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The Correctional System or the Penal System: A Look At Where Our Prison System is Headed In The New Millennium
No full textThe correctional system or the penal system? What does the future hold? How can we alter it for the better? Or are we on the right track?''THE CORRECTIONAL SYSTEM
OR
THE PENAL SYSTEM?''
A Look At Where Our Prison System Is Headed In
The New Millennium.
Political Science Thesis
By:
Leslie R. Wiebesiek
January Term 1999
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There is also a period that we must deal with, which is between the capacity
availability now and the time it takes to build new prisons. So how are we dealing with the
overcrowding? We are releasing violent criminals short of fulfilling their terms and
keeping the non-violent mandatory minimum offenders in our prisons.
So, is public opinion still full force ahead in the "lock 'em up" attitude? There is
much debate about this. Some say yes, while others think we are starting to get frustrated
with it. They have suggested that the public would be willing to support programs that are
based on rehabilitation ideas. Why don't we? Our representatives are still playing it safe
with the punitive laws to not appear "soft on crime" and convincing us that incapacitation is
the answer. Both of the approaches, results from experimental studies and case studies
will help to sort all of these factors in the following pages.
The correctional system or the penal system? What does the future hold? How can
we alter it for the better? Or are we on the right track?
Gustavus Student Repository
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programs were not ever mature because of the lack of funding available to implement them
and the lack of support for the programs by prison officials (Bender 32).
The public attitude for rehabilitation still remained fairly strong for the time being
and there was pressure for elected officials to create and implement better rehabilitation
programs. They had no new programs to offer and thus supported the conclusion in
Martinson's report that rehabilitative programs make no difference anyway. Correctional
administrators began to openly challenge rehabilitation efforts and began to ask for a
"balanced" approach to the corrections system. They asked that equal effort be put into
retribution, deterrence and rehabilitation (Bender 33). It sounded like a logical idea, but the
system was never developed equally. Actually it resulted in a supply and demand solution
to rehabilitative programs. The decision was made that if inmates voluntarily entered the
programs, the programs would stay. However, those programs rejected by the inmates
would be dismissed.
What were the effects of this voluntary approach to rehabilitative programs? In the
period between 1979 and 1985 showed a nineteen percent increase in violent crime, more
than sixty percent increase in incarceration, and additional costs in state and local
corrections increase thirty-four percent (Bender 34). According to the FBI statistics, in
1960 there were 1,900 serious crimes per 100,000 residents. By 1970, that number rose
to 4,000 per 100,000 and it escalated to 5,900 per 100,000 in 1980 (Bender 47).
The next major development in the corrections system happened in 1980, when
Minnesota developed, passed and enacted the first sentencing guidelines to reduce
disparities in sentencing and limiting judges' discretion (Edwards 477). This soon became
a common trend in many states who also enacted laws which restricted options for judges.
This was thought to reduce corruption among judges because sentencing guidelines were
pre-set.
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America" in 1995 included adding incentives for states to adopt truth in sentencing laws
and harsher sentences for violent.criminals (Edwards 477).
These were all introduced and passed by elected politicians to appear to be 'tough
on crime.' However, when it came time to finance new prisons to deal with the crowding
these laws caused, they voted down the option to increase taxes or take the money from
other programs. It is a no-win situation that keeps spiraling itself downward and we will
eventually have an even larger problem. This problem still exists today and we are now on
the verge of a new crime wave. Many solutions have been proposed and some
implemented.
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The second reason that it has never worked is precisely because of the prison
systems themselves. They are unorganized and are far from anything that could be called
treatment. Most of the rehabilitative programs are not fully supported or developed.
Thirdly, imprisonment does not promote rehabilitation because a prisoner becomes
'prisonized,' or 'institutionalized,' when they are incarcerated. 'Prisonized' is a term used
to represent that the inmates take on the folkways, mores, customs and general culture of
the penitentiary. A prisoner feels less humane within the prison culture and therefore
becomes immune to any attempts at change. No prisoner can avoid this 'prisonization' and
the longer one spends in prison the stronger the sense of this inhumanity will be (Bender
40).
Whether or not prisonization is something that really occurs or not, the point is that
rehabilitation, when in connection with the prison, does not work (Bender 43). The only
place that rehabilitation may work is for it to be applied to those that are placed outside the
prison such as those on parole and community service sentences. Rehabilitation cannot
• fully be appreciated and carried out in a prison environment that regularly practices
minimum standards of living, personal safety and health (Bender 21).
Given all of the prisonization effects, the goal of rehabilitation remains unrealistic in
the prison. The chances of any form of change is greatly reduced. Partly because of the
prisoner's reaction to the authorities that have spurned them is to 'reject their rejectors'.
When inmates get to the stage where they are 'rejecting their rejectors', any form of
rehabilitation becomes almost impossible. "fu many ways, the inmate social system may
be viewed as providing a way of life which enables the inmate to avoid the devastating
psychological effects of internalizing and converting social rejection into self-rejection. fu
effect, it permits the inmate to reject his rejectors rather than himself." (Bender 43). This
evidence supports that not only do prisons not rehabilitate, but they may also dehabilitate as
described with prisonization (Bender 44 ).
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'And if convicted, you will do time."' (Bender 46). States that implement higher
possibilities of imprisonment have much lower crime rates than those that do not. A person
convicted of homicide in Utah is ninety percent more certain to go to prison than a person
in South Carolina who has about a twenty-two percent chance of incarceration (Bender 66).
Serious crime in America's cities is decreasing due mostly by tougher law
enforcement and tougher sentencing policies. However, there is a new wave of the
country's largest and most violent set of adolescents that will soon reach their crime-prone
years. Continuing with our smarter, tougher policies will help to minimized the damage
that these adolescents may cause (Dilulio). By building more prisons and keeping
criminals locked up, our streets and homes will be safer. That is the best investment that
we can make for our safety, security and future (Bender 64).
As Ronald Reagan stated in his presidential address in 1981, " ... In the end, the war
on crime will be won only when an attitude of mind and a change of heart takes place in
America, when certain truths take hold again. Truths like right and wrong matter, and
individuals are responsible for their actions. Retribution should be swift and sure for those
who prey on the innocent." (Bender 21).
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consumption by twenty-seven kilograms. Yet the same money put toward rehabilitation
programs treating heavy addicts, would reduce consumption by 100 kilograms (Grayson).
There are also several other reasons why mandatory sentences carry a lot more
baggage than they show on the surface. One solution known as incapacitation implies that
keeping prisoners locked up prevents them from committing crimes. The first criticism to
this solution is the financial aspect of longer sentences. Can we afford the costs of the
proposed solution to the crime problem? Lengthening sentences also raises incarceration
costs. From 1982 until 1995, the average length of drug offenders sentences increased
51 %, 54.6 months to 82.2 months. Also, for example, more than 90% of all felony cases
in California were plea bargained before the "three strikes" law took effect in 1993.
However, now only 14% of second felony offenses and 6% of third offenses are plea
bargained. The three strikes laws have caused many more trials which costs the state and
the taxpayers a lot of money. It also clogs the judicial system, preventing cases other than
criminal coming before the court (Edwards 468).
A study concludes that longer prison sentences may cost us more as taxpayers than
more law enforcement and drug rehabilitation programs would. The cost of incarcerating a
prisoner costs between 60,000 annually, while the cost of outpatient drug
treatment would cost 16,000
per year, which is still less than imprisonment (Grayson).
Another one of the many criticisms of mandatory sentencing is that in order to be
effective in reducing crime, you must not increase the severity of the punishment. The
likelihood that punishment will occur must increase. Too many offenders are getting away
with their crimes. It is reported that in 1992 there were 6.6 million violent offenses, but
only about 10% of those resulted in an arrest (Edwards 471).
In some cases, the mandatory minimums have been seen by criminals as a game, or
joke. Criminals are arrested, they get charged and then are released because of
overcrowding (Smolowe). This type of response to criminality and arrests is not good for
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The mandatory sentences that put drug offenders in, push violent criminals out. By
1990 almost forty states were forced to release prisoners by court order because of
overcrowding. In most instances the prisoners released were habitual and violent offenders
because they had to make room for the drug offenders that must serve their mandatory
minimum sentence. Now more than sixty percent of the beds in prisons are occupied by
drug offenders and they are still overcrowded. Ohio has the most overcrowding problems
with their prisons running at 182% of capacity (Smolowe).
An example of exactly why there are these criticisms of mandatory sentencing is the
story of Tonya Drake, was a welfare mother of four children. She struggled from check to
check. One day back in 1990, she was handed a 47.70. Tonya thought that was the end of it until she saw herself
face to face with Judge Richard Gadbois Jr. who sentenced her to a ten year prison term.
The package that Tonya had mailed contained 232 grams of cocaine. Although it was
unknown to Tonya and she had no prior history of drug use or any type of criminal
history, the judge's hands were tied. Now the state of California pays 20,000 annually to incarcerate, just think how
that amount could skyrocket with old age and the health problems that are associated with
growing older (Edwards 481).
Besides also creating a burden on taxpayers paying for aging inmates, it also
reduces the inner hope of an inmate and lessens the opportunity for these inmates to be
motivated to do anything (Smolowe). Although the expense to keep a prisoner locked up
fQf so long is high, it μmst still be remembered that the cost of letting a criminal roam free
• ·I I
• '
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REHABILITATION
"The failure of major institutions to reduce crime is incontestable.... Institutions do
succeed in punishing, but they do not deter.... They change the committed offender, but
the change is more likely to be negative than positive. It is no surprise that institutions have
not been more successful in reducing crime. The mystery is that they have not contributed
even more to increasing crime." (Bender 54).
Revengeful "punishment is immoral. It is weak. It is useless. It is productive of
evil. It engenders bitterness in those punished, hardness and self complacency in those
who impose it. To justify punishment we develop false standards of good and bad ... "
(Bender 25).
Each ideology of the criminal justice system agrees that there should be punishment
and that this punishment should be painful. The argument is the type of punishment and to
what degree it becomes a painful punishment and whether it should be implemented. From
the rehabilitation ideology, deprivation of liberty is a punishment painful enough (Bender
24). "Prison institutions which limit the pain of imprisonment to deprivation of
liberty ... would seem to be a sufficient punishment." (Bender 23). In a free society, the
pain of lost liberty should never be misjudged an underestimated (Bender 25).
Rehabilitation is defined as 'any planned intervention that reduces an offender's
further criminal activity.' Correctional officials that support rehabilitative programs do so
on two beliefs:
I. The offender's behavior is rooted from some psychological disorder or adverse
social conditions.
