A Sociological Critique of Consumption

 

A Sociological Critique of Consumption

Shelby Wilhelm

Capstone

Carroll University

Abstract

Operating under and implementing the theoretical frameworks of neoliberalism and the Treadmill of Production (ToP) theory, this paper will unveil what embodies and defines consumer culture in the United States as well as what permits and perpetuates consumer behavior. Consumer behavior today was established over time due to a host of institutions and their development. This paper will examine specifically how advertising, the media and the fashion industry encourage the continuation of elaborate and excessive consumption in the United States. Through the implementation of the work of Karl Marx and Thorstein Veblen and their respective concepts of commodity fetishism, ideology or false consciousness and conspicuous consumption, this paper will argue that consumers buy because they seek to fulfill a sense of pleasure or connectedness as well as to craft their ideal version of self and to convey their superior status and power. This paper will provide a critique on the impact of consumption on the environment, suggesting that the status quo of consumption simply is not viable.

 

Humans need to consume to survive. It is a matter of fact, both biologically and psychologically, that humans need to consume, at least to a degree, for survival. Psychologically, Abraham Maslow proposed a hierarchy of needs which include physiological, safety, social, esteem and self-actualization needs (Eisenberg, 2009; Csikszentmihalyi, 2000; http://www.simplypsychology.org/maslow.html). Physiological needs are of primary importance for functioning as a human being and require people to purchase or consume food, water, shelter and clothing. The progression of needs also forces people to attain security, social relationships and consume additional goods and services. Maslow’s hierarchy was expanded to include three additional stages, most importantly of which the addition of aesthetic needs or a search for beauty, which too undoubtedly demands consumption (http://www.simplypsychology.org/maslow.html).

Social theorist Karl Marx suggests that humans are distinguishable within the animal kingdom from any other species because humans are the only species that not only have the capability of, but also enact the alteration of nature (Seidman, 2013). In some instances, what once qualified as a need, such as clothing, has been elaborately reinvented to allow for abundancy of choices and to sky-rocket prices. On the contrary, what are foolishly excessive wants to many, and even most, have become every day needs for some. The respective definitions of needs and wants have become entirely subjective to the extent that they are sometimes used interchangeably. Objectively, however, both are dictated by economic resources and the ability to buy, including even the most basic of needs. However, this has not always been the case.

Between wants and needs, people in the United States spent $11,044,057 trillion on household consumption expenditures in 2014, an increase of 4.2 percent from 2013 (http://www.bea.gov/newsreleases/regional/pce/2015/pdf/pce1215.pdf). Comparatively, people in the United States spend between three and four times more than people in any other country, most closely followed by China, at $3,954,283 trillion (http://data.worldbank.org/indicator/NE.CON.PRVT.CD/countries/1W?display=default). Excessive consumption translates to excessive resource extraction and excessive waste, all of which contribute to the current environmental state of degradation and destruction. All things considered, why do people continue to consume in such excessive quantities at such rapid speeds?

Through content analysis and the implementation of neoliberalism and the Treadmill of Production theory (ToP) as theoretical frameworks, this paper will address the looming question of what stimulates consumption. The literature review will elaborate on examinations and explanations of consumer behavior from Karl Marx, Zygmunt Bauman, Colin Campbell, Mary Douglas and Baron Isherwood, Luigi Zoja and Grant McCracken, Daniel Miller, Jean Baudrillard, Thorstein Veblen and Pierre Bourdieu. Thereafter, the history and development of consumption will be explored, as well as how institutions influence and socialize people to buy into the system, followed by more elaborate integration of concepts from Karl Marx and Thorstein Veblen. Lastly, consumption will be critiqued as a social and environmental problem.

Research Question and Hypothesis

This paper seeks to address the question, “What drives consumption and consumer behavior in the United States in the 21st century?” The primary hypothesis for this paper is that consumers buy not only because social institutions instill a sense of need rather than want, but also because consumers seek to fulfill a sense of pleasure as well as to craft their ideal version of self and to convey their superior status and power.

A sociological analysis of consumption patterns and trends is necessary given the lack of research on the topic, at least within the discipline of sociology, as well as the impact on the environment. Well known social theorists, such as Marx and Veblen have posited strong explanations for consumer behavior and implications thereof, yet there has been little to no integration of approaches. Furthermore, a select number of environmental sociologists, Kenneth Alan Gould, David Pellow and Allan Schnaiberg, have focused their works on consumption, but once again there lacks an integrative and comprehensive critique of consumption as a social problem. Taken together, consumption has been understudied from a sociological approach, despite the very real and profound influence on the environment, as well as society as a whole. It is the hope that the findings of this research not only shed light on the false consciousness, commodity fetishism and conspicuous consumption that drive consumer behavior, but also to create societal and behavioral changes that dictate current production and consumption patterns.

Methodology

Content analysis will be implemented as the method of research for this critique of consumption. This research method was chosen given the number of strengths it offers for a topic of this nature. Content analysis allows for a breadth of sources and information to be considered. More precisely, the inclusion of historical data and the documented development and growth of consumption as well as influencing agents and factors enriches the depth of the research. Additionally, content analysis greatly enhances the analysis of the intentions and impact of media, advertising and fashion as influencing institutions on consumer behavior.

Content analysis will be implemented in partnership with neoliberalism and the ToP as theoretical frameworks to critique consumption. Economic neoliberalism gained popularity in the 1970s as economic policy principled on a free-market economy with privatization, minimal governmental regulation and the dissolution of public interest with the goal of accumulating as much capital as possible (Martinez and Garcia, http://www.corpwatch.org/article.php?id=376 ). Consequently, great promotion of individualism and freedom of choice flooded mainstream American culture. The Treadmill of Production Theory (ToP) was developed by Allan Schaniberg in 1980 to explain the radical changes to the system of production that were creating booming environmental destruction from 1945-1980 (Gould, Pellow and Schnaiberg, 2008). Schnaiberg and colleagues dispelled unfounded myths and excuses of population growth and “runaway technology” as the causal means of the environmental downturn. Instead, they argued that following World War II, the desires to increase capital and expand investments unequivocally forced the increased consumption of natural resources, pointing the finger straightaway at capitalism and neoliberalism. Corporations are continuously placing exceedingly exponential demands on the environment at the current rate of operation which has and continues to far surpass the finite capacity of the planet. The perpetuation of both states of being, neoliberalism and Treadmill of Production, not only creates, but maintains the role of the consumer in advancing economic, environmental and social problems.

Literature Review

Sociologist George Ritzer defines America as a society of hyper-consumption because Americans consume more, at a higher degree, than essentially anywhere else in the world (Perez and Esposito, 2010). Within academia, consumption has been defined and explained metaphorically in a variety of different ways, often depending on time, place and discipline of the theorist. Herbert Marcuse conceptualizes consumption as an addiction in which once people enter the vicious cycle driven by desire, they feel compelled to continue, falling even further into the grasp of capitalism and overconsumption (Perez and Esposito, 2010; Sassatelli, 2007). Despite the fact that happiness and consumption share no direct correlation, the attitude and addiction behind it does not seem to be ceasing, let alone lessening. Alan Durning suggests that consumption is relative to one’s surroundings of time and place and that it needs only to be an excess of those measures, while Julet Schor defends the theory that consumption is dictated by competition and “being the best” (Perez and Esposito, 2010). On the other hand, Frank Trentmann discusses the label of consumer as a “master category of collective and individual identity” (Lury, 2011, 9). Other popular interpretations of consumer behavior originate from Marx, Bauman, Campbell, Douglas and Isherwood, Zoja and McCracken, Miller, Baudrillard, Veblen and Bourdieu.

Karl Marx, a well-known social theorist, focused his work on illuminating the contradictions of capitalism and the human connection to the economic system (Allan, 2011; Corrigan, 1997; Seidman, 2013). Marx contended that human nature and societal development were directly and inexplicably predicated by economics, and more specifically the process of production and consumption. He also contended that capitalism created an ideology or false consciousness that blinded humans to the dangers of capitalism, which they were continually contributing to by participating in the very system detrimental to themselves. Again, as the necessity of capitalism is constant growth, Marx explored commodification. He claimed that “commodification translates all human activity and relations into objects that can be bought and sold” (Allan, 2011, 112).

Similarly, Polish sociologist Zygmunt Bauman too asserted that individuals created social relationships and their connectedness within society through consumption or their identity as a consumer (Bauman, 2002; Patterson, 2008). “To consume . . . means to invest in one’s own social membership, which in a society of consumers translates as ‘saleability’: obtaining qualities for which there is already a market demand” (Patterson, 2008, 469). Moreover, Bauman suggests that the act of consuming grants people a sense of control and security because they can make a simple exchange of money for ownership (Jacobsen and Poder, 2016). Additionally, consumption demands repetitive purchasing to replace outdated and no longer interesting objects with new and trendy items. Together Marx and Bauman focus on the necessity of accumulation and overproduction within capitalism, but also how strongly peoples’ sense of self, being and existence are dependent upon their identity as a consumer, and secondarily as a producer within the very same system.

Colin Campbell similarly echoed the notion that consumption was interwoven with human existence, but did so from a lens of Romanticism in which Campbell explained the ethic associated with consumption (Corrigan, 1997; Sassatelli, 2007). Campbell linked Romanticism and consumption together through the commonality or central object of both, the self. Romanticism shifted thinking around improvement and individualism as that which could or should be fulfilled through new and various types of gratification, hence consumption. However, Campbell also differentiated necessity from luxury, noting luxuries as “the way to pleasure rather than mere comfort” (Corrigan, 1997, 15). As such, consumers seek pleasure in their experiences, and in contrast to traditional times, expect pleasure not only in the form of emotion, but also in every experience as opposed to once in a while. Likewise to Bauman, Campbell came to the conclusion that consumption was a method of control, the emotion consumers were after when buying.

On the contrary, Mary Douglas and Baron Isherwood evaluated consumption and argued its purpose was two-fold, to establish and preserve social relationships and social connectedness and to distinguish “visible and stable cultural categories” (Corrigan, 1997, 18) . Douglas and Isherwood approached consumption from an anthropological standpoint by focusing on social meaning and the conveyance of culture and agreement through material goods (Douglas and Isherwood, 2002). For example, buying products for home decoration or gift giving demonstrated what an individual valued, believed to be beautiful, important or luxurious. Commodities, Douglas and Isherwood claimed, should be viewed as a “nonverbal medium for the human creative faculty” (Douglas and Isherwood, 2002, 71). A common critique of Douglas and Isherwood is the absence of the influence of media, advertisements and institutions within the discourse around determining meaning of objects (Lury, 2011). Instead, Douglas and Isherwood contended that individuals had the freedom to define meaning.

Although also implementing an anthropological lens on consumption, Luigi Zoja viewed consumption as “the primary ritual of modern society”. While this was an extension of Douglas and Isherwood, Zoja did not explicitly focus on the ability to define meaning, an important distinction between the two (Perez and Esposito, 2010, 85). Zoja and Douglas and Isherwood both emphasized the importance and prevalence of ritual in society as a means of communicating meaning that stabilizes social relationships, connectedness and inclusion (Corrigan, 1997; Douglas and Isherwood, 2002; Lury, 2011). Grant McCracken further clarified and identified three types of rituals present within a material society, possession, gift giving and divestment or investment rituals (Lury, 2011). Simplified here, the possession ritual is defined as collecting goods which exhibits control of a highly desirable product or idea. Gift giving or the transfer of goods effectively equates to the transfer of a feeling or emotion. Divestment and investment are respective processes in which a consumer attempts to establish new ownership and control over something previously owned or attempts to disassociate with an object they intend to part with in order to avoid losing any part or sense of self upon its getting rid of.

Daniel Miller too approached consumption from an anthropological vantage point, yet did so by describing five ways in which material goods were embedded within social relationships (Lury, 2011). Miller contests that the five ways in which goods impact relationships are through function, the self, space, time and style. The functionality of objects is essentially the purpose they serve to fulfill or assist in an action. The self or individual identity is constructed of objects that are used to express gender, interests and style. Space is valued due to either the value of the creation or manifestation location, while time can convey newness, oldness or a label as an up and coming style or something antique or vintage. Objects are stylized by being compared and contrasted in a similar time and space by similar levels of analysis. Miller specifically emphasizes style because of its inherent ability in the modern world to provide relatability and define identity.

While many view consumption from an individual, interactionist perspective, Jean Baudrillard takes a systematic, macro-level approach in which he argues that humans have individual agency stripped from them, and instead that the system of production, as referred to frequently by Marx, creates the system of needs (Corrigan, 1997; Kellner, 1989; Sassatelli, 2007). However, dissimilarly to Marx, Baudrillard shifts attention away from production of individual items, and instead focuses attention on the sense of need that humans then experience. This need that exists in a consumer society is one that, contrary to some arguments, is not innate, as if it were, it would not continually grow. Baudrillard suggests that the sense of need or want is a broad sense of need not directly or explicitly attached to a singular object or type of object. As such, the desire that exists is not motivated by pleasure, as proposed by Campbell, but as a means to sustain capitalism. Yet, as Douglas and Isherwood maintained, Baudrillard too sold the notion of objects or goods fulfilling a role of communication between individuals, but also as a means of enacting culture. One of the greatest differences in Baudrillard’s perspective on consumption is that rather than serving as a performance of freedom and individual choice, he counters that the act of consumption and role of the consumer is exploited and dictated by the system of capitalism, similar to Marx’s belief of production (Corrigan, 1997).

Nearly one hundred years prior, one of the first works on consumption, was Veblen’s Theory of the Leisure Class, written in 1899 (Corrigan, 1997, Sassatelli, 2007, Veblen, 1934). Veblen focused on status defined by class and wealth and its function in society. He maintained that behavioral demonstration and enactment were necessary to convey one’s wealth, so others would be aware of their status and could thereby admire and treat their superiors with due respect and esteem. Veblen distinguished two primary methods of conveying wealth and status, conspicuous leisure and conspicuous consumption (Veblen, 1934).While conspicuous leisure uses time to convey wealth and status, conspicuous consumption utilizes goods. Abstaining from labor associated with production constituted leisurely activity. Instead, the wealthy were intended to commit their energy to exuding proper etiquette of a superior class, for example through language. Moreover, the notion of wealth could be furthered by the acquisition of hired help or servants (Corrigan, 1997). Conspicuous consumption on the other hand, referred to the consumption of goods beyond the level necessary for survival, even if that meant becoming an alcoholic. Contrarily, Pierre Bourdieu focused his work on achieving a non-monetary form of currency or distinction through cultural capital.

Bourdieu believed cultural capital was a different, but complementary, form of capital to financial capital that was rooted in educational attainment, so more advanced education was indicative of higher status (Corrigan, 1997; Sassatelli, 2007; Zukin and Smith Maguire, 2004). Bourdieu organized four combined levels of cultural capital and financial capital in which the people who resided in each category enacted and abided by a certain culture. Bourdieu believed that “each act of consumption reproduces social difference” (Corrigan, 1997, 28). Consumption was indicative of status whether it was to benefit and indicate someone was a member of a wealthy, educated class or serve to disadvantage someone by making apparent that they belonged to a lower class. Objects were organized in a hierarchy so differentiation in class was easily deciphered. However, objects also needed to be fluid and redefined as objects became more easily attainable for individuals outside of the upper class to conform to or enact, a concept easily demonstrated by fashion.

Even considering the massive offerings to explain consumption, there lacks any integrative approach that addresses environmental impact in conjunction with the aforementioned social thinkers. This paper intends to close that gap and offer a much needed comprehensive explanation for consumption so the excessive, over-the-top behavior can be modified.

Consumption

Annual retail sales for 2014 surpassed five trillion dollars according to the United States Census Bureau, and consumer spending is said to account for over two-thirds of national economic growth (http://www.census.gov/retail/index.html; Zukin, 2009). It is no surprise then that

“shopping shapes our daily paths through space and time; major purchases…mark ritual stages in our life. We separate ourselves from others by deciding where to shop and what to buy…shopping is both a tedious chore and moral preoccupation” (Zukin, 2009, 2). “shopping is how we satisfy our need to socialize – to feel like we are a part of social life” (Zukin, 2009, 7). “shopping is a way of pursuing value” (Zukin, 2009, 8). “shopping is a complex system for integrating people into the world of goods” (Zukin, 2009, 13).

 

Sharon Zukin offers a wide array of explanations and descriptions of the role, purpose and placement of shopping within American society. Shopping is, of course, the act or activity one engages in whenever consumption occurs, yet shopping can also exist free from consumption. Consumption is the act of purchasing a material good or service, but for the purpose of this paper, consumption will be used to more commonly refer to goods. Goods then are conceptualized as groceries, clothing, vehicles, home décor, music, arts, electronics and anything that comprises the “stuff” of life.

What compels the extreme consumption of the American people?  Utilizing neoliberalism and the Treadmill of Production theory (ToP) as theoretical frameworks, this research seeks to address and provide a compelling answer to that very question. Neoliberalism and ToP were selected because they encapsulate what motivates consumption as well as frame it as a social problem. A review of the history of consumption, from the rise of department stores to the availability of credit cards, will elaborate on the evolution of platforms and a society that promotes and caters to constant and abundant consumption. Secondly, influential institutions, in particular advertising and the media, as well as the fashion industry, will be discussed in regards to their respective contributions to creating and maintaining a consumer culture. Lastly, the works and claims of Karl Marx and Thorstein Veblen will be explored and integrated to provide a comprehensive explanation for why Americans have bought their way to being a consumer culture. Together, this paper intends to demonstrate that the co-existence of capitalism and neoliberalism function as an ideology or religion that has created and sustains the addiction to consumption that is inseparable from the collective narrative and defines the collective identity of the United States. In the 21st century, consumption has come to revolve around the self, others and the interaction(s) between the two, such as identity development and distinction or separation from others. The capitalist and neoliberal ideologies generate a false consciousness which clouds judgment and the ability for people to conceive of human existence divergent from current practice.

Theoretical Frameworks

Treadmill of Production Theory

            Allan Schnaiberg coined the Treadmill of Production theory (ToP) in the 1980s. Schnaiberg explained the treadmill as resulting from the interaction of two processes, advancements in technology and keeping up with sufficient economic support for the exponentially increasing population (Schnaiberg and Gould, 1994). Schnaiberg claimed that the only way for corporations to continue to exist, if not be successful, in such a competitive market was to meet the demand for constant growth and expansion to generate wealth. The other five key tenets of the ToP are the

“…movement of workers into wage jobs contingent on continual expansion of production…competitive struggle between businesses necessitates…allocation of accumulated wealth to new, revolutionary technologies that serve to expand production…wants are manufactured in a manner that creates an insatiable hunger for more…government becomes…responsible for promoting national economic development while ensuring some degree of ‘social security’…dominant means of communication and education are part of the treadmill” (Foster, 2005, 8).

 

While the government could be facilitating and acting in the best interests of and to serve the people, government officials and lawmakers are by no means impartial or bias-free in the process. Economic neoliberalism removed any substantial protection or regulation to keep either the environment or worker protected. Neoliberalism took capitalism to new heights as a faulty system deeply engrained in mainstream US society that has and continues to demonstrate a strong negative correlational relationship with environmental degradation (Schnaiberg and Gould, 1994; Gould, Pellow and Schnaiberg, 2008). The most pressing issue, as also suggested by Marx, is overproduction. The focus of ToP is primarily on production and secondarily on consumption because it is the corporations and big businesses that hold the decision-making power in resource removal and allocation (Gould et al., 2008). Capitalism operates on overproduction, and as such, the ownership for the respective environmental impact falls on the industry. Gould et al. (2008) goes so far as to suggest that consumers have “no power to determine market processes” (21). However, media and advertising, as well as the responsive consumption, prompt parallel responsibility and blame on to the consumer. Simply put, businesses would not produce a commodity if there was not a market for it.

Neoliberalism

In the 1930s, the United States embodied Keynesian economics, promoting spending since that would help the United States recuperate from the economic downturn of the Great Depression (Zukin, 2009). There was tremendous influx of goods, which were primarily consumed by the government and military forces during World War II. However, postwar, the responsibility to keep the economy afloat shifted to the consumer. The emergence of dedicated space and business for entertainment as pastimes meant consumers had more accessible and affordable leisure items. As globalization transplanted jobs overseas, more and more jobs became service and administrative focused, as opposed to factory work, again stressing the importance of consumption as individuals’ role and duty within the economic system.

Economic neoliberalism, referred to as an updated or modernized version of liberal economics or Reaganomics, developed to allow for extreme capital accumulation with minimal government interference. Economic neoliberalism and the ToP emerged practically simultaneously, and rather organically, with neoliberalism as the cause and ToP as the effect. Neoliberalism exists as an extension of capitalism in which lesser governmental intervention and restriction allows for greater freedom and control in the hands of few, the rich.

History of Consumption

 

Industrialization redefined virtually every facet of society including the household, workplace, transportation, communication and beyond. Industrialization as well as urban development and the evolving roles of women in the public sphere incited the construction, and thereby widespread growth and presence, of department stores from 1850-1890 (Benson, 1986). Prior to the expansion of department stores, shopping existed in a dichotomy of both location and goods, either as a rural general store or a high-end specialty store in the downtown of a city (Benson, 1986; Zukin, 2009). Department stores offered everything one could ever need, and more, all in the convenience of one location. To boot, stores added other conveniences to meet food and beverage needs and wants, which resulted in charging for the item in public versus the comparatively cheaper version of item in one’s own house. In addition, this would commonly cause customers to spend extended periods of time in stores and thus increase the size of purchases. Furthermore, lounge furniture, sales associates and music were also added to the environment to enhance customers’ experiences by creating a leisurely space separate from reality.

Department stores revolutionized shopping by offering a greater array of goods and variety of types or brands of individual goods, complimented by the freedom to look without any obligation of buying, the establishment of a formalized one-price, bargaining free system as well as the opportunity for returns if a customer was unsatisfied (Benson, 1986). Previously, it was common to acquire and exchange goods based on a bartering system, free from money. Yet even when a common currency was established and mandated, pricing was generally negotiated. Both the one-price system and obligation-free shopping were practical and intentional practices that were implemented to ensure that a consistent profit would be made on the same product regardless of employee involvement, as well as to allow for, or secretly encourage, impulse buying. The establishment of department stores resulted in competition between stores, the opportunity to compare prices by viewing the same items at multiple stores, servicing a consumption-centered broader audience or consumer base as a result of increased accessibility for transportation, space for females in public and a commodified middle-class (Corrigan, 1997).

Stores and owners prided themselves on remaining up-to-date, if not ahead of the curve, on up and coming fashions and trends (Benson, 1986). However, in order to make that a financially feasible process, stores were required to get “old” items out of the store, even if it meant losing money or breaking even. As a result, department stores fashioned clearance mark-downs and occasional holiday or end-of-the-year sales in order to bring new and fresh goods to the shelves. Department stores catered toward “want buying” in addition to or in place of “need buying” still present today.

At a bare minimum, shopping offered an outlet for gathering and socializing free from everyday reality. Stores provided “brightness and change to many who at other times pass their days in the dull monotony of a struggle to live” (Benson, 1986, 17). Stores offered an equitable scenery and environment, separate from the outside world, in which all could at least look and be in the presence of, if not immersed in, a space seemingly removed from everyday life.

The introduction of credit cards in the 1960s into the system of monetary exchange drastically broadened the possibilities for consumption. There was no longer forced cash exchange for ownership. Customers could shop without experiencing a feeling of losing something or handing over anything significant by instead swiping a plastic card. Although credit cards act somewhat similarly to cash, the meaning of cash translates differently when having to count dollar bills versus effortlessly sliding a card. Credit cards gifted customers, or so it seemed, the ability to charge fees to an abstract world which could quickly swell to an abundance of debt. Consumers began purchasing larger, high-ticket items without knowing when or how to pay them off. They experienced the bliss of instant gratification without having to supply concrete payment in the moment.

