-mediated aversive behavior in C. elegans. PLoS One 2011; 6(7): 1-9
Kahn-Kirby, A, et al. Specific polyunsaturated fatty acids drive TRVP-dependent sensory signaling in vivo. Cell 2004; 119: 889-900
Kang C, Avery L. Systemic regulation of starvation response in Caenorhabditis elegans. Genes Dev 2009; 23: 12-17
Kuhara A, Inada H, et al. Negative regulation and gain control of sensory neurons by the C. elegans calcineurin TAX-6. Neuron 2002; 33: 751-763
Lans H, Rademakers S, Jansen G. A network of stimulator and inhibitory Gα-subunits 114
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OLFACTORY ADAPTION TO ISOAMYL ALCOHOL IN CAENORHABDITIS ELEGANS
regulates olfaction in Caenorhabditis elegans. Genetics 2004; 167: 1677-1687
Lee JI, O’Halloran DM, Eastham-Anderson J, Juang BT, Kaye JA, Hamilton OS, Lesch B, Goga A, L’Etoile ND. Nuclear entry of a cGMP-dependent kinase converts transient into long-lasting olfactory adaptation. P Natl Acad Sci USA 2010; 107(13): 6016-6021
L’Etoile N, Bargmann C. Olfaction and odor discrimination are mediated by the C. elegans guanylyl cyclase ODR-1. Neuron 2000; 25: 575-586
Lin CHA et al. Insulin signaling plays a dual role in Caenorhabditis elegans memory acquisition and memory retrieval. Journ Neurosci 2010. 30(23): 8001-8011
Matsuki M, Kunitomo H, Iino Y. Goα regulates olfactory adaptation by antagonizing Gqα-
DAG signaling in Caenorhabditis elegans. P Natl Acad Sci USA 2006; 103(4): 1112-
1117
O’Halloran DM, Hamilton SO, et al. Changes in cGMP levels affect the localization of EGL-4
in AWC in Caenorhabditis elegans. PLoS One 2012; 7(2): 1-12
Remy J, Hobert O. An interneuronal chemoreceptor required for olfactory imprinting in C. elegans. Science 2005; 309: 787-790
Shinkai Y, et al. Behavioral choice between conflicting alternatives is regulated by a receptor
guanylyl cyclase, GCY-28, and a receptor tyrosine kinase, SCD-2, in AIA interneurons of Caenorhabditis elegans. Journ Neurosci 2011; 31(8): 3007-3015
Yamada K, Hirotsu T, et al. Olfactory plasticity is regulated by pheromonal signaling in Caenorhabditis elegans. Science 2010; 329: 1647-1650
Zhang Y, Lu H, Bargmann CI. Pathogenic bacteria induce aversive olfactory learning in Caenorhabditis elegans. Nature 2005; 438: 179-184
115
VALLE
Attempts at European
Unification: The Long View
ELVIA VALLE
Dr. Peter Austin
St. Edward’s Univeristy
Abstract
The idea of a single European state has bewitched Europeans from ancient
times to the 2lst century but has, nevertheless, been elusive or short-lived.
Even today, economic, financial and political difficulties in Europe have
caused many to question the vitality and long-term viability of Europe’s
latest consolidation attempt. European history from the formation of
the Roman Empire through developments in the twentieth century was
surveyed to identify broad patterns of unity and disunity in the region
over time. These patterns— so different from the smooth expansionist
experience of the United States— demonstrate that the achievement of
European unity throughout history is highly cyclical, often destructive,
and, above all, impermanent. This study places current problems of the
European Union into historical perspective.
116
Introduction
In 2010, Greece unveiled a series of austerity measures to help curb
a staggering deficit of over 300 billion euros. Around the same time,
concerns began to build about the deficits of other heavily indebted
countries in the Eurozone—namely Portugal, Ireland, Italy, and Spain.
Despite the implementation of heavy austerity measures in each of these
countries and a Greek bailout in 2011, the Eurozone jobless rate hit a new
high of 11.2% in April 2012. As of summer 2013 European leaders are
continually struggling to keep the European Union together in the face of
a financial crisis that threatened to split the partnerships produced over
half a century ago, as speculation about Greece’s exit of the Eurozone
continues.2 The economic fragility in Europe intersects with the question of
political unity, the focus of this paper.
The idea of a united Europe goes back thousands of years. Ever since
the fall of Rome, there has been a longing for the creation of some overarching political structure for Europe, a structure that appears several
times but only momentarily in history.3 By chronologically investigating
various visions of European unification from Ancient Rome to the
twentieth century, patterns concerning European unity appear. These
patterns demonstrate that the achievement of European unity throughout
history is highly cyclical, authoritative, and, above all, impermanent. This
paper hopes to put current problems of the European Union into historical
perspective.
At the dawn of the first century B.C., the world was ruled by Rome,
and the Roman Republic was in turmoil. The past years had been
turbulent; bitter civil wars threatened the stability of the government.