2. The offender can be changed into a law-abiding citizen (Welch).
The crucial point in the criminal system is not the rejection of others, but how the
rejection is handled (Groom). A penal system that also has rehabilitation programs may
help inmates deal with the frustrations of rejection. Rehabilitation is attractive to those that
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prisoner will leave prison with approximately $200, little clothing, a few belongings, no
marketable job skills, no experience, no high school diploma and a criminal record. A
heavy load of cases for parole officers prevents them from helping the parolees find a place
to live, a job and treatment for any addictions. Thus, the parolee has no guidance, support
and nowhere to go and usually ends up back in prison (Ruether).
The problems with an extreme incarceration approach with no rehabilitative
programs are as follows:
1. Ninety-nine percent of those that are entering prisons, will eventually be
released into society and become our neighbors and perhaps
colleagues.
2. Actual time served is generally relatively very short
3. There is an annual turnover of approximately 500,000 prisoners.
4. To try to prevent crime primarily by incarceration will result in human
clogging of prisons.
5. Most offenders of crime are never caught, and even less are never
imprisoned.
6. Recidivism rates are anywhere from 30-70 percent when work release
inmates are included, so prisons are not turning inmates is to lawabiding
citizens (Bender 53-54).
A 1991 study on recidivism shows that sixty-two percent of state prisoners are
rearrested within three years. This is said to be due to the lack of educational programs and
drug treatment programs normally offered to prisoners, but are reduced because of the lack
of state funds. The state budgets are constrained because of the overcrowding (Bender
33).
Recidivism data has shown that punishment is not a deterrence and does not
convince offenders to return to society and not commit more crimes. The recidivism rate
varies anywhere from sixty to eighty percent depending on where the information is found
or what criteria it is based upon. This clearly shows that punishment alone is not the
answer (Bender 35). "Without new rehabilitation programs, it is unrealistic to expect the
offenders we do have incarcerated to change." (Bender 30).
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abandoning institutional efforts at rehabilitation because "nothing works, " does not bode
well for society in the long run." (Bender 35).
There are three possible answers to why the evaluation of rehabilitation
effectiveness research always comes up short of proving or disproving successes:
1. The program is indeed ineffective.
2. The design of the program is effective, but the administration of it is faulty.
3. The research methods used to study the success are flawed (Welch).
Rehabilitation has always been on the forefront for the idealistic way to deal with criminals.
However, the various meanings and approaches taken to enforce this reform have not
always been practiced correctly, comparably or to the extent to make it successful.
Another irony that exists in the criminal justice system is that all those that oppose
the rehabilitative form of corrections still rely on the 1974 report by Robert Martinson.
They completely ignore the essay he wrote in 1979 rebutting some of the conclusions he
drew from the original report.
The reasons why rehabilitation should be reaffinned in the corrections system:
1. Rehabilitation is the only justification of criminal sanctioning that obligates the
state to care for an offender's needs or welfare.
2. Rehabilitation is an important rationale to the conservative view that increased
incarceration will reduce crime.
3. The ideology of rehabilitation still has many supporters as a goal of the
correctional system.
4. Rehabilitation has historically been the underlying motive to keeping and
creating humane practices when dealing with inmates (Welch).
Evidence shows that a more severe incarceration approach to crime and criminals
will fail and could make the crisis even worse. All this may happen and it is going to cost
us tremendously both for the system expenditures and the costs of the effects of the crime
itself (Crime).
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has been a slight decrease in the crime rate over the last few years that it is due to the
removal of offenders because of the more severe sentencing laws. Although this cannot be
disproved, it cannot be proved that it is the sole cause of the reduction of crime.
One factor that may have effected the crime rate is the reduction in the
unemployment rate in the 90s which has provided more jobs for the younger generation.
Another reason that the crime rate may have decreased is that the use of hard drugs has
decreased. The majority of crimes are committed under the influence of drugs, so if the use
has gone down, there are likely to be less crimes committed (Drinan). Other factors related
to the drop in crime in the most recent years is due to: a decline in the proportion of young
males in the general population, the leveling off of crack cocaine use, a moderate
employment rate and tougher sentencing that keeps more felons off the street and keeps
them incarcerated longer (Lacayo).
Even though total crime rates have fallen since 1980, the number of violent crimes
has increased by one-third (Case). An FBI report in mid-1995 stated that seven major
crimes dropped 3% in the period from 1993 to 1994. But it also stated that the number of
murders by male teenagers are skyrocketing (Edwards 477). A study of why prison
population has skyrocketed attributed about one-third of the increase to demographics, or
the increase in violent crime, more arrests and longer sentences. However, the remaining
two-thirds of the increase in the number of people incarcerated has come from putting those
in jail for committing offenses that normally would not have required a prison sentence due
to mandatory sentencing and three strikes laws (Case). In a federal report it was reported
that almost half of state prisoners were convicted of non-violent crimes and of that half,
thirty-five percent had no prior criminal history (Bender 72).
Although prisons are still officially called 'correctional institutions,' the apparent
public attitude is very disheartening. It seems they no longer believe that incarceration
includes rehabilitation. The public strongly suggests that they are in favor of incarceration
concentrating on punishment (Drinan). If the public attitude favoring incarceration levels at
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"Indeed, rather than protecting society from the harmful, prisons are in
themselves harmful. It
Understanding High Minority Crime Rates Within Urban Areas
No full textThe prevalence of high minority crime rates in urban areas can be explained through several theories: economic, social, political, and sociological. Each of these theories addresses individual factors that make African-Americans, Hispanics, and other minority groups more likely to commit violent crimes within an urban setting. Prevailing stereotypes of lower-class minorities re-enforce the idea that minorities are responsible for a larger proportion of crime than lower class, white individuals. However, to fully understand the inaccuracy of these claims, we must examine the conditions and factors within urban society that encourage, or provoke criminal activity.Understanding High Minority Crime Rates Within Urban Areas
Michelle Courtright
Political Science Thesis
May 22, 1999
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"To the segregation by race was now added segregation by class, and all the
problems created by segregation and poverty-inadequate schooling,
substandard and overcrowding housing, lack of access to jobs and job
training, narcotics and crime-were greatly aggravated."
--Bayard Rustin
Black Intellectual, 1968
The prevalence of high minority crime rates in urban areas can be
explained through several theories: economic, social, political, and
sociological. Each of these theories addresses individual factors that make
African-Americans, Hispanics, and other minority groups more likely to
commit violent crimes within an urban setting. Prevailing stereotypes of
lower-class minorities re-enforce the idea that minorities are responsible for a
larger proportion of crime than lower class, white individuals. However, to
fully understand the inaccuracy of these claims, we must examine the
conditions and factors within urban society that encourage, or provoke
criminal activity.
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Using classic studies by Ernest Burgess, Clifford Shaw, Henry
McKay, and other prominent sociologists, we will examine the model of urban
life. Burgess describes urban growth in the poverty belt as "a region
characterized by deteriorating neighborhoods, shifting populations, and the
mobility and disorganization of the slum". Other illustrations of city life
include poor educational and recreational facilities, low annual incomes,
and/or economic instability, and lack of strong family and community ties.
As a result of these factors, people who reside in these areas have a much
greater inclination to commit a violent crime than a suburban dweller that
presumably has more educational and economic resources. Using this
model of urban existence, we can determine that behavioral, economic, and
educational factors account for criminal behavior, rather than the degeneracy
of a specific race.
There are several problems in determining the severity of urban life.
First, the term urban must be defined quantitatively; the term "urban" will be
applied to those cities that are in excess of 450,000 people. Additionally,
cities that will be discussed in this thesis will have a uniform rate of 50
officers per 100,000 citizens. This requirement will ensure that criminal
activity is not a result of an understaffed police department. The concept of
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violent criminal activity will embody only the following offences: homicide
(voluntary manslaughter), assault and battery, rape, and robbery.
To measure economic influences, we will use statistics on
household income, individual income, and rates of family dependency
(measures based on the proportion of families in each city receiving AFDC,
or Aid to Families with Dependent Children). Many statistics can be
inaccurate or misleading in their conclusions, so they will be used in
conjunction with personal surveys. Students, parents, and other individuals
in both high and low-income communities will be able to answer questions
regarding income, education, and crime as it pertains to them. "The use of
this 'self-report' method has increased substantially, so much so that
researchers interested in questions relating to the causes of crime have
.... , " .... ,,,virtually-abar>dcned their earlier sole reliance on arrest and other official
indicators of juvenile or criminal conduct" (Class and Crime 177). This thesis
will address several issues that afflict the lower-class individuals of urban
areas including drugs, illiteracy, and unemployment. Each of these will be
examined on a per capita basis, and will also be broken down by race.
Although statistical compilation can include a variety of racial
breakdowns, it is important to note that it is impossible to accurately
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determine the race of every urban resident. The classification of "Hispanic",
"African-American", and "Asian" residents/non-residents is particularly
challenging in urban settings because so many individuals are comprised of
several different races and national origins. For the sake of uniformity, I will
use statistics from police department compilations, which rely on the criminal
to state whether he/she is Black, Caucasian, Non-White/Hispanic, or Pacific
Islander.
Those individuals who are perpetually exposed to the indecencies of
urban life, including, but not limited to, inadequate income and housing, poor
educational and occupational opportunities, illiteracy, and drug abuse, will be
proportionately more likely to commit violent crimes including homicide,
robbery, rape, and assault. I will demonstrate that Willem Bonger was
... ·"· -, .. com:ict when he stated in 1916, "I have already spoken of the infh..:ar.::s
exercised by bad material surroundings on a man's character; the moral
consequences of bad housing conditions, and also that he becomes
embittered and malicious through the lack of the necessaries of life" (Class
and Crime 177). It is because minorities make up a disproportionate amount
of urban areas that they are continually exposed, and are participants, in
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violent crime, not because they are more likely to act criminally due to their
race.
As William Songer correctly noted, environments, particularly
neighborhoods, are great indicators in determining how educated, financially
stable, and how criminal a person may become. It is very important to make
this distinction, particularly when arguing against the Horatio Alger myth that
all Americans, if they are hard working and persistent, will eventually
succeed. Many Americans buy into this myth, and consequently, have
altered views of the poverty stricken. Many individuals, mostly minorities, are
involved in a complicated economic trap, which involves the government
through the welfare system and unacceptable, low minimum wage standards.
Although a great majority of those on welfare are willing to work, many
cannot due to disabilities and other factors that make working virtually ...
impossible. Additionally, many are forced to work at a standard wage set by
the federal government, which is well below the federal poverty line.
In The Other America, Michael Harrington argues that "Motivational
deficiencies (e. g., fatalistic attitudes) resulting from prolonged poverty [are]
impeding the economic advancement of the poor; and, therefore, that poverty·
has become a vicious cycle for millions of Americans" {Wilson 167).