Online shopping also transformed the shopping experience. Consuming became more accessible and more thoughtless than ever before as consumers were permitted the ability to purchase from the comfort of one’s home, the library or workplace. Continued technological advancement also granted the ability to purchase from one’s cellphone as many became equipped with the capacity for wireless connection, essentially expanding the buying location to wherever one desired.

Institutions

 

Advertising and The Media

 

            Schnaiberg and Gould (1994) contend, in a very sociological approach that “major institutions of modern society are ‘addicted’ to economic growth and treadmill expansion” (92). Regarding consumption, and aside from economics, the most influential institutions are advertising and the media and the fashion industry. Advertising is the “activity of explicitly paying for media space or time in order to direct favorable attention to certain goods or services” (Turow and McAllister, 2009, 2). Advertisements inherently rely on an ideology or doctrine of consumption by targeting an audience, selling a commodity and persuading the behavior of consumers. Some researchers go so far as to say that advertisements condition a psychological response in the minds of consumers as was demonstrated by the work of Ivan Pavlov (Berger, 2011).

In the 1920s, the media and advertisers forged paths together, and advertisements comprised nearly two-thirds of the income for newspapers and magazines (Leiss et al., 2005). Their integration redefined what advertising could be and how it could impress upon consumers the need to consume the best goods and services. Beginning in the 1920s as well, advertising sold a new notion of satisfaction in which ads played to consumers vulnerabilities of desire and emotion. Advertisers paid greater attention to and intentionally placed advertisements in a particular space or setting with cultural implications. The emotions of ads distracted, as they continue to today, from rationality and reason in the decision-making process (Berger, 2011). This movement facilitated, at least in part, the transition to a consumer culture and society (Leiss et al., 2005). Demonstration of success, satisfaction and fulfillment shifted the focus of advertising from the product to the consumer in the advertisement. When consumers buy, they do so at least partially because of the misguided sense of satisfaction or emotional gain witnessed by consumers who own or experience a commodity.

Media provided an ease in reaching much larger audiences as well as heightened the frequency in which advertisers could do so. Then, in the 1960s, a boom in branding and labeling drastically restructured advertising, buying and selling (Zukin, 2009). Brands performed as means to “satisfy our cravings for individual identity, social status and a sense of membership in a national culture” (Zukin, 2009, 15). The structure and format directly corresponded with purpose of advertisements in terms of catering to wants versus needs. Over the 1900s, advertisement format shifted from “product-information format to product-image format to personalized format to lifestyle format to accommodate just those things: information for utility, symbolism for personal use, personalization for gratification and lifestyle for social context” (Leiss et al., 2005, 201). Growth of advertising during the 20th century brought about changes still apparent today, most profoundly that it “promises to remedy a ‘lack’ in the consumer that advertising itself has created: it is not the product but the person who is inadequate…turns the ‘self’ into a ‘commodity self’ and matches goods to persons” (Corrigan, 1997, 74).

Modern advertising involves six elements, five of which are crucial for defining the modern age: over the top language to embellish a commodity, the role of governmental regulation and allowance, abundance of advertisements in time and space, transition from informational, text-heavy advertisements to visual imagery and the addition of people to sell products (in essence, walking and talking advertisements). America has become a true consumer society, not to be mistaken as a materialistic society, in part thanks to how advertisements market commodities. If indeed the US were a materialistic society, consumers would be satisfied with what Raymond Williams deems use-value. (Turow and McAllister, 2009) Advertisements instead sell an emotion, experience and an obscured sense of control and agency within a system to make choices and construct life.

Fashion

 

Fashion is but one selling point to advertisements, while also being its very own industry, and one with far-reaching and impressive influence. Fashion does not explicitly refer to clothing, although clothing is most referred to within the conversation of fashion. Fashion acts as a means of communication on both an individual level as well as within the collective. Clothing conveys identity and presents personal style while also placing individuals and groups of people within the context of surroundings and expectations of society. The social world grants artifacts and commodities meaning and power, so much so that Alison Lurie claims clothing is essentially a visual language (Davis, 1994, 3). Historically, clothing was, or could be, indicative of not only socioeconomic status, but also occupation or religious affiliation. Davis contends fashion functions to clarify an ambivalence and ambiguity of identities, “youth versus age, masculinity versus femininity, androgyny versus singularity…work versus play…conformity versus rebellion” (Crane, 2000, 13).

People commonly, although not necessarily consciously, buy into the ideology of fashion as well by suggesting that certain clothing exudes confidence or allows them to present their “self” in heightened and various manners around certain people and in various environments as needed or desired. Thompson and Haytko maintain that fashion allows consumers to “forge self-defining social distinctions and boundaries, to construct narratives of personal history, to interpret the interpersonal dynamics of their social spheres, to understand their relationship to consumer culture, … and to transform and…contest conventional social categories, particularly having strong gender associations” (Crane, 2000, 13).

Why Consumption?

 

What truly compels the excessive consumption of the American people? Why do consumers continue with such behaviors despite awareness of manipulative means such as advertisements? Karl Marx and Thorstein Veblen offer two convincing arguments that when considered independently fail to account for all aspects of the obsession called consumption. However, when the two are considered in a complementary fashion, they provide a comprehensive explanation for the addictive behavior. Marx contends that capitalism is the ideology of those who live in or under a capitalist society (Allan, 2011; Seidman, 2013). People are so blindly focused on consumption and capitalism as a way of life that they cannot possibly fathom anything beyond it. Consumers’ judgments and perspectives are extremely narrow-minded as if they have blinders on that obfuscate the possibility of any alternative existence of capitalism or other economic system. Similar to religion as described by Durkheim, capitalism is the broad overarching church so to speak, the believers and followers are the people of the United States, the sacred object is money, beliefs range from sales being good, to high-end items conveying status or worth and practices of gift-giving, ritual shopping, impulse buying and excessive consumption (A. Routhe, personal communication, February 17, 2016). Melford Spiro too discusses ideology within the context of religion and highlights five ways in which one can “learn” an ideology or way of knowing, each of which transcends the next, strengthening the belief and heightening the impact from learning, understanding, believing, organizing around and internalizing (Turow and McAllister, 2009).

The way in which Marx conceived of capitalism and human nature was inherently different from other sociologists. Marx claimed the economy was the principal way humans survived, connected and existed (Allan, 2011; Seidman, 2013). As an economic system, capitalism exists only because of alienation. The two simply can’t exist separately, at least not for capitalism to continue. Capitalism revolves around private property for one, but also alienation or separation from the product, the work process, others and one’s self. Marx suggests that the greater the alienation, the greater the distortion of false consciousness. As human’s species being is to produce and engage in economic activity, the alienation of capitalism leads consumers left searching for connection to other things and people. Capitalism as a system creates commodities and relies on commodities to continue to exist, thus it commodifies virtually everything to gain profit and allow for more investment. “It is, however, just this ultimate money-form of the world of commodities that actually conceals, instead of disclosing, the social character of private labour, and the social relations between the individual producers” (Marx, 1967, 76).

Commodity fetishism explains that false consciousness drives never-ending consumption in an empty attempt to fulfill desires of happiness, success, freedom, control, comfort and connectedness. Marx explains that

“…the productions of the human brain appear as independent beings endowed with life, and entering into relation both with one another and the human race. So it is in the world of commodities with the products of men’s hands. This I call Fetishism which attaches itself to the products of labour, so soon as they are produced as commodities, and which is therefore inseparable from the production of commodities” (1967, 72).

 

Because consumers cannot separate themselves from their economic system rooted in consumption, they buy products to demonstrate and enact a role they falsely believe grants them power. Commodification occurs on a constant basis everywhere and of everything in any time and space.

“A commodity is therefore a mysterious thing, simply because in it the social character of men’s labour appears to them as an objective character stamped upon the product of that labour; because the relation of the producers to the sum total of their own labour is presented to them as a social relation, existing not between themselves, but between the products of their labour. This is the reason why the products of labour become commodities, social things whose qualities are at the same time perceptible and imperceptible by the sense” (Marx, 1967, 72).

 

Beyond that, consumption and forced engagement in capitalism consume a great portion of peoples’ lives, not to mention their very human nature per Marx’s suggestion. As such, being a consumer is often viewed as a consistently defining individual and collective characteristic of identity.

While excessive consumption without a doubt places American consumers in a singular category, consumption behaviors as explained by Veblen demonstrate attempts to distinguish and set apart from others. Within the social world of a capitalist society, money often determines social status. However, Veblen did not believe wealth in it of itself to be sufficient (1934). Rather, Veblen perceived wealth to be essentially pointless if one fails to “act rich” because the social prestige associated with wealth is only achieved if one enacts and displays their riches (Corrigan, 1997). Originally, Veblen conceived of both conspicuous leisure and conspicuous consumption simultaneously. However, each is intended to explain existence and behavior in different times, places and systems. Conspicuous consumption is more prevalent in capitalistic societies whereas conspicuous leisure is more commonly employed in feudal systems. Despite the different terminology, both share the objective of displaying one’s economic superiority. Conspicuous consumption is said to be paramount to leisure because it allows one to parade their wealth amongst all of society, whereas leisure is restricted to those who are also within an exclusionary, private space, such as a club or household. “The consumption of luxuries, in the true sense, is a consumption directed to the comfort of the consumer himself, and is, therefore, a mark of the master” (Veblen, 1934, 72). Barbara Kruger, an American artist, conceptualized Veblen’s notion of conspicuous consumption perfectly with her work, “I shop, therefore I am” (Zukin, 2009, 17).

When consumption is the primary source of distinction, as is suggested by the Veblenian perspective, fashion dominates as the method of demonstrating one’s wealth (Corrigan, 1997).

“…expenditure on dress has this advantage over most other methods, that our apparel is always in evidence and affords an indication of our pecuniary standing to all observers at the first glance. It is also true that admitted expenditure for display is more obviously present, and is, perhaps, more universally practised in the matter of dress than in any other line of consumption” (Veblen, 1934, 167).

 

To further support this claim, Veblen explains that conspicuous consumption is wasteful and only individuals with the financial means to constantly replace and update commodities are able to do so, which is why fashion changes so frequently. The wealthier one is, the more they can consume in a manner detached from subsistence. Moreover, Veblen proposed that beauty was defined both by cost and/or wastefulness. “In order to be reputable it must be wasteful” (Veblen, 1934, 96). The malleable notion of beauty that is easily proven to be a social construction is defined in this instance on ease of accessibility and financial means. “If these articles of consumption are costly, they are felt to be noble and honorific” (Veblen, 1934, 70). Although fashion was the predominant means of conspicuous consumption, it also incorporated the over the top purchasing and consumption of alcohol and narcotics, even to the point of drunkenness. “Since the consumption of these more excellent goods is an evidence of wealth, it becomes honorific; and conversely, the failure to consume in due quantity and quality becomes a mark of inferiority and demerit” (Veblen, 1934, 74).

German sociologist Georg Simmel expanded on Veblen’s concept of conspicuous consumption by describing a trickle-down effect (Corrigan, 1997). Whereas Veblen’s reference to conspicuous consumption extended beyond fashion, Simmel specifically focused on fashion. Simmel crafted this theory similarly to his larger view of the world, in a dualistic fashion where generalization and specialization represented the poles of the dichotomy. Simmel spoke to the process of middle-class and low-class persons acquiring the same goods as the wealthy. He explained it in such a way that low-class and poor people emulate wealthy individuals in a concerted effort to acquire their prestige and standing, regardless of whether it was reflective of their occupation or existed in their realm of possibility. Simmel contends that there is a backward optimism of sorts that poorer people mistakenly believe which tells them that embodying a visual depiction of wealth could in fact bring them wealth, or at least the associated respect and recognition from the social world.

A critique of Veblen that could also be applied to Simmel is that both theories are too narrow because they ignore the influence and implications of social identities beyond economic status (Corrigan, 1997; Dunlap, 2010). McCracken provides further critique, but specifically in reference to Simmel. McCracken points to an error in the naming of Simmel’s trickle-down theory and so renamed it to chase and flight theory in part because of the fragmentation of society, but also because the acquisition of “wealthy fashion” did not occur by osmosis, but as a result of direct and intentional effort (Corrigan, 1997). When implementing Veblen’s concept of conspicuous consumption theorists need to be careful not to minimize the importance of identities other than class, and rather opt for an updated version that considers ethnicity, gender, race, religion, sexual orientation, etc. while still recognizing that socio-economic status serves as a super identifier much like the economy serves as the superstructure of society (Corrigan, 1997; Dunlap, 2010). In yet another critique, sociologist Riley E. Dunlap urges for the acknowledgment of the influence of cultural capital, as founded by Bourdieu, because “the meaning of people’s behaviors” or consumption for the purposes of this argument, “is not entirely of their own making but is part of a larger semiotic” (2010).

In addition to cultural capital, obsolescence is part of a larger semiotic in the realm of consumption. “…‘common sense’ modern values like efficiency, convenience and obsolescence were greatly enhanced – if not created – by consumer culture”, all of which are strongly related to environmental impact (Turow and McAllister, 2009, 25). Efficiency, or productivity, seemingly erases any broader conscious thought about the production process or implications of normalizing such productivity. Convenience saves consumers from “wasting” their time and effort and transplants that responsibility to producers at an unnecessary monetary and ecological cost. There exists a care-free attitude around the trade-off of obtaining instant gratification without any consideration of the implications thereof, and that extends to obsolescence as well.

Planned obsolescence can be explained as the “increasing emphasis on continuous product development promotes shorter durables replacement and disposal cycles with troublesome environment consequences” (Guiltinan, 2009, 19). Planned obsolescence is often discussed in reference to ethics within the public sphere and less commonly housed within environmental science or sociology, despite its very real and negative consequences. Two pin-pointed issues that are part of product design as they relate to planned obsolescence are the demand for rapid production to stay afloat in a competitive market and the recyclability of products (Guiltinan, 2009). Joseph Guiltinan, a marketing professor, highlights physical and technical obsolescence as the most frequent forms of planned obsolescence which prompt new design for reasons of “limited functional life, limited repair, aesthetics that lead to reduced satisfaction and fashion or functional enhancement” (2009, 20). World Business Council on Sustainable Development urges consumers to opt for more environmentally friendly, efficient and sustainable goods and services (Guiltinan, 2009). Planned obsolescence is but one of many hurdles that needs to be overcome to begin to move in the correct direction.

Conclusion

The peoples of the United States have cultivated an insatiable appetite for consumption that has not only reached, but far surpassed, the threshold of addiction. The problem of this addiction, as suggested by ToP, is the irreversible environmental destruction caused by the breadth and depth of production and consumption. Ultimately, the interrelated guiding propellants of advertising, the media and fashion feed off the innate human desire of connectedness and identity. Correspondingly, in 21st century America, competition, power and status rule all and societal norms define success as wealth. Moreover, the ideology ingrained in existing monopoly capitalism and neoliberalism obscures any fathomed being of anything beyond capitalism. The once championed and still believed assumption of industrial societies that “they can progress by conquering nature and expanding production” (Schnaiberg and Gould, 1994, v), is no longer, if ever it was, true. The environment has graciously provided a multitude of warning signs cautioning the system’s continuance, and yet institutions and consumers continue to blatantly ignore them. At the current rate, people won’t realize this tragedy until it is too late. Or is it already? The Treadmill of Production theory campaigns for the demolition of capitalism if true and absolute environmentally-sound progress is to be acquired. As Gould et al. see it,

“If the treadmill is truly unsustainable both socially and ecologically, at some point it must either exhaust the planet’s capacity to provide economically necessary resource pools and waste sinks or produce such deep, widespread social suffering that the vast majority forcibly dismantles it” (2008, 99).

 

Whether it be for reasons of validation, identity construction, distinction, relationship construction or the fallacy of choice and control, the environment has provided due warning and the time is now for a drastic paradigm shift toward consumption in the United States. Rising sea levels and temperatures, increasing severity of storms and melting glacial ice demonstrate that the extrapolation of resources and excessive consumption of commodities has exhausted the environment’s limits and set the planet on a downward spiral. Lester R. Brown, author of Eco-Economy: Building an Economy for the Earth, proposes that a dramatic shift, similar to that brought about by Copernicus, is what is necessary to move toward coexistence between the environment and the economy (2001). Brown believes economists’ lens on the relationship is misguided and has strained the synchronization of the two. Contradictory to that of economists, Brown advocates for a paradigm shift in which the economy is seen “as a subset of the environment” (2001, 3). It should be adopted, Brown contends, for its explanatory functionality which can account for economic gains and environmental losses alike.

Economists and environmentalists need to work along mirrored frameworks which recognize and respect limits (Brown, 2001).

“…increasingly visible trends indicate that if the operation of the subsystem, the economy, is not compatible with the behavior of the larger system – the earth’s ecosystem – both will eventually suffer. The larger the economy becomes relative to the ecosystem, and the more it presses against the earth’s natural limits, the more destructive this incompatibility will be” (Brown, 2001, 4).

 

However, the work and responsibility is by no means exclusive to economists and environmentalists. To truly halt and make any reasonable attempt to reverse the damage already done demands societal commitment and investment in recognizing human abuse and neglect to the planet.

Brown points to increased governmental responsibility in the economy in the form of policies, but also in terms of education (2001). The government should draft, implement and enforce policy that is once again socially just and geared toward the well-being of all people and the environment. Furthermore, the government could implement tax shifting where taxes are lowered on income, but increased for goods and services to reflect the ecological truth or environmental cost in dollars and cents of the product. In addition, tax breaks can be offered for companies and consumers to buy into eco-friendly, durable products along with lowered rates of consumption that move away from convenience and planned obsolescence. Brown also suggests that the government be responsible for disseminating knowledge and resources about the environment and sustainable practices to the people, and points to the power of the media as a platform that should be utilized. Brown challenges the government to “foster the national vision of an eco-economy” and champion more sustainable measures of production and consumption, yet a societal shift also relies on individual buy-in (2001, 257).

People need to awaken as a consumer and a society to realize that although the odds are unfavorable, there needs to be collective responsibility for the environment and the well-being of the planet. Individual action can be as simple as buying less and throwing away less or becoming educated about proper receptacles for discarding waste. Ultimately, people need to stop buying into the system of capitalism and instead dedicate time and energy to more mindful consumption and toward becoming more conscientious as shoppers, consumers and as a society.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

References

Allan, K. (2011). A primer in social and sociological theory: Toward a sociology of citizenship. Los Angeles, CA: Sage Publications.

Benson, S. P. (1986). Counter cultures: Saleswomen, managers and customers in American department stores 1890-1940. Champaign, IL: University of Illinois Press.

Berger, A. A. (2011). Ads, fads and consumer culture: Advertising’s impact on American character and society (4th ed.). Lanham, MD: Rowman & Littlefield Publishers, Inc.

Brown, L. R. (2001). Eco-economy: Building an economy for the earth. New York: NY: W.W. Norton & Company Inc.

Corrigan, P. (1997). The sociology of consumption: An introduction. Thousand Oaks, CA: Sage Publications.

Crane, D. (2000). Fashion and its social agendas: Class, gender and identity in clothing. Chicago, IL: The University of Chicago Press.

Davis, F. (1994). Fashion, culture and identity. Chicago, IL: The University of Chicago Press.

Dunlap, R. (2010). What would Veblen wear? Leisure Sciences, 32, 295-297.

Eisenberg, L. (2009). Shoptimism: Why the American consumer will keep on buying no matter what. New York, NY: Free Press.

Foster, J. B. 2005. The treadmill of accumulation: Schnaiberg’s environment and Marxian political economy. Organization & Environment 18(1): 7-18.

Gould, K. A., Pellow, D. N. and Schnaiberg, A. (2008). The treadmill of production: Injustice and unsustainability in the global economy. Boulder, CO: Paradigm Publishers.

Greenwood, D.T. and Holt, R. P. F. (2010). Growth, inequality and negative trickle down. Journal of Economic Issues, 44, 403-410.

Guiltinan, J. (2009). Creative destruction and destructive creations: Environmental ethics and planned obsolescence. Journal of Business Ethics, 89, 19-28.

Leiss, W., Kline, S., Jhally, S. and Botterill, J. (2005). Social communication in advertising: Consumption in the mediated marketplace (3rd ed.). New York, NY: Routledge Taylor & Francis Group.

Lury, C. (2011). Consumer culture (2nd ed.). New Brunswick, NJ: Rutgers University Press.

Marx, K. (1967). Capital: A critique of political economy, volume 1. New York, NY: International Publishers.

Perez, F. and Esposito, L. (2010). The global addiction and human rights: Insatiable consumerism, neoliberalism and harm reduction. Perspectives on Global Development and Technology, 9, 84-100.

Sarkar, S. (1999). Eco-socialism or eco-capitalism? A critical analysis of humanity’s fundamental choices. New York, NY: Zed Books.

Sassatelli, R. (2007). Consumer culture: History, theory and politics. Los Angeles, CA: Sage Publications.

Schnaiberg, A. and Gould, K. A. (1994). Environment and society: The enduring conflict. New York, NY: St. Martin’s Press.

Turow, J. and McAllister, M. P. (2009). The advertising and consumer culture reader. New York, NY: Routledge Taylor & Francis Group.

Veblen, T. (1934). The theory of the leisure class: An economic study of institutions. New York, NY: Random House.

Zukin, S. (2004). Point of purchase: How shopping changed American culture. New York, NY: Routledge.

Zukin, S. and Smith Maguire, J. (2004). Consumers and consumption. Annual Review of Sociology, 30, 173-197.

 

Un-Locke-ing Corporate Personhood Final

David Earleywine

POL399

Un-Locke-ing the Ideas of Corporate Personhood

 

“Corporations are people, my friend,” declared Mitt Romney, the former governor of Massachusetts and 2012 Republican presidential candidate, during his campaign (Greenfield, 310).  While this line was not Romney’s downfall in the 2012 presidential election, it stands out as one of the more contentious and infamous lines of his campaign.  His statement came just a few years after the Citizens United v. Federal Election Commission Supreme Court case in 2010 affirmed that corporations were people.  Many American citizens, including President Barack Obama, wrestled with the idea that corporations were granted the same constitutional rights, and protections as people.  By extension, this meant that corporations could be construed as constituting a person.

The Citizens United ruling does not make sense to the average American citizen because comparing human beings to corporations would seemingly be comparing apples to cheeseburgers.  Corporations and human beings are, like apples and cheeseburgers, distinctly different entities. In contrast to Mitt Romney’s statement that “corporations are people,” President Obama responded, saying “I don’t care how many times you try to explain it, corporations aren’t people. People are people” (Greenfield, 310).  President Obama, like many Americans, understood that there is something inherently different between corporations and people, despite what the Supreme Court stated.

However, since the Supreme Court has declared that corporations are people, individuals who disagree are left wondering how and why the court came to that conclusion.  Therefore, I am conducting this research to help resolve this discontinuity of my commonsensical beliefs that corporations are not people, and the declaration by the Court that corporations are in fact people.  That said, there are many questions yet to be answered surrounding the issue of corporate personhood.

For example, do corporations, despite being granted personhood, have the same rights, liberties, and freedoms as human persons?  Are corporations part of the “We the people” referred to in the Preamble of the United States Constitution thus granting them constitutionally protected rights, freedoms and liberties?  These questions all remain unanswered.  However, we can be certain about one aspect of Citizens United v. Federal Election Commission ruling regarding corporations: it created a conundrum regarding the definition of persons and their role in American society. The Supreme Court of the United States redefined corporations as people, which creates an ambiguous and unintended role for corporations within the Lockean concept of the social Contract.

This paper will examine how corporations are defined in a political context in the United States, with a particular emphasis on how they fit into John Locke’s theory of the Social Contract as outlined by the Supreme Court of the United States. The Supreme Court, which interprets the law and helps provide legal definitions, has continued to define and redefine corporations since the early days of the United States. Supreme Court cases in the early 1800s began shaping and molding the legal definition of corporations that America has today.  The United States Constitution never uses the word corporation which means that the 2010 Supreme Court provided its own meaning of how to define corporations.