Consequently, the government evolved from a republic, in which members
of an oligarchy competed for power that was then shared by serving in
elected offices, to an empire in which one man, the emperor, held absolute
power. Roman government was thus transformed from having a legal
system that defined the rights of its citizens and subjects in a constitution,
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ELVIA VALLE
to an authoritarian system based on force. The person responsible for
strategically attaining this position was none other than Julius Caesar’s
heir, Octavian.4
Octavian rose to power in 27 B.C. and proceeded to destroy the Roman
Republic while seeming to preserve it. He skillfully shifted his stance of
ruthlessness to an appearance of a supporter of traditional Roman ways,
namely the Roman Republic, and the restorer of order.5 He neutralized all
of his political enemies in the Roman Senate and annihilated his military
rivals, making a successful challenge to his authority nearly impossible.6 He
continued to create an all-powerful position in Rome that was concurrently
invisible. Following his orders, the Senate gave him the title “Augustus,”
implying a god-like authority. Octavian, now Augustus, then “accepted” the
Senate’s plea for him to remain as consul. In 23 B.C, Augustus renounced
his post as consul and arranged for the Senate to grant him unprecedented
power, power disguised under Republican ploys. Through the powers
granted to him by the Senate, Augustus was able to legally intervene in all
government activities and military affairs by virtue of a “greater authority.” In
time, the Senate evolved from having autonomy, to simply being part of the
Empire’s larger bureaucratic machine.7
Under the imperial system established by Augustus, four main
responsibilities comprised the emperor’s role. First, the emperor was in
charge of both protecting and expanding imperial territories. Second,
the emperor had the responsibility of administering justice and laws
throughout his dominions. Third, the emperor served a religious role as
Pontifex Maximus, or High Priest, who oversaw the public worship of
Roman gods. Finally, the fourth role of the emperor was to serve as a
symbol of unity for all the peoples throughout his realm. The emperor
exemplified the empire and served as the central point around which all
life in the empire revolved.8
Certain Roman institutions, such as the army, epitomized the growth
of the Roman Empire from an assorted collection of conquered territories
to a highly organized state with a common culture. Army bases in the
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ATTEMPTS AT EUROPEAN UNIFICATION: THE LONG VIEW
furthest regions from Rome provided the first taste of Roman culture to
provincial peoples. Another significant Romanizing power of the imperial
era was Roman law. Roman citizens possessed legally-defined rights, which
included the guarantee of freedom from enslavement. The presence of legal
uniformity further strengthened provincial loyalty to Rome. In this way,
Roman law helped erode provincial allegiances and continued the process
of Romanization, tying the vast empire together.9
In matters of economics, Augustus was aware of state revenues and
expenditures as well as their effects on daily life. About 90% of the
population lived by farming slightly above subsistence level; the cities were
more prosperous. In addition, the empire relied heavily on taxing land,
houses, slaves and ships, along with a head tax, based on periodic censuses
in most areas. Beyond public revenues were the proceeds of the imperial
estates. Augustus dispensed to the public treasury, to the citizens of Rome
and to the military treasury for veterans a colossal sum of capital near
the end of his reign—all the result in part of the loot from the conquest
of Egypt and his inheritance from Caesar. This meant that Augustus had
enough money to finance an extensive building program that kept citizens
from expressing discontent with his authority.10
After Augustus’ death in A.D 14, a hereditary monarchy was
established that remained unchallenged until his last descendant, Nero,
committed suicide in A.D 68. To avoid a succession crisis, the Senate
chose Nerva (r. A.D 96-98), an elderly emperor with no son who adopted
experienced general Trajan (r. A.D 98-117) as his son and heir and thus
established an era during which Rome enjoyed proficient rule due to the
practice of adopting highly qualified successors.11
The Roman Empire was at its greatest size circa 115 under the
emperor Trajan (see map). Extending from the north of Britain to the
Euphrates River in modern Iraq, the Empire brought together many
distinct ethnic groups, all unified and influenced by Roman society.
Cities also helped spread Roman customs by imitating Roman styles of
architecture and Roman life. The Pax Romana inaugurated by Augustus
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ELVIA VALLE
in 27 B.C lasted for two centuries, promoting a high degree of cultural
uniformity within the empire’s boundaries, providing the foundation of
western civilization, as it is known today.12
Source: Levack, et al., The West: Encounters and Transformations, p. 133
The Pax Romana ended with an imperial murder in 180 that marked
the beginning of a turbulent century. In the years between 235 and 284,
the Roman Empire tottered under waves of political and economic chaos.
In 284, Diocletian rescued the empire from its frenzied condition. He
took the drastic step of dividing the administration of the empire into
two parts, signaling the division of the Roman Empire into Eastern and
Western halves (see map).13 In 286 Diocletian chose Maximian as coruler of the western half of the empire, the half that is the focus of this
analysis, while he continued to rule in the east. Based in Rome, Maximian
maintained his own army and separate administrative system. Diocletian’s
reforms stabilized and preserved the Roman Empire after the turbulent
third century. Additionally, the reforms established a new foundation for
life and governance for Europe under continued Roman dominance that
lasted until another emperor, Constantine made himself ruler in the west.
Constantine then coalesced the Western and Eastern halves of the empire
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ATTEMPTS AT EUROPEAN UNIFICATION: THE LONG VIEW
making himself its absolute ruler. As a result, both the divided rule of the
empire and the system of succession through co-emperors that Diocletian
put into practice ended.14
Unlike Diocletian, Constantine embraced the new religion of
Christianity. Constantine’s conversion led to the eventual Christianization
of the entire empire. Constantine encouraged widespread practice of the
new faith. Before Constantine, Christians practiced their faith privately in
their homes until he began to fund church buildings. Now tied to imperial
power, Christianity quickly gained strength across the empire and became
an effective challenge to traditional forms of religious expression.15
Simultaneously, due to its superior administrative structure, the
Church acted as a unifier as other aspects in the empire were in disarray.