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Typically, those who earn lower wages and those who subsist on welfare are
located in the same neighborhoods. These neighborhoods have low
property values and high crime rates. Due to the selection of undesirable
neighborhoods by the state and federal governments, many housing projects
are near contaminated sites, industrial areas, and other uninviting locations
(Class and Crime 122). As a result, properties that are located near
government-funded housing are labeled as lower class real estate. It is from
this grouping of neighborhoods, with high concentrations of poverty, that
crime develops and perpetuates.
The United States government has developed thousands of housing
projects throughout the nation that provide housing for the poor. Included in
these are Cabrini-Green and Robert Taylor Holmes, both located in the city
of Chicago. Each is an example of poor, concer.t-r.::ted housing that
encourages and perpetuates crime and violence. In Robert Taylor Holmes,
exclusively, there are between 20,000 and 30,000 tenants, all of which are
registered as black. Within this complex, 93 percent of the families with
children are headed by a single parent and unemployment is estimated at 47
percent. Additionally, "11 percent of the city's murders, 9 percent of its
rapes, and 1 0 percent of its aggravated assaults were committed in the
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project" (Wilson 25). Similarly, Cabrini-Green boasts 13,000 people, nearly
all black, with 83 percent receiving welfare. "In a nine-week period beginning
in early January 1981, ten Cabrini-Green residents were murdered; thirty-five
were wounded by gunshots, including random sniping; and more than fifty
firearms were confiscated, 'the tip of an immense illegal arsenal', according
to the Chicago police" (Wilson 26).
Not only does this concentration of poor blacks increase criminal
activity and welfare dependency, but it appears to be solely a matter of
geographical discrimination. In The Truly Disadvantaged, William Julius
Wilson demonstrates that segregation within the poorest neighborhoods is
causing a discriminatory pattern within urban areas. "The social
transformation of the inner city has resulted in a disproportionate
concentration of the most disadvantaged segments of the urban black·
population, creating a social milieu significantly different from the
environment that existed in these communities several decades ago. " In this
study, Wilson found that although poor blacks were frequently found in
isolated poor neighborhoods, poor whites rarely live in such neighborhoods.
According to a census survey in 1980 ·of the concentration of the poor
population in non-poverty and poverty areas within the five largest cities,
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there are disproportionately larger figures of poor blacks residing only in
poverty areas. The study concluded that while 68 percent of poor whites
lived in non-poverty areas, only 15 percent of poor blacks resided in these
non-poverty areas. Similarly, 39 percent of poor blacks reside in "extreme
poverty areas", while only 7 percent of poor whites live in these areas. At
this point, it is important to note that African-Americans constitute only about
13 percent of the population, making the statistics more overwhelmingly
pointed.
Additionally, these neighborhoods are grouped together in the area
of education. Due to property location, property tax, and district boundaries,
poorer areas are continually subjected to inferior educational programs.
Although the state and federal government have recently been working hard
at finding alternatives anc adc!:ti:mal funding for low-income schools, it must
be noted that prior to this decade, most schools were funded solely from
taxes collected from local areas. Generally, most high-income areas had
expensive property taxes, which allowed for costlier and more effective
educational institutions. Consequently, poor neighborhoods were left to fund
their schools with minimal resources, resulting from low property taxes. Not ·,
only were schools left with a lower educator/student ratio, but most were
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unable to provide new, and current material that would enable students to
compete intellectually with other middle and upper class students (Class and
Crime 157).
Currently, statistics show that minorities, particularly in urban
schools, do not perform as well as non-minority students on standardized
tests. Many educators argue that this is a result of poor funding in lowincome
areas, and that measures need to be taken to increase the amount of
educators, increase safety measures within schools, and increase
recreational options for at-risk students. Another issue that afflicts poverty
stricken districts is illiteracy rates. Although there is a national literacy rate of
97%, these percentages decrease greatly in urban areas. Additionally,
educators have found that there are several levels within the spectrum of
, , .. ,, illiteracy,_.an,c many students who eventually graduate from high school a,,;
afflicted partially with the inability to read.
In Chicago, a study was conducted to statistically provide graduation and
illiteracy rates between minorities and non-minorities. The study concluded
that of 39,500 who were studied between their freshman and senior year,
only 18,500 students graduated from high school. Additionally, only 6,000
students that graduated were capable of reading at, or above, the national
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twelfth-grade level. The statistics were much worse in the case of minorities
attending Chicago public schools. Of the 25,500 minority students, only
2,000 completeted high school and could read at, or above, the national
average. Wilson notes,
"In short, the communities of the underclass are plagued by
massive joblessness, flagrant and open lawlessness, and lowachieving
schools, and therefore tend to be avoided by outsiders.
Consequently, the residents of these areas, whether women and
children of welfare families or aggressive street criminals, have
become increasingly socially isolated from mainstream patterns of
behavior" (Wilson 58).
Fortunately, there are many government and privately funded
institutions and programs that are committed to addressing and solving the
issue of illiteracy. However, the stigma and complexity of illiteracy forces
thousands of students to dropout of school, usually without having the
problem introduced or resolved. Most individuals who fail to complete
compulsory education, also fail to find jobs or occupations that are.
economically stable or financially adequate. Of these people, many become
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chemically dependent and may rely, at least partially, on selling drugs as an
occupation. Thus, they are led into a criminal existence that may perpetually
worsen as their peer group expands.
In defining criminal activity within urban areas, it must be noted that
there is extensive research that demonstrates that there is more sentencing
of urban violent crime because there is more attention and need for policing
in urban areas. Subsequently, there is less policing in suburban areas,
particularly involving drugs such as marijuana. Many studies conclude that it
is simply easier to target criminal activity in urban areas because crime is far
more concentrated, and the police force can patrol these concentrated areas
much easier than in widespread, suburban communities (Harrington 76).
Thus, there may be more criminal activity in suburban areas than is currently
reported, but it is more difficult to patrol; detect,<-and prosecute. • !n contrast,
urban dwellers have a better chance of being detected by the police because
crime is more visible, more concentrated, and is patrolled more thoroughly.
An individual's character is only as righteous as the character of
others surrounding and influencing it, and only will it be perceived right if it is
•• in the company of similar character. Thus, those who are in the company of
thieves and degenerates are quite"likely to adopt the habits and norms of
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these peers. Just as it is likely that a child with family and friends who are
intellectually inclined will be similarly gifted, a young man that is raised in a
drug-using environment will be likely to involve himself in similar behavior.
Poor neighborhoods have a low number of entrepreneurs (with the exception
of drug dealers, of course), professionals, and other positive role models,
which disallows young adults to visualize an educational or occupational path
by which to follow. Unfortunately, many young adults in low-income areas
are influenced by their criminal peers, as well as by violent music and
negligent parents. Statistically, young adults who are exposed regularly to
sexually explicit and violent music such as Tupac Shakir, Ice T, and 2Live
Crew are more likely to commit violent acts that are mentioned lyrically in the
music (Class and Crime 110). This is not to say that middle and upper class
individuals do not listen or react to this type .of:m:.;:::!. To clarify this point, we
look at the example that those who identify with lyrical messages and can
witness the destruction and degeneracy of the urban areas that they reside in
are more likely to transform lyrics into violence. Those who are not exposed
to these areas have a greater chance of not translating the lyrics into harmful
behavior because they are not exposed to other peers who are willing to act
out violently. Additionally,young adults in the middle and upper class
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constantly have more guidance from parents and educators, and are less
likely to have the resources to obtain violent weapons.*
As stated earlier, the method of self-report and surveys has become
more widely excepted, and in many cases, has replaced the standard
statistical analysis of the past. During the creation of this survey, many
factors were taken into account, including peer influence and dishonest
answers. To combat these challenges, each survey was distributed in
unsealed envelopes that could be sealed when finished, and were to be
taken home for serious consideration.
Both parents and teenagers (grades 9-12) were asked to complete the
survey, in order to provide more thorough research results. Teenagers were
given two surveys for each parent or guardian, each requiring a signature for
validity purposes.
The schools were broken down by urban and suburban areas, each
having three schools surveyed in the area. For the urban areas, Edison
Senior High School, North Senior High School, and South Senior High
School were chosen, while Robbinsdale Cooper High School, Eden Prairie
High School, and Saint Peter High Schoolwere chosen as suburban schools
to be surveyed. Each of these schools is located at various areas of urban
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and suburban Minnesota. The classrooms that were chosen to be surveyed
were a variety of freshman through senior classes, and advanced, as well as
general curriculum classes. This is to ensure that there a wide variety of
education levels and personal background for a complete random survey.
Additionally, I chose classrooms that were not preoccupied with group
projects or discussions, as to eliminate the possibility of classroom
discussions of the survey.
The importance of this survey lies in the direction of the questions.
Each question focuses on the climate at their high school, and their attitudes
regarding guns and violence. I believe that those who are more accustomed
to violent surroundings will reside in urban areas, and they will relate that
either themselves or their friends have encountered a fear of violence within
- their-school-or.neigt.!borhood. This survey is also intended to provide some
informal crime statistics. If the majority of students at one institution claim
that they have not seen any violent weapons or behavior, then it is generally
safe to say that they have a low crime rate, and thus, a low exposure to
criminal and violent behavior. These young adults are at a low risk to commit
violent crimes such as homicide, rape, or assault. Similarly, those who
consistently report that they are familiar with criminal activity, and perhaps
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witness this behavior continually, have a higher likelihood that they are being
raised in a neighborhood that reflects violent criminal behavior. Indeed,
these are the young adults that are influenced by criminal peers, music, and
media, which develop harmful attitudes and brutal conduct.
After administering the survey, I found that many more young adults
in urban areas failed to return the completed survey the following day than
the young adults in suburban areas. The cause for this is unknown,
however, it may be due to the lack of parental concern that more urban youth
encounter. Another interesting distinction that was made initially was that
more suburban teens returned both guardian questionnaires, while urban
teens returned about half of all the adult surveys. This may be a result of
single parent, or single guardian families that are much more prevalent within
The results proved to be surprising, although they generally followed
the theory that urban teenagers are more exposed to crime and violence
than non-urban teenagers. About 75 percent of all suburban students
agreed that they felt safe in their neighborhood, while the numbers slightly
declined when asked about the safety of their school. In comparison, the
urban students typically stated that they were comfortable in their
Gustavus Student Repository
neighborhood (about 60 percent), and in their schools (about 50 percent),
although many mentioned a perceived threat in each area. There was an
overall tone within the answers that implied a ''tough" mentality, albeit the
dangerous environments that surrounded these urban students. Both urban
and suburban students typically felt that their friends held similar fears or
were similarly comfortable with the environment. The most interesting fact
that I discovered through this survey was the reply to the question, "Are you
aware of any guns, drugs, or illegal activity in your neighborhood?".