This paper seeks to understand the role of corporations, as defined in a political context by the Supreme Court, in the United States through the lens of Lockean social contract theory.  First, it is vital to understand how the definitions of corporations have evolved over 200 years of constitutional government in the United States. As the definition of corporations evolved over time, the definition of a human person has likewise changed.

Furthermore, I will give historical context to the Supreme Court’s decision in the Citizens United case and how the legal definition of corporations has evolved over time. This research will highlight landmark Supreme Court cases that focused on corporations, their protections, and their status in a social and political context. By conducting qualitative analysis of law review articles and Supreme Court cases, I will synthesize the results to determine the role of corporations in a Lockean version of the social contract.

A Brief History of Corporate Personhood

While this research will focus on corporations in the United States, it is necessary to understand social contract theory and its role in the founding of the United States.  John Locke, a 17th century British philosopher, is largely considered one of the fathers of social contract theory.  Other thinkers, such as Jean Jacque Rousseau and Thomas Hobbes, are also famous for their writings on social contract theory. However, the Lockean view of the social contract theory was the most influential on the founding of the United States and American political thought.

Locke’s influence on the founding of the United States is due in part because he wrote plainly and explicitly about the beginning of a political society. The crux of social contract theory can be summed up by the following passage from Locke’s Second Treatise of Government (1690) which states:

Men being, as has been said, by nature all free, equal, and independent, no one can be put out of this estate and subjected to the political power of another without his own consent, which is done by agreeing with other men, to join and unite into a community for their comfortable, safe, and peaceable living, one amongst another, in a secure enjoyment of their properties, and a greater security against any that are not of it. This any number of men may do, because it injures not the freedom of the rest; they are left, as they were, in the liberty of the state of Nature. When any number of men have so consented to make one community or government, they are thereby presently incorporated, and make one body politic, wherein the majority have a right to act and conclude the rest (p. 146).

 

As Locke points out, the social contract theory is entered into by the free consent of individuals agreeing with each other.  Agreeing to the contract is done in order to “secure enjoyment of their properties” and for “comfortable, safe, and peaceable living, one amongst another” (Locke, 1690, p. 146).  Therefore, only men who freely consent to forgo some of their liberties are able to join the contract.

Furthermore, Locke focuses on individual’s “secure enjoyment of their properties” as the crux of the social contract. Thus, it is important to understand Locke’s definition of property and what an individual is seeking to protect through joining the social contract. In Locke’s Two Treatise of Government, he explains that “Though the earth and all inferior creatures be common to all men, yet every man has a “property” in his own “person.” This nobody has any right to but himself. The “labour” of his body and the “work” of his hands, we may say, are properly his (Locke, 1690, p. 116).  Thus, a Lockean definition of property is an individual’s “person,” “labour of his body,” and “work of his hands” (Locke, 1690).  Therefore, anything an individual creates is considered their property and an extension of themselves.  John Locke’s interpretation of the social contract and his focus on property rights provided a foundation for American political philosophy and the United States Constitution.

The Citizens United v. Federal Election Commission case of 2010 was one of the culminating moments in the discourse of corporate personhood. However, the roots of corporate personhood reach back to shortly after the founding of the United States. In the mid 19th century the Supreme Court defined corporations as citizens for litigation purposes ( Louisville, Cincinnati & Charleston Railroad Company v. Letson, 1844).  The Louisville, Cincinnati, & Charleston Railroad Company v. Letson decision influenced the Santa Clara County v. Southern Pacific Railroad case which was the first time corporations were considered legal persons (1886).

In the early 1900s, President Theodore Roosevelt and the United States Congress attempted to rein in the quickly expanding rights and protections being granted to corporations. With the Tillman Act of 1907, President Roosevelt and Congress severely limited the rights of corporations. The Tillman Act kept the idea of corporate personhood out of the Supreme Court limelight until the 1970s. Corporations sought to find ways around this piece of legislation and there was a reignited passion to rein in corporate rights and political expenditures following the Watergate scandal. The fallout of Watergate led to Supreme Court cases such as Buckley v. Valeo and Bellotti v. First National Bank of Boston which focused on campaign financing specifically as it relates to corporations.  

Corporate rights have continued to grow and evolve over time to include First Amendment, Fourth Amendment and Fourteenth Amendment rights and protections.  These rights granted by the Constitution are different than the rights of life, liberty, and property individuals hold in the Lockean state of nature (Locke, 1690).  This distinction that human beings have inherent rights and corporations do not is vital to understanding the difference between corporations and human beings.

Defining Corporations and Persons

One of the issues with the decision to grant corporations the state of personhood in the Citizens United case is that it undermined the average person’s concept of what it meant to be a person. This begs the question of how to define both corporations and persons. Author Jeffrey Clements defines corporations as “a government-defined legal structure for doing business with legal privileges that can only be provided by government” (2014, p. 64).  This definition could include organizations such as unions, non-profits, banks, businesses, and the like.  Clements’ definition of corporations stands in stark contrast with the Citizens United case. Moreover, the definition provided by Clements is reasonable and practical, whereas the Supreme Court defining corporations as people defies common sense.  When President Obama stated “corporations aren’t people” it was due to the fact that he felt there was an inherent difference between corporations and people (Greenfield, 2015, p. 310).  President Obama’s sentiment indicated there is an implicit difference between corporations and people. So, how do individuals typically differentiate corporations from people?

When trying to describe a human being, people might refer to them as homo sapiens with eyes, ears, feet, hands, lungs, a heart, and a brain.  Individuals think of people as their neighbors, their teachers, their relatives, or their friends.  While someone may be hard-pressed to provide a concrete definition of a person, no one would say that Google, Apple, McDonald’s, Procter and Gamble, or Coca-Cola is people.  These are all large organizations that individuals would categorize as corporations, businesses, or companies.  For example, Coca-Cola does not have eyes and ears, Procter and Gamble does not have hands or feet, and Google does not have internal organs.  Individuals tasked with defining a corporation may reference the fact that it is made up of shareholders or that its lifespan is potentially unlimited.  Perhaps those individuals would simply define corporations in a negative sense by stating that it is not a person. Thus, the main argument put forward by individuals who oppose the Citizens United ruling is that it goes against common sense for a corporation to be classified as a person.

The Origins of Corporate Rights and Personhood in the Supreme Court

The Supreme Court has put forth rulings that impact corporations since the 1800s. While the size and scope of many corporations have changed since the founding of the United States, corporations have existed even before America was founded.  However, the following Supreme Court cases help gives an understanding of how the definition of corporations have shifted over time in the United States.

As early as 1809, the fact that corporations were not people started causing issues. While Bank of the United States v. Deveaux largely focused on the jurisdiction of state and federal courts, the Supreme Court and Chief Justice John Marshall reached a landmark decision regarding corporate personhood.  Peter Deveaux, a tax collector, was sued by the Bank of the United States for unlawfully seizing property. However, Deveaux claimed that the Bank of the United States, a corporation, could not sue in a federal court because it was not a person. Chief Justice Marshall and the opinion of the court agreed, stating that corporations could not sue in a federal court (Bank of the United States v. Deveaux, 1809).  The only way corporations could sue or be sued in the federal courts is if all of the shareholders lived within the same state. This distinction effectively kept corporations out of federal courts and into the lower-level state courts.

The 1819 case of Trustees of Dartmouth College v. Woodward is one of the earliest instances of the Supreme Court taking a case regarding corporate rights. This case centered on the argument of whether or not the state of New Hampshire could circumvent the private charter of the university and make it a public university (Dartmouth v. Woodward, 1819).  Dartmouth’s original charter was granted not by the United States government, but by the British Crown in 1769 (Dartmouth v. Woodward, 1819). The linchpin of the argument was simply that Dartmouth violated the United States Constitution which states “No State shall… enter into any Agreement or Compact with another State, or with a foreign Power” (art. I , § 10).  However, the opinion of the Supreme Court, written by Chief Justice Marshall, upheld the notion that “this corporate charter is a contract, the obligation of which cannot be impaired without violating the Constitution of the United States” (Dartmouth v. Woodward, 1819).  Thus, the opinion of the court recognized the sovereign rights of a corporation and its ability to make private contracts. While this Supreme Court case did not grant corporations the status of personhood, it did reiterate the importance of corporate rights.

Corporations as Citizens (and Railroads)

The court’s ruling in the 1809 Bank of the United States v. Deveaux case was overruled 35 years later. The Louisville, Cincinnati & Charleston Railroad Company v. Letson case redefined corporations as citizens of the states they incorporated (1844). However, this distinction did not fix the situation of corporations effectively being held out of the federal courts for suing and being sued. This is due to the fact that a corporation’s shareholders had to all live in the same state in order to be sued. The Louisville, Cincinnati & Charleston Railroad Company v. Letson case marks the first time corporations were defined as citizens within the United States and would set the stage for the expansion of corporate rights and personhood in future court decisions.

Less than a decade after the Louisville, Cincinnati & Charleston Railroad Company v. Letson, the Supreme Court reaffirmed the idea that corporations are citizens, though they were not granted the same constitutional rights as human persons. Corporations were given the status of citizens for the purpose of state and federal court jurisdiction (Marshall v. Baltimore and Ohio Railroad, 1853). Building off the 1844 Louisville, Cincinnati & Charleston Railroad Company v, Letson decision, Marshall v. Baltimore and Ohio Railroad effectively allowed corporations to sue and be sued in federal court more easily. The increased ease was due to the fact that corporations, as citizens, could now be sued across state lines (Marshall v. Baltimore and Ohio Railroad, 1853).

Corporations, now considered legal citizens, sought to expand their rights of citizenship. The Santa Clara County v. Southern Pacific Railroad case in 1886 set the stage to expand the rights of corporations. The Southern Pacific Railroad Company argued that a special tax levied on them by the Santa Clara County infringed upon their equal protection under the 14th amendment. Interestingly, the court reporter in the Santa Clara case entered the following line into the case summary: “The defendant corporations are persons within the intent of the clause in section 1 of the Fourteenth Amendment to the Constitution of the United States, which forbids a State to deny to any person within its jurisdiction the equal protection of the laws” (1886).  Thus, the court reporter summarizing the case started the notion of corporate personhood with only two lines of text.

A dozen years after the Santa Clara case, the Supreme Court, in a case called Smyth v. Ames, continued to build up the protections of corporations under the Fourteenth Amendment. In the Smyth v. Ames case, the court said: “By the fourteenth amendment it is provided that no state shall deprive any person of property without due process of law, nor deny to any person within its jurisdiction the equal protection of the laws. That corporations are persons within the meaning of this amendment is now settled.” (1898).  Thus, while Santa Clara determined that corporations were persons under the Fourteenth amendment, Smyth v. Ames extended the full protections of that Constitutional amendment to corporations (1898). In just over a decade corporations received not only the idea of personhood in the Santa Clara case, but full protections of the Fourteenth amendment as well. This use of judicial activism broadly expanded the scope of corporate rights and protections, as well as the scope of who (or what) is protected by the Fourteenth amendment.

Corporations: More of a person than a person?

During the 19th century when corporations were gaining citizenship and expanding their protections under the law, the United States was at a crossroads regarding citizenship. Less than five years after the 1853 Marshall v. Baltimore and Ohio Railroad case, the now infamous Dred Scott case was decided. In the 1857 Dred Scott v. Sanford case, the Supreme Court ruled that slaves were not citizens of the United States and thus could not sue in court. Therefore, while the Supreme Court granted citizenship to corporations, they maintained that slaves were property and could never become citizens.

This is a surprising and interesting revelation that the court was granting Constitutional rights to corporations, but not to slaves, minorities, or women.  Essentially, during the mid 19th century, corporations were given more rights than any non-white male.  In Lance Strate’s article “The Supreme Identification of Corporations and Persons” (2010) he uses the following paragraph to lay out this contradiction.

The doctrine of corporate personhood creates an interesting legal contradiction. The corporation is owned by its shareholders and is therefore their property. If it is also a legal person, then it is a person owned by others and thus exists in a condition of slavery–a status explicitly forbidden by the Thirteenth Amendment to the Constitution. So is a corporation a person illegally held in servitude by its shareholders? Or is it a person who enjoys the rights of personhood that take precedence over the presumed ownership rights of its shareholders? (p. 282-283)

 

Strate perfectly encapsulates the contradiction of corporations being a legal person, yet also being owned shareholders.  The Thirteenth Amendment clearly abolished slavery, so how can a corporation be a legal person and be owned? It is a question that the Supreme Court has not directly answered.

Corporations in the Early 20th Century

            Eleven years after the Santa Clara decision, the Supreme Court determined that it was “well-settled” that “corporations are persons within the provisions of the fourteenth amendment (Gans and Kendall, 2011, p. 674).  Thus, the Supreme Court cited the lines written by the Santa Clara court reporter in the case brief to reach the decision that it was well settled.  However, after the turn of the century, President Theodore Roosevelt tried to rein in corporations, their rights, and their protections.

President Theodore Roosevelt is often remembered as being a “trust-buster” and trying to limit the power of corporations. This was exemplified in his 1906 State of the Union address in which Roosevelt stated “I again recommend a law prohibiting all corporations from contributing to the campaign expenses of any party” (State of the Union Address). Roosevelt went on to not only condemn corporate political expenditures, but promoted personal expenditures. He argued, “Let individuals contribute as they desire; but let us prohibit in effective fashion all corporations from making contributions for political purpose, directly or indirectly” (State of the Union Address, 1906). President Theodore Roosevelt made his position on corporate personhood and their role in political life very evident.

With the help of Roosevelt’s prodding, Congress passed the Tillman Act in 1907.  The Tillman Act was intended to address corporate campaign contributions.  The law specifically focused on “banning all corporate contributions to candidates” (Citizens United v. FEC, 2010). While Roosevelt pushed this issue on Congress, the impetus for Roosevelt’s concern and the Tillman Act is best summed up by a Senate report.  The Senate report on the Tillman Act stated that the “evils of the use of [corporate] money in connection with political elections are so generally recognized that… it is in the interest of good government and calculated to promote purity in the selection of public officials” (Citizens United v. FEC, 2010).  Thus, the Tillman Act was couched in the idea that corporate money in political campaigns would taint the election system.  Thus, the Senate report shows that the Congress thought there was something inherently different between corporations and people which gave them the right to limit corporation’s role in the election process.

In Justice Steven’s dissenting opinion in the Citizens United case, he stated that the Tillman Act of 1907 was “driven by two pressing concerns: first, the enormous power corporations had come to wield in federal elections, with the accompanying threat of both actual corruption and a public perception of corruption; and second, a respect for the interest of shareholders and members in preventing the use of their money to support candidates they opposed” (2010).  The first point is a popular argument regarding elections in the post-Citizens United system.  Corruption (real or perceived) can be damaging to the credibility and legitimacy of a democracy.  American politicians often accuse each other of being subject to special interests and representing their donors rather than their constituents.  This accusation is used because it strikes a chord with voters who want their interests to be represented by their politicians.

Citizens’ desire for representation drives the justification of Justice Stevens’ second point.  Justice Stevens seemingly recognizes Locke’s view of corporations as property. Therefore, Stevens’ second point only makes sense if corporations are considered an extension of the individual. Thus, it does not make sense for corporations to support someone an individual does not support. With a plethora of individuals involved in corporations (making it an extension of multiple individuals) there is no way to determine what politician would be representative of all those individuals. As Justice Stevens pointed out, the two issues of corruption and misrepresentation due to corporate political expenditures were addressed by the Tillman Act of 1907 (Citizens United v. FEC, 2010).

Corporate Personhood after Watergate and Roe v. Wade

            In the early 1970s, two historical events happened within a year of each other: the Watergate scandal in 1972 and the Roe v. Wade Supreme Court case in 1973.  Roe v. Wade (1973) was a landmark 5-4 Supreme Court decision which legalized abortion of human fetuses.  Roe v. Wade, like the Dred Scott case, does not deal with corporate personhood. However, it does deal with the definition of a human person and provides an intriguing juxtaposition with corporate personhood.

Roe v. Wade remains one of the most contentious Supreme Court cases, even 43 years later.  The divide between the pro-life (opposing abortion) camp and pro-choice (supporting abortion) camp is severe.  Similar to Citizens United, the most divisive point in Roe v. Wade is how the Supreme Court defined a person. Pro-lifers advocate their side under the assumption that the fetus is a human person.  Conversely, the pro-choicers see the fetus as not a fully formed human thus making abortion acceptable.  Roe v. Wade (1973) noted that “the question in terms of the point at which the embryo or fetus became ‘formed’ or recognizably human, or in terms of when a ‘person’ came into being.”

The Supreme Court’s ruling in favor of abortion is a fascinating conundrum regarding how they define persons.  Roe v. Wade (1973) does not give the right to abortion at any time. The case states that “for the stage subsequent to viability the State, in promoting its interest in the potentiality of human life, may, if it chooses, regulate, and even proscribe, abortion except where necessary, in appropriate medical judgement, for the preservation of the life or health of the mother” (Roe v. Wade, 1973).  The “potentiality of human life” is only available to human beings, not corporations (Roe v. Wade, 1973). While both corporations and fetuses receive a certain amount of protection under the Fourteenth Amendment’s equal protection clause, only the fetus has the potential for human life. This is a vital distinction between what it means to be an individual and what it means to be a corporation.

After the Tillman Act of 1907, corporations avoided the limelight of the political conversation for almost 60 years. However, in 1972 all that changed under President Richard Nixon’s administration and the Watergate scandal.  The scandal and ensuing cover-up of five men breaking into the Democratic National Committee headquarters at the Watergate hotel launched a bevy of legislative and judicial reactions.  With President Nixon’s resignation following his involvement in Watergate, there was a desire to regulate money and expenditures in politics and elections.

Following Watergate, the first major Supreme Court case regarding corporate personhood was Buckley v. Valeo in 1976.  The Buckley case effectively stated that personal expenditures supporting or opposing a candidate is considered free speech and is protected under the First Amendment (Buckley v. Valeo, 1976).  In his dissent in the Citizens United case, Justice Stevens summarized Buckley that the case “famously (or infamously) distinguished direct contributions from independent expenditures, … but its silence on corporations only reinforced the understanding that corporate expenditures could be treated differently from individual expenditures” (2010).

As Justice Stevens points out, while corporations were not the main focus of Buckley, the Supreme Court’s silence on the matter spoke volumes.  Buckley effectively legitimized the idea that money is speech by protecting independent expenditures.  This silence on corporations was seen as a break from the doctrine of the Tillman Act of 1907.  However, money as speech makes sense in a Lockean perspective because an individual’s money is the fruit of their labor.  Using the lens of John Locke, money is clearly that individual’s property and an extension of himself.  Thus, it makes sense that money should be protected if one is viewing money as an extension of an individual.

After the Buckley case, the Bellotti v. First National Bank of Boston was decided by a contentious 5-4 vote (1978).  The issue in this case “is whether the corporate identity of the speaker deprives this proposed speech of what otherwise would be its clear entitlement to protection” (Bellotti, 1978).  The Supreme Court ultimately found no reason to “prohibit the appellants from speaking” (Bellotti, 1978).  This meant that corporations’ right to speech was protected under the First Amendment regardless of the corporate identity of the speaker (Bellotti, 1978).  Combining the Bellotti decision with the Buckley decision meant that corporations could legally use money as speech which was a huge step for corporate personhood.  Thus, the majority opinion of both Buckley and Bellotti helped to set the stage for the Citizens United ruling in 2010.

In the Bellotti case, Justice Byron White (joined by his colleagues Justice Thurgood Marshall and Justice William Brennan) authored a strong dissent against this expansion of corporate rights and protections.  Justice White argues that corporations “are created by the State as a means of furthering the public welfare” (Bellotti, 1978).  Furthermore, Justice White writes that the United States “has for many years recognized the need for measures designed to prevent corporate domination of the political process” (Bellotti, 1978).  These two reasons are, in the dissenter’s opinion, enough to justify limiting speech based on corporate identity.  Ultimately, with the decisions of Buckley and Bellotti the public discourse shifted to focus on corporations’ rights within the election process.

Following Buckley and Bellotti, Justices Anthony Kennedy and Antonin Scalia (who were nominated in 1988 and 1986, respectively) joined the Supreme Court.  Justice Kennedy and Justice Scalia would eventually go on to write the majority and concurring opinions, respectively in the Citizens United case.  Prior to that case, however, Justices Kennedy and Scalia were involved in the Austin v. Michigan Chamber of Commerce case (1990).  This majority opinion in this case argued “corrosive and distorting effects of immense aggregations of wealth that are accumulated with the help of the corporate form” is reason enough for the government to ban independent expenditures. However, Justice Kennedy and Justice Scalia, along with Justice Sandra Day O’Connor, dissented in the case arguing that the ruling did not align with Buckley and Bellotti (Austin v. Michigan Chamber of Commerce, 1990).

The Austin decision was just one example of the Supreme Court shifting its course in regards to corporate rights, protections, and personhood.  The court seems to draw arbitrary lines regarding corporate personhood and their influence in elections.  A dozen years after the Austin case, the Supreme Court heard McConnell v. Federal Election Commission (2003).  The McConnell case reestablished the majority opinion from the Austin case which limited corporate spending and rights (2003).  This meant that the Austin and McConnell decisions were effectively at odds with the rulings in Buckley and Bellotti.  In the span of 30 years, the Supreme Court gave completely incongruent and inconsistent rulings regarding corporate protections under the First Amendment. This inconsistency was one of the major issues addressed in the landmark Citizens United decision in 2010.

Congress on Corporations

The Supreme Court and the rest of the judicial branch are charged with interpreting the law in the United States. However, the legislative branch (Congress) is in charge of creating the law on a federal level.  So, while the Supreme Court has continuously defined, redefined, and changed what it means to be a corporation, it is crucial to look briefly at the laws Congress makes regarding corporations.

In 1 U.S.C. §1 the United States Code, Congress informs readers of the context of certain words.  This is important because the Code states, “the words ‘person’ and ‘whoever’ include corporations, companies, associations, firms, partnerships, societies, and joint stock companies, as well as individuals” (1 U.S.C. §1). This shows the opening Title of the United States Code, Congress defines corporations as persons. However, the Code does clarify in §8(a) “In determining the meaning of any Act of Congress, or of any ruling, regulation, or interpretation of the various administrative bureaus and agencies of the United States, the words “person”, “human being”, “child”, and “individual”, shall include every infant member of the species homo sapiens who is born alive at any stage of development. So the United States Code, which is put forth by Congress, uses the word “person” to describe both a corporate entity and a natural human being.

The Citizens United case came about in part because of a piece of legislation enacted in 2002 known as the Bipartisan Campaign Reform Act.  The Bipartisan Campaign Reform Act (BCRA) was sponsored and written by Senators John McCain (R-AZ) and Russ Feingold (D-WI).   The Cornell law school Supreme Court bulletin for the Citizens United case describes BCRA as a “federal enactment designed to prevent ‘big money’ from unfairly influencing federal elections” (Lindbloom & Terranova, 2009).  Limiting “big money” (usually from corporations) is one of the main purposes of this law.

Furthermore, BCRA attempted to curtail issue advertisements of independent parties.   Senators McCain and Feingold made a concerted effort to limit contributions of big money and issue ads through writing BCRA.  These issue ads fell under the definition of electioneering communication.  As the Supreme Court noted, BCRA defined electioneering communication as “any broadcast, cable, or satellite communication that refers to a clearly identified candidate for Federal office” made within a specific time period leading up to the election (Citizens Untied v. FEC, 2010.  This definition of electioneering communication was a prominent part of the Citizens United case.