An important person in Roman cities was the Christian bishop whose
main task was the to manage the religious life of his urban see or diocese
and the surrounding villages and farmlands. By 400, the bishop of Rome
came to be called the “pope,” or father of the other western bishops,
establishing the most important see in Western Europe. As Christianity
flourished it became more influential and acted to bind together Roman
lands. The Empire itself struggled against various fissiparous forces
including ill-advised imperial decisions, incapable leadership, a stifling
bureaucracy and military failure.16
Between the years of 376 and 476, Roman dominance in the
Mediterranean dwindled. By the late 460s, the more ambitious leaders of
outside groups, specifically Euric, king of the Visigoths, could see that the
Roman Empire no longer had the power to prevent him from establishing
an independent kingdom. This realization led to the rapid unraveling of
the last strands of the empire starting in 468. In 476 a Germanic general
Odovacar overthrew the emperor Romulus Augustulus signaling the
permanent disunity of the Roman Empire and the end of Europe’s first
grand attempt at unity.17
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ELVIA VALLE
Source: Levack, et al., The West, p. 19
After 476, Roman culture did not come to an abrupt end; it remained
a presence in most regions and took various forms in the lands now
ruled by Germanic leaders. Nevertheless, it took Western Europe a long
time to recover from the fall of Rome. Despite deep changes formed
by Christianity and the events of 476, the Roman Empire lived on at
the Byzantine Empire center of Constantinople, while the west reverted
to a dark and primitive state of nature. 18 In the early Middle Ages,
depopulation, deurbanization and barbarian invasions begun before the
fall of Rome continued apace. By the beginning of the sixth century, the
Western Empire had fragmented into a group of Germanic states.
At the beginning of the seventh century, Gaul was thoroughly
dominated by the Franks under the successors of Clovis, the founder of
the Christian Merovingian dynasty. However, by the end of the seventh
century, the Merovingians were bankrupt, and power had passed on to
another influential aristocratic, the Carolingians. Supported by a few
allied and related families, the Carolingians eliminated and integrated rival
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ATTEMPTS AT EUROPEAN UNIFICATION: THE LONG VIEW
aristocratic families until achieving supremacy in the Rhine River Valley.
Carolingians held the chief administrative office in the itinerant court of
the Rhenish lands of Austrasia and made the post hereditary. By the late
eighth century, Christian Carolingians came to be led by Charlemagne
who consolidated the lands we know today as France and Germany (see
map). Also known as the “King Father of Europe,” Charlemagne engaged
in constant warfare during his reign. He revived an interest in education
and reformed institutions uniting Western Europe under the umbrella of
Christianity.19
Source: Levack, et al., The West, p. 248.
On Christmas Day 800, in front of a large crowd at St. Peter’s Basilica,
the Pope directed a ceremony in which Charlemagne was crowned
emperor. Thus, Charlemagne became the first Roman emperor in the
west since the fifth century, and Europe was again unified politically,
linguistically and administratively, this time, under the banner of
Christianity.20 Accordingly, Charlemagne dealt with the conversion of
pagans in an uncompromising manner, and the task required a massive
effort in terms of missionary work and ecclesiastical organization. In
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reality, the campaign was a reign of terror in which the death penalty was
inflicted on anyone who refused baptism or continued to practice pagan
rituals in secret.21
Next, Charlemagne took measures for bureaucratic improvement. He
began a series of reforms on various institutions, the first of which was
standardizing the liturgy. Another such improvement was the correction
of the Bible. Consequently, under Charlemagne, interest in Greek and
Latin underwent a “rebirth” in what became known as the Carolingian
Renaissance. During this time, spoken Latin had already evolved into early
versions of the Romance languages of Spanish, Italian, Portuguese and
French. Concerned that the poor Latin of many clergymen may lead to the
misinterpretation of the Bible, Charlemagne ordered all prospective priests
to undergo a rigorous education.22
In matters of economics, one of Charlemagne’s constant concerns was
the standardization of the weights and measures used in the empire. The
standardization of weights and measures also included monetary reform.
The reform consisted chiefly in the introduction of the monometallic
system. From then on, silver coins were to be used in all business
transactions. Charlemagne thus gave his empire a uniform monetary
system, which as a result assured the quality of the currency and its
circulation everywhere.23
Lacking his personal skills, none of Charlemagne’s successors
were able to keep the empire from fragmentation and disorder. When
Charlemagne died in 814, the crown passed to his only surviving son,
Louis the Pious (r. 814-840). Louis’ most serious predicament became
dividing the empire among his three sons, as required by Frankish
inheritance laws. Disputes among the brothers led to civil war even before
their father’s death. Finally, after years of fighting, the three sons—Charles
the Bald, Lothair, and Louis the German—negotiated the Treaty of Verdun,
dividing the Frankish kingdom.24
In subsequent generations, the laws of inheritance created the further
fragmentation of the kingdoms. During the ninth and tenth centuries the
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ATTEMPTS AT EUROPEAN UNIFICATION: THE LONG VIEW
descendants of Charlemagne either died or lost control of their lands;
none were left after 987. Although the Carolingian Empire lasted only a
few generations, never before had Western Christendom come so close to
becoming a blatant theocracy. The coronation of Charlemagne gave the
Carolingian monarchy an almost priestly quality. The laws and regulations
of his reign, known as “capitularies,” concerned both ecclesiastical and
secular matters.25
Not only was inheritance a divider, the end of Charlemagne’s unity
came from outside attackers. Some of the attackers during the eighth to
eleventh centuries stole what they could from the Christian settlements of
the west and returned home. Others seized lands, settled, and established
new principalities. The main groups who took advantage of the weakness
of the Latin West most often during this period were the Magyars and
the Vikings. As a consequence to the frequent invasions of the ninth and
tenth centuries, people began to seek protection from local warlords who
assumed responsibilities once invested in royal authorities. The society of
warlords originated from Germanic military traditions in which a great
leader attracted followers who fought at his side. The relationship was