Overwhelmingly, both urban and suburban teenagers confessed that they
have witnessed drugs being sold or used, guns being purchased or used,
and nearly all students admitted to observing criminal activity in their schools
and neighborhoods. Several students mentioned marijuana and alcohol use,
••• • · •• , • •• -,,,0.,..l.11hilc others l
Finding a Place for Power: United States Involvement on the Korean Peninsula
No full textThe United States emerged from the Cold War as the victor. Its values of democracy and capitalism were preserved from threat of communism. Still, years after the end of the Cold War, and the collapse of the Soviet Union, the United States remains militarily involved in controlling the conflict between North and South Korea. The U.S. has consistently been a military presence in this area since the end of World War II. During the Cold War military involvement was deemed necessary in Asia to stop the spread of communism. While it is true that North Korea continues to support one of the few existing communist governments in the world today, it can be inferred by looking at their economic power and political influence that a Cold War fear of the spread of communism would be an unjustified claim. What are the intentions and the capacity of the North Korean government on both a global scale and regional scale? What is the capability of the South Korean government to produce independent armed forces? As well as, what United States interests are being served through their ongoing participation in this conflict?Finding a Place for Power:
United States involvement on the Korean Peninsula
Tiffany Mack
Gustavus Adolphus College
Spring 1999
Political Science Thesis
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Introduction
The United States emerged from the Cold War as the victor. Its values of
democracy and capitalism were preserved from threat of communism. Still, years
after the end of the Cold War, and the collapse of the Soviet Union, the United States
remains militarily involved in controlling the conflict between North and South
Korea. The U.S. has consistently been a military presence in this area since the end
of World War II. During the Cold War military involvement was deemed necessary
in Asia to stop the spread of communism. While it is true that North Korea continues
to support one of the few existing communist governments in the world today, it can
be inferred by looking at their economic power and political influence that a Cold
War fear of the spread of communism would be an unjustified claim. What are the
intentions and the capacity of the North Korean government on both a global scale
and regional scale? What is the capability of the South Korean government to
produce independent armed forces? As well as, what United States interests are being
served through their ongoing participation in this conflict?
The U.S. continues to supply and support a large part of the forces that are
used in South Korea, clearly as a means of defense against North Korea. Currently
the United States military is reported to be spending upwards of 20 billion per
year to maintain the current units that it has deployed in South Korea.' What
interests are the United States trying to protect? There could be a number of reasons
why the United States government feels that it is necessary to remain involved in
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Korea. One is that it feels an obligation to protect South Korea against an invasion
from the North. The United States, through the Mutual Defense Treaty that was
signed after the end of the Korean War, has promised some degree of assistance to the
South Korean government. The question remains, how capable is the South Korean
government of establishing an independent military force? If the South Korean
government is capable of doing this, and has not attempted to do so, it may suggest
that other issues might be causing the United States government to continue
supporting their extensive military effort in Korea.
Can North Korea be considered a threat to United States or even world
security? Essentially what needs to be determined is what U.S. interests are being
served by the United State's participation in this conflict?
In order to fully understand the conflict it is important to look back to the
original division between North and South Korea after the end of World War II. The
communist ideology that was formed out of that division and from the previous
colonial rule by Japan has a great deal of bearing on the events that are occurring
today. What are the objectives of the North Korean government by building such a
large military arsenal and armed forces? Is the objective to threaten the security of
the world or the United States, or is it to unify the divided Koreas? By looking at the
nature of the conflict by how it has matured, prior to, during and after the Cold War it
will be easier to come to a conclusion about the nature and continuing purpose for
U.S. involvement in this conflict.
1 Brandow, Doug. Orbis. Falll998, v42, n4, p605 (13).
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Similarly, looking back to the Korean War will give insight into how and why
the United States began its involvement. What were the objectives on both sides of
this war? What were the North Koreans trying to accomplish by invading the South?
What interests were the United States trying to protect? Why was the armistice
signed? What hope did both sides have for the future of the Korean peninsula? These
questions are necessary to understand how the conflict has progressed.
By examining the logistics of the Mutual Defense Treaty a number of things
can be determined. One is the level of responsibility that United States has in
protecting South Korea from North Korea. It can also provide an initial reason for
why the United States agreed to continue military support of the South Korean
government. Have these objectives changed following the end of the Cold War and
the fall of the Soviet Union?
Next, by examining the nature of the Korean conflict during the Cold War
conclusions can be drawn about the direction and nature of the conflict today. It is
necessary to examine this in order to determine how consistent and severe the conflict
remained after the signing of the armistice agreement. What indication for future
conflict after the Cold War can be seen?
The paper will culminate in a comparison of data. First, is South Korea
capable of having a military force that is capable of withstanding an attack from
North Korea? A comparison of the military strengths and weaknesses of North Korea
and South Korea will be used to determine this, particularly their military
expenditures and armed force capability. If the South Korean government is capable
of producing its own military, then what other reasons can the United States
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government have for participating in the conflict? What is the strategic importance of
the peninsula?
The conflict on the Korean peninsula in part, is a lingering element of the
aftermath of the Cold War. The United States commitment to protect the country of
South Korea through military means represents a greater interest than just the security
of one small nation-state. The United States has to secure some other interest in order
to justify its presence on the Korean peninsula. This presence during the Cold War
could easily be justified because it wanted to stop the "domino effect". The United
States was also concerned about the stability of East Asia. While economic interests
may justify a new concern in East Asia, the same direct security concerns are not as
apparent. With many years spent in an on going war in Vietnam and a strategic
location not to far from the Soviet border, those interests seem to be clear, and for the
time, justified. The commitment of the United States in Korea, could be seen as a
means to continue its extensive military influence throughout the world, after the
means of justifying through Cold War rational has ended.
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The Division Between North and South
Korea had been under the complete colonial rule of the Japanese since the
Russo-Japanese War of 1904. The allied powers met at the Cairo conference in
October of 1943 after Italy's surrender during World War II. At the conference the
leaders of the United States, Great Britain and China announced through the Cairo
declaration in December of 1943 that Korea would eventually become an independent
nation-state.
2
These intentions were again reaffirmed at Potsdam, after the German
surrender, in July of 1945. 3 Roosevelt intended that the future of Korea would be a
multi-trusteeship. This would not have entailed the North and South division of the
peninsula, with the Soviet control of the North and the U.S. control of the South. It
would instead be a collaborative effort between the United States, Soviet Union,
China and Great Britain. Roosevelt believed that Korea needed a "period of
apprenticeship before receiving full independence. "4 Despite these ideas no final
plans were made concerning the occupation of Korea while the war was still going
on. What changed the objectives so quickly?
The United States had been fighting the Pacific war against Japan in World
War II virtually alone, while its European allies defended their own nation-states in
the European war. The U.S. had been consistently asking the Soviet Union to join in
2 Lee, Ki-baik. A New History of Korea. Harvard University Press: Cambridge. 1984. The Cairo
Declaration, adopted on December 1, 1943, read in part; "The aforesaid three great powers, mindful of the
enslavement of the people of Korea, are determined that in due course Korea shall become free and
independent." (373)
3 Lee, (373).
4 Kaufman, Burton I. The Korean War: Challenges in Crisis, Credibility, and Command. The McGrawHill
Companies, Inc: New York. 1997. (4)
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the war against the Japanese5
. The Soviet Union, weak from the massive amounts of
losses that it sustained during the war, was unable to participate until after the war in
Europe was one and they were able to take a few months to redirect their focus onto
the war in the Pacific. On August 8, 1945 the Soviet Union joined the war in the
Pacific. The war with Japan ended however, on August 15, 1945.6 One week marked
the extent of the Soviet involvement in the Pacific war against Japan. However, the
Soviet forces were concentrated on the northern part of the peninsula.
On September 2, 1945 the Supreme Commander of the Allied Forces
announced that the United States and the Soviet Union would share in the occupation
of Korea. The Soviets were already in their zone of occupation and the United States
took over its area south of the 38th parallel on September 8, 1945.7 There have been
various claims about why the division at the 38th parallel was chosen, and why joint
occupancy between the United States and the Soviet Union was established. It has
been stated that on August 10 and 11, 1945 United States War Department officials
decided that the dividing line was going to be placed at the 38th parallel without
consulting either the Soviet Union or the Korean people. 8 Others indicate that it was
the State Department hard-liners that encouraged President Truman to agree to a
division at the 38th parallel out of concern that Soviet occupation would threaten
5 Mc Williams, Wayne C. and Harry Piotrowski. The World Since 1945: A History of International
Relations. Lynne Rienner Publishers: Boulder.1997 (19).
6 Mc Williams and Piotrowski, (19).
7 Kaufman (5). Kaufman cites that the Soviet Union and the US were placed in their respective zones
"based on convenience rather than on any historical or geographical rationale .. "
8 Savada, Andrea Matles, North Korea: a country study. Federal Research Division Library of Congress:
Washington, D.C. 1994. (44).
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United States security interests in Asia.9 These initial justifications for the division of
Korea show early signs of tension mounting and concern rising about the threat of the
Soviet Union to US security even before, or soon after, the end of World War II.
It was not until December of 1945 that the United States, Great Britain and the
Soviet Union met in Moscow to decide the logistics of the occupation of the Korean
peninsula. Here it was agreed that there would be a military occupation of Korea for
one year, this would then be followed by five years of civilian trusteeship. This plan
was to include not only the United States and the Soviet Union, but also Great Britain
and China.10 The plan was met with the "violent opposition of the Korean people"
who started an anti-trusteeship movement soon after.11 It is important to note
however that Korea "was in a state of political chaos and locked in an internal social
struggle" when the American Military Government or AMG arrived.12 The rightist
and leftist groups had formed two competing political parties, the Korean's People's
Republic or KPR, and the Korean Democratic Party or KDP. The one thing that all
factions could agree on was of the unification of Korea. 13
It is also important to note that a joint commission was to be established
between the military commands of the Soviet and American forces. This provision
was put in place to "promote the economic and social progress of the Korean people
9 Kaufman (5). The author also mentions that military leaders in the Pentagon suggested that occupation of
the Korean peninsula contained no strategic value for the United States. (5)
10 Sunoo, Harold Hakwon. America's Dilemma in Asia: The Case of South Korea. Nelson-Hall: Chicago.
1979. (48).
11 Lee (376)
12 Kaufman (5)
13 Kaufman ( 6)
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in developing democratic self-government."14 When an argument about the joint
trusteeship started the commission reached a deadlock, and the first scheduled
meeting of the Joint Commission in May of 1946 was called off. 15
The talks of the Joint Commission reconvened in May of 194 7. At this point
arguments continued to ensue between the Soviet Union and the United States. The
United States then made the suggestion that Korea receive its independence and that
free elections would be held. 16 These steps eventually led to the development of the
Republic of Korea (South Korea), and the election of Syngman Rhee as the President.