Citizens United: An Overview

The Citizens United v. Federal Election Commission case of 2010 is one of the landmark decisions since the turn of the century.  The debate of whether or not corporations should be considered people was rekindled by the Supreme Court’s 5-4 ruling in favor of corporate personhood (Citizens United v. FEC, 2010).  However, the Supreme Court ruling fell in accordance with past decisions affirming the legal personhood of corporations and their protections under the Constitution. So, why was (and is) Citizens United so controversial in the United States today?  

First and foremost, Citizens United v. Federal Election Commission (as one perhaps infers from the title) focused on elections.  Elections are fundamental to a democracy such as the United States. In his book The Spirit of Democracy: The Struggle to Build Free Societies Throughout the World, author Larry Diamond describes the minimal level of democracy (“thin” democracy as he calls it) “in modern terms, by means of regular, “free and fair” elections” (2008).  While Diamond also goes on to describe a “thick” democracy (which includes attributes such as institutional checks on the power of elected officials and individual freedom of belief, speech, assembly, and petition) he says the minimum requirement for a “thin” democracy comes from elections (2008).

While the Citizens United case is critical to the idea of corporate personhood, the reason this case rose to the Supreme Court ultimately stemmed from a corporation’s ability to freely express itself particularly through campaign ads and election advocacy.  (Citizens United v. FEC, 2010). The case syllabus states, “In January 2008, appellant Citizens United, a nonprofit corporation, released a documentary (hereinafter Hilary) critical of then-Senator Hillary Clinton, a candidate for her party’s Presidential nomination” (Citizens United v. FEC, 2010).  Citizens United believed BRCA §203 to be unconstitutional in regards to Hillary because “the government’s anti corruption interest does not apply to The Movie, a documentary almost entirely finance by individual donation and broadcast only to self-selecting viewers, and because The Movie is merely a critical biography and does not advocate to the viewers how to vote” (Lindbloom & Terranova, 2009).  This raised questions for the Supreme Court to answer regarding what is considered “electioneering communications” and whether disclosure and disclaimer regulations were “overly burdensome” on Citizens United (Lindbloom & Terranova, 2009).  While the Supreme Court answered these questions, it ultimately used the case as a way to rule on corporate rights and personhood with regards to elections.

Citizens United and Corporate Personhood

While there was much disagreement and dissent in the Supreme Court over Citizens United, ultimately the vote was 5-4 in favor of Citizens United.  The division within the court is shown by the vote but is also showed with how the Supreme Court justices concurred and dissented with numerous parts of the ruling.

KENNEDY, J., delivered the opinion of the Court, in which ROBERTS, C. J., and SCALIA and ALITO, JJ., joined, in which THOMAS, J., joined as to all but Part IV, and in which STEVENS, GINSBURG, BREYER, and SOTOMAYOR, JJ., joined as to Part IV. ROBERTS, C. J., filed a concurring opinion, in which ALITO, J., joined. SCALIA, J., filed a concurring opinion, in which ALITO, J., joined, and in which THOMAS, J., joined in part. STEVENS, J., filed an opinion concurring in part and dissenting in part, in which GINSBURG, BREYER, and SOTOMAYOR, JJ., joined. THOMAS, J., filed an opinion concurring in part and dissenting in part (Citizens United v. FEC, 2010).

 

While the difference of opinion of the Supreme Court justices is evident simply in the vote, both the opinion and the dissent had much to say about corporate personhood and their role in elections and American society.

The debate, dissent, and differences among the justices in the Citizens United case may seem to signal division within the Supreme Court.  However, as James Madison pointed in Federalist No. 10, “Factions will necessarily form in our Republic, but the remedy of “destroying the liberty” of some factions is worse than disease” (2001, p. 89). Madison understood that the remedy for disagreements is to encourage speech, not suppress it.  Justice Kennedy went on to write, “Factions should be checked by permitting them all to speak, see ibid., and by entrusting the people to judge what is true and what is false” (Citizens United v. FEC, 2010). Justice Kennedy used the previous quotes from Federalist No. 10 in his opinion of Citizens United in which he promoted free speech for corporations.

This was not the only reference Justice Kennedy made to the Federalist Papers in his opinion.  Kennedy also made a key point about how corporations are an extension of the individual using the example of the Federalist papers. As Justice Kennedy writes, “The great debates between the Federalists and the Anti-Federalists over our founding document were published and expressed in the most important means of mass communication of that era–newspapers owned by individuals” (Citizens United v. FEC, 2010).  The fact that James Madison, Alexander Hamilton and John Jay wrote the Federalist papers under pseudonyms was not lost on Kennedy and the majority view of the court.

The Federalist Papers were written and promulgated by an association of individuals: the Federalists, those in favor of the Constitution.  Although not a corporation, the Federalists were an association of individuals which provides analogies to the Citizens United v. FEC case regarding corporate speech.  For example, Madison, Hamilton, and Jay wrote the Federalist Papers under the pseudonym of “Publius.”  The anonymity of the pseudonym “Publius” would be similar to the anonymous individual donors supporting Citizens United funding for the documentary Hillary.

Free Speech and Corporations

In Justice Kennedy’s opinion for the Court he writes, “The Court has recognized that First Amendment protections extends to corporations” (Citizens United v. FEC, 2010).  Perhaps most importantly for corporations is the First Amendment protection of freedom of speech.  As Justice Kennedy wrote, “Speech is an essential mechanism of democracy, for it is the means to hold officials accountable to the people” (Citizens United v. FEC, 2010).  The freedom of speech possessed by individuals is something they would have held in the Lockean state of nature. Thus, Justice Kennedy’s assertion is consistent with the state of nature and the idea the government is accountable to the individuals.  In the Lockean lens of the social contract, government is created only when individuals give up some of their liberties to protect themselves and their property.  Therefore, the government is accountable to the individuals because it is created by the social contract entered into by individuals.

Furthermore, Justice Kennedy’s opinion states that “by definition, an independent expenditure is political speech presented to the electorate that is not coordinated with a candidate” (Citizens United v. FEC, 2010).  In effect, this means money is speech which has an impact on both the Citizens United case and corporate personhood.  It is important to note that the Supreme Court views “independent expenditures” as speech and not just any expenditure.  As stated above, there are limits placed on expenditures coordinated with a particular candidate and their campaign, but not on independent expenditures which constitute freedom of political speech (Citizens United v. FEC, 2010).

The concern from the dissenting opinions of the Supreme Court is that unlimited independent expenditures will cause corruption within the government and election process.  This is especially concerning with regards to corporations due to their larger capacity for independent expenditures compared to individuals.  At the end of his dissenting opinion, Justice John Paul Stevens stated “American democracy is imperfect, few outside the majority of this Court would have thought it flaws included a dearth of corporate money in politics” (Citizens United v. FEC, 2010).  Justice Stevens believes that independent expenditures (particularly from corporations) have a negative impact on elections.

On the flip side, the opinion of the Supreme Court states that the “appearance of influence or access, furthermore, will not cause the electorate to lose faith in our democracy… The fact that a corporation, or any other speaker, is willing to spend money to try to persuade voters presupposes that the people have the ultimate influence over elected officials” (Citizens United v. FEC, 2010).  This statement is based on the assumptions of the Founding Fathers that money is a form of speech or expression, and corporations are an extension of the individual shareholders.     

            In the 2016 presidential election cycle, the United States has seen the conjectured pros and cons come to fruition.  According to the article “How ‘ghost corporations’ are funding the 2016 election” from the Washington Post, “the 2016 campaign has already seen the highest rate of corporate donations since the Supreme Court unleashed such spending with its 2010 Citizens United v. FEC decision” (Gold & Narayanswamy, 2016).  While corporations are not contributing directly to political campaigns they are creating “pop-up limited liability corporations (LLCs) funneling money into independent groups” (Gold & Narayanswamy, 2016).  These independent groups (often called “political action committees” or “super PACs”) have spent large amounts of independent expenditures in the local and federal campaigns following the Citizens United case.

For example, “one out of every eight dollars collected by super PACs this election cycle have come from corporate coffers, including millions flowing from opaque and hard-to-trace entities” (Gold & Narayanswamy, 2016).  Another statistic from the Washington Post article on “ghost corporations” states “so far, 680 companies have given at least $10,000 to a super PAC this cycle, together contributing nearly $68 million through Jan. 31” (Gold & Narayanswamy, 2016).  This number is “on track to far exceed the $86 million they gave to super PACs in the entire 2012 presidential cycle” (Gold & Narayanswamy, 2016).  As Justice Stevens predicted, there is a “dearth of corporate money in politics,” but perhaps the situation of money in politics is not as dire as it may initially appear.

Though companies have given almost $68 million dollars in this campaign cycle, that amount is only “12 percent of the $549 million raised by such groups, which can accept unlimited donations” (Gold & Narayanswamy, 2016).  This is a slight uptick from the 2012 presidential cycle which saw 10% of its donations raised by such groups (Gold & Narayanswamy, 2016).  Put another way, 88% of money (or approximately $481 million) raised by super PACS in this election cycle came from donations of less than $10,000 from corporations or individuals.

However, individuals still argue that corporations should not be allowed to give unlimited amounts to super PACs. But, as Justice Kennedy wrote in the majority opinion of Citizens United, “Government may not suppress political speech on the basis of the speaker’s corporate identity. No sufficient governmental interest justifies limits on the political speech of nonprofit or for-profit corporations” (Citizens United v. FEC, 2010).  Justice Kennedy’s sentiment is rooted in the ideas that corporations are people (or at least an extension of individuals) and that money is a form of speech.  If this is the case (as the Supreme Court has continually reaffirmed) corporations should not have their First Amendment rights encroached upon, since they are the property and extension of an individual.   

Conclusion

The history of corporate personhood in the United States is a long and convoluted one.  Almost 200 years ago, the Dartmouth case (1819) stated that corporations were a “creature of the law.”  However by the end of the 1800s, corporations were granted due process and equal protection under the Fourteenth Amendment (Santa Clara v. Southern Pacific Railroad, 1886).  Despite efforts by Congress (through the Tillman Act and the Bipartisan Campaign Reform Act) to rein in corporate personhood, the Supreme Court has not been nearly as consistent in its ruling on corporate protections.

Using a Lockean social contract perspective allows one to sift through the erratic and unpredictable rulings laid down by the Supreme Court.  John Locke (1690) provides a definition of property as an extension of the individual gives a basis for understand of what it means to be a corporation. For example, a corporation is like an individual’s hand. While the hand is part of the individual, it is not its own person.  However, it is an extension of the individual and is as much a part of that person as the rest of himself.  This means corporations could only enter into the social contract because of the individuals of whom it extends.  Corporations are not sentient beings capable of joining the social contract on their own. Thus, it does not make sense for the Supreme Court to grant corporations personhood any more than it would make sense for them to grant personhood to your hand.

However, the question remains of whether or not certain Constitutional protections make sense under a Lockean framework.  As previously shown, the Supreme Court has granted corporations protections of speech under the First Amendment in Buckley and Bellotti and equal protection and due process rights under the Fourteenth Amendment in Santa Clara to name a few.  Despite legal justifications by the majority opinions, these rights and protections do not make sense in a Lockean system.  The Supreme Court seemingly bestowed corporations with natural rights which is a non sequitur under Locke’s principles.  Only humans are bestowed with natural rights in the state of nature, and they give up their liberties to enter into the social contract (Locke, 1690).  The state (or Supreme Court) cannot retroactively grant these Lockean natural rights of individuals (life, liberty, and property) onto corporations as they have been doing (Locke, 1690).

Furthermore, with the plethora of individuals involved in corporations, it is difficult to determine who corporations represent politically.  Corporations, being the property and extension of multiple individuals make it hard for those corporations to be in tune with the shareholders political views.  While corporations are a creation of the state, they are not meant to be political creatures. Thus, it would make more sense for individuals to be protected when entering into a political association such as a political action committee.  Unlike corporations, super-PACs are intended for individuals to come together to support or oppose a candidate. While corporations are integral to the United States society and the social contract, they are not deserving of Lockean natural rights, and are not the appropriate vehicle for political action.

 

References

  1. 1 U.S.C. §1
  2. Austin v. Michigan Chamber of Commerce, 494 U.S. 652 (1990)
  3. Bank of the United States v. Deveaux, 9 U.S. 61 (1809)
  4. Bellotti v. First National Bank of Boston, 435 U.S. 765 (1978)
  5. Buckley v. Valeo, 424 U.S. 1 (1976)
  6. Citizens United v. Federal Election Commission, 130 S.Ct. 876 (2010)
  7. Clements, J. D. (2014). Corporations are not people: Reclaiming democracy from big money and global corporations (2nd Edition). San Francisco, CA: Berrett-Koehler Publishers.
  8. Dartmouth v. Woodward, 17 U.S. 518 (1819)
  9. Diamond, L. (2008). The spirit of democracy: The struggle to build free societies throughout the world. New York, NY: Henry Holt and Co. LLC.
  10. Dred Scott v. Sanford, 60 U.S. 393 (1857)
  11. Gans, D. H., & Kendall, D. T. (2011).  A capitalist joker: The strange origins, disturbing past, and uncertain future of corporate personhood in american law, The John Marshall Law Review, 44 (3), 643-699.
  12. Gold, M., & Narayanswamy, A. (2016, March 18). How ‘ghost corporations’ are funding the 2016 election. The Washington Post. Retrieved from https://www.washingtonpost.com/politics/how-ghost-corporations-are-funding-the-2016-election/2016/03/18/2446e526-ed14-11e5-a6f3-21ccdbc5f74e_story.html?postshare=2071458388980046&tid=ss_mail
  13. Greenfield, K. (2015) In defense of corporate persons. Constitutional Commentary, 30, 309.
  14. Lindbloom, I., & Terranova, K. (2009). Citizens united v. federal election commission, The LII Supreme Court Bulletin
  15. Locke, J., & Macpherson, C. B. (1980). Second treatise of government. Indianapolis, IN: Hackett Pub. Co.
  16. Louisville, Cincinnati & Charleston R. Co. v. Letson, 43 U.S. 497 (1844)
  17. Madison, J. (2001). Federalist No. 10, ed. George W. Carey and James McClellan, The Federalist (88-93). Indianapolis, IN: Liberty Fund.
  18. Marshall v. Baltimore & Ohio Railroad Company, 57 U.S. 314 (1853)
  19. McConnell v. Federal Election Commission, 540 U.S. 93 (2003)
  20. Roe v. Wade, 410 U.S. 113 (1973)
  21. Santa Clara County v. Southern Pac. R. Co., 118 U.S. 394 (1886)
  22. Smyth v. Ames, 171 U.S. 361 (1898)
  23. The State of the Union: A collection of speeches. (2013). Kentucky: Golgotha Press.
  24. Strate, L. (2010). The supreme identification of corporations and persons. ETC: A Review Of General Semantics, 67(3), 280-286.
  25. U.S. Const. art. I , § 10.

 

Another Rough Draft/ Shannon Renz

 

Rough Draft

Needle Exchange

 

Abstract

 

In the United States, there is often a strong moral context in regard to creating and implementing public policy, this is especially true in regard to policies around IV drug users and needles exchanges. This is based on the understanding that IV drug users are deviant sinners who made and continue to make bad choices: it is the drug users own fault that they are IV drug users.  This is strongly reflected in the municipal, county, and state policies in regards to needle exchanges and discussions of implementing them in communities where IV drug use and disease is rampant.  Yet, some cities, such as New Haven and Chicago have overcome the challenges of moral objection, social norms and difficulty of policy to legalize needle exchanges. Prior to overcoming the policy barriers in particular cities, HIV/AIDS and heroin escalated to the point where it was becoming a public safety hazard.  HIV/AIDS coalitions initiated the needle exchange to promote safe blood with the understanding that clean needles resulted in cleaner blood which aided in the reduction of IV drug users and HIV/AIDS cases.  This paper will use Conflict Theory as a lens to analyze the implementation of needle exchange programs and how changing social policy interrupts the social norms, order, and rules. IV drug users are not part of what society deems as a norm, hence they and the needles that they use are conflicts. Conflict Theory states that those who have the power are those who make the laws. IV drug users are not those who have power and they are unable to make laws or regulations because they are outside of the societal norm making laws and policies.

 

 

 

 

Literature Review

 

 

One does not try heroin; one does heroin, even the first time. Heroin is the most addictive drug there is on the street today. Heroin is the most addictive that has ever been produced. It has a medical history, a shady diseased past and holds a current epidemic present.  Heroin has gone through two different time periods of popularity; one being in the nineteen seventies into the eighties and the other starting in the late nineteen nineties. This paper will look at the paradigm shift between the two different time periods and how they differ in terms of making legal policies, social norms and needle exchanges.

The first major wave of heroin use was seen in the late nineteen seventies along with the raise of HIV/AIDS.  This followed the movements and thoughts of “make love not war,” with many believing that the United States was in the wrong to enter the Vietnam War and protests were popular. Drug use to free the mind and feeling were popular. “Love yourself and your neighbor” mentality was a way of life and this had consequences, one of them being the spread of HIV/AIDS through heroin use by injection. Those who used heroin to free their mind did not realize that the drug would take hold of them and be a battle of addiction with the repercussion of spreading a disease.  Many believed that HIV/AIDS would not affect them for it was believed to be only a gay men disease that would not reached the straight population.

The history of HIV/AIDS is relevant to the development of needle exchange policy and why the policies can be challenging to implement. So a small history lesson on HIV/AIDS. In 1980, according to Mathilde Krim, Ph.D., Founding Chairman of amfAR (The Foundation for Aids Research) which officially opened in 1986 with Elizabeth Taylor as the National Chairman, unexplained cases of enlarged lymph nodes, Pneumocystis carinii pneumonia (a rare form of pneumonia usually only found in severely immunosuppressed patients) and cases of Kaposi’s sarcoma (KS), a rare form of cancer were showing up in young gay men in New York and California (amfAR). By 1981 there was no explanation for why this severe illness was targeting gay men.  The first major print news story about the mystery disease came in the New York Times; explain that gay-related immune deficiency (GRID) or “gay caner” was an inherent link between behavioral homosexuality and this new disease (amfAR).  By the end of 1982, HIV/AIDS was infecting women and young infants through blood transfusions; with sexual activity a suspect for transmission, but such conclusions had not yet been proven. That same year, the Center for Disease Control names the mystery  disease” AIDS” which is an acronym for “acquired immunodeficiency syndrome” and also include, in its medical analysis of the disease, four major risk factors: male homosexuality and behavior, intravenous drug use, Haitian origin, and hemophilia A (amfAR).  At this point in time there are 771 confirmed cases of AIDS reported in the U.S. and 618 deaths (amfAR). By 1983 the virus is no longer being reported in just the U.S. but Africa is reporting cases in both men and women which is a major uproar for the World Health Organization (WHO).  This is the first time that females are added to the list of those who are at risk. By the end of 1983, the AIDS virus has spread to 33 countries, the Center for Disease Control (CDC) warns blood banks of positive blood supplies nationwide, and the U.S. government begins preventive education for spreading AIDS through sexual behavior and contact, drug related and occupational transmission (amfAR).    In 1985, the federal government implements an HIV antibody test to screen all the U.S. blood supply to ensure those who receive a transfusion are safe.  This is the same year that Ryan White who is a 13 year old boy with hemophilia A, living in Indiana, received a transfusion, became HIV positive, and was banned from middle school.

Ryan White became the first non-gay male to publically announce that he was HIV positive through non-sexual behavior.  Ryan White became the national poster child for HIV/AIDS awareness in the 1980’s in the United States, speaking about the virus, the stigma and how he felt about the diagnosis. White was rejected permission to return to middle school after his positive HIV diagnosis with the result of a long legal battle (Shifts, 1987). The general public who lived in Kokomo, Indiana uneducated and fearful of the virus and did not want unnecessary exposure to the disease if they could prevent it by not having Ryan attend school, participate in sports and refuse service on his paper route.  It was the lengthy and taxing legal battle with the education system that made Ryan a celebrity and brought him the fame that he did not ask for (Shifts, 1987).  It was shortly after Ryan’s death that the Ryan White Care Act was signed into Congress in 1990.  This act to date is the largest Federal program that focuses only on HIV/AIDS care and prevention (HRSA).  It aids those who are under-insured or who do not have any health insurance and lack financial funding or other resources to care for the HIV/AIDS of themselves and their families.  The Ryan White Care Act is considered a “payer of last resort” and will only fill in the lack of funding gaps (HRSA).  The Sections of the Ryan White Care Act is directed under the U.S. Department of Health Services (HHS), Health Resources and Service Administration (HRSA) and HIV/AIDS Bureau (HAB) which addresses planning and decision-making, types of grants and where funds will be allocated to make programs have success (HRSA).

Continuing in 1985, AIDS is being reported in 51 countries and every continent except Antarctica.  The U.S. statistics are 15,527 cases of AIDS reported and 12,529 deaths but unknown how many have HIV who are not showing symptoms or have not been tested (amfAR). Without going into a discussion, 1986 is a year of change for those who are HIV/AIDS positive for Zidovudine (AZT) is approved as the first anti-viral HIV drug by Food and Drug Administration FDA; with barriers being broken down by the CDC and FDA to fast track the research (amfAR).  This new medication is the most expensive drug to ever hit the market at the staggering cost of $10,000 for a one year supply (FDA).

In 1990, with bipartisan support, President George H. W. Bush signed into law the Americans with Disabilities Act (ADA), a major piece of legislation which, among other civil rights protections, protects individuals with disabilities from discrimination, this included those who have HIV/AIDS and those suspected of being infected (amfAR). This occurred shortly after Ryan White’s death as well and often given acknowledgement for the ADA due to speaking out frequently and nationwide about his virus (Shifts, 1987). The number of deaths from AIDS in 1990 is staggering surpassing the number of those who died in the Vietnam War which is an estimated total of 1,313,000 (Lewy/archieves.gov).  72 percent of the women who are diagnosed with HIV/AIDS are black and Latina enforcing the strain theory of race and stigma (amfAR/Akers et al, 2013).

There is no doubt that other factors play into why certain people use intravenous drugs and end up putting themselves at risk for HIV/AIDS infection.  With the injection of heroin, HIV/AIDS quickly ran rampant in low income areas, living in the inner city and black. This was seen first in major cities such as New York, Boston, Los Angeles, and San Francisco (Allen et al, 2015). Those who were stuck in the grips of heroin use by the end of the nineteen sixties and into the mid nineteen seventies were seen as deviant, ones who were breaking the path of the social constructs that society has put forth for them; where in the short term past, drug use was seen as a social norm and one who did not use was the deviant and social “square.”  With this conflict of society’s expectations and their own battle of addiction, the heroin uses hold held tighter and tighter to the user.  Those who felt the stress and the strain of the inner city continue to use heroin (Akers et al, 2013).  The strain theory originated from Emile Durkheim whom states that a lack of social cohesion promotes deviance and deviant behaviors (Akers et al, 2013) Robert Merton applied Durkheim’s thoughts and applied them to the modern industrial social world of the United States and crime rates (Akers et al, 2013).  Merton uses the “American Dream” as an example of why the strain theory presents itself. Each individual is supposed to aspire to the American dream and if one does not, one is not maintaining the balance of social structure and culture (Akers et al, 2013). It is this belief in the American dream that leads members of the U.S. society to try achieving the allusive American dream through any means available such as breaking rules and laws, which in turn raises crime rates (Akers et al, 2013).  This fact of the strain theory is what affects those who are in lower economic stable areas and those who are stigmatized by race. Low socioeconomic status is a form of isolation with many residents struggling to make ends meet (Akers et al, 2013). It is in these situations that selling, using and trading drugs and needles becomes part of everyday life in hopes to gain financially (Spooner et al).  These situations are double edged in the fact that the heroin user hopes to have financial gain yet they also may find themselves with HIV/AIDS and spreading to others by sharing needles.