both egalitarian and voluntary. By the eighth century, the leader came
to be known as a lord who dominated others; his dependents became
known as vassals. This system of protection evolved into what we know
today as feudalism.26
The union of loyalty between lord and vassal was formalized by
oath. At the time when the unions of loyalty and support between lords
and vassals were the only form of protection from invaders, lordship
was a stronger social institution than the obligations of subjects to their
kings. Consequently, kingdoms of east and west Francia produced kings
that tried to develop the power of the monarchy and enhance the idea
of kingship. The monarchy experienced a victory with the reign of Otto
I (936-973).27 Although reminiscent of Charlemagne’s coronation in
800, Otto’s empire was vastly different from Charlemagne’s. The main
difference was that Otto and his successors had no jurisdiction over
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ELVIA VALLE
France or the rest of Christendom. The medieval Holy Roman Empire
was deeply rooted in Germany. As the core of the Latin West became
politically and economically stronger during the tenth and eleventh
centuries, Christians made coordinated attempts to convert invaders,
namely the polytheistic tribes of northern and eastern Europe. Through
conversion, Latin Christianity came to dominate northern Europe up to
the Russian border where Orthodox Christianity, which had been adopted
from Byzantium, resisted.28
In 1095, Pope Urban II (r. 1088-1099) made an appeal to the French
clergy proposing a “large armed pilgrimage” to Jerusalem where Muslims
were said to be persecuting Christians. Pope Urban’s call for a Crusade
gave powerful religious authorization to western Christian military
expeditions against Islam. Despite the capture of Jerusalem during the
First Crusade, Christians could not control the city very long. From 1095
until the thirteenth century, there were recurrent, large-scale Crusades as
Christian knights from the Latin West tried to take, retake and protect
Christian Jerusalem.29
At the same time, during the last half of the eleventh century under
a series of dynamic reformers, the papacy was able to firmly assert itself
as the head of the universal or Roman “Catholic” world. Among the
reformers that gathered in Rome was Hildebrand (ca. 1020-1085). From
1055 to 1073 during the terms of four popes, Hildebrand became the
power behind the throne, aiding to enact extensive reforms that forced the
uniformity of worship and established the rules for electing new popes by
the college of cardinals. Hildebrand was elected pope in 1073 and took the
name Gregory VII (r. 1073-1085).30
The most capable of medieval popes was Innocent III (r. 1198-1216).
To Innocent the pope was the overlord and moral guide of the Christian
community with authority over humanity. Innocent took it upon himself
to fulfill a series of tasks that would demonstrate the pope’s supremacy.
First, he provided the papacy with a strong territorial base of support
so that popes could act with the same will as kings and princes. Second,
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ATTEMPTS AT EUROPEAN UNIFICATION: THE LONG VIEW
he kept the Crusading ideal alive by calling the fourth Crusade. Third,
he asserted the power of the papacy in political affairs. In these ways,
Innocent brought the papacy to its closest approximation of a universal
Christian monarchy.31
After Innocent’s death in 1216, subsequent popes including Gregory
IX and Innocent IV became increasingly absorbed into competition with
the secular kings and princes of Europe. Slowly, the papacy lost its hold
on the hearts of Christians. As the papacy was becoming a great political
power, it was also acquiring a reputation for greed. At the same time,
England and France were evolving into centralized states. By the sixteenth
century, the dream of a European political and cultural unity was simply a
dream. Within the years of 1517 to 1521, a series of events brought about
the permanent end of the Christian Church’s supremacy in the west.32
Martin Luther, an Augustinian monk, began to question the true
nature of penance regarding the selling of indulgences. This question
became the center of the controversy that triggered the Protestant
Reformation. On October 31, 1517, Luther posted on the door of the
Castle Church of Wittenberg his Ninety-five Theses. It was a custom to
nail such documents on the door, which served as a bulletin board for
public events. This seemingly harmless deed sparked a revolution.33 Within
weeks, all the peoples of German lands were talking about what was
widely seen as an attack on the pope. As Martin Luther’s call for reform
was resisted by the Church, much of Germany, most of northern Europe
and Britain broke away from the Church in the movement that came to
be called the Protestant Reformation that remained the central focus of
European affairs from 1517 until 1560.34
In detail, the Protestant Reformation started to have a profound
political impact after 1530. It divided Europe into hostile religious sects,
each declaring the right to subject and convert the other. The division of
the Church into Catholic and Protestant camps, particularly in central
Europe, began to fall apart.35 In an effort to regain converts, the Catholic
Church launched a Counter Reformation with the inauguration of the
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Council of Trent in 1545. Nevertheless, the division between Protestants
and Catholics split the West into two individual cultures (see map). As a
result, the laborious unity of the West that had been achieved in Medieval
Europe through the expansion of Christianity ended. Throughout Europe,
countries officially became either Catholic or Protestant, which forced
obedience to the official faith through the police powers of the state.36
The Religious Peace of Augsburg of 1555 provided a solution to the
divisions produced by the Reformation. According to the principle of
cuius regio, eius religio,37 each prince in the Holy Roman Empire chose the
religion to be followed by his subjects (see map). Thus, the Christian unity
established during the Middle Ages became formally fragmented. After
1555, there existed in Europe a viable Christian alternative to Catholicism
as Protestantism was officially recognized as legal.
Source: Levack, et al., The West, p. 422
The amalgamation of religious, ideological, territorial and dynastic
conflicts led to the cataclysm of the Thirty Years’ War (1618-1648), during
which the political order of Europe collapsed. Nearly half the population
of Germany, where the majority of the action occurred, perished as a
result of the war. The fighting ended with the Peace of Westphalia in
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ATTEMPTS AT EUROPEAN UNIFICATION: THE LONG VIEW
1648, marking the emergence of the nation-state as a form of political
organization.38In response to the chaos that took place during the wars
of religion in the sixteenth century, European monarchies made efforts to
regain their absolutist power.