The government of the Republic of Korea was subsequently recognized by the United
States and an approximately fifty other states.17 The North Koreans established their
own government in response to the establishment of the ROK on September 9, 1948,
three weeks after the establishment of the Republic of Korea. It was called the
Democratic People's Republic of Korea. Kim II Sung, an influential leader in Korea,
was named premier. There began to be indications that two separate nation-states
were rising out of a supposedly brief occupation following the war.
The Soviet government was unwilling to waiver on its occupation of the
northern part of the peninsula. The Korean peninsula was strategically, economically
and historically important to the Soviet Union at that time. Their occupation of the
northern part of the Korean peninsula served as somewhat of a buffer between itself
and the allied forces, and the Soviet Union saw this as necessary in order to protect its
14 Sunoo. ( 48)
15 Lee (377)
16
Lee (378).
17 Lee (378-9).
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territory and vital ports.18 However, the Soviet Union was faced with a considerable
amount of domestic damage following the war, as well as the fact that the government
was focusing most of its attention on the establishment of its satellite countries in
Eastern Europe.19 Therefore a considerable amount of autonomy was given to Kim 11
Sung's DPRK. The Soviets did set up the Korean Communist Party and did sell the
government weapons from World War II.20
The United States main concern following World War II was not the security
threat of the Korean peninsula. Between the time of the occupation of Korea by the
American Military Government and the beginning of the Korean War the
development of the Cold War had matured in many ways. There was the adoption of
the Truman Doctrine which promised United States support to defend unwilling
nation-states against the threats of communism. There was the adoption of the
Marshall Plan, which promised $12 billion in economic aid to European countries
who had been damaged during the war.21 The attentions of the United States were
focused elsewhere. There was the continued insistence by the military that "Korea
had no military or strategic value in a war in Asia."22 Despite the military's insistence
that the peninsula was not strategically important to the United States, they concluded
that if civil war broke out North Korea would be the victor. This allowed the State
18 Kaufman (7)
19 Kaufman, (7).
20 Kaufman, (7).
21 Kaufman, (12).
22 Kaufman, (13).
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Department to justify the United State's continued position in Korea because the
Korean government needed time to improve their domestic conditions. 23
A great concern for fighting the spread of communism was another critical
factor in justifying US presence in Korea. In the years between the occupancy and
the war several factors could be seen as communist threats. The Soviets had
developed nuclear weapons and the second is the victory of Mao and the
establishment of the People's Republic of China. The United States presence in
Korea could be seen as a way to ensure that the Soviet Union and communism would
not fill the recently opened power vacuum left from the loss of Japan in World War
II.24 The United States did not want to defeat Japan, only to have it replaced by the
Soviet Union. Another concern could have been the mounting unrest that countries in
Asia were experiencing.25 Following the end of the War there is a period when there
was a considerable amount of anti-colonial and nationalistic tendency. The
implication is that the United States would want to assure that the Soviet Union did
not begin filling these, and supporting these newly formed sovereign nations.
It is important to examine the roles that both the United States and the Soviet
Union played in the occupation period prior to the beginning of the Korean War in
1950. Particular attention should be paid to the intentions of the United States
government. The United States did not see the military and strategic value of the
Korean peninsula as important before North Korea attacked South Korea. The threat
of the Soviet Union and the spread of communism played a large role in the United
23 Kaufman (13)
24 MacDonald, Callum A. Korea: The War Before Vietnam. New York: The Free Press, 1986. (5)
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States establishing its presence in Korea. The threats of the Soviet Union and the
spread of communism are no longer applicable.
The United States, faced with the stress of involvement in other areas in the
world did however decide to withdraw their troops from Korea. Secretary of State
Acheson stated in January 1950 that "the U.S. defense perimeter stretched from
Alaska through Japan to the Philippines, and that Korea was outside of that
perimeter."26 Therefore, while the United States had justified its presence on the
Korean peninsula, only to decide five years later that Korea was not strategically or
militarily important enough to continue justifying its presence there. The most
surprising part of this is that there were still many reasons for the United States to
deem the peninsula important for its security, in the wake of the events in 1949.
These were threats that were imposed by both the spread of communism in Asia and
the nuclear threat of the Soviet Union.
An examination of the events that divided the Korean peninsula and led up to
the Korean War gives insight into the nature of the Korean conflict. It has been
established that the main intention was not to form two separate nation-states. This
came as result of growing Cold War tensions. This is important to understand
because it shows where the consistent desire of both parties to achieve reunification
of the peninsula first emerges. However, it also demonstrates where the conflict
really begins to emerge. It is evident in these early stages of division, a growing
distinction between ideologies of the North and the South.
25 MacDonald (5)
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The Korean War
On June 25, 1950 troops from North Korea invaded the South. This happened
shortly after the US withdrawal of troops from the peninsula. There is no clear reason
why the North Korean armed forces invaded the South. President Truman said in an
address to the United Nations, "the attack upon Korea makes it plain beyond all doubt
that communism has passed beyond the use of subversion to conquer independent
nations and will now use armed invasion and war."27 This would suggest, along with
the thoughts of many others, that the communists provoked the attack. Stoessinger
for examples cites that "the most likely explanation of the attack is that it was a
probing attack by Stalin against the West. "28 This seems unlikely because indications
demonstrate that the North Korean government had a considerable amount of
autonomy in running its government. 29 It is important to consider how much of this
was really based on the spread of communism and how much of Kim 11 Sung's
intentions were based on that of unification of the two Korea's.
The conflict and discussion of unifying the two Koreas has been an ongoing
debate since the countries were divided after World War II. The significance in
deciding this is important because it may give insight into why hostilities remain
today. If North Korea is developing an offensive military capacity for the possible
26 Mc Williams, Wayne C. and Harry Piotrowski. The World Since 1945: A History of lnternotionol
Relations. Lynne Rienner Publishers: Boulder.1997. (62).
27 Sunoo, (79).
28
Stoessinger (55).
29 Mc Williams and Piotrowski p.60: ''The Soviets also proposed the immediate withdrawal of both Soviet
and US occupation forces from Korea; but the United States, concerned about the Soviet advantage of
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Realities of American Ambition: The improbability of a Free Trade Area of the Americas by 2005
No full textThe world is getting smaller. Technology, communications, and cooperation are bringing the different peoples of the planet much closer to one another. This is no different for states and economies, which have experienced many similar phenomena in the past few decades. Political leaders from the United States, in 1993, proposed a Free Trade Area of the Americas (FTAA), somewhat of a "NAFTA (North American Free Trade Agreement) expansion" to include the thirty-four democracies of the Western Hemisphere. Actions are underway to have full implementation of this aggressive project, which covers economic, environmental, social, educational, and technological issues, by 2005. A listing of the principle areas which the plan addresses can be found in Appendix A. Although this is an exciting proposal and one which has a great deal of potential to encourage growth and cooperation in the hemisphere, it is unlikely that such an ambitious timetable can be met.
Intergovernmental organizations are occupying the attention of many scholars of international economics. New coalitions and trade areas are being proposed regularly, and the new vocabulary of this discipline reflects these rapid changes. Regional blocs already exist in Europe, North America, South America, and Asia, and these are growing and becoming stronger and more influential. The European Union (EU) is perhaps the best example of a progressive and progressing intergovernmental organization. The strong history of development in the EU and its recent commitment to a common currency have garnered much notice. Our Latin American neighbors are pushing forward with the Andean Pact, Mercosur, and the Group of Three. Granted, the United States is a major participant in NAFTA, but the growth and scope of NAFTA is insufficient to keep the U.S. at the economic top of the world. It is reasonable to assert that the members of the European Union and APEC (Asia-Pacific Economic Cooperation), for example, are not deeply concerned with the preservation of U.S. economic status. And by sticking to at least somewhat isolationist economic policies, the U.S. runs the risk of one day being left out, or blocked out, of the ensuing progress."Realities of American Ambition"
The improbability of a Free Trade Area of the Americas by 2005
Jesse. M. Torgerson
PO99-Senior Thesis in Political Science
Dr. Royce Ammon-Spring 1999
Gustavus Student Repository
Torgerson I
The world is getting smaller. Technology, communications, and
cooperation are bringing the different peoples of the planet much closer to
one another. This is no different for eitates and economies, which have
experienced many similar phenomena in the past few decades. Political
leaders from the United States, in 1993, proposed a Free Trade Area of the
Americas (FTAA), somewhat of a "NAFTA (North American Free Trade
Agreement) expansion" to include the thirty-four democracies of the Western
Hemisphere. Actions are underway to have full implementation of this
aggressive project, which covers economic, environmental, social, educational,
and technological issues, by 2005. A listing of the principle areas which the
plan addresses can be found in Appendix A. Although this is an exciting
proposal and one which has a great deal of potential to encourage growth and
cooperation in the hemisphere, it is unlikely that such an ambitious
timetable can be met.
Intergovernmental organizations are occupying the attention of many
scholars of international economics. New coalitions and trade areas are
being proposed regularly, and the new vocabulary of this discipline reflects
these rapid changes. Regional blocs already exist in Europe, North America,
South America, and Asia, and these are growing and becoming stronger and
more influential. The European Union (EU) is perhaps the best example of a
progressive and progressing intergovernmental organization. The strong
history of development in the EU and its recent commitment to a common
Gustavus Student Repository
Torgerson 2
currency have garnered much notice. Our Latin American neighbors are
pushing forward with the Andean Pact, Mercosur, and the Group of Three.
Granted, the United States is a major participant in NAFTA, but the growth
and scope ofNAFTA is insufficient to keep the U.S. at the economic top of the
world. It is reasonable to assert that the members of the European Union
and APEC (Asia-Pacific Economic Cooperation), for example, are not deeply
concerned with the preservation of U.S. economic status. And by sticking to
at least somewhat isolationist economic policies, the U.S. runs the risk of one
day being left out, or blocked out, of the ensuing progress.
History & Background for the FTAA
The topic for this paper was chosen out of interest in the future of U.S.
global economic influence. For many decades, the United States has
dominated the world economic stage, with no real competitor waiting in the
wings. Now the EU has emerged as a formidable challenger to American
dominance, and shows the potential for surpassing its longtime ally. The
Bush Administration set the integration wheel in motion with the Enterprise
for the Americas Initiative (EAi) proposed in 1990, which led to plans for
foreign debt relief, increased investment in Latin America, and the creation
of the Inter-American Development Bank (IDB). A free trade provision was
included in the EAi, but it was avoided nearly completely, and would only
reappear under the Clinton Administration. With the slim passage of
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Torgerson 3
NAFTA, Clinton was already looking on to something larger. Vice President
Al Gore, while on a diplomatic mission to Mexico City in December of 1993,
made the official declaration of intent for a hemispheric free trade zone.