Labeling theory in the realm of criminal justice explains why stigmas and labels placed on another are so detrimental to society (Akers et al, 2013). Heroin is seen as immoral, dirty, and downright awful and those who use are often given those words as labels to who they are. Charles Horton Cooley introduced the looking-glass self as a way we see yourself through others perceptions of our self (Akers et al, 2013). This is not an easy concept to grasp but it does give an explanation as to why one continues to be a heroin user once labeled a heroin user, others see them that why so they become what they think others think they should be. In essence, it is a self-fulfilling prophecy. One becomes the label or stigma that is placed on one.

Race in the United States has been a battle for centuries and there are those that would argue that the black community is disadvantaged on a regular basis. This is not different when heroin use hit the urban areas of large cities in the 1980’s. This shift occurred due to the manufacturing sites that once provided employment to the black community either shut down or moved overseas with inflation that the 1980’s brought. This resulted in many residents with low income jobs or unemployed. Many of the residents lived near their place of employment to utilize public transportation but with the manufacturing opportunities dwindling, so are the chances of commuting to find and maintain other employment. The residents who used public transportation did not own their own vehicle nor had access to one with reliability hence creating a low to no income situation for many residents and families. The residents, again, saw drug selling and trading as a way to make money but many fell into the grips of addiction with heroin use themselves. The repercussions of this being that as the manufacturing jobs left the area, the middle class whom were a mix of white and black left the area as well leaving those who depended on their employment isolated once again. Blacks were the ones who were left behind as a middle class area slowly turned into a degraded, poorly kept, urban neighborhood. This transition opened the door for more heroin, needles and HIV/AIDS to enter. This shift also occurred due to a mistrust from the Black to the law enforcement known as broken glass policing. Those who may have had a issue with the police or lived in a poor neighborhood assume that the law enforcement are there to punish them, not to help them. This is seen time and time again in any urban area with a lack of cohesion (Spooner et al).

By the early nineteen eighties, the general public began to realize that heroin use and the spread of HIV/AIDS were no longer separate entities but very much correlated (Kaplan, 1993). In fact, they held each other’s hands.

Understanding of how and who was affected by heroin needle use and HIV/AIDS is only one half of the time period. The other is to explore the civic and state policies that surrounded and emerged due to the heroin use and spread of HIV/AIDS along with the fear that the public held if the policies were changed. When HIV/AIDS was first discovered it was unknown to many, even to doctors what the disease was and how it affected the health of someone. It was unknown if this mystery disease could be spread by coughing or sneezing such as a cold or by general contact such as shaking hands. The public was fearful of the disease that was coined “the gay plague” for it was first spreading through the gay male community (Gent, 2000). Those who were diagnosed were given a death sentence or an expiration date for life. At the time, there were no laws pertaining to the treatment of citizens with HIV/AIDS, no restrictions on keeping a person employed or firing them based on their HIV/AIDS status, and no protection policies in place for medical facilities who may come in contact unknowingly with the virus.

Those who were victims of HIV/AIDS were seen as deviant citizens who did something wrong and sinful. They were judged by their peers against moral standards for their sexual behavior and choices. They were criticized for being careless and promiscuous. Religion became a battle ground defensive for those who were fearful of the disease. It was what the public used as a shield to protect themselves in a way from getting to close to a disease that could potentially cross over into the straight population and affect them. Religion was used as way to discriminated those who were HIV/AIDS positive and judged for their behavior by others. (Jonsen et al, 1993).  Religion was reintroduced into government with the raise of HIV/AIDS on both sides of the argument with one wanting to save lives and the other wanting to shield itself from the believed moral injustices that people have committed to acquire such a virus. This created a line in the sand as to who was on what side and what laws and policies should be passed. Some of the challenges that those who had HIV/AIDS faced were privacy laws to employers and military, health benefits from insurance companies, and social norm policies such as segregation from others in public places.  These battles were not only fought in the court rooms and capitols of states but in homes and churches as well (Jonsen et al, 1993). HIV/AIDS turned America upside down for a while raising more questions than answers, bringing more debates than settling them and dividing a nation rather than bringing it together.

It was not long after the discovery of HIV/AIDS that heroin use began to rise. At the time, mid 1980’s many did not realize that there was a correlation between the two because the symptoms for HIV/AIDS is not apparent immediately such as if one were to get the flu. The virus may keep its secret for years while the person may continue careless behavior spreading the virus to others.  The use of heroin often involves the use of needles and one requires a prescription to carry and use needles so sharing needles became a popular and often out of necessity habit.  The sharing of needles is what is believed to have forced HIV/AIDS into the straight population when in truth it was infected blood from blood banks (amfAR). Many people had a difficult time believing that blood from blood banks could have been infected until Ryan White’s story was released so many of the general public wanted to blame drug addicts for HIV/AIDS crossing over from gay males to mainstream public. What we do know is that it wasn’t until heroin and HIV/AIDS hit the scene together that citizens started to take notice that public health was in danger and something needed to change. Many looked to the medical facilities for help but they were under rules and regulations as far as prescriptions and supplies.  It is here that the AIDS coalitions took charge with the needle exchanges for promotion of clean blood (Siplon, 2002). In 1988 in Tacoma, WA the first needle exchange program official kicked off where people could bring in dirty used needle for clean ones no questions asked, yet this was not  totally legal NEP (McLean, 2013). This action caught the attention of those who were against the needle exchange and protests quickly began. One side arguing that needles exchanges gave addicts a chance to keep using and the other side arguing that it gave addicts a chance to reduce the transmission of HIV/AIDS..  When these protests became large enough local officials, medical groups, and social services took an interest on how they could help those who were in need and what needed to be done to change the status quo. As stated earlier, the Americans with Disabilities Act was a huge step but it was apparent that state, county and city governments needed to be involved. This meant fighting for policies that were not yet on the books (McLean 2013).

Creating a policy is controversial. People will battle sides and have strong feelings about why this and why that. There is a particular way to sort items and agenda out when creating policies. One needs to understand the terms such as agenda: a list of problems government officials and those who are close to those government officials are seriously considering at the given moment (Kingdom, 2003).  Policy is a little complicated with a few more steps but to oversimplify them there are three key elements that strongly affect the outcome of a policy. The first being the role of the organization for it is extremely important for the study of the policy and affects the outputs by the governments involved (Siplon, 2002).  This includes the actors of those who are requesting a new policy or a change in an existing. Every person is important when it comes to approving or denying a policy that affects lives. The second point of policy struggle is role of values (Siplon, 2002). All policies that come into effect reflect the values of the society that they are implemented into. If the values of the society and the policy create discourse than what good does the policy do for the people of that society is it beneficial? The third and final implementation for creating a policy is the distribution and redistribution of resources (Siplon, 2002). This seems to be the point where most arguments are fought. Where does the money, people, housing, medical supplies and other resources go? Could they go somewhere else and be more beneficial in a different position or if they were spent differently? This point is one of the hardest bridges to cross when creating a new policy especially of it is for something as controversial, widespread and needed as needle exchanges for heroin users.  With these terms and concerns in the open those who needs to or are willing to take the challenge to change or create a new policy is better armed to do so.  One might ask where one goes from here. One arms him or herself with the knowledge to persuade those to change the policy and that requires more than just scientific facts and statistics (Siplon, 2002).

Some of the first needle exchange programs (NEPs) were not large and many of them were literally folding tables set up in urban area parking lots handing out clean needles risking legal ramifications. It took years of these types of operations and AIDS coalitions to develop into the clinics and NEPs that we have today.

As states earlier, the first NEP was established in 1988 in the state of Washington in Tacoma. It is still operating today making it the oldest NEP in the United States. The purpose of this program initially started to give drug users clean needle to prevent disease but today their services include sterile needles, safe collection of used needles, condom distribution, safe sex risk reduction education, and health and social services (TNEP).

In an urban area of Connecticut, New Haven, the needle exchange programs couldn’t have come at a better time. It was hear the prevailing transmission of HIV/AIDS was through intravenous drug use resulting in a growth of women and pediatric cases (Kaplan et al, 1993). The initial movement to combat the spread of the virus was implemented by the New Haven Mayor’s Task Force on AIDS (MTFA) which formed a street outreach program to educate about HIV/AIDS, deliver bleach kits for cleaning needles and hand out free condoms (Kaplan et al, 1993). Participants of the MTFA were surveyed and stated that needle sharing was common practice due to scarcity and fear of law enforcement with anti-paraphernalia laws.  In 1992, the first deregulation for the purchase of needles over the counter at pharmacies in the state in Connecticut which was much needed due to the issues in cities like New Haven was having with HIV/AIDS and heroin use at an epidemic high.  By 1994, in New Haven Connecticut, there was a significant decrease in the needles that were being returned that were testing positive for HIV/AIDS (Kaplan et al 1994). So that says that the NEPs are doing their jobs at reducing the transmission of the disease, though they may not be combatting the heroin addiction epidemic (Kaplan et al, 1994).  The first NEP was implemented in New Haven in 1990 to battle the spread of the HIV/AIDS virus (Kaplan et al, 1993).  New Haven, Connecticut was not the only state that was walking the path of NEPs opening and seeing the benefits from them.

By January, 1993, the United States has 37 operating NEPs in 30 cities spread throughout the nation. This was not small feat. From 1993 through the entire Clinton Administration ending in 2001, it is agreed that NEPs do not encourage the use of intravenous drugs and do help the reduction of transmission of HIV/AIDS, yet there is no lift on the ban of federal funding (timetoast.com).  From 2001 through 2009, George W. Bush does not even mention NEPs. Instead, his administration promotes alternate methods to combat the spread of HIV/AIDS such as sex education, use of condoms, and abstinence-only education (timetoast.com). It is not until 2011 when there is a significant growth in NEPs in the United States numbering 221 in 33 states and D.C. With all this information what has changed and how did this change come about? Policy changes were made. Yet how and from who?

As stated earlier, there are three ways to go about creating policy change and it is worth reiterating again. Instrumental policy processes aid the basis of decision making and give the policy direction. It is rare that policy makers and community stakeholders use this as a way to create policy or implement policy change. Research is often presented out of context and competes with other factors. Conceptual use of research to change a policy involves indirectly, swaying the policy processes by changing ideas and understanding. This typology can hold great value by shifting how an issue is understood by legislature and community stakeholders. Symbolic evidence may be presented to provide a legitimate reason for preferences and actions (Allen et al, 2015).

Another Draft: what I have so far

Cars which can drive themselves seem to be the subject of science fiction. They can be seen in all sorts of futuristic settings in films like Minority Report and I Robot; easily navigating crowded urban roadways while their owners sit and are entertained or begin their day’s work. At first, these cars seem like a wondrous convenience of the future, allowing people to turn their commute into time to work or prepare for the coming day. The promise of self-driving cars seem immense, but, as the film I Robot demonstrates, they come with their own dangers. In I Robot detective Del Spooner, played by Will Smith, is set upon by two commercial transports and their contents of activated robots in an effort to silence his attempts to uncover the truth about the death of an eminent robot scientist. This scene provides an excellent point for the complication of the idea of self-driving cars and modernity in general. The idea that these systems could be hacked or fully turn against humanity proves to be a fear which is ubiquitous in the annals of science fiction. Yet, the possibility of a conflict between humans and their robotic servants seems to be a far flung prospect when confronted with the state of contemporary robotics and automation. While there are factories filled with very articulate and precisely programmed robotic welding arms and other complex machines, anthropomorphic robots seem to elude the grasp of contemporary science and engineering. Looking at the current state of humanoid robotics, scientists and engineers are still struggling to design a robot that can traverse a set of stairs effectively, let alone effectively and efficiently simulate the complex range of human movements and behaviors. Technology has event farther to go in regards to designing software which has the capacity to mimic or approximate human intelligence.

While the current state of robotics seems to be a long way off, simple machines do have an impact upon the everyday lives of many people. Complex algorithms and programs are an integral part of the majority of the mundane activities that are a part of everyday life. When someone swipes a credit card, they are feeding information into a host of algorithms and systems which help credit card companies track consumer trends and attempt to prevent fraud. Most people don’t know about this system of information and algorithms because they have never been affected by it. Many people who travel, know it all too well when their credit card’s payment is blocked at a gas station or when trying to pay for lunch. The ever increasing presence of algorithms and autonomous devices in people’s daily lives is well illustrated by the development of autonomous, self-driving cars. Companies like Google are leading the way in this race with innovative designs and real world tests of their products.[i] The response to these public tests and the current state of self-driving car technology has garnered a mixed public response. While many people enjoy the novelty of the idea of a self-driving car and others enjoy the possibly of a safer more predictable driving environment; others, especially those at the National Highway Safety Administration wish to take a more cautious approach.[ii]  The concerns of the NHSA must be taken very seriously if self-driving cars are to be part of the near future since the NHSA helps decide if vehicles are allowed on America’s roads. Not only do self-driving cars produce a host of safety concerns, but they also pose serious questions in regards to ethics and liability law.

Self -driving cars may be a few decades from full completion, but the questions they raise are questions that need to be answered if self-driving cars are to exist in our contemporary society. The most pressing of these questions is what happens when a self-driving car gets into an accident where harm is unavoidable. This question poses serious ethical and legal problems because the car is no longer a passive element, the driver may be ceding most, if not all of their control of the vehicle to the algorithms in the car.  For instance, imagine a self-driving car is turning a corner and cannot detect what is on the other side. As the car rounds the bend, it detects a group of pedestrians crossing the street so close to the car’s projected trajectory that it cannot stop in time to avoid hitting the pedestrians. At this point, the computer has to make a choice, either it can apply the brakes and hit the group of pedestrians, it can swerve into oncoming traffic in an attempt to avoid the pedestrians, or it can swerve into the building complex which blocked its sensors from detecting the pedestrians. The dilemma that faces the car’s driving algorithms eerily matches a classic philosophical problem called the trolley problem where a person is standing on a platform and has the option to save a group of people on the tracks from a runaway trolley. This new trolley problem is complicated by the fact that the driver is not directly responsible for the actions of the machine because they have little control over what the machine actually does. As much as programmers will hate to admit it, these situations must be thought of and controlled for if these vehicles are to be considered safe. Some scholars have already chimed in on this topic…..

(Question and thesis) This research paper’s goal is to bring a philosophical and ethics driven perspective to the issue of what happens when a self- driving car has an accident where harm is unavoidable by viewing the problem through the frameworks of machine and utilitarian ethics. This paper’s core research questions are how should self-driving cars be thought of when handling their ethical implications and what ethical system should govern how a self-driving car behaves in an unavoidable accident. Moving from these questions, this paper will explore the current ethical and legal paradigm in which smart cars exist and, after careful consideration, attempt to show that smart cars are best governed by a utilitarian ethical framework.

The discussion of the legal and ethical implications of self-driving cars begins with a collaborative study entitled Autonomous Vehicles Need Experimental Ethics: Are we Ready for Utilitarian Cars? by Jean-Francois Bonnefon, Azin Shariff, and Lyad Rahwan.[iii] Their article is an excellent starting point for a discussion on the current ethical and legal landscape of self-driving cars because it provides broad overview of the current legal and ethical issues associated with self-driving cars. This overview encompasses the legal issue that self-driving cars are primed to need a new set of regulation to clarify uncertainties regarding the event of unavoidable harm and the current legal debate over how current and future legal structures will handle the ambiguity of liability formed by self-driving cars.[iv] As Bonnefon, Shariff, and Rahwan’s legal discussion winds down, it shifts quickly to a discussion of the ethical issues pertaining to slef driving cars.[v] The core of the ethical issues facing self-driving cars has to do with the allocation of harm in the event of an unavoidable crash. Bonnefon et al contend that self-driving cars will need to have some form of morality programmed into them so that they can effectively allocate the harm of an accident to different parties in the accident.[vi] Discussing the need for self-driving car algorithms to be able to allocate harm, quickly shifts to a discussion of different methods of harm allocation. Bonnefon et al choose to begin this discussion with the utilitarian philosophy that the greatest number of people should be protected in the event of unavoidable harm. A utilitarian allocation of harms means that single pedestrians or drivers may be sacrificed in the event of a crash where a group of pedestrians are crossing the street and a car could not stop in time using its breaks.[vii] After exploring a utilitarian avenue of harm allocation, Bonnefon et al discuss, and advocate for, a more empirical and data driven approach to answering the ethical question of self-driving cars.[viii] To conclude, this paper is one of a few to look at the issues pertaining to self-driving cars from an ethics based perspective. It contains a solid roadmap for further discussion of these issues, beginning with an inspection of the legal dimensions of self-driving cars and latter moving towards an in depth discussion of ethical theories and solutions to the problem of the allocation of harm in accidents.

Looking into the legal landscape of self-driving cars, there are two clear questions; the first is about the effect of self-driving cars on cases of liability law and insurance. This core question looks at who is liable for damages incurred by a self-driving car. One paper inspecting this conundrum is Responsibility for Crashes of Autonomous vehicles by Alexander Hevelke and Julian Nida-Rümelin.[ix] Their work uses a legal-ethics perceptive to inspect the problem of liability and test several possible legal solutions to this problem. Initially, they test the idea that the driver should be responsible for intervening in the event of an accident.[x] Having the driver intervene means that the liability of driving would continue to fall on the driver and any legal proceedings would occur normally. While this seems to be a simple solution, Hevelke and Nida-Rümelin show that this system is problematic because accidents are not always caused in an obvious fashion and autonomous cars would be required to cede control to the operator at a time when there is little or nothing the operator could do.[xi] Their argument relies on the idea that liability implies a duty to take reasonable precautions and actions to minimize harm and there is no way to guarantee that the driver would have enough time to take reasonable action after they regain control of the vehicle.[xii] Another liability solution that Hevelke and Nida-Rümelin inspect is the concept that the driver is responsible for an accident simply by using the vehicle which caused the accident.[xiii] This idea follows the reasoning that every time a person uses a car, there is a risk that said car could get into an accident.[xiv]When someone uses a vehicle, they are taking the risk that they will cause harm to themselves or others due to a car accident.[xv] Hevelke and Nida-Rümelin then construct a dichotomy between two plausible scenarios where this thinking would be applied. Scenario one involves the owner of the car assuming the risk of owning the car itself.[xvi] In such a scenario, each person who owned a self-driving car would have an equal share in the responsibility of any accidents involving a self-driving car, this would lead to a possible system where owners of self-driving cars each paid a tax or mandatory insurance fee.[xvii] For liability scenario number two, the operators of the car at the time of the accident would be held liable.[xviii] Hevelke and Nida-Rümelin believe that this scenario seems to rely on the luck, or lack thereof, of the person using the vehicle.[xix] They liken the situation to accidents which are caused by common driving mistakes like speeding or getting distracted; while many people speed or are distracted while driving every day, few of them get into accidents or get caught by police.[xx] Therefore, the legal system punishes the unlucky whose normal bead driving habits have caused them to have an accident.[xxi] Given these two scenarios, of driver based liability Hevelke and Nida-Rümelin argue that the driver intervention and vehicle owner based forms of liability are both plausible options for allocating liability in self-driving car accidents.

The second issue that self-driving cars will face is the issue of government regulation and safety standards. Discussion of how to define and regulate self-driving cars is currently unfolding through the National Highway Traffic Safety Administration (NHTSA) and state regulations. The NHTSA proposes a cautious set of rules and regulations in their Preliminary Statement of Policy Concerning Automated Vehicles, ranging from limiting their current use to technical testing and providing a simple and timely system for a driver to regain control of their vehicle.[xxii] This policy statement is likely to be a guide for a significant portion of future legislation regulating the design and testing of self-driving cars. Currently, the California Department of motor vehicles is spearheading this discussion by creating a preliminary set of regulations for the widespread use of self-driving cars.[xxiii] Their regulatory scheme covers 4four mains points: the cars must be certified by the manufacturer and testing company, the cars must have licensed drivers, a three year permit system, and a requirement for the protection of personal information and cyber security.[xxiv]  This set of regulations echoes the core sentiment of the NHTSA preliminary policy statement by focusing on safety requirements and a limited scope of operation. In the end, the current regulatory discussion of self-driving cars is dominated by a need to improve safety and foster the development of self-driving car technology.

Shifting gears to the philosophical discussion of self-driving cars. This paper will be discussing how harm should be allocated in the event of an unavoidable crash by using two philosophical systems, machine ethics and utilitarian ethics. Machine ethics is a discipline which focuses on computational systems and their moral implications.[xxv] The central questions of machine ethics focus on how programs and machines are defined as moral entities, ranging from amoral tools to fully moral agents, and how philosophers should ascribe ethical responsibility to these differing moral entities.[xxvi] Computers problematize basic moral structure of free will by creating a system in which basic decision making can be constrained or completely circumvented by automated systems.[xxvii] Moving from the moral implications of automated systems, machine ethics looks towards the future in attempting to construct systems for the programming and “education” of artificial intelligences (AI’s) which may have the capacity to become an autonomous moral agent.[xxviii] An autonomous moral agent (AMA) is a computer or program which can assess its actions in a given situation and calculate its effects on sentient beings to make a morally relevant decision.[xxix] While this aspect will not feature heavily in the discussion of the ethics of self-driving vehicles, the authors and main proponents of AMAs, Wallach and Allan, formulate important arguments for the imposition of ethical codes on machines and the classification of ethical machines.[xxx] Machine ethics is critical to any discussion of self-driving vehicles since self-driving cars are, by definition, taking control from human beings and putting it in the hands of computer algorithms, which is directly within the purview of this type of ethical philosophy. Thus, machine ethics plays an integral role by providing a theoretical framework for self-driving cars to become part of the landscape of ethical philosophy.

While machine ethics integrates self-driving cars into the realm of philosophical discussion, it does not provide any strong normative claims which would guide a discussion of how self-driving cars should be programmed. To that end, utilitarianism, as a normative theory, will be applied to self-driving cars to construct a normative framework for their programming and construction. Utilitarianism is a normative ethical theory, which means it attempts to create a system which makes a distinction between right and wrong on certain grounds. John Stewart Mill outlined the basic elements of Utilitarianism is his 1861 book Utilitarianism. [xxxi] The core of Mill’s utilitarian theory is that humans should strive to generate the greatest amount of happiness possible.[xxxii] This, “greatest happiness principle” is derived from an empirical argument that because all people desire happiness, that it must be a goal for all people.[xxxiii] Since happiness is a universal human goal, we are ethically obligated to work towards making the highest number of people as happy as possible.[xxxiv] Mills line of reasoning can generate some contentious discussion and many scholars have attempted to refute or discredit Mill’s argument.[xxxv] Even in Utilitarianism Mill must spend some time defending his theory from detractors. In his defense of a critique that utilitarianism promotes an obsession over purely physical acts of pleasure, Mill makes an important distinction between carnal, lower, pleasures (things like eating and sex) and higher pleasures, like listening to music or admiring art, are superior pleasures to be sought and preferred over lower pleasures.[xxxvi] This defense is important because it helps distinguish utilitarianism as a philosophy which can be refined and focused on specific issues, while maintaining its core elements. Another important utilitarian thinker, is Peter Singer. His work, entitled Practical Ethics expands on Utilitarian thought by asking how human equality can be viewed in light of utilitarian ethical theory.[xxxvii] For Singer, equality is a multi-faceted term which has different implications depending on what element of equality someone is looking at.[xxxviii] For instance, equal consideration of a person’s interests implies that each person is equally entitled to care and that those whose need is grater, or a greater number of people with the same need, take precedent over someone with a less pressing need.[xxxix] Equal consideration of interests is radically different from basic equal treatment which implies giving everyone the same treatment regardless of their situation.[xl] As a tangible example of these two types of inequality, imagine two people who are hungry, one of them has not eaten for almost three days, the other is hungry because it is lunch time. If there is only enough food for one person, who should be given the food? An equal treatment philosophy would suggest dividing the food in half, or perhaps flipping a coin, to see who gets the food. An equal consideration of the two persons’ interests would see that the person who has not eaten in three days needs the food because they have a more pressing need to be fed, when compared to someone who is hungry for lunch. The difference between equal treatment and equal consideration of interests is a very important distinction in contemporary ethics in that it essentially allows for cost-benefit analysis of moral decisions and calls for people who are significantly well off, especially people in the United States, to assist those who struggle to meet their basic needs. Additionally, this treatment vs consideration discussion factors heavily into this paper’s utilitarian ethical argument.