The most notable effort of the consolidation of power took place in
France. The first steps were taken during the reign of Henry IV (r. 15891610), a Huguenot who converted to Catholicism in 1594 and who ended
the Wars of Religion in France, by granting freedom of worship and full
civil rights to French Protestants through the Edict of Nantes (1598). This
decree brought internal religious peace to the kingdom, while the financial
and economic policies of Henry’s minister, the Duke of Sully, helped restore
the financial strength of the crown. Upon Henry’s death, the crown went
to his son, Louis XIII (r. 1610-1643). His regent, Cardinal Armand Jean
du Richelieu, became his chief minister in 1628. Upon his appointment,
Richelieu directed his energies in centralizing the French state in the person
of the king, thus laying the foundation for absolutism, a new type of
political organization. The term raison d’état, or national interest, first used
by Richelieu characterized diplomacy in the seventeenth century.39
Two fundamental political changes redefined Europe in the
seventeenth century. The first was the extraordinary growth of the state.
It was during this time that all European states grew in size and power.
The second change was the introduction of royal absolutism. All across
Europe, efforts were made to establish the monarch as a ruler with full
and unrivaled power. Although efforts achieved varying degrees of success
during this time, the absolutist state became the main form of government
in Europe.40
During the eighteenth century, a series of factors continuously
brought absolutism into question. First was the publication of countless
pamphlets written by Enlightenment thinkers promoting reform that led
to a critical attitude toward the French government.41 Second, conflicts
between the nobility and the monarchy led to the accusation of the crown
as autocratic. Last were a series of food shortages in the cities and the
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growing cost of bread due to prolonged periods of warfare with Great
Britain. All of these factors culminated into the storming of the Bastille
in 1789, signaling the beginning of the French Revolution. Immediately,
this event resulted in the destruction of royal absolutism and the drafting
of a constitution. A second more radical revolution began in 1792 that
abolished the monarchy and formed the French Republic.
By 1793, conflict between different political groups competing for
power led to the decapitation of King Louis XVI, signaling the start
of a Reign of Terror that ended with the execution of its main figure,
Robespierre. The years that followed saw a series of efforts to destroy all
vestiges of the Old Regime, including the enactment of a new calendar
and revolutionary culture that made the upheaval a part of everyday
consciousness until a coup d’état in 1799. In November of that year,
Napoleon Bonaparte ended the revolution and marked the beginning of a
period of authoritarian rule. He controlled the French government for the
next fifteen years.42
Using the army as his main political tool, Napoleon exploited the need
for a strong leader and acquired the position of first consul in 1799. Three
years later he became consul for life and in 1804, he crowned himself
emperor of France. During Napoleon’s rule the legislature, senate and
Tribunate, all of which had been instituted during the Consulate, were
curtailed to performing ceremonial functions. Once Napoleon gained
effective control of France, he set out to strengthen the state by making it
more efficient, organized and powerful. Everything he accomplished was
done with the intention of making the state an effective instrument of
social and political control.43
The purpose of Napoleon’s efforts of state centralization was to
mobilize France for military conquests and create a Europe-wide French
Empire. As part of the effort, Napoleon formally dissolved the Holy
Roman Empire in 1806 and replaced it with a loose association of German
states known as the Confederation of the Rhine. In 1808, Napoleon
invaded and occupied the kingdom of Spain in an effort to crush Portugal,
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ATTEMPTS AT EUROPEAN UNIFICATION: THE LONG VIEW
Britain’s ally. By 1809, France either directly or indirectly controlled the
Dutch Republic, the Austrian Netherlands, Italy, Spain and sizable parts of
Poland and Germany.
Conscript armies and ideological fervor propelled French armies
across Europe on behalf of universal principles of liberty, equality
and fraternity. Under Napoleon, they came within a hairsbreadth of
establishing a European commonwealth centered on France.44
Napoleon managed the vast empire (see map) through a series
of policies, such as strategic alliances and the appointment of friends
and family members as rulers. In matters of foreign affairs, Napoleon
implemented the so-called Continental System, a blockade meant to keep
British goods out of Europe; in turn, it intended for French commerce and
industry to fill the resultant gap. However, an economic crisis hit in 1810
that led many to believe that the limits of the empire were causing more
harm than good. Napoleon went on his last offensive that same year.45
Source: Levack, et al., The West, p. 635
In 1812, Napoleon decided to invade Russia that led to his defeat,
abdication and exile to the island of Elba in 1814. After the final defeat of
Napoleon and exile to St. Helena, the Congress of Vienna met and worked
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out a settlement to preserve the balance of power in 1815; this included
decreasing French borders to their 1790 status, the acquisition of lands in
western and northeastern Italy by Austria, the establishment of the Kingdom
of the Netherlands and the formation of the German Confederation (see
map). Thus, the Congress of Vienna inaugurated a period in European history
in which European states began to look inwards, strengthening themselves
instead of engaging in warfare.46
Source: Levack, et al., The West, p. 638
The period of general peace that followed the Congress of Vienna
was briefly interrupted by a wave of domestic political revolutions
throughout Europe between 1848 and 1849. Although the revolutions
failed, established governments responded by strengthening their power.
Just decades later, most of Italy unified under a single monarch in 1861,
followed by the coming-together of German-speaking lands (excluding
Austria) in 1871, marking the climax of political consolidation in Europe
begun in the sixteenth century. In addition, France’s defeat by Germany in
1871 resulted in the seeking of allies for a future war of revenge by France.
Aware that Germany would lose in a general European war, German
chancellor Otto von Bismark instead sought to maintain peace through a
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ATTEMPTS AT EUROPEAN UNIFICATION: THE LONG VIEW
pact between Germany, the Austro-Hungarian Empire, Russia and Italy
(see map).47
Source: Levack, et al., The West, p. 780.