The Free Trade Area of the Americas calls for the establishment of a
free trade zone which would reach from Alaska to Argentina. Excluding the
communist-governed Cuba, the thirty-four democracies of the Western
Hemisphere' would come to form the world's largest economic cooperative
organization, including more than 750 million people producing a gross
domestic product which exceeds 1 trillion, making it a major player on the global scene
(Wrobel 1998). What is interesting about the FTAA, however, is that it goes
past the typical boundaries of economics to include many other issues of
importance to the hemisphere.
Four major categories can be identified as the foci of the Free Trade
Area of the Americas proposal: education, democracy, economic integration,
and poverty rejection (Feinberg 1995). The education plank includes plans to
provide more funding to primary and secondary education, provide education
to larger percentages of the American population, share resources between
nations, and prepare students for the ever-changing world. On the topic of
democracy, the legislation calls for the security of free press, "justice studies
1 The thirty-four democracies of the Western Hemisphere are: Antigua & Barbuda, Argentina, The
Bahamas, Barbados, Belize, Bolivia, Brazil, Canada, Chile, Colombia, Costa Rica, Dominica, Dominican
Republic, Ecuador, El Salvador, Grenada, Guatemala, Guyana, Haiti, Honduras, Jamaica, Mexico,
Nicaragua, Panama, Paraguay, Peru, Saint Kitts & Nevis, Saint Lucia, Saint Vincent & The Grenadines,
Suriname, Trinidad & Tobago, United States of America, Uruguay, and Venezuela.
Gustavus Student Repository
Torgerson 4
centers" to train judges, stronger attacks on terrorism and drug trafficking,
and new levels of cooperation on defense policies and arms transfers.
Economic integration and trade are the usual agenda items for such
negotiations, and the FTAA has chosen to focus on the creation of more stable
financial markets, technological development, and the establishment of the
Hemispheric Neighborhood, which would address issues of air and water
pollution and land transportation. Finally, the plan will direct a great deal of
attention toward poverty relief via increases in funds available to small
businesses and microentrepreneurs, expanding immunization programs,
attacking hunger and malnutrition, and improving the role of women and
minorities in society. The combination of these four aspects is both unique
and encouraging, as it is evident that all of these areas are important to the
overall development of such a diverse and far-flung community ("Plan of
Action" 1998).
The creation and implementation of the Free Trade Area of the
Americas could reassure the United States of its prominent place atop the
world economic ladder. Membership in the trade bloc which leads the world
by a considerable margin would serve to dispel thoughts that an Asian group
or the European Union may take the lead in global economics. The
importance of the FTAA is also evident in the potential that Latin American
countries may have in stabilizing their economies. Recent years have shown
many ups and downs in the region, and the strength of the U.S. economy
could help to calm the fluctuations. On the reverse side of the same coin,
Gustavus Student Repository
Torgerson 5
current U.S. economic dominance could result in the severe exploitation of
the smaller, less-developed nations in the group. The comprehensive nature
of the plan has been alluded to above, but in addition, the FTAA is significant
in that it is attempting to make very large steps toward full economic
integration in a relatively short period of time. What the European Union
accomplished in the 43 years leading up to the Treaty of Maastricht, the
FTAA is attempting to complete in just eleven years. At the Maastricht
treaty signing, the members of the EU pledged to strengthen their political
and monetary ties to one another, which eventually gave way to the common
currency of the euro, and the proposal for a common European military
(Lipgens 1995). All of these factors make the FTAA proposal one of the most
interesting and potentially significant issues facing the region today.
Understanding the Agreement
The monumental project of the FTAA seeks to create a free trade zone,
which means that international trade would be unrestricted and tariffs would
only be used as a source of revenue. Tariffs are duties imposed by a
government on goods which are imported and may vary for different trade
partners. The modern concept of sovereignty, or freedom from extra-national
control over domestic issues, comes from the Treaty of Westphalia which was
signed in 1648 (Merriam Webster Online Dictionary 1999). The largest and
most influential modern trade bloc is the European Union, which comprises
Gustavus Student Repository
Torgerson 6
fifteen European nations in an international organization tying together
monetary, social, and political policies. Mercosur (also known as the
Southern Common Market), is made up of Brazil, Argentina, Paraguay, and
Uruguay, and is South America's largest trade bloc. Also in South America is
the growing Andean Pact. Colombia, Ecuador, Peru, Bolivia, and Venezuela
participate in this organization which spans most of the northern portion of
the continent. Another trade agreement exists between Colombia,
Venezuela, and influential Mexico, and is known as the Group of Three (G-3).
Finally, the trade bloc recognized as the North American Free Trade
Agreement includes Mexico, the United States, and Canada, and has only
recently found its start in 1995.
Although the FTAA proposal is marked by innovation, potential, and
promise, it is unlikely that such a comprehensive and expansive plan can be
implemented by the target date of 2005. Doing so would only result in a
hasty solution to the debate over supranational economic involvement, a
topic which requires the utmost in research and careful development. The
failure to spend sufficient time on this proposal now could lead to larger
economic and social pitfalls ahead.
The Development of the European Union
As mentioned above, European integration has been a slow and steady
process, carefully laid out and gradually put into place. The European
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Torgerson 7
Union's development began in 1948, when a group of European leaders
convened on The Hague in the Netherlands to discuss the idea of a unified
Europe. This group created the Organization for European Economic
Cooperation (OEEC) which served to administer the Marshall Plan ("EU
Chronology" 1998). Already by 1949, just one year later, the first Council of
Europe met in Strasbourg, France, to establish a consultative body to discuss
issues of European importance. The membership was comprised of the
parliamentary representatives from the countries of Western Europe, and all
decisions rendered by the Council were based on unanimous votes, thereby
avoiding the need to surrender elements of national sovereignty. The Council
of Europe still exists today, and has expanded its role to include sub-bodies
such as the European Commission on Human Rights, European Court of
Human Rights, and the Social Charla, which addresses issues pertaining to
labor, health care, and welfare rights (Lipgens 1995).
In 1951, several Western European nations were feeling the stresses
and burdens which came with the end of the second World War. In order to
prevent conflict and begin to relieve the economic pressures of the time, the
European Coal and Steel Community (ECSC) was established by the Treaty
of Paris. Under the leadership of Jean Monnet and Robert Schuman of
France, Alcide de Gasperi of Italy, and Paul-Henri Spaak of Belgium, the
Treaty of Paris was signed, formally creating the ECSC. Signatories
included France, Germany, Belgium, Italy, the Netherlands, and
Luxembourg (Lipgens 1995). Great Britain opposed the supranational
Gustavus Student Repository
Torgerson 8
nature of the ECSC, and rejected an invitation for membership, displaying
preference for national sovereignty ("The European Union: History" 1999).
The Treaty of Rome was the next major event leading up to European
integration. In 1957, this treaty established the European Economic
Community (EEC), comprised of the members of the ECSC (Lipgens 1995).
The EEC called for the development of a common tariff for imports from
outside of Europe, a common policy on supporting and managing agriculture,
and the elimination of trade barriers among member states ("The European
Union" 1999). The process of these proposed developments was to take place
over a 12-year period, ensuring the time necessary to effectively formulate
policy. The FTAA has shown neither similar prudence in nor a willingness to
spend time examining its integration efforts. The EEC legislation also
extended the economic cooperation of the previous body to other areas,
thereby enhancing the ties between the member states. Another product of
the Treaty of Rome was the European Atomic Energy Community, known as
Euratom. The function of this organization is the promotion of the peaceful
use of atomic energy and research among community members.
In 1969, leaders of the member states met again at The Hague, The
Netherlands, to formulate a plan to finance the future European Community
and to begin discussions of a common foreign policy stance ''The European
Union" 1999). Through careful negotiations and planning, the goal of a
financing arrangement was met, and the theme of a foreign policy
cooperative was addressed. The absence of such pointed talks and meetings
Gustavus Student Repository
Torgerson 9
has been instrumental in creating the sense of uncertainty which surrounds
the Western Hemisphere's integration process. The European approach, as
evidenced here, is more methodical, prudent, and concrete.
In 1973, Britain, Denmark, and Ireland were granted EEC
membership, increasing the union to nine members after two years of careful
evaluation of the three applications. The real predecessor to the European
Union, however, was formed in 1978 when the EEC, ECSC, and Euratom
combined to become the European Community (EC). A resolution passed by
the European Parliament gave impetus to this action, and paved the way for
the development of a European Union. It also led to the extension of
membership to Greece in 1981. The scope of the European Community was
widened in 1986 with the signing of the Single European Act. This
legislation established as a goal a common market for goods, labor, capital,
and services by 1992. Also in 1986, after eight years of negotiations, Spain
and Portugal were extended EU membership ("The European Union" 1999).
This is yet another example of the cautious and judicious approach which the
EU has used in its expansion process. In 1991, the Treaty on European
Union was signed at Maastricht, The Netherlands, as concrete progress was
being made toward the previously-mentioned goals. The treaty served to
strengthen both the monetary and political ties among the members.
Finally, on 1 November of 1993, the EC became the European Union. The
last round of membership expansions welcomed Austria, Finland, and
Sweden in 1995 (Lipgens 1995). To again reinforce the prudence of the EU
Gustavus Student Repository
Torgerson 10
expansion process, even the applications of these highly-developed nations
required two years of review before membership was offered ("The European
Union" 1999). The FTAA, however, is attempting to throw thirty-four
nations together immediately, without such evaluation and developmental
assistance. The process of unification described here also demonstrates that
the individual member states are displaying a willingness to give at least
partial control over their national affairs to a higher body, something very
interesting given the historic emphasis placed on state sovereignty.
National Sovereignty
As international organizations continue to grow in both number and
influence, the question of sovereignty is pushed to the forefront. What is it
that compels a government to voluntarily transfer control of particular issues
to an international organization? In the case of the Free Trade Area of the
Americas, a unified body holds the prospect for greater opportunities in the
realms of economics, education, and many social issues. In order to achieve
this end, the individual member states would experience reduction of their
sovereignty in the form of pre-set tariffs, a mandated democratic government,
strict education and environmental standards, and much more. Participation
in the FTAA would provide many opportunities while simultaneously
imposing supranational control over many issues. Such control may make
reaching the 2005 goal for implementation even more cumbersome.
Gustavus Student Repository
Torgerson 11
According to Nugent, "long-established assumptions regarding the
importance of national independence and sovereignty are very much amongst
these [forces of interdependence), have resulted in progress toward
cooperation and integration being slow, difficult, and far from continuous
(Nugent 1989).