Defining Self driving Cars

Moving from a general overview of self-driving cars, our focus will turn to the first part of the questions at hand. Mainly, how should self-driving cars be defined in terms of their moral capacity? This question is critical to answering the more pressing questions because defining a self-driving car’s capacities or lack thereof will be a key determinant of what ethical theory said cars would be capable of following. This is important because most ethical theories require a rational agent to be morally responsible for their actions. For instance, most moral philosophers would not hold a small child or developmentally disabled person responsible for small moral infractions. Similarly, people don’t put cars on trial for killing someone in a car accident. This question of moral responsibility balloons into a question of definition as many moral philosophers take stands on how and when people become morally responsible for their actions.

For self-driving cars, this question becomes all the more potent as machine ethical theory will prescribe different moral rules and capacities based on how these machines can be classified. Separating machines based on their ethical capacities requires a different set of rule than most moral philosophers would use to identify human moral capacities and development. Wallach and Allen outline an excellent system for determining the ethical capacities of machines and programs in their book Moral Machines: Teaching Robots Right from Wrong.[xli] Their system relies on the formation of a two part scale which measures machines on their ethical sensitivity, also known as their capacity to detect ethical dilemmas and apply ethical theories, and a machine’s autonomy.[xlii] They see machines as falling into four main categories: amorality, operational morality, functional morality, and full moral agency.[xliii] Amoral machines lack any real ethical sensitivity or autonomy in their operation, a can opener for instance has no ethical sensitivity or autonomy in its use. Next, operational morality occurs when machines are designed with a moral purpose in mind, for instance a firearm with a built in safety lock is a device with operational morality. Functional morality takes operational morality one step further. Machines with functional morality are devices with sufficiently high autonomy or ethical sensitivity that they are beyond the realm of operational morality. For instance, a plane’s autopilot has a significant amount of control over the operation of a plane, yet there are specific guidelines and limits to the autopilot’s operation which helps secure the safety and comfort of the passengers inside the plane.[xliv] Thus, the plane has functional morality because its high degree of autonomy moves it beyond the realm of operational morality. Another way to think of the difference between operational and functional morality is to outline the difference between parental guidance software, and MedEthEx, an ethical guidance program for medical providers.[xlv] Comparing these two software systems, the parental guidance software exhibits operational morality by blocking or restricting the websites a child can visit and view, with no regard to the actual content of the sight or the reasoning behind why the sight was blocked. This simple form of moral programming exists in contrast to the complexities of MedEthEx, which is designed to assist physicians navigate the complexities of difficult medical ethical questions.[xlvi] In this example, the contrasting value is ethical sensitivity, MedEthEx exhibits functional morality because it can guide a physician through ethical gray areas like when to perform an abortion, or which medical procedure to recommend. At the same time, parental control software is merely concerned with a simple set of parameters, mainly “good” and “bad” websites, regardless of the content of the website or the reason for someone visiting it. Theoretically, a parent could use a parental control program to block sights which they dislike for personal or political reasons. The parental control software and the child have no way of knowing why the content was blocked, merely that the website was on the list of unwanted websites. This lack of ethical sensitivity places parental control software squarely in the realm of operational morality, while MedEthEx’s capacity for ethical sensitivity places it into the level of functional morality. Through this discussion, it can be determined that a machine with functional morality must have either a sufficient level of autonomy or ethical sensitivity to be able to make, on some level, an ethical decision with little or no human input.

Moving beyond operational and functional morality, there is a final, and mostly theoretical, stage of machine morality: a fully autonomous moral agent (AMA).[xlvii]  The autonomous moral agent is the holy grail of machine ethics and computer science. Full AMAs would be capable of making moral decisions without help or input from any human, they would be fully moralized AI with the capacity to defend and take responsibility for their actions.[xlviii] Most, if not all, AMAs seen in modern society are the product of fiction. Robots like Sunny from the movie I Robot or Bender Bending Rodriguez, the chain smoking, serial felon, robot on Futurama are examples of AMAs.[xlix] While their actions may not be seen as positive or permissible, they are solely morally responsible for their actions and are in charge of making decisions for themselves. Although AMAs of the caliber seen in science fiction are years away, much of the work in the field of Machine ethics is focused on how to build and program AMAs.   Taking a step backward from AMAs, self-driving cars are most likely to find themselves in the realm of either operational or functional morality due to their level of technical advancement and their limited ethical sensitivity. Deciding which category these cars belong in is a critical first step in determining how self-driving cars should be handled from an ethical perspective. Previously, we defined operational and functional morality in the context of machine ethics and determined that the core difference between these definitions of moral capacity came down to a machines capability for autonomy and ethical sensitivity. Applying these criteria to self-driving cars will require an inspection of the technical capabilities of self-driving cars to determine the cars capacity for autonomy and ethical sensitivity. More specifically, in looking at the design and intended function of self-driving cars, it makes sense to create a set of criteria for determining a self-driving car’s capacity for autonomy and ethical sensitivity. There are three elements which are clear contenders for determining a self-driving car’s ethical standing. First: what can the car detect? This question is important for determining the ethical sensitivity of self-driving cars, because higher degrees of ethical sensitivity would require knowing the difference between adults and children, or pedestrians verses cars. Another important consideration which will help determine how self-driving cars are defined in an ethical sense is how autonomous these cars are. Theoretically, self-driving cars could be fully autonomous with the ability to perform all the functions of a human driver. This theoretical capacity for full autonomy may be curtailed by social or legal constraints, as seen in California’s rules that require a licensed driver to be at the wheel and have the capacity to take control of the car at all times.[l] Such regulations could limit the autonomy of a self-driving car so that it would be firmly on the side on operational morality. Finally, the car’s capacity to handle allocation of harm will be the final product of defining the self-driving car’s moral paradigm. Self-driving cars which are designed to be the final determinant in the allocation of harm, will have a significantly higher level of autonomy than a car which cannot allocate harm, or cedes control to a driver in the event of an unavoidable accident. Self-driving cars can exhibit a diverse gradient of ethical sensitivity depending on their design, programming, and features. Specifically, the two metrics of ethical capacity are: the car’s ability to detect and differentiate between objects, and the level of autonomy the car is afforded in its movement and driving. By defining self-driving cars within a machine ethical paradigm, we will be able to discover the limits of a self-driving car’s capacity to allocate harm.

Answering the question of self-driving cars’ ethical sensitivity, requires a knowledge of the algorithms and sensory equipment which govern self-driving cars. Currently self-driving cars seem to have an amazing technical capacity to detect and classify objects on the road. Google’s self-driving cars are capable of performing amazing feats of tracking, including detecting individual cyclists and pedestrians in the dark.[li] Furthermore, Google’s cars are capable of detecting smaller objects like sandbags and responding appropriately. [lii] Considering these cars are in the early stages, their performance is amazing. While self-driving cars are marvels of technical ability, the detection capacity seems to be limited to individual cars and objects. The information density present in Google’s monthly reports seems to be limited to detecting objects within certain parameters and giving those objects a different amount of space depending on the objects size and movement.[liii] This means that contemporary self-driving cars may have a moderate to low level of ethical sensitivity in terms of detection. Although self-driving cars can differentiate between human and non-human objects, they still cannot pick out differences between individual humans, or types of humans (i.e. older, younger, etc.). This lack of informational sensitivity plays a key role in defining self-driving cars as possibly being machines with operational morality, however more information is needed to definitively place self-driving cars into a moral framework.

Inspecting the autonomy of self-driving cars is bound to be one of the most important deciding factors in determining their moral standing due to autonomy being self-driving cars’ inherent purpose and defining feature. The core goal and mission of self-driving car projects is to create an automobile which can handle street conditions without the input of the driver. That begin said, the autonomy of a self-driving car may be curtailed drastically by the social and legal forces in contemporary American society. Since self-driving car technology is currently in the development phase, it makes sense to have very strong safety and security measures to insure that any bugs or technical glitches are handled as safely as possible. Yet, having a system where control of the vehicle is ceded in the event of an emergency is not without its major issues. Previous discussion of the legal and ethical landscape surrounding self-driving cars points to critical issues with letting the person in the driver’s seat take over. Chief among these is the question of when should the driver take over and how would the machine handle this process? If a self -driving car can only detect inevitable or extremely likely accidents a few seconds before they occur, a human would have little time to assess the situation and respond in whichever way the deem fit. Furthermore, If a self-driving car’s programming put a human into the situation where an accident would be likely or inevitable, it makes little sense for the human to take responsibility for the vehicle if they had no control over the algorithmic decisions that placed them in that context. As a final thought, the whole concept of a fully functional self-driving car needing a fully licensed driver to take control seems to ultimately defeat the labor saving purpose of self-driving cars in general. If fully tested and programmed self-driving cars need to be monitored by licensed drivers, then the totality of self-driving technology would amount to little more than a novelty, with little use for humanity. Although self-driving cars certainly require human intervention in their testing phase, there seems to be little use for human intervention in fully realized self-driving cars, except for a legal or moral cop out.

After meditating on the dubious usefulness of human intervention in the operation of a fully tested and programmed self-driving car, it should be clear that any discussion of a realized self-driving car in a moral sense should be done with a fully autonomous self-driving car in mind. If a self-driving car is fully autonomous, then it should clearly exist in the realm of functional morality. Since functional morality implies a significant amount of either ethical sensitivity or autonomy.[liv] Any fully autonomous car must be firmly placed into the realm of functional morality because it is clearly making all the driving decisions and humans will have no real input in the driving of the car.  Although their intense amount of autonomy puts them in the realm of functional morality, their level of ethical sensitivity is still in question.

From the discussion of self-driving cars’ ethical sensitivity in terms of their ability to detect human beings and any differences among them, it appears that self-driving cars have a low ethical sensitivity. This low level of ethical sensitivity is rounded out by a very high level of autonomy, which is what gives self-driving cars their functional morality. The capacity for functional morality means that self-driving cars must be able to avoid and mitigate instances of harm as best they can. Without the capacity to avoid and, in the unfortunate event of an accident, allocate harm, self-driving cars will not achieve their moral capacity. If self-driving cars fail to have a moral set of rules for allocating harm, they are very unlikely to be allowed on the road due to questions of safety, legality, and engineering ethical practices.

The case for Utilitarianism

In filling the need for self-driving cars to have an ethical system, it is important to recognize that, while there are a plethora of schools of ethical thought, few of these schools are suited for the self-driving cars. The reason few schools of thought are able to effectively govern a no- human machine. For instance, many ethical systems, especially those applied to specific disciplines, are centered on the idea that a moral agent has a duty to other people or clients in the case of applied disciplinary ethics. The concept of a moral agent having a duty is not compatible for machines with functional morality because those machines are still not full moral agents. Full moral agency requires the capacity to assess a situation from multiple different angles and viewpoints. So far, this level of assessment has only been observed in sentient human beings. Thus, there is no clear way to reasonably ascribe full moral responsibility to a non-sentient object. For instance, nobody would accuse a firearm of being callous or unethical if it was used in a murder. With this in mind, duty based ethical systems cannot hold non-sentient machines accountable for their actions because they do not have the capacity to have a set of fully realized duties, nor do non-sentient machines have the processing capacity to properly analyze a situation without human inputs.

While duty based ethical decision making is not fully programmable in non-sentient machines like self-driving cars, a utilitarian system is easily programmable. Since utilitarianism is based around maximizing the happiness of all human beings, it is able to lend itself to different interpretations that do not require a sentient being to the one to enact moral decision making.  This is seen in Bonnefon, Shariff, and Rahwan’s work through their reimagining of the ethical trolley problem to include self-driving cars.[lv] In their reimagining, they show how self-driving cars can be programmed to mirror utilitarian decision making by detecting the number of people in the crosswalk, and acting to possibly harm or kill the driver to save the pedestrians.[lvi]  It is important to note that in these scenarios, the car is not actually making a choice, it has been preprogrammed with algorithms which are designed to react to specific inputs. The cars themselves would not be acting with any intent. Instead, the intent of the action would be made months, years, or even decades before the car entered the streets when the algorithms which govern accidents are programmed. With such a lag between decisions made by the manufacturer and the outcomes of these decisions, it is paramount that utilitarian programming is validated by a strong and complete argument.

To that end, it is important to note that the utilitarian solution to the trolley problem of self-driving cars is also supported by utilitarian normative theory, specifically Peter Singer’s theory of equality and equal consideration of needs. In the utilitarian framework, the only ethical choice is to have self-driving cars enact the option which causes the least amount of harm to individuals, and by extension provides the most benefit. Having the self-driving car act to save the most people is the ethically sound thing to do because it equally considers each person’s needs, primarily the greater need of the greater number of people’s lives. In a way, equally considering the needs of each pedestrian comes down to an elementary idea in utilitarianism that, as Mr. Spock would say, “The needs of the many, outweigh the needs of the few.”[lvii] Additionally, from a social and legal perspective, the choice to make cars utilitarian presents an opportunity to actively mitigate harm. If self-driving cars are programmed to be utilitarian, then they will act in the best interest of society by mitigating the social impact of any accidents which involve self-driving cars. The legal perspective may also come into play when issues of liability inevitably arise among self-driving car manufacturers. In this context, it may be very beneficial for auto manufacturers to design cars that are socially responsible in the worst case scenarios.

While this argument is strong, it is important to note that there are competing theories and important considerations to make when attempting to standardize utilitarian cars. Some of the strongest objections that will be made to the implementation of a utilitarian self-driving car is that these cars’ actions will not be in the driver’s best interest and that people should be allowed to choose how their car beaves in the event of an accident. The argument for driver choice is found in Bonnefon, Shariff, and Rahwan’s work regarding self-driving cars. In their paper, they argue that self-driving cars’ actions should be governed, at least in part, by using empirical methods to determine what most people would want their car to do in the event of a crash.[lviii] Their idea seems to

[i] “Google Self-Driving Car Project.” Google Self-Driving Car Project. Accessed March 20, 2016. http://www.google.com/selfdrivingcar/.

[ii] United States. Department of Transportation. National Highway Traffic Safety Administration. Preliminary Statement of Policy Concerning Automated Vehicles.

[iii] Bonnefon, Jean-François, Azim Shariff, and Iyad Rahwan. “Autonomous Vehicles Need Experimental Ethics: Are We Ready for Utilitarian Cars?.”arXiv preprint  arXiv:1510.03346 (2015).

[iv] Ibid

[v] Ibid

[vi] Ibid

[vii] Ibid

[viii] Ibid

[ix] Hevelke, Alexander, and Julian Nida-Rümelin. “Responsibility for Crashes of Autonomous Vehicles: An Ethical Analysis.” Sci Eng Ethics Science and Engineering Ethics 21, no. 3 (2014): 619-30.

[x] Ibid

[xi] Ibid

[xii] Ibid

[xiii] Ibid

[xiv] Ibid

[xv] Ibid

[xvi] Ibid

[xvii] Ibid

[xviii] Ibid

[xix] Ibid

[xx] Ibid

[xxi] Ibid

[xxii] United States. Department of Transportation. National Highway Traffic Safety Administration. Preliminary Statement of Policy Concerning Automated Vehicles.

[xxiii] “DMV Releases Draft Requirements for Public Deployment of Autonomous Vehicles.” DMV Releases Draft Requirements for Public Deployment of Autonomous Vehicles. Accessed March 30, 2016. http://dmv.ca.gov/portal/dmv/detail/pubs/newsrel/newsrel15/2015_63.

[xxiv] Ibid

[xxv] Noorman, Merel. “Computing and Moral Responsibility.” Stanford University. 2012. Accessed March 30, 2016. http://plato.stanford.edu/entries/computing-responsibility/#RetConMorRes.

[xxvi] Wallach, Wendell, and Colin Allen. Moral Machines: Teaching Robots Right from Wrong. Oxford: Oxford University Press, 2009.

[xxvii] Noorman, Merel. “Computing and Moral Responsibility.” Stanford University. 2012. Accessed March 30, 2016. http://plato.stanford.edu/entries/computing-responsibility/#RetConMorRes.

[xxviii]Wallach, Wendell, and Colin Allen. Moral Machines: Teaching Robots Right from Wrong. Oxford: Oxford University Press, 2009.

[xxix] Ibid

[xxx] Ibid

[xxxi] Wilson, Fred. “John Stuart Mill.” Stanford University. 2002. Accessed April 01, 2016. http://plato.stanford.edu/entries/mill/#MorUti.

[xxxii] Mill, John Stuart, and George Sher. Utilitarianism. Indianapolis: Hackett Pub., 2001.

[xxxiii] Ibid

[xxxiv] Ibid

[xxxv] Wilson, Fred. “John Stuart Mill.” Stanford University. 2002. Accessed April 01, 2016. http://plato.stanford.edu/entries/mill/#MorUti.

[xxxvi] Mill, John Stuart, and George Sher. Utilitarianism. Indianapolis: Hackett Pub., 2001.

[xxxvii] Singer, Peter. Practical Ethics. Cambridge: Cambridge University Press, 1979.

[xxxviii] Ibid

[xxxix]Ibid

[xl] Ibid

[xli] Wallach, Wendell, and Colin Allen. Moral Machines: Teaching Robots Right from Wrong. Oxford: Oxford University Press, 2009.

[xlii] Ibid

[xliii] Ibid

[xliv] Ibid

[xlv] Anderson, Michael, Susan Leigh Anderson, and Chris Armen. “MedEthEx: A Prototype Medical Ethics Advisor.” American Association for Artificial Intelligence, 2006, 1759-765. Accessed April 5, 2016.

[xlvi] Ibid

[xlvii] Wallach, Wendell, and Colin Allen. Moral Machines: Teaching Robots Right from Wrong. Oxford: Oxford University Press, 2009.

[xlviii] Ibid

[xlix] I, Robot. Performed by Will Smith. Beverly Hills, CA: 20th Century Fox, 2004. , Futurama. Beverly Hills, CA: Twentieth Century Fox Home Entertaient, 2003.

[l] “DMV Releases Draft Requirements for Public Deployment of Autonomous Vehicles.” DMV Releases Draft Requirements for Public Deployment of Autonomous Vehicles. Accessed March 30, 2016.

[li] “Google Self-Driving Car Project.” Google Self-Driving Car Project. May 2015. Accessed April 08, 2016. http://www.google.com/selfdrivingcar/reports/.

[lii] “Google Self-Driving Car Project.” Google Self-Driving Car Project. February 2016. Accessed April 08, 2016. http://www.google.com/selfdrivingcar/reports/.

[liii] “Google Self-Driving Car Project.” Google Self-Driving Car Project. May 2015. Accessed April 08, 2016. http://www.google.com/selfdrivingcar/reports/.

[liv] Wallach, Wendell, and Colin Allen. Moral Machines: Teaching Robots Right from Wrong. Oxford: Oxford University Press, 2009.

[lv]Bonnefon, Jean-François, Azim Shariff, and Iyad Rahwan. “Autonomous Vehicles Need Experimental Ethics: Are We Ready for Utilitarian Cars?.”arXiv preprint  arXiv:1510.03346 (2015).

[lvi] Ibid

[lvii] Star Trek II–the Wrath of Khan. Directed by Nicholas Meyer. 1982.

[lviii] Bonnefon, Jean-François, Azim Shariff, and Iyad Rahwan. “Autonomous Vehicles Need Experimental Ethics: Are We Ready for Utilitarian Cars?.”arXiv preprint  arXiv:1510.03346 (2015).

Rough Draft #1/ Not finished but all I have

Shannon Renz

Rough Draft

Needle Exchange

 

Abstract

 

In the United States, there is often a strong moral context in regard to creating and implementing public policy, this is especially true in regard to policies around IV drug users and needles exchanges. This is based on the understanding that IV drug users are deviant sinners who made and continue to make bad choices: it is the drug users own fault that they are IV drug users. This is strongly reflected in the municipal, county, and state policies in regards to needle exchanges and discussions of implementing them in communities where IV drug use and disease is rampant.  Yet, some cities, such as New Haven and Chicago have overcome the challenges of moral objection, social norms and difficulty of policy to legalize needle exchanges. Prior to overcoming the policy barriers in particular cities, HIV/AIDS and heroin escalated to the point where it was becoming a public safety hazard.  HIV/AIDS coalitions initiated the needle exchanges to promote safe blood with the understanding that clean needles resulted in cleaner blood which aided in the reduction of IV drug users and HIV/AIDS cases.  This paper will use Conflict Theory as a lens to analyze the implementation of needle exchange programs and how changing social policy interrupts the social norms, order, and rules. IV drug users are not part of what society deems as a norm, hence they and the needles that they use are conflicts. Conflict Theory states that those who have the power are those who make the laws. IV drug users are not those who have power and they are unable to make laws or regulations because they are outside of the societal norm making laws and policies.

 

Body

 

Heroin is the most addictive drug there is on the street today. Heroin is the most addictive that has ever been produced. It has a medical history, a shady diseased past and holds a current epidemic present. Heroin has gone through two different time periods of popularity. One being in the nineteen seventies into the eighties and the other starting in the late nineteen nineties. This paper will look at the paradigm shift between the two different time periods and how they differ in terms of making legal policies, social norms and needle exchanges.

 

The first major wave of heroin use was seen in the late nineteen seventies along with the raise of HIV/AIDS. This followed the movements and thoughts of “make love not war,” with many believing that the United States was in the wrong to enter the Vietnam War and protests were popular. Drug use to free the mind and feeling were popular. “Love yourself and your neighbor” mentality was a way of life and this had consequences, one of them being the spread of HIV/AIDS through heroin use by injection. Those who used heroin to free their mind did not realize that the drug would take hold of them and be a battle of addiction with the repercussion of spreading a disease.  Many believed that HIV/AIDS would not affect them for it was believed to be only a gay men disease that would not reached the straight population.

The history of HIV/AIDS is relevant to the development of how needle exchange came to be and why the policies can be challenging to change. So a small history lesson on HIV/AIDS. In 1980, according to Mathilde Krim, Ph.D., Founding Chairman of amfAR (The Foundation for Aids Research) unexplained cases of enlarged lymph nodes, Pneumocystis carinii pneumonia (a rare form of pneumonia usually only found in severely immunosuppressed patients) and cases of Kaposi’s sarcoma (KS), a rare form of cancer were showing up in young gay men in New York and California. This was occurring in 1981 and there was not an explanation for why these sever illnesses was targeting these men. The first publication about the mystery disease came from the New York Times stating that gay-related immune deficiency (GRID) or “gay caner” was an inherent link between behavior homosexuality and this new disease (amfAR).  By the end of 1982, the population saw HIV/AIDS infecting women and infants through blood transfusions; with sexual activity a strong suspect for transmission yet not proven. The Center for Disease Control terms the disease AIDS (acquired immunodeficiency syndrome) and includes four major risk factors: male homosexuality, intravenous drug use, Haitian origin, and hemophilia A. At this point in time there are 771 confirmed cases of AIDS reported in the U.S. and 618 deaths (amfAR). By 1983 the disease is no longer being reported in just the U.S. but Africa is reporting cases in both men and women.  In 1985, the federal government implements an HIV antibody test to screen all the U.S. blood supply to ensure those who receive a transfusion are safe. This is the same year that Ryan White who is a 13 year old boy with hemophilia received a transfusion, became HIV positive and was banned from school.  AIDS is now being reported in 51 countries and every continent except Antarctica.  The U.S. statistics are 15,527 cases of AIDS reported and 12,529 deaths but unknown how many have HIV who are not showing symptoms or have not been tested. Fast forward to 1990, when a huge change was made in Congress with the passing of the Americans with Disabilities Acts, which protects individuals with disabilities including those whom have HIV/AIDS and those suspected of being infected from being discriminated against.  The number of deaths from AIDS in this year is staggering for they have surpassed the number of those who dies in the Vietnam War (amfAR).