After 1897, Germany moved from a policy of domestic unification and
economic growth to European and global plans, an ambition that other
European powers could not tolerate. Alarmed by Germany’s growing military
and economic power, Britain broke its policy of neutrality toward Europe
by signing agreements with France and Russia, thus forming the “Triple
Entente.” The alliance between the Austro-Hungarian Empire, Germany and
Italy became known as the “Triple Alliance.” These alliances on June 28, 1914,
were put to the test when the heir to the thrones of Austria and Hungary was
killed, and one month later the First World War began.48
Germany had one main goal throughout the war: achieving security by
weakening the countries on the eastern and western fronts. This required
two things. First, Germany sought to eliminate France as a power and
integrate it with Belgium, Holland and Luxembourg into a Mitteleuropa,
an economic system dominated by German interests. Second, Germany
had to drive Russia further east and weaken the state by separating out
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“non-Russian peoples.”49 The plan failed. Germany lost the war when the
Entente, supported by the United States, drove German forces back to the
frontier. In response, revolutions broke out that caused the emperors of
Germany and Austria-Hungary to abdicate.50
The harsh condition of the Peace of Versailles (see map) contributed
to the Great Depression of the 1930s. These conditions allowed for a
World War I veteran, Adolf Hitler, to gain popular support. Due to the
fragility of the Weimar Republic, Hitler became the official Führer, or
leader, of Germany in 1933. Quickly, Hitler assumed emergency powers,
enabling him to transform Germany into a totalitarian state. Not long
after, Hitler’s government began assuming arms and expanding. By
destabilizing European security, Germany launched Europe into yet
another war in 1939.51
Hitler’s foreign policy was two-fold. The first part was to place all of
Europe under German control and to remove Jews from the lands he
conquered. Publicly, Hitler sought to give Germany equal status among other
major powers.52 By the summer of 1942 (see map), apart from a few neutral
countries, the Nazi empire stretched from the Pyrenees to the Caucasus
Source: Levack, et al., The West, p. 857
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ATTEMPTS AT EUROPEAN UNIFICATION: THE LONG VIEW
Mountains. In Norway, Holland, and Denmark, Germany tried to rule through
administrative devices already in place. Military governments ran Belgium
and northern France, since they were in the front lines against Britain. The rest
of France was run from Vichy by its own quasi-Fascist leadership. In 1945, the
Soviet, American and British armies invaded Germany from the east and west
devastating all resistance and forcing the surrender of the German armed
forces.53
The war had lasting political effects. With the rise of the Soviet Union,
Europe was divided into eastern and western halves, a split not seen since
the days of Diocletian. Western Europe was mostly democratic, whereas
Eastern Europe was run by communist dictatorships established by the
Soviet Union. The division between both parts of Europe went through
Germany and separated others such as Austria and Hungary. This division
soon became physically fortified, as communist regimes sought to keep
their people from escaping to the West. This lead the East to be identified
as the “Iron Curtain,” a term first used by British Prime Minister Winston
Churchill in 1946.54
The United States, Britain, and the Soviet Union met for the last time
at Potsdam, Germany in July 1945 to decide what to do about the future
of the world. At the time, countries in Western Europe faced the threats
of civil war and Soviet attack to support a communist bid for power as
Europe came to be divided ideologically in a Cold War (see map). This
made economic recovery crucial to Western Europe if it was going to ward
off Soviet military aggression and involved close collaboration between
German chancellor Konrad Adenauer and French president Charles de
Gaulle. Their partnership became the alliance of broader collaboration in
Europe. First, in October they signed the General Agreement on Tariffs
and Trade (GATT) to remove restrictions on free trade. Then, in 1948 the
American Marshall Plan came into effect, providing financial aid to all
West European governments.55
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Source: Levack et al., The West, p. 887
In early 1948, Great Britain, the United States, France and the Benelux
countries agreed to allow West Germany to form a democratic, federal
government. A new government, the Federal Republic of Germany,
emerged in 1949 with Bonn as its capital. That same year, the United
States, Canada, Britain, France and the Benelux countries invited Italy,
Portugal, Denmark, Norway and Iceland to join a proposed western
defense pact, the North Atlantic Treaty Organization.56
In 1950, a plan for the unification of Western Europe through the
collaboration of French and German coal and steel resources in a common
market was put into action. The European Coal and Steel Community was
subsequently established in 1951. During the 1950s, NATO, the ECSC and
the Federal Republic of Germany became the three pillars of economic
growth and stability in western Europe. Moreover, in 1952 the nations
participating in the ESCS decided that the European Defense Community
(EDC) could be formed in light of communist threat. However, France
rejected the EDC. Instead, in 1955 ECSC foreign ministers accepted a
six-point proposal for further integration of member countries’ economies
that included a common market for goods and services. These actions
culminated in the Rome Treaty of 1957 that established the European
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ATTEMPTS AT EUROPEAN UNIFICATION: THE LONG VIEW
Economic Community (EEC) and the European Community for Atomic
Energy (Euratom).57
In 1965, the ECSC, the EEC and Euratom were consolidated into a
single administrative entity governed by a council of ministers that had
a cabinet member from each country. During the 1970s and 1980s, the
EEC expanded, adding Great Britain, Ireland, Denmark, Spain, Greece,
and Portugal. The oil shock of 1973 added new urgency to efforts aimed
at integration. The world-wide recession that followed the increase in oil
prices imposed by the Organization of Petroleum Exporting Countries
(OPEC) threatened to weaken the social welfare regimes put in place by
Western European countries. The Thatcher-Reagan economic revolution
that characterized the 1980s, with its emphasis on the deregulation of
government-owned businesses and the further liberalization of global
trade, put additional pressure on the European Community. It became
clear that further integration was the practical means for member
countries to remain afloat in times of economic downturn.58
The Single European Act (SEA) of 1987 brought member states even
closer to union, while subtly eroding the national sovereignty of individual
states. Among its many provisions was the addition of new powers to
the European Parliament; the Parliament was to be consulted before
the implementation of new legislation by the European Community. In
addition, the Parliament was also given veto power on the admittance of
new states and on agreements made with states outside the community.