One area of concern is whether or not the "voluntary transfer of
sovereignty" mentioned above is truly ''voluntary." It is reasonable to say
that many nations participate in such organizations because they see them
as being opportunities for betterment and development. The potential exists
in the FTAA, however, for a less optimistic analysis. The FTAA brings
together nations with significant differences and wide economic disparity.
An example of a sovereignty transfer that is not completely voluntary is that
a small, less developed nation, such as Nicaragua, has no other option than
to join in the hemispheric pact. Failure to do so would result in the country
being "left behind" as the member nations pushed onward. Therefore, even if
Nicaragua, or any other nation, did not completely agree with the FTAA in
theory or practice or both, they may feel the need to enter as there is really
no other choice. A situation like this raises the question of exactly how
voluntary such a transfer of sovereignty actually is.
To whom the control is granted in a transfer of sovereignty is another
important facet of the process. In the case of the European Union, the Single
European Act, passed in 1987, created the structures necessary for absorbing
the sovereignty transfers. The European Council gained formal status, the
Gustavus Student Repository
Torgerson 12
scope of influence of the European Parliament was widened, and the
continental judicial system was expanded ("The European Union" 1999).
Currently, there is no proposal for such a political entity for the FTAA. A
body of this type would serve not only to monitor policy compliance and
administer the principles of the agreement, but would also be capable of
assuring the protection of smaller economies in the Western Hemisphere
which run the risk of exploitation and dominance by larger powers, such as
the United States, Canada, and Brazil. Although creation of such a body
would imply further integration, the need to do so may raise its head quickly
upon implementation. From inception, the European Union has fully
understood this necessity, and it continues to take steps toward stronger and
more highly developed supranational institutions. The EU, however, is
fortunate enough to enjoy a general homogeneity that contributes to the
support and development of such entities.
Fundamental Homogeneity of the European Union Membership
The basic uniformity of the European economies and political
structures lends itself to the concept of integration on multiple levels. The
economic homogeneity can be illustrated by the fact that ten of the fifteen
European Union nations can be found in the highest forty nations of the
world according to statistics of gross domestic product. This can only be said
of eight of the thirty-four FTAA countries (World Almanac & Book of Facts
Gustavus S
The United Nations and the Effects of Economic Sanctions on Iraq
No full textThe establishment of the United Nations (UN) in 1945 following World War II ushered in a new vehicle for multilateral diplomacy in the international arena. The UN provided an arena for international politics, and an organizational body for a new form of international law and government. The UN has evolved since its creation and has taken on new roles and actions in an increasingly international world. The role of the UN as an international peacekeeping force has become especially apparent in the 1990s. The UN's use of military, political, and economic might to establish a world order is at the forefront of conflict in modern multilateral diplomacy. The UN's actions against Iraq, including the Gulf War and the sanctions that have continued to this day, are a prime example of how the UN uses its international power in a multilateral world. Examining the consequences of the UN' s military action during the Gulf War and the subsequent economic sanctions can provide some clarity as to the effectiveness of UN policy against Iraq.The United Nations and the Effects of Economic
Sanctions On Iraq
Jeff Egge
Thesis
Gustavus Student Repository
I. United Nations Establishment
A. History
B. Charter
C. Security Council
I. Powers
II. Gulf War
A. UN solidarity
B. UN sanctions
III. UN Sanctions
A. History
B. Growing use
Table of Contents
IV. History of Security Council Resolutions on Iraq
A. 1990-present
V. Oil For Food
A. Effects of SCR 986
B. Memorandum of Understanding
VI. Iraqi Dinar
A. Depreciation
B. International Use
C. Graph
VII. Infant Death
A. UNICEF
2
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B. Malnutrition and starvation
VIII. Agriculture
A. Domestic availability
B. Production
IX. Social Effects
A. Schools
B. "Brain Drain"
X. Environment
A. Oil quality
B. Depleted Uranium
XI. Conclusion
3
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Gustavus Student Repository
The establishment of the United Nations (UN) in 1945 following World War II
ushered in a new vehicle for multilateral diplomacy in the international arena. The UN
provided an arena for international politics, and an organizational body for a new form of
international law and government. The UN has evolved since its creation and has taken
on new roles and actions in an increasingly international world. The role of the UN as an
international peacekeeping force has become especially apparent in the 1990s. The UN' s
use of military, political, and economic might to establish a world order is at the forefront
of conflict in modern multilateral diplomacy. The UN' s actions against Iraq, including
the Gulf War and the sanctions that have continued to this day, are a prime example of
how the UN uses its international power in a multilateral world. Examining the
consequences of the UN' s military action during the Gulf War and the subsequent
economic sanctions can provide some clarity as to the effectiveness of UN policy against
Iraq.
The UN derives its power from the UN Charter that all founding member nations
signed and that all incoming member nations must sign. Article I of the UN Charter
establishes the primary purpose of the UN-- "to maintain international peace and security,
and to that end: to take effective collective measures for the prevention and removal of
threats to the peace, and for the suppression of acts of aggression or other breaches of
peace, and to bring about by peaceful means, and in conformity with the principles of
justice and international law, adjustments or settlements of international disputes or
situations which might lead to a breach of peace"(UN). The UN was established with the
sense that it would act as an international security agreement that would reduce the threat
of international war.
5
Gustavus Student Repository
The UN Security Council is the main decision making branch of the UN, and
determines the use of UN forces or sanctions. The Security Council is made up of
representatives from the United States, France, Great Britain, Russia, The People's
Republic of China, and one rotating member from the General Assembly at large. The
Security Council determines when a nation's actions are in violation of the Article I by an
"act of aggression" or a "breach of peace."
The Security Council possesses the power not only to determine violations of UN
law but also to prescribe a course of action for the United Nations. The UN Charter in
Chapter VII Article 41 specifically details the ability of the Security Council to
implement actions that allow for "complete or partial interruption of economic relations
and of rail, sea, air, postal, telegraphic, radio and other means of communication, and the
severance of diplomatic relations" (UN). This Article is the basis for the UN' s power to
implement multilateral economic sanctions against countries the Security Council deems
necessary to achieve a goal.
Article 42 in Chapter VII of the UN Charter authorizes the use of military force
by the UN. The Security Council "may take action by air, sea, or land forces that may be
necessary to maintain or restore international peace and security" (Qtd. in Lee). Nations
that are members of the UN are required to follow and partake in the decisions made by
the Security Council in regards to both military action and economic sanctions. The
Security Council is in control of a large portion of the power possessed by the UN for the
enforcement of its international policy.
The 1990-1991 Gulf War was the pinnacle for the effectiveness of multilateral
diplomacy, through the United Nations accomplishing clear international goals. The
6
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nation of Iraq invaded the nation of Kuwait in August 1 990. The act of aggression across
international borders by Iraq was in clear violation of international law as developed
under the UN Charter. UN action was swift, and the use of military force was supported
and enacted by the Security Council. The war was quick and decisive, with the Allied
Forces led by the United States reclaiming the nation of Kuwait for its previous
government. The UN' s military involvement to protect a sovereign nation against a
hostile neighbor was hailed by then United States President George Bush as the
establishment of a "new world order." The new world order was to be built on the
premise that multilateral diplomacy could solve many of the world's security issues.
During the Gulf War the UN had appeared to be a cohesive international group
that shared and promoted many of the same worldviews. Israeli diplomat Abba Eban
writes, "the belief in the 'new order' rested on the assumption that the Gulf War has
established a precedent that would be emulated in other cases"(Eban 120). The unity that
was the UN during the Gulf War has quickly faded as nations dispute the proper course
of action in dealing with the post Gulf War Iraq and its dictator Saddam Hussein.
The UN Security Council has imposed economic sanctions on Iraq since August
2, 1 990, in response to Iraq's invasion of Kuwait. Economic sanctions are a popular tool
of the UN in trying to bring nations into line with UN established principles. The "Gulf
War offered a testing ground for the new alliances and new weapons in the post-cold war
world" and the "sanctions against Iraq have been an experiment in nonmilitary devices of
international government"(Gordon). The frequency of the UN's use of international
economic sanctions and embargoes illustrates its growing involvement in international
politics. In the first 45 years of the UN, from 1945 to 1 990, the UN only imposed
7
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sanctions two times; since that time the UN has imposed economic sanctions eleven
times (Gordon). The United States has been a frequent supporter of economic sanctions
and has pushed for their widespread use by the Security Council in solving international
incidents.
The reasons for the expansion of economic sanctions are twofold. First, the Cold
War era that dominated the first 45 years of the UN had two established trading blocs: the
United States, its Western allies, and non-socialist nations; and the Soviet led Eastern and
socialist trading bloc. The two competing sides were characterized by different economic
philosophies that were highly competitive in the international arena. Russia and the
United States both having seats on the Security Council made agreeing on economic
sanctions difficult. The collapse of the former Soviet Union brought the collapse of the
bilateral trade war that encompassed most of the world.
The second reason is the increasing internationalization of the world economy.
International trade is at an all time high, and communications technology is helping to
further the growth of international trade. Trade leaves nations vulnerable to the outside
world if sanctions are placed upon them. A nation's reliance on external trade makes it
heavily dependent on the willingness of other nations to engage in trade. The move away
from economic isolationism has made the use of economic sanctions more powerful and
popular in the UN.
As economic sanctions become a tool of choice for the UN, it becomes imperative
that study be done on the effects that UN sponsored economic sanctions have on the
target country. The goal may be to cripple an unfriendly government but the civilian
consequences cannot be overlooked in the decision making process. As the UN sanctions
8
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against Iraq have passed their ninth anniversary, the damage to the Iraqi people has been
immense. The actions of Iraq in 1990 are in no way condonable, and should bring heavy
penalties from the international community, but consequences of sanctions must be
weighed against the human cost. The sanctions have outlasted the war by eight years,
and the toll on Iraqi citizens is becoming clear.
From the beginning of Iraq's invasion of Kuwait the United Nations Security
Council passed a resolution to effectively isolate Iraq economically and cut off its
primary source of income through an oil embargo. Following the cease-fire the United
Nations Security Council passed a number of resolutions to attempt to address the
growing humanitarian needs in Iraq. The politics of sanctions and the nature of the
Security Council have made attempts to ease the sanctions on Iraq a difficult task.
Despite the political obstacles the Security Council has passed a number of resolutions
spanning from 1990 to 1 999. The following resolutions relate to the Security Council's
attempts at addressing the humanitarian needs of the people of Iraq.
Resolution 66 I of August 6, 1990 imposes comprehensive economic sanctions on
Iraq exempting food and medicine and establishes the 661 Committee to oversee
implementation of the sanctions.
Resolution 687 of April 3, 1991 sets the terms for the cease-fire and maintains the
terms of the embargo under 661.