 

There is no doubt that other factors play into why certain people use intravenous drugs and end up putting themselves at risk for HIV/AIDS infection. With the injection of heroin HIV/AIDS quickly ran rampant to those who were low income, living in the inner city and black. This was seen first in major cities such as New York, Boston, Los Angeles, and San Francisco. Those who were stuck in the grips of heroin use by the end of the nineteen sixties and into the mid nineteen seventies were seen as deviant, ones who were breaking the path of the social constructs that society has put forth for them. With this conflict of society’s expectations and their own battle of addiction, the heroin use’s hold held tighter and tighter to the user.  Those who felt the stress and the strain of the inner city continue to use heroin. It is this society that was typically low income either due to the heroin use or because of the strain of the area. Low socioeconomic status is a form of isolation with many residents struggling to make ends meet. It is in these situations that selling, using and trading drugs and needles becomes part of everyday life in hopes to gain financially (Spooner et al).  These situations are double edged in the fact that the heroin user hopes to have financial yet they also may find themselves with HIV/AIDS and spreading to others by sharing needles. By the early nineteen eighties, the general public began to realized that heroin use and the spread of HIV/AIDS were no longer separate entities but very much correlated. In fact, they held each other hands. Yes, HIV/AIDS was still being spread by unprotected sexual activity through the gay and straight communities but the difference was that heroin and HIV/AIDS remained in the urban areas and seemed, at the time at least, to target those who were black.

Race in the United States has been a battle for centuries and there are those that would argue that the black community is disadvantaged on a regular basis. This is not different when heroin use hit the urban areas of large cities in the 1980’s. This shift occurred due to the manufacturing sites that once provided employment to the black community either shut down or moved overseas with inflation that the 1980’s brought. This resulted in many residents with low income jobs or unemployed. Many of the residents lived near their place of employment to utilize public transportation but with the manufacturing opportunities dwindling, so are the chances of commuting to find and maintain other employment. The residents who used public transportation did not own their own vehicle nor had access to one with reliability hence creating a low to no income situation for many residents and families. The residents, again, saw drug selling and trading as a way to make money but many fell into the grips of addiction with heroin use themselves. The repercussions of this being that as the manufacturing jobs left the area, the middle class whom were a mix of white and black left the area as well leaving those who depended on their employment isolated once again. Blacks were the ones who were left behind as a middle class area slowly turned into a degraded, poorly kept, urban neighborhood. This transition opened the door for more heroin, needles and HIV/AIDS to enter. This shift also occurred due to a mistrust from the Black to the law enforcement known as broken glass policing. Those who may have had a issue with the police or lived in a poor neighborhood assume that the law enforcement are there to punish them, not to help them. This is seen time and time again in any urban area with a lack of cohesion (Spooner et al).

Understanding of how and who was affected by heroin needle use and HIV/AIDS is only one half of the time period. The other is to explore the civic and state policies that surrounded and emerged due to the heroin use and spread of HIV/AIDS along with the fear that the public held if the policies were changed. When HIV/AIDS was first discovered it was unknown to many, even to doctors what the disease was and how it affected the health of someone. It was unknown if this mystery disease could be spread by coughing or sneezing such as a cold or by general contact such as shaking hands. The public was fearful of the disease that was coined “the gay plague” for it was first spreading through the gay male community. The general public wanted to quarantine those who had this new disease that was called HIV:  human immunodeficiency virus, that turned into something worse and deadly AIDS: acquired immunodeficiency syndrome. Those who were diagnosed were in essence given a death sentence or an expiration date for life. At the time, there were no laws pertaining to the treatment of citizens with HIV/AIDS, no restrictions on keeping a person employed or firing them based on their HIV/AIDS status, and no protection policies in place for medical facilities who may come in contact unknowingly with the virus.

Those who were victims of HIV/AIDS were seen as deviant citizens who did something wrong and sinful. They were judged by their peers against moral standards for their sexual behavior and choices. They were criticized for being careless and promiscuous. Religion became a battle ground defensive for those who were fearful of the disease. It was what the public used as a shield to protect themselves in a way from getting to close to a disease that could potentially cross over into the straight population and affect them. Religion was reintroduced into government with the raise of HIV/AIDS on both sides of the argument with one wanting to save lives and the other wanting to shield itself from the believed moral injustices that people have committed to acquire such a virus. This created a line in the sand as to who was on what side and what laws and policies should be passed. Some of the challenges that those who had HIV/AIDS faced were privacy laws to employers and military, health benefits from insurance companies, and social norm policies such as segregation from others in public places. These battles were not only fought in the court rooms and capitols of states but in homes and churches as well. HIV/AIDS turned America upside down for a while raising more questions than answers, bringing more debates than settling them and dividing a nation rather than bringing it together.

It was not long after the discovery of HIV/AIDS that heroin use began to rise. At the time, mid 1980’s many did not realize that there was a correlation between the two because the symptoms for HIV/AIDS is not apparent immediately such as if one were to get the flu. The virus may keep its secret for years while the person may continue careless behavior spreading the virus to others. The use of heroin often involves the use of needles and one requires a prescription to carry and use needles so sharing needles became a popular and often out of necessity habit.  The sharing of needles is what is believed to have forced HIV/AIDS into the straight, often referred to as the mainstream public. Essentially, all it took was for one person who was gay and infected with HIV/AIDS to share a needle with some who was straight and the virus crossed over. Of course this is not the only way HIV/AIDS could have crossed over to the believed gay to straight populations but that was the belief of many.  It is unknown if HIV/AIDS would have stayed a gay only virus, if it ever was a gay only virus, or how it crossed over to the mainstream public. What we do know is that it wasn’t until heroin and HIV/AIDS hit the scene together that citizens started to take notice that public health was in danger and something needed to change. Many looked to the medical facilities for help but they were under rules and regulations as far as prescriptions and supplies.  It is here that the AIDS coalitions took charge with the needle exchanges for promotion of clean blood (Siplon). At first many of those who went with clean needles in exchange for dirty ones were doing so illegally (McLean). This action caught the attention of those who were against the needle exchange and protests quickly began. One side arguing that needles exchanges gave addicts a chance to keep using and the other side arguing that it gave addicts a chance to be in contact with someone who cared and not to continue the spread of HIV/AIDS.  When these protests became large enough local officials, medical groups, and social services took an interest on how they could help those who were in need and what needed to be done to change the status quo. As stated earlier, the Americans with Disabilities Act was a huge step but it was apparent that state, county and city governments needed to be involved. This meant fighting for policies that were not on the books yet (McLean).

Creating a policy is controversial. People will battle sides and have strong feelings about why this and why that. There is a particular way to sort items and agenda out when creating policies. One needs to understand the terms such as agenda: a list of problems government officials and those who are close to those government officials are seriously considering at the given moment (Kingdom). Policy is a little complicated with a few more steps but to oversimplify them there are three key elements that strongly effect the outcome of a policy. The first being the role of the organization for it is extremely important for the study of the policy and affects the outputs by the governments involved (Siplon).  This includes the actors of those who are requesting a new policy or a change in an existing. Every person is important when it comes to approving or denying a policy that affects lives. The second point of policy struggle is role of values. All policies that come into effect reflect the values of the society that they are implemented into. If the values of the society and the policy create discourse than what good does the policy do for the people of that society is it beneficial? The third and final implementation for creating a policy is the distribution and redistribution of resources. This seems to be the point where most arguments are fought. Where does the money, people, housing, medical supplies and other resources go? Could they go somewhere else and be more beneficial in a different position or if they were spent differently? This point is one of the hardest bridges to cross when creating a new policy especially of it is for something as controversial, widespread and needed as needle exchanges for heroin users.

 

 

 

Joel Full paper draft 3

Joel Balicki

Poland: The Russian Dilemma

2016

 

Abstract

This paper analyzes Poland’s national security policy regarding Russia, through the theoretical lens of realism and strategic culture. The theoretical frameworks of realism and strategic culture provide the most applicable framework to analyze the issue of nation-state security in Eastern Europe. Russia has always posed a significant national security threat to Poland. Recently, the Russian invasion of Georgia in 2008 and the invasion of Crimea in 2014 do nothing but support that notion. There exists a constant state of tension due to political, religious, governmental, and ideological dissimilarities. In addition, analysis of the Polish military and their security decisions is crucial in how Poland perceives itself in relation to its substantial eastern neighbor.

Introduction

Poland’s geographical position in Eastern Europe, is in many ways, a national security nightmare. Poland’s location between two major powers, Germany and Russia, makes many Poles on edge and based on history, rightly so. The mostly flat (with an exception of the southern mountains Zakopane) terrain makes Poland’s defensibility highly difficult. Russian President Vladimir Putin has exhibited highly aggressive behavior in recent years, including the invasion of Georgia in 2008, and the ongoing Ukrainian Civil war. As the United States downsizes its forces and commitment to mainland Europe, Poland’s security is once again in jeopardy. This research is aimed at answering what Poland’s national security strategy is in regards to Russia. The research question is, how does realism and strategic culture explain Poland’s national security strategy in regards to Russia? The theoretical frameworks of realism and security culture are the lens through which Polish national security will be analyzed. Both nations have a Slavic origin, yet are so very different in many respects. There are variations in language, religion, and political ideology. History has proved that Polish-Russian relations have been violent and in a constant state of tension. I will put into context what we understand modern Poland to be and why is it so very different from Russia despite sharing similar ancestral origins. I will also address the perception of Poland from several standpoints, including that of Poles and their perception of Russians and the Russian system of government. Poles have often looked to share an identity with the West, yet perceptions of Poland vary greatly outside of Poland. To many, Poland is in the East and in the Russian sphere of influence. Through the lenses of realism and strategic culture, I will assess Polish politics and how domestic political dynamics impact national security decisions against Russia. Sub sections will include analysis on military capability, NATO, and ideological perception. Overall, this is a topic that is important in order to better understand the complexity and fragility of Eastern European relations and regional security.

Realism and strategic culture are the two main analytic components of this research. Both of these theories alone attempt to answer the way states interact at the international level. According to Stephen Walt in International Relations: One World Many Theories, “Realism emphasizes the enduring propensity for conflict between states.” (Walt, 1998). Realism has four main assumptions, they are as follows: states are principal actors, states are unitary actors, we make the assumption that states act rationally (rational actor); and there is a hierarchy of issues with national security being at the top (Viotti and Kauppi, pg39). Power, a core concept for realists largely deals with the fact that states are constantly seeking it. The anarchical state of the international system leads states to act in their best interest because there is no higher authority. In addition, this inherent anarchical nature causes skepticism in an already tense situation (Viotti and Kauppi pg57). States must make value maximizing choices in order to survive. Sometimes, the best choice or most value maximizing choice is a choice in which you receive a satisfactory result (Viotti and Kauppi).

Strategic culture, on the other hand, takes a different approach to international relations and national security. Whereas Realism was a popular theoretical approach during the Cold War, strategic culture has gained traction during the post- Cold War period. According to Jeannie L. Johnson, “Strategic Culture is that set of shared beliefs, assumptions, and modes of behavior derived from common experiences and accepted narratives, that shape collective identity and relationships to other groups and which determine appropriate ends and means for achieving security objectives.” (Johnson, pg5). Compared to realism, where domestic factors, religion, ideology, history, etc. are virtually irrelevant, strategic culture identifies those factors as key components to a state’s national security decision making policy. It is essential to evaluate how the people or group within a state identify themselves, especially relative to other groups of people. “Nearly all strategic culture analysts spend a good deal of time articulating aspects of national culture which play a role in influencing security policy.” (Johnson, pg10). Overall, strategic culture focuses on internal domestic factors that play a role in states decision making.

Literature Review

There is ample literature regarding Russia and its history and capabilities. Finding similar literature on Poland was more complicated, but in many ways, quality definitely outweighs quantity. To begin, the theoretical frameworks of Realism and Security Culture stem from international relations theory and politics. General background knowledge of Realism and Security Culture is necessary in order to apply each theory. The book, International Relations Theory, written by Paul R. Viotti and Mark V Kauppi (Pearson Education Inc. 2012) is an in-depth overview on the theory of realism in international relations. Viotti and Kauppi explain the four major assumptions of realism and the fact that there are multiple sub sections of realism, to include Neo-realism, structural realism, classical realism, and other theories. (Viotti and Kauppi). The key notion of the state and the balance of power in realism is thoroughly addressed throughout the literature. Stephen Walt’s journal article, International Relations: One World, Many Theories, (Foreign Policy, 1998) is another additional source on the topic of realism and its core concepts. Stephen Walt is an important figure in academia regarding foreign policy, and his insight into realism and how states act on the international stage will aid in my analysis of Polish Russian national security relations. The second theoretical framework is strategic culture. Strategic Culture and National Security Policy, (Blackwell Publishing, 2002) by Jeffrey Lantis provides a different point of view than realism. It is important to recognize that both of these theories can provide insight or explanations for international relations and states actions toward one another. In different circumstances, there are different applications. The focus of Lantis’s work is that culture impacts states decisions moreso than power and that there are shared assumptions and rules that prompt strategic culture. Jeannie L. Johnson in, Strategic Culture: Refining the Theoretical Construct, (Reduction Agency USA, 2006) very much aligns with Lantis’s work. Johnson defines and refines the concept of strategic culture giving a clearer depiction of its core meaning and definition. In short, realism and strategic culture both can be applied simaltaniously and provide an even better explanation for states actions.

Next, Robert Beckhusens article, Don’t Mess with Poland, (Medium.com 2014) deals mostly with the Polish military and its capabilities. It explains Polands search for power, perhaps even more specifically defensive capabilities. It provides a perspective supportive of Poland. This perspective plays a role in analysis, especially when studying the cultural, political, and religious identity of the Poles. Moving on, the next source is similar to the source mentioned above, but there are come crucial differences. George Freidman in, Polands Strategy, (Geopolitical Weekly, Stratfor Global Intelligence, 2012) released “Poland’s Strategy”, a journal article analysis which provides information about Poland’s situation from a military and national security persepective. It is an unbiased source that comprehensively looks into Poland’s situation in Europe. It provides useful information on Polands military role and what makes its defensibility very difficult. Poland is situated in Eastern Europe and has faced threats from both the east and west. It is a difficult geopolitical situation and an even more difficult strategic defensability situation. It is a useful piece in understanding the strategic capabilites of Poland as well as the gaps in defensibility and security.

Next, National Security Strategy of the Republic of Poland, is a primary document written and released by Poland’s National Security Bureau in 2014, designed to inform the public on the beliefs and intentions of the Polish government in relation to matters of national security. It is on its own because compared to other sources, it comes directly from the government dealing with exactly what this research topic is about. It is an invaluable source because it provides crucial insight into Polish governmental beliefs and decision making. Military details as well as political beliefs are included in the governmental release. In addition, Matthew Day’s media article, Russia Simulates Nuclear Attack on Poland, (Telegraph, 2009) initially appears to deal with the realm of military security, but in many ways it also shows how politics plays a significant role in military operations. Russian military excercises do appear to be a demonstration of hard power and no doubt a strategy to provoke political outrage in Poland.

Moving forward, Patrick H. O’Neil, Karl Fields, and Don Share’s book, Cases in Comparative Politics, (W.W Norton and Company, 2013) provides a chapter about Russia and their situation, ideology, history, political makeup, and various other topics. It is an informational piece, unbiased, and it provides research about Poland’s nemesis. Understanding Russia is crucial to understanding many of the reasons that make Poland what it is and why its ideology is so vastly different. It is important to establish crucial differences between Poland and Russia for the purposes of this research. Juan J Linz and Alfred Stepan’s piece of literature, Modern NonDemocratic Regimes, (W.W. Norton and Company, 2013) provides background information on Soviet type regimes, which Poland was. There were actually several disctinct differneces between the Polish communist state compared to the Soviet Union and other eastern bloc states. There is a conflict as to what type of regime was in place in Poland during that time period. Some argue totalitarian, others argue authoritarian. It is important to distinguish the differences between Polands communist experience and the Soviets. Building on this idea of the Polish communist experience, is the transition to democracy. In an interview with Michael Mikos, Polish Language and Culture Professor at the University of Wisconsin Milwaukee, current political developments and Polish perceptions of Russians were discussed. There exist crucial ideoligical, systemic, and historical rifts for Poles toward the Russians. Marek Chodakiewicz’s, Agent Bolek, (Intelligencer: Journal of U.S. Intelligence Studies, 2009) suppliments the Mikos interview because Chodakiewicz delves into Russian invisible control in the Polish government and how Poles have responded to this recent development. Polish democratic transition still has remnants of Cold War leadership. Modern Poles are facing a political dilemma, one that history plays a crucial role in. Additionally, Consolidating Democracy in Poland, (Westview Press, Inc. 1995) by Raymond Taras exquisitely discusses Polands democratic transition and the underlying factors that led to that democratization. Again, democratization plays a substantial role in the Polish identity. To many it is believed that Poland was one of the worst places to implement communism and a general grasp of why, is interelated with the Polish identity at its roots. In addition, it provides a brief outline of external factors that may have influenced Poland’s democratization. For example, western democratic states and the Catholic Church played a large role in influencing Polands transition.

Politics and Culture are two major components of Poland’s behavior toward Russia, therfore references to media outlets are vital. Sputnik International released an article, “New Polish President: Putin can walk all over me, but he won’t wake me up”, (2015) the name of the article being a direct quote from newly elected Polish President Andrzej Duda. This article expresses Duda’s opinion of Russia and Putin. Duda is the elected political leader of Poland and his opinion holds a lot of influence. The political dissatisfaction of Poland towards Russia explains a lot about the relationship of the two states.

Methods

The primary method in this research is the case study. The paper is comprised of a detailed case study of Polish national security policy and its underlying variables in regard to Russia. Due to the specific nature of my research, the case study provides the best way to relay and analyze the information. In addition, the research includes qualitative data. Qualitative data provides the best platform for explaining the Polish situation. The aim is to gather data in order to answer why and how questions. This is something that quantitative data does not necessarily address. Most existing research comprises of case studies, aimed at answering the why and how. Previous research will help supplement my case study analysis.

Body

  1. Polish History

Polish history, especially in the 20th century, was dark to say the least. Poland was ravaged by several wars, lost millions of people during the holocaust, and then suffered at the hands of Soviet oppression and a communist regime for nearly fifty years. A large portion of this suffering can be attributed to Russia and its unwarranted, aggressive brutality against Poles. “Much historical evidence suggests that the original home of all Slavs was territory that came to be ruled by Polish kings between the fourteenth and eighteenth centuries.” (Taras pg24). Despite shared Slavic origins, Polish-Russian relations have always been tense.

In 966, Christianity reached Poland. Its popularity grew, in particular the Catholic Church, which gained significant power and influence and still does to this day. Nevertheless, different religious groups coexisted in Poland for many years, to include a large Jewish population. After time, Poland’s influence in Europe grew. The Polish-Lithuanian Commonwealth which lasted from the mid to late 1500’s to the late 1700’s was the regional hegemon. In 1791, Poles created the first constitution in Europe, and second in the world behind the United States. According to the University of Buffalo, Polish Academic Information Center, “The Polish Parliament approved on May 3, 1791, a new democratic Constitution, which the King straightaway signed.” (University of Buffalo 2000). Shortly thereafter, the once great commonwealth, like all other prominent civilizations declined and underwent partitioning, Russia being one of the main entities to partition Poland. Essentially, “The autocratic rulers in the countries surrounding Poland thought Poland’s Constitution to be a dangerous precedent. What if their subjects were to demand a greater say in government? This Constitution, in their view, could not be allowed to stand. Soon a Russian army invaded Poland.” (University of Buffalo 2000). The Polish territory under Russian control prohibited progress and kept Poles suppressed. In 1918, Poland finally gained its sovereignty again after World War I. This was called the Second Polish Republic. After the Soviet-Bolsheviks took power in Russia, they turned their sights to the rest of Europe and to spread their cause. There was one democratic nation standing in their way, Poland. The Polish-Bolshevik War of 1919-1921 was started by Lenin and his communist Bolsheviks in order to spread communism throughout mainland Europe, in particular Germany. Poles advanced into Soviet territory, were pushed back into Poland and the Bolshevik’s advances halted at Warszawa. The battle known as “Bitwa Warszawska” (Battle of Warsaw) in 1920 was a significant Polish victory. It crippled Lenin’s Bolshevik army and they never fully recovered. The Poles led by Jozef Pilsudski, pushed the Soviet-Bolsheviks all the way back across disputed eastern territories. Shortly thereafter, the Peace of Riga was signed ending the fighting between the two forces. After nearly 20 years of relative peace, World War II broke out, Poland was once again at the mercy of the Germans and Soviets. The massacre at Katyn, committed by the Soviets under the cover of the Katyn Forrest, was a devastating blow to Polish military forces. Tens of thousands of Polish military officers, police officers, intelligentsia agents, and others were massacred and thrown in mass graves. To this day, many Russians continue to deny responsibility despite ample evidence of their actions. Small pockets of Polish resistance forces from the 400,000 member Armia Krajowa (largest resistance movement of WWII), fought the Soviets as well as the Germans. Valiant efforts by the Ruch Oporu and other underground groups to prevent communist control were eventually silenced by Soviet military forces and secret police. Soon after, a communist government was set up in Poland, a puppet of the Soviet Kremlin. Perhaps the one organization that was most effective in sustaining Polish identity during communism was the Catholic Church. In fact, Poland had the only religiously affiliated university in the entire Eastern Bloc. The University is called Katolicki Uniwersytet Lubelski or the Catholic University of Lublin and is still operating today. Poles endured until 1989, after the solidarity movement had taken its toll on the communist government democracy was once again here for Poland. “A huge round table was constructed and talks were held around it. The Round Table Talks resulted in and compromise agreement between the communist regime and the leaders of Solidarity to hold semi-free elections. These led to an overwhelming victory for Solidarity and the communists were forced to cede power to a democratic government.” (University of Buffalo 2000). Democratization does not come without its hardships, but Poland’s progress, especially economically has been second to none in relation to other post-soviet bloc states. As Russia continues to seek power, in particular militarily, the tension between the two states continues to fester. Putin’s blatant aggressive behavior in Georgia and Ukraine in recent years has only compounded the problem. In this current tension filled state of affairs, how does Realism and Strategic Culture explain Poland’s national security policy in regard to Russia?

  1. Strategic Culture

Poland is in a period or political transition; a revolutionary transition (Mikos, 3 March 2016). One of the most important factors in political change is identity and ideology. Regarding Strategic Culture, “Areas of specific evaluation included geography, shared narratives, and relationships to other groups, threat perception, ideology, and religion.” (Johnson pg5). It is crucial to analyze the Polish identity, the general ideology that many Poles share, as well as their perceptions regarding Russia. These are key indicators of political change and how that will translate into national security policy.