Furthermore, the idea of “Exclusive Community Competence,” was
established that impeded member states from acting alone in many critical
areas that had formerly been in the power of national governments,
including economic and monetary union, social cohesion, research and
technology development and environmental policies.59
The fall of the Berlin Wall and the collapse of the Soviet Union
between 1989 and 1991 forced the community to revise its mission. With
the Cold War over, Europe had to turn its attention to the prospects of a
reunited Germany and an integrated Europe. The Maastricht Treaty of
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1992 transformed the European Economic Community into the European
Union. The new European Union was to be built upon three pillars. First
was the introduction of a single EU currency—the euro—by January
1, 1999. Second, member states agreed to extend intergovernmental
cooperation to include a Common Foreign and Security Policy (CFSP).
Finally, regulations governing Justice and Home Affairs (JHA) were
established. They included: granting common rights to all EU citizens,
increasing police cooperation among states, and standardizing immigration
and asylum policies. Together with subsequent treaties, the Maastricht
Treaty has been revised several times to facilitate integration. Since the
1950s, the EU has grown from six member states to 27 (see map) with
others seeking to join in the future.60
Through this brief historical overview, this paper will now discuss
the broad patterns that appear throughout European history. Most
predominant are the cyclical patterns of unity and disunity, authoritarian
regimes and impermanence.
Source: eucountrylist.com.
The patterns of unity and fracture are seen throughout the different
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ATTEMPTS AT EUROPEAN UNIFICATION: THE LONG VIEW
characterizing periods of European history. The cycle begins with the
Roman Empire; the first time the European world was unified as never
before. The empire depended on common cultural values that affected
all citizens within its borders. Many of these values were defined in the
universal laws that protected citizens. Another cultural value was the
veneration of the emperor. The Latin language was a unifier of the Roman
Empire as it was a means by which Roman citizens came to distinguish
themselves from outside “barbaric” peoples, as well as its use in education,
which in turn provided status in Roman society.
In many ways, the Roman Empire functioned as a country with a
common bureaucracy, currency, military and a defined border. Governors
in the many regions across the Roman Empire made sure that citizens
paid taxes; they administered justice and oversaw the transfer of local
goods back to the imperial city of Rome. Common currency circulated
within the empire. The military was the driving force behind expansion
and Romanization; it was charged with the task of protecting the empire’s
borders. In many ways, the daunting tasks for keeping the empire unified
brought about Diocletian’s reforms.
By deciding to split the empire in half, Diocletian formally admitted
that controlling an empire so vast was simply too much for one person—
the emperor—to handle. Although both halves were administered in the
same ways as the empire had been as a whole, the Diocletian split was a
foreshadowing of the events that soon followed. Once the Western Roman
Empire fell in 476, the unity achieved by the empire came to an official
end. Christianity became its lasting legacy.
Christianity characterized the West during the Middle Ages; in many
ways it came to symbolize Western culture. Religion became the driving
force behind the unity forged by Charlemagne. His armies converted
conquered peoples, and churches were in charge of the administration.
Charlemagne standardized weights, measures and currency within his
empire whose borders did not go past non-Christian lands. Although
Charlemagne’s Christian Empire became politically fragmented between
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his grandsons after his death, popes still maintained the Church’s
supremacy until it came into question due to the Protestant Reformation in
the sixteenth century.
The Reformation caused yet another split in Europe. For the first
time, the Catholic Church ceased to be the epitome of European unity.
Instead, kings and princes won the long-standing struggle with the Church
for supremacy, also gaining the authority to decide the religion of their
individual kingdoms. Accordingly, different parts of Europe began to
resemble modern states, notably France and Britain. Eager to gain all
possible authority in these lands, namely in France, monarchs claimed
absolutist powers, powers that came into question and then culminated in
the French Revolution at the end of the eighteenth century, which ended
with a coup d’état staged by Napoleon.
The French Empire created by Napoleon launched Europe into yet
another version of European unity that had not been seen since the Middle
Ages under the Christian umbrella. The French Empire of the nineteenth
century encompassed much of modern Europe. Napoleon created lasting
institutions that became the foundation for the administration of modern
states. They included codifying law, defined borders, a large military
and a common market. The French Empire was formally split due to the
Congress of Vienna in 1815 when European states agreed to maintain a
balance of power that would keep any one state from achieving a feat like
Napoleon’s. States instead turned to themselves, focusing on individual
unity (evident with Germany and Italy) and forging alliances with other
nations for inevitable war.
The twentieth century is characterized by the world wars or
Germany’s attempt to create a united Europe. Although both attempts
failed, under Hitler most of Europe was either directly or indirectly
controlled by Germany before its defeat ended the dream of a universal
German Reich. Almost immediately after the end of the Second World
War, although Europe was fragmented into east and west, those same
ideologies characterized their unity. Eastern Europe was united under
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ATTEMPTS AT EUROPEAN UNIFICATION: THE LONG VIEW
communism, while the west remained democratic united against the threat
of communism and the common goal of integration. Once the Berlin Wall
came down in 1989, Western Europe wasted no time in extending the
possibility of integration to its eastern European neighbors. Thus, the cycle
begun with the unity of the Roman Empire is currently characterized by
the European Union. But in contrast to the EU, the overview of European
unity reveals that historically, Europe has only been united under
authoritarian regimes in which subject people had little to no political
power. Moreover, history reveals that European unity does not tend to last.
These observations beg the question: what does this all mean for
the EU? Predictions are difficult. As has already become apparent, the
European Union is the first time Europe has been united democratically
and without force. Functioning in many ways like the United States,
the EU has a common currency, passports and administration while
member states still enjoy a high degree of national sovereignty. Since the
implementation of the Maastricht Treaty in 1993, member states have
enjoyed many benefits including becoming important players on the
global stage as part of the EU. Yet, currently, the viability of the union is
often in question as member states, notably Greece and Spain—and more
recently Italy, are struggling to remain economically afloat. It is interesting
as Americans to note the different patterns between the development of
the United States of America and the many attempts written about in this
paper of the continent to become a “United States of Europe.” Why is it
that European unity continually comes into question, but the same does
not occur in the United States under similar circumstances? Although
these problems stem from many factors, one cannot help but wonder if
this is due to the fact that Europe’s historic unifiers—authoritative rulers,
common language, common religion—are not in place. Only time will tell.
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Endnotes
1
“Timeline: The Unfolding Eurozone Crisis,” BBC News: Business, accessed June 13, 2012.
2
Bryony Jones, “Why is unity so important to Europe?” CNN, accessed June 25, 2012.
3
“The History of an Idea.” The Economist, December 30, 2003.
4
Brian Levack, et al., The West: Encounters and Transformations, Second ed. (New York:
Pearson Longman, 2007) 132.
5
Starr, Roman Empire, 11.
6
Levack et al., The West, 132.
7
Levack, et al., The West, 133-139.
8
Levack, et al., The West, 135-136.
9
Levack, et al., The West, 149.
10
Starr, The Roman Empire, 25-79.
11
Levack, et al., The West, 134.
12
Levack, et al., The West, 141-165.
13
Peter Heather, The Fall of the Roman Empire: A History of Rome and the Barbarians,
(Oxford: Oxford University Press, 2006), 25.
14
Levack, et al., The West, 175.
15
Levack, et al., The West, 176.
16
Levack, et al., The West, 191.
17
Levack, et al., The West, 192.
18
Joseph R. Strayer, Western Europe in the Middle Ages: A Short Story, (New York:
HarperCollins Publishers, 1982), 31.
19
Levack, et al., The West, 247
20
Levack, et al., The West, 249.
21
Alessandro Barbero, Charlemagne: Father of a Continent, trans. Allan Cameron, (Berkely:
22
University of California Press, 2000), 242-243.
Levack, et al., The West, 250-251.
23
Barbero, Charlemagne, 297.
24
Levack, et al., The West, 252.
25
Hollister, Medieval Europe, 100.
26
Levack, et al., The West, 255.
27
Otto “the Great,” achieved three main goals during his reign. First, he defended Germany
against Hungarian invasions. Second, he recovered royal lands and powers within
reining tribal duchies. Third, he extended royal German control to the unstable Middle
Kingdom established by the Treaty of Verdun. Shortly after his victory with the
Hungarians, Otto turned his attention to a crisis in Italy. A Lombard magnate had seized
the Italian throne and was harassing the pope. Responding to a papal appeal, Otto went
to Italy and recovered the Italian throne. In 962, the pope crowned Otto “Roman
Emperor,” marking the beginning of the medieval Holy Roman Empire.
28
Levack, et al., The West, 260.
29
Edward, Peters, Europe and the Middle Ages, 2nd ed., (Englewood Cliffs, NJ: Prentice-Hall
142
ATTEMPTS AT EUROPEAN UNIFICATION: THE LONG VIEW
Inc., 1989), 180.
30
Levack, et al., The West, 281.
31
Levack, et al., The West, 283-284.
32
Steven Ozment, The Age of Reform: 1250-1550, (New Haven, Ct: Yale University Press,
33
1980), 204.
Lewis W. Spitz, The Protestant Reformation: 1517-1559, (Saint Louis, Mo: Concordia
Publishing House, 2001), 74-75.
34
Levack, et al., The West, 409.
35
E. Gene Frankland, Global Studies: Europe, (New York: McGraw-Hill, 2009), 6.
36
Levack, et al., The West, 410
37
He who rules determines the religion of the land.
38
Frankland, Europe, 7; Levack, et al., The West, 477.
39
Levack, et al., The West, 481.
40
Levack, et al., The West, 509.
41
The Enlightenment was a cultural movement of intellectuals in 18th century, whose
purpose was to reform society and advance knowledge.
42
Levack, et al., The West, 627-628.
43
Levack, et al., The West, 628-630.
44
Henry Kissinger, Diplomacy, (New York: Simon & Schuster, 1994), 74.
45
Michael Broers, Europe Under Napoleon 1799-1815, (New York: Hodder Headline Group,
1996), 223-230.
46
Levack, et al., The West, 632-639.
47
Frankland, Europe, 7-8.
48
Frankland, Europe, 8.
49
Fritz Fischer, From Kaiserreich to Third Reich: Elements of Continuity in German History
1871-1945, trans. Roger Fletcher, (Winchester, MA: Allen & Unwin, 1986), 56-60.
50
Frankland, Europe, 8.
51
Frankland, Europe, 8-12.
52
Frankland, Europe, 12.
53
David G. Williamson, Germany Since 1815, (New York: Palgrave Macmillan, 2005), 253.
54
Frankland, Europe, 14.
55
Frankland, Europe, 14-15.
56
Frankland, Europe, 16.
57
Frankland, Europe, 18.
58
Jeremy Rifkin, The European Dream: How Europe’s Vision of the Future is Quietly
Eclipsing the American Dream, (New York: Penguin Group Inc., 2004), 205.
59
Rifkin, European Dream, 205.
60
Frankland, Europe, 26; Rifkin, European Dream, 207.
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