2.1 Religion/Individual State Relationship

First, Poland nowadays is geographically situated in central Europe, although many outside Poland perceive it to be in the east. During the Polish Lithuanian Commonwealth and the Second Polish Republic, Poland’s boarders stretched further east than it does today. It covered large parts of modern day Belarus and western Ukraine. In addition, during the latter half of the 20th century, Poland was under the Iron Curtain and to Western powers that was the east. In a way, perceptions of Poland as being in the east are not wrong, but there is much more to it for Poles. Poland is a Catholic stronghold, its origins are deep and a vast majority of Poles still remain Catholic. Catholicism as a church is in the west, Rome being the home and the traditional language being Latin. For nearly a thousand years, Poland’s relation to the church has been strong to say the least. Even during communism, which attempted to eradicate religion to include Catholicism, sustained some form of existence in Poland. Pope John Paul II, who was a Pole, exercised great influence for Poland during communism and after. His legacy will live on forever. The Catholic Churches influence on Poland is second to none, this is the first of several important differences between Poles and their Russian neighbor. For Russia, Orthodox Christianity was and still is an influential religious denomination. “Orthodoxy developed distinctly from Roman Catholicism in a number of practical and theological ways, among which was the perception of the relationship between church and state.” (O’Neil, Fields, Share pg318). Not only are the religions different, but also the way in which the religion operated within the state. For Poles, Catholicism played an important role in the state, for Russians not so much. Orthodoxy, “did not draw such a line between political and religious authority, a situation that, some argue, stunted the idea of a society functioning independently of the state.” (O’Neil, Fields, Share pg319). Not only is there a difference in religious domination, but also the way that Poles view the state and Russians view the state. “Religion may have shaped political culture in a way that influenced how Russians view the relationship between the individual and the state.” (O’Neil, Fields, Share pg319). This leads to yet another significant difference.

2.2 Democratic Institutionalization

The difference in the way Poles view the relationship between individuals and the state and its institutions, compared to Russians is indeed another key factor in the strategic culture framework. It also plays a crucial role in how Poles view themselves in regard to Russians. “We might argue that no one factor led to Russia’s unique growth of state power and its dearth of democratic institutions.” (O’Neil, Fields, Share pg319). It is important to emphasize the fact that state power in Russia is extremely high in addition to a lack of stable democratic institutions. Under Putin, democratic structures are highly weak. “While a number of democratic structures have been built since 1991, they remain weakly institutionalized and, under Putin, have been restricted or ignored.” (O’Neil, Fields, Share pg326). Russia, unlike Poland has had little to no tradition of democratic institutions. There is an obvious correlation between democratic values and the implementation of democratic institutions. For Russians, “surveys consistently show that a majority or plurality of citizens favor state centralization and order over individual freedom.” (O’Neil, Fields, Share pg347). Where Poles have sought democratic institutions, the Russians, for the most part, have not. Even during the communist period Poland was unlike any other Eastern Bloc state in that it had quite a difficult time adhering to a Soviet type regime system. “The Soviet type regimes, with the exception of Poland, could not be understood in their distinctiveness by including them in the category of an authoritarian regime.” (Linz and Stepan pg268). A key factor is that Poland had democratic institutions prior to communism and the regime change while Russia did not. There was an ideological conflict with Poland and “Soviet type” governmental structures. Simply put, Poland is not a suitable place for a totalitarian communist regime but Russia, who at the time lacked a tradition of democratic institutions, was suitable. Arguably, that is why democratization in Poland has been regarded as a success story and for Russia, not so much. Much of this success can be attributed to the Polish ideology. “Nationalism in these cases is a necessary concomitant to spreading democratization, as national and ethnic groups long denied a voice express themselves in favor of sovereignty and independent existence.” (Taras pg78).

From a national security standpoint, Russia is a threat to the Polish democratic structure and the Catholic way of life. This is a governmental structure and a religious devotion specific to Poles not shared by Russians. The Second Polish Republic and its democratic institutions was attacked by Lenin and his Bolsheviks after WWI and then destroyed by Stalin and the Soviets during WWII. What makes Poles think that it will not happen again? The communists sought to dissolve the Catholic Churches political and religious value from Polish life all together. What makes Poles think that will not happen again? Religion and democratic institutionalization are just two of several more variables in Strategic Culture that impact the national security of Poland, to also include ideology and identity.

2.3 Ideology and Identity

Ideology and identity have always been massive instigators of conflicts throughout human history. It is not surprising that this is a similar case for Poland and Russia. Russia has always been regarded in the east. Its history with the Mongols and Eurasian peoples backs up this notion. For Poles, the notion that they are in the east is not one that many share. According to Professor Michael Mikos, “Poles have been in the West, always. We are the West.” (Mikos, 3 March 2016). A powerful statement such as this drives home the notion that Poles identify themselves more with the west in many aspects including religious and cultural development as well as governmental and political structure and relations. According to Raymond Taras in Consolidating Democracy in Poland, “In 1991, 68 percent of (Polish) respondents said that they liked Americans and only 1 percent that they disliked them.” (Taras pg93). The Polish willingness to belong with the west is exemplified in many aspects of Polish life. “Poles want very much to be like Americans and to avoid resembling Russians, Ukrainians, Gypsies.” (Taras pg93). For many Poles, especially those who experienced communism first hand, would argue that Russia, “is a slave’s nation.” (Mikos, 3 March 2016). What is meant by this is that Russians have always been slaves to the state. Slaves to Mongol occupation, slaves to the Tsars, slaves to Stalin and the Soviets as well as communism as a system. Submission to the state is a way of life that Poles do not necessarily share with the Russians. Even more extreme views do exist within Poland. Some poles believe Russia as “Crude, Rude, and uneducated,” (Mikos, 3 March 2016). This belief stems from history. “Some scholars view this occupation (Mongol Occupation) as the central event that set Russia on a historical path separate from that of the West, one leading to greater despotism and isolation.” (O’Neil, Fields, Share pg319). Not only that, but it is well known to Poles that Russia never developed the same as Poland and the rest of Europe. Russia was for the most part, “Cut off from European intellectual and economic influences, Russia did not participate in the Renaissance, feel the impact of the Protestant Reformation, or develop a strong middle class.” (O’Neil, Fields, Share pg319). In a way, a feeling of cultural superiority for Poles is prevalent. After the amount of suffering that Russia imposed on Poles and limited Poland’s ability to grow at the rate of other European country, it is not surprising a large majority of Poles feel this way. This rift between Poland and Russia is deep, it is much more than meets the eye. It begs the question, can relations be repaired between Poland and Russia despite their dark history? According to Michael Mikos, “Not in the short term.” (Mikos, 3 March 2016). There is just too much bad blood between them that history cannot be forgiven and cannot be forgotten at this point. Time heals wounds, but the wounds that Poland suffered are still very fresh and can be exhibited in the political decision making of the Polish government.

2.4 Strategic Culture Politics

Politics in Poland is in a revolutionary period. The elections in the fall of 2015 saw a dramatic change in political leadership. New president Andrzej Duda and his conservative party are now in power. With political change, usually also comes a change in foreign policy. Needless to say, relations between Poland and the United States are quite solid. Poland is a member of NATO (North Atlantic Treaty Organization) and also the EU (European Union), two western organizations. Platforma Obywatelska or civic platform, began in 2001 (platforma.org). It is very much a western oriented program aimed at building social growth, economic development, and an effective state through solidarity (platforma.org). Meanwhile, Russia is failing economically, institutionally, and developmentally. “Russia has become as opaque and resistant to change as it was under communism, a worrying sign for that country and the rest of the world.” (O’Neil, Fields, Share pg317). For Poles, the Russian people are suppressed under a state that is not willing to move forward. It turns out, once again, Russia’s lack of development is continuing to drag Poland down with it. Famed Solidarity movement leader Lech Walesa who also served as president of Poland for a period of time has brought to light a problem within Polish politics and government. A problem that’s roots stem from the Soviet era. Within the Polish government still exists an influence by leaders who were deeply embedded with the Soviets, Lech Walesa being one of them. He was involved with the communists and their secret police and in some cases his actions were borderline treasonous. “In the 1980’s, Walesa skirted dangerously close to treason,” (Chodakiewicz 2009). Many similar cases with other political, military, and police leaders have popped up. Soviet era, communists, who have tried to cover up their past, still have held power and exercised great influence all these years since democratization. Poland is still trying to overcome is political history. There has been, “Invisible Control” by Moscow in Poland all these years despite democratic transition (Mikos 3 March 2016). Still the remnants of old Soviet Russia and its leaders have undermined Polish democracy for years. Yet another unfortunate twist that is now being brought to the political spotlight and actively being addressed by the new Polish leadership. Simply put, “Poland is in the process of coming to grips with its totalitarian past and nothing can reverse the tide.” (Chodakiewicz 2009).

It is evident that history, religion, the relation between the individual and state, institutions and democratization, ideology, identity and political culture under the Strategic Culture framework point out an obvious conflict between Poles and Russians. Each of these factors is a point of contention, add them together, and it is ticking time bomb. The rivalry between Poland and Russia is one that will not cease any time soon. The wounds that Poland suffered at the hands of the Russians will not mend in the near future. The deep disdain the Poles feel unto the Russians does not lead to happy relations. This is why national security between both nations is so very important and something that needs to be addressed. One might say, nations around the world share cultural, religious, and historical disparity with their neighbors yet they live peacefully. That is true, but there are many instances where this is not the case. For example, Iran Iraq, Pakistan India, Israel Palestine. That is why the dilemma between Poland and Russia is so very real and so very dangerous. Strategic Culture analysis has allowed for a better understanding of the underlying factors that continue to drive a rift between nations. Where Strategic Culture is beneficial for national security policy is finding solutions to a dilemma that perhaps do not involve military power and armed conflict. According to Jeffrey S. Lantis in Strategic Culture and National Security Policy, “Strategic cultural dilemmas define new directions for foreign policy and demand the reconstruction of embedded historical narratives. In the spirit of paradigmatic shifts, these changes take time and energy for common acceptance, but they are distinctly new paths.” (Lantis pg112). There needs to be a fundamental change in the way that Poland approaches Russia, at least according the Strategic Culture framework. For instance if Poland decides to work much more closely with Russia, leave NATO, the EU, it will take an astronomical shift in the belief spectrum in order to create common acceptance within Poland. Based on the analysis of the variables under Strategic Culture framework, the evidence suggests that common acceptance is not in the realm of possibility at this point. What is interesting to note is that Poland is facing a political shift of some sort currently, but in many ways it is even more extreme against Russia. It is not shifting the other way trying to appease Russia like it had been since the end of the Cold War, but truly rid of all Russo-Soviet aspects within the government to include people. In addition, what Poland does have going for it is that it is a democratic state. “Democratic states are founded upon embedded national security values that can be tested in the face of Strategic Cultural dilemmas.” (Lantis pg112). Democratic states exhibit flexibility and exercise adaption. “When the contradiction between external conditions and cultural tendencies becomes too great, culture will likely adapt.” (Lantis pg112). Although it is a difficult case to make especially regarding the Polish situation, it is an intriguing argument. If external factors such as war could have a devastating effect, cultural norms or beliefs could likely adapt to find a solution to the problem. Russia has a difficult time adapting to external factors because of the nature of its governmental institutions and cultural norms. Poland has options that Russia simply does not have. The severely crippled Russian economy can barely stand the sanctions currently in place on it. Poland could implement more sanctions. Russia are in the process of expanding its military but facing severe monetary problems. Poland is upgrading their military as well but unlike Russia, it has the proper funding to do so. Putin’s Russia are not in any bargaining position at the moment. With an exception of size factors, Poland seems to have the upper hand.

3.0 Realism

3.1 NATO and the United States of America

How does this military development and power play a role in national security policy for Poland though? This is what international relations theory Realism attempts to explain. First, Poland’s strategic goals must be addressed before moving forward. According to George Friedman in his article, Poland’s Strategy, “Polish national strategy pivots around a single, existential issue: how to preserve its national identity and independence.” (Friedman 2012). This aligns exactly with Strategic Culture and the protection of ideological values that Poles have. Additionally, Friedman also said, “Obviously, close ties with NATO and the European Union are Poland’s first strategic solution.” (Friedman 2012). Poland’s security after leaving the protection of the Warsaw pact during democratic transition was jeopardized seeing as though the Soviets no longer supported Poland militarily. “Since 1991, Poland has sought a unique solution that was not available previously: membership in multilateral organizations such as the European Union and NATO.” (Friedman 2012). This provided Poland with a fantastic security blanket specifically against the Russians. According to the Polish National Security Bureau’s, National Security Strategy of the Republic of Poland, “NATO constitutes the most important form of political and military cooperation between Poland and its allies.” (National Security Bureau pg9). The importance of NATO’s role in the Polish national security platform is immense, “NATO will remain the most important political and military Alliance and guarantor of Poland’s security.” (National Security Bureau pg20). But there is a serious concern over NATO’s viability as a force. For the United States and NATO, upsetting the balance of power by meddling and allying with states on Russia’s doorstep is not the best idea for stability. Along with gaining power, the balance of power is a crucial topic in Realism. “Given the state’s objectives, goals, or purposes in terms of security, it seeks and uses power, which is a key concept to realists as it the balance of power among states.” (Viotti and Kauppi pg40). In addition to this, “The growth of Russian power and potential Russian expansionism that would upset the European balance of power obviously would not be in Washington’s interest.” (Friedman 2012). For the last couple decades, relying on the United States and NATO, was a logical strategy that provided Poland a solution to national security as they worked on other pressing matters such as rebuilding their economy, infrastructure, and government. “The United States of America remains the most important non-European partner of Poland. On the other hand the current potential unreliability of the United States and NATO in protecting Polish interests is beginning to show. For example, Robert Beckhusen stated in his article, Don’t Mess with Poland, “Poland wants to develop an anti-air and anti-missile system of a kind the U.S. would have installed before the Obama administration attempted to restart relations with Russia- and failed at it.” (Beckhusen 2016). This supports the claim that the United States and NATO can be unreliable allies for the Poles. If you pair this unreliability with the unpredictability of Putin’s Russia, it is a serious security concern. “The solution was quite effective while Russia was weak and inwardly focused. But Polish history teaches that Russian dynamics change periodically and that Poland cannot assume Russia will remain weak or benign in perpetuity.” (Friedman 2012). Nowadays Russia is far from being weak and ineffective, in fact, on the contrary. Russia invaded South Ossetia in 2008 absolutely steamrolling the Georgian forces and in 2014 the annexation of Crimea and conflict in Ukraine. Poland must be able to defend itself or at least hold off a Russian attack long enough for the United States or NATO get involved. However, what if help never comes?

3.2 Polish Military

Poland needs to build sufficient enough forces in order to ensure its own defense which is where Realist theory applies. That way if support comes, great, but if it does not, all is not lost. But there is slightly more to it, Strategic Culture also plays into this as well. “Poland’s national strategy inevitably is designed with an underlying sense of fear and desperation.” (Friedman 2012). In 2009, Russia with Belarus conducted military exercises that simulated an invasion and war with Poland. Russia is taking a realist position in the region, expressing their power and capability on Poland’s doorstep. “Bogdan Klich, Polands Defense Minister, said, ‘It is a demonstration of strength.’”(Day 2009). In addition, Marek Opiola a member of the Polish government stated, “It’s an attempt to put us in our place. Don’t forget all this happened on the 70th anniversary of the Soviet invasion of Poland.” (Day 2009). Russia’s actions ultimately impact Poland’s Strategic Culture. The Russians are not only exercising their power in a Realist capacity, but undermining Polish identity and history in a Strategic Culture capacity. “There’s another reason for Poland’s emphasis on defense: a traumatic history. During the lifetimes of some of the country’s political leaders, and certainly during their parent’s lifetimes, Poland had- for a time- ceased to exist.” (Beckhusen 2016). Fear and desperation could give Poles the drive and edge in a conflict with Russia. The Polish government is converting this fear and desperation into a solution and ultimately action.

It appears that Poland is beefing up its military strength in large numbers. “Poland is a unique member of NATO, where defense budgets among most member states have either stalled or declined in the past decade.” (Beckhusen 2016). Additionally, “The main element of the defense capacities are professional Armed Forces of the Republic of Poland. Their technical modernization – unprecedented in terms of scale – which is legally guaranteed, stable and long-term funding of the state’s defense needs, leads to the acquisition of modern military equipment and expansion of operation capabilities.” (National Security Bureau pg14). It appears that the majority of European states are focusing much less on military capability and spending compared to Poland though. The search for power among other NATO states, especially in Western Europe, is driven by economics. This would fit more among the likes of Liberalism instead of Realism, yet Poland is not choosing to go that route in regard to their military. “During that same time, Warsaw doubled its annual military spending- emerging as one of the continent’s leading military powers in terms of funding compared to gross domestic product.” (Beckhusen 2016). To many in international relations, Realism seems to be fading into history. It might appear that its validity decreased with the end of the Cold War, but Poland’s case exhibits otherwise. In this context, Poland’s focus is on what Realists would say is Hard Power. Hard power focuses on military capablilties. (Viotti and Kauppi pg53). As far as spending goes, Poland is up at the top but its military still has some issues included some antiquated vehicles and technology still in use. That trend is rapidly changing though. “Poland has a huge numbers of tanks. Its armed forces is one of the few in Europe- the Russian army being another one- that still invests a substantial sum maintaining, upgrading and buying tanks.” (Beckhusen 2016). Poland’s terrain is relatively flat aside from the southern mountains. Tank warfare is a massive strategic defense that Poland must focus on if a full invasion were to happen. The Polish military learned the hard way during the Nazi Blitzkrieg as tanks drove a knife edge through the countryside. It appears as though the Poles have learned that lesson. “Altogether, this means Poland has the largest tank force in Europe west of the Bug River.” (Beckhusen 2016). Oppositely, Poland is suffering when it comes to aircraft and air-defense. As the air-defense plans that former President George Bush had planned and current President Barrack Obama took off the table, Poland has a hole in their defensibility. (Beckhusen 2016). This political debacle caused Poles to take it upon themselves to develop their own. “Warsaw never gave up on the idea of a more expansive system. The result is a new anti-air and anti-missile system called the Shield of Poland. And there’s no doubt who- Russian president Vladimir Putin, of course- it’s designed to defend against.” (Beckhusen 2016). As Poland continues to strengthen its military and spend a large deal of money, some may see this as a waste of resources or pointless spending. “It’s certainly ambitious. It might be too ambitious- bordering on paranoia. But is it paranoid if you’re within striking distance of Russia?” (Beckhusen 2016). Recent events like the Ukrainian Civil War show that Russia is very much so in striking distance. “The reassertion of Russia’s position as a major power at the expense of its neighborhood, as well as the escalation of its confrontational policy, an example of which is the conflict in Ukraine, including the annexation of Crimea, has a negative impact on security in the region.” (National Security Bureau pg21). Poland borders Ukraine and that is a serious national security threat. As military battles rage on in Ukraine, political battles rage on in Poland.

3.3 Realist Politics

Poland’s Andrzej Duda has been duking it out with Putin in the political ring in recent months. The Russian threat has been a popular issue in domestic Polish politics. According to Sputnik International, “Poland not only loyally joined in with the sanctions imposed on Russia by the US and the EU – it went out of its way to demonize Moscow, through war paranoia at home and calls for ‘tougher measures’ against Russia, including military bases on its soil, from Brussels and Washington.” These actions would be regarded by Realists as an exhibition of Soft Power. Soft power, “Comes, for example, from cultural dimensions or the values that define the identity and practices of a state to include the diplomatic capacity to influence other states bilaterally or multilaterally in the international organizational contexts.” (Viotti and Kauppi pg53). Poland is playing hardball with Russia diplomatically trying to undermine Russia any chance they get. Putin quite often fires back but to no avail. Current Polish President Andrzej Duda recently stated, “I sleep so deeply that he could walk all over me, and I wouldn’t wake up.” (Sputnik International 2016). Duda is obviously not intimidated by Putin, but there is a fine line between intimidation and provocation. In addition, “Duda said that while he would continue to work and would not ‘fold his hands’ in diplomacy, he finds it more important for Poland to seek ‘good cooperation in the framework of the EU’ than to work with Russia.” (Sputnik International 2016).

In the near future, political relations between Poland and Russia look very gloomy. Poland is approaching Russia with a Realist mentality, seeking power in the region and exchanging political blows frequently. “The realist emphasis on the conditions of anarchy and the distribution of capabilities or power among states.” (Viotti and Kauppi pg55). The inherent state of anarchy in the international system puts Poland in a predicament. It wants to face Russia and not back down; Poles do not want Russia walking all over them. On the other hand, Russia is Poland’s number one threat. Russia is the regional hegemon and strongest military force in Europe. Poland must act cautiously as things heat up in the region, especially in Ukraine. Also, an anarchical system is a self-help system. “Finally, an anarchical, self-help system obviously makes cooperation among states difficult to achieve.” (Viotti and Kauppi pg57). Not only are Poland and Russia fierce foes that makes cooperation difficult to impossible already, the anarchical system of Realism does not help. Although Poland has relatively reliable friends, it must continue to seek more power militarily and politically. It simply is in Poland’s best interest to do so. If Poland does not continue to learn from the past, it is bound to repeat itself.

Conclusion

Overall, Russia’s national security threat to Poland cannot be underestimated. After all, history provides substantial evidence of this threat. Strategic culture provides the best way to analyze the ideological differences between Poles and Russians. This plays a direct role in how Poland approaches Russia regarding national security. Realism provides the best way to analyze Poland’s national security decision making from a military and hard power perspective. Poland’s geographic position in the center of Europe poses its own set of defensibility problems and recent Russian aggression does nothing but force Poles to make crucial national security decisions. Paired together, strategic culture and realism provide two explanations of the complex Polish Russian relationship. When combined, a well-rounded insight into this relationship is exhibited. The historical wounds run deep for Poles, and at least in the short term, relations will not get better especially as Putin threatens Poland’s front doorstep with aggressive military actions. Poland’s significant economic and military growth since democratization has been a success story for Europe and a role model for other former soviet bloc states seeking a way out of the cold war quick sand that continues to keep them trapped. Poland’s strong national unity, shared ideology, and willingness to seek power will help them triumph over the Russian threat.

 

 

 

 

 

 

Works Cited

Beckhusen, Robert. Medium.com, “Don’t Mess with Poland”. 28 March 2014. Media Outlet. 2 February 2016.

Chodakiewicz, Marek Jan. “Agent Bolek.” Intelligencer: Journal of U.S. Intelligence Studies, vol.17, no. 2 (Fall 2009) (2009): 108-110. Journal Article.

Day, Matthew. Telegraph, Russia Simulates Nuclear Attack on Poland. 1 November 2009. Media Outlet. 28 January 2016.

Freidman, George. “Poland’s Strategy.” Geopolitical Weekly, Stratfor Global Intelligence (2012): 1-5. Online Journal Article.

Hrechorowicz, Andrzej. Sputnik International, ‘. n.d.

—. Sputnik International, “New Polish President: Putin can walk all over me, but he won’ wake me up”. 20 August 2015. Media Outlet. 28 January 2016.

Johnson, Jeannie L. “Strategic Culture: Refining the Theoretical Construct.” Defense Threat Reduction Agency (United States of America) (2006): 25. PDF.

Kauppi, Paul R. Viotti and Mark V. International Relations Theory. Boston: Pearson Education, Inc., 2012. Book.

Lantis, Jeffrey S. “Strategic Culture and National Security Policy.” International Studies Association, Blackwell Publishing (2002): 87-112. Document.

Mikos, Michael. Polish Russian Perceptions Joel Balicki. 3 March 2016. Interview.

National Security Bureau (Poland). National Security Strategy of the Republic of Poland. Warsaw: National Security Bureau, 2014. Book, PDF.

Patrick H. O’Neil, Karl Fields, Don Share. Cases in Comparative Politics. London, New York: W.W. Norton & Company, 2013. Book.

Stepan, Juan J. Linz and Alfred. “Modern Non Democratic Regimes.” Rogowski, Patrick H. O’Neil and Ronald. Essential Readings in Comparative Politics. London, New York: W.W. Norton & Company, 2013. 267-278. Book.

Taras, Raymond. Consolidating Democracy in Poland. United States of America: Westview Press, Inc., 1995. Book.

University of Buffalo, Polish Academic Information Center. Info Poland, Short History of Poland. 2000. Website. 15 March 2016.

Walt, Stephen M. “International Relations: One world, many theories.” Foreign Policy (1998): 1-6. Document.