Resolution 706 of August 15, 1991 sets out a mechanism for an oil-for-food
program and authorizes an escrow account to be established by the SecretaryGeneral.
9
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Resolution 712 of September 19, 1991 confirms the sum of 1 billion of oil every
90 days and use the proceeds for humanitarian supplies to the country; and sets
the terms of reference for the Oil-for-Food Program.
Resolution 1051 of March 27, 1997 establishes a monitoring system for the
importation and exportation of goods in Iraq.
Resolution 1111 of June 4, 1997 extends the term of SCR 986 for another 180
days.
Resolution 1129 of September 12, 1997 decides that the provisions of resolution
1111 should remain in force, but authorizes special provisions to allow Iraq to sell
petroleum in a more favorable time frame.
Resolution 1143 of December 4, 1997 extends the oil-for-food program another
180 days.
Resolution 1153 of February 20, 1998 allows the export of 300 million worth of oil
spare parts in order to reach the ceiling of 3 .04 billion of oil in phase VI to make up for the deficit in revenue in phases
IV and V.
Resolution 1275 of November 19, 1999 extends phase VI of oil for food for two
weeks, until December 4 1999.
Resolution 1281 of December 10, 1999 extends the oil for food program another
180 days beginning December 12, 1999.
*Source: United Nations Office of the Iraq Programme
The chronology of the resolutions represents both the growing concerns from
many in the UN over the humanitarian situation in Iraq and the belief that the economic
sanctions have failed to accomplish their desired goal of keeping Iraq from rebuilding its
armies and pursuing the production of weapons of mass destruction. The UN Security
Council resolutions have been largely focused on the oil for food program established in
SCR 986. The growth of the oil for food program is at the heart of the debate in the UN
Security Council.
11
Gustavus Student Repository
The first oil exported under the oil for food program was on December 10, 1996.
Since its inception the oil for food program has existed in six different phases, with each
phase consisting of a six-month period. The first three phases the amount of oil Iraq was
allowed to export was limited to two billion dollars per phase under the agreement in
SCR 986. In phases IV and V the amount of was raised to millions per barrel
One 120 2150 18
Two 127 2125 16.7
Three 182 2085 11.5
Four 308 3027 9.8
Five 360.8 3933 10.9
Six 389.6 7457 19.4
Totals/Aver 1487.4 20,777 2 billion worth of oil during the first six months of the deal, stipulated
that "44 million for urgently needed
agricultural inputs"(Halliday).
The 691.3 million and the northern region to receive Number Millions S Millions S
Food 1485 5465 1317 5389 13 6 4051*
Food 392 531 235 280 47 118 168
Handling
Health 1783 1178 1429 985 85 123 746
Oil Spares 1466 903 812 409 192 526 179
Electricity 681 1205 427 485 134 401 209
Water/ 299 438 189 225 32 91 80
Sanitation
Agriculture 664 630 436 415 63 78 227
Education 235 194 l 01 101 19 10 47
Infrastructure 41
What Have Been the Major Trends in the Arena of Congressional Public Lands Legislation for Roughly the Last Five Years (1995-Early 2000)?
No full textThe political fate of America's public lands has been nearly a constant struggle between one or more political interests for the last 100 years. Roughly since the 1870s, forces advocating the development, exploitation, or increased public access to the public lands have fought on-and-off battles with those forces advocating for the protection, preservation, or conservation of these lands and the natural resources they foster. Many of the experts interviewed for this paper - both those advocating for the development and protection of the public lands - have stated that the bitter controversies over how best to manage the federal lands will extend well into the future, as it is an issue that is fundamentally tied to ever-changing social, economic, and political trends and values.
For roughly the last five years (1995 - early 2000), there has been a regular stream of bitter and complex battles between the United States Congress and President Bill Clinton's administration of over various public land issues. In general, the Republicans have been oriented towards increased development/exploitation of the public lands for the natural resources therein, while the Clinton administration has been more oriented towards protection and preservation of the public lands. Congress has the ability to affect long-term, permanent legislation that has a continuing impact on how the public lands will be managed in the future. Given this importance of Congress to the future of the public lands, this paper seeks to understand what major trends have dominated the arena of congressional public lands legislation for roughly the last five years (1995 - early 2000).Washington Semester Program
American University
Research Project
WHAT HA VE BEEN THE MAJOR TRENDS IN THE ARENA OF
CONGRESSIONAL PUBLIC LANDS LEGISLATION FOR
ROUGHLY THE LAST FIVE YEARS (199S - EARLY 2000)?
Submitted by
Alex N. Kopperud
(Gustavus Adolphus College)
In Fulfillment of the Requirements for
Course Number GOVT-412-002T: Washington Semester Research Project
Spring 2000
Also Submitted for Fulfillment of the Senior Thesis Requirement for Political Science
Majors at Gustavus Adolphus College, December 2000
Gustavus Student Repository
ABSTRACT
The political fate of America's public lands has been nearly a constant struggle
between one or more political interests for the last 100 years. Roughly since the 1870s,
forces advocating the development, exploitation, or increased public access to the public
lands have fought on-and-off battles with those forces advocating for the protection,
preservation, or conservation of these lands and the natural resources they foster. Many
of the experts interviewed for this paper - both those advocating for the development and
protection of the public lands - have stated that the bitter controversies over how best to
manage the federal lands will extend well into the future, as it is an issue that is
fundamentally tied to ever-changing social, economic, and political trends and values.
For roughly the last five years (1995 - early 2000), there has been a regular
stream of bitter and complex battles between the United States Congress and President
Bill Clinton's administration of over various public land issues. In general, the
Republicans have been oriented towards increased development/exploitation of the public
lands for the natural resources therein, while the Clinton administration has been more
oriented towards protection and preservation of the public lands. Congress has the ability
to affect long-term, permanent legislation that has a continuing impact on how the public
lands will be managed in the future. Given this importance of Congress to the future of
the public lands, this paper seeks to understand what major trends have dominated the
arena of congressional public lands legislation for roughly the last five years (1995 -
early 2000).
Gustavus Student Repository
TABLE OF CONTENTS
CHAPTER I: Introduction ............................................... I
Discussion o f Three Factors to Be Used in Written Analysis ............. 6
CHAPTER 2: The History of America's Public Lands Policies ..... I 0
Acquisition and Disposal Era ................................................. I 1
Reservation Era ............................................. , ................... I 8
Environmentalism of the 1960s and 1970s Era ............................. 22
The Clinton Administration & Congress, 1993 -1998 Era ................ 28
Conclusion ....................................................................... 3 7
CHAPTER 3: A Snapshot of the Public Lands, 1999 -The Present
(Current Status) ............................................ 39
Congress and the Public Lands, 1999 - The Present .............. ....... 40
President Clinton and Public Lands, 1999 - The Present .................. 44
Conclusion ........ ............................................. ................ .49
CHAPTER 4: Analysis of the Written and Verbal Information ...... 51
Section I: Analysis of the Written Information/Raw Data ................. 52
Section II: Analysis of the Interview Information ............................ 65
Conclusion............................................................... . .. 78
CHAPTER 5: Significance of Paper and Future Directions .......... 82
Significance/ Larger Lessons To Be Learned From Paper . . . . . . . . . . 82
Future of This Issue and Its Implications ............................... .... 89
APPENDIX I: Methodology .............................................. 95
WORKS CITED/ BIBLIOGRAPHY ................................... IO I
Gustavus Student Repository
CHAPTER ONE:
INTRODUCTION AND OVERVIEW
A nation may be said to consist of its territory, its people, and its laws. The territory is the only part which
is of certain durability. One generation passeth away and another generation cometh, but the earth
abideth forever. It is of the first importance to duly consider and estimate this ever-enduring part.
--- Abraham Lincoln, 1862 (Junker 1986, 13).
Today, in the year 2000, the 'ever-enduring territory' that Lincoln referred to in
1862 finds its best materialization in the various public lands owned by the U.S. federal
government. The nebulous terms 'public lands,' 'federal lands,' and 'public domain,' all
approximately refer to any and all of the federal civil and defense lands currently owned
and managed by the federal government throughout the United States (Junker 1986, 3).
As of 1998, no less than one-quarter (or 563,128,072.6 acres) of the entire land area of
the United States was owned by the federal government (Bureau of Land Management
1999, Online). These public lands are a vast collection of impressive landscapes
scattered throughout America - mountains, rivers, prairies, forests, desert canyons, and
rocky shorelines are just a few of these stunning natural areas (Junker 1986). The
majority of these lands are located in the American West - in the states of Alaska,
Hawaii, Washington, Oregon, California, Montana, Idaho, Wyoming, Utah, Colorado,
Arizona, and New Mexico (Junker 1986, 7). Approximately four federal agencies
manage the public lands: the Bureau of Land Management, the National Park Service, the
U.S. Fish and Wildlife Service, and the National Forest Service. Table 1-1 on the next
page describes the general differences between these land management agencies, as well
as the amount of land each one controls.
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TABLE 1-1:
INTRODUCTION TO THE MAJOR U.S. FEDERAL LAND
MANAGEMENT AGENCIES
Bureau of Land Management BLM (Department of Interior)
Source: The Bureau of Land Management Webpage, www.blm.gov
• Established 1946, in an administrative merger of the old General Land Office and the
Grazing Service, which was an outgrowth of the 1934 Taylor Grazing Act.
• Total Acreage Managed: 264 Million Acres, located primarily in the Western
States (Alaska, Washington, Oregon, California, Idaho, Nevada, Utah, Arizona, New
Mexico, Colorado, Wyoming, and Montana).
• Various designations under BLM jurisdiction: The BLM manages a variety of federal
lands that are not otherwise set aside into the National Forest, National Park, or National
Wildlife Refuge systems. These are a collection of natural resource management areas
such as National Petroleum Reserves, grazing districts, national monuments (most
notably the Grand Staircase - Escalante National Monument), mining lease areas, areas
managed for timber harvesting, wilderness/wilderness study areas, wild and scenic rivers,
as well as simple, undesignated BLM lands. The BLM is also in charge of managing a
host of programs and public services associated with its lands, such as managing
public/commercial mineral claims on its lands and running an adoption program for wild
horses/burros that roam on western BLM lands.
National Forest Service - NFS (Department of Agriculture)
Source: Culhane, Paul, Public Lands Politics. and National Forest Service Webpage,
www.fs.fed.us
• Established 1905, as a result of the 1905 Transfer Act.
• Total Acreage Managed: 191 Million Acres.
• Various designations under NFS jurisdiction: National Forests (155) and National
Grasslands(20), as well as other affiliated units, such as forest service wilderness areas.
National Forest Service also runs a large research center, the Forest Products Laboratory,
and state, private, and international science partnerships/programs.
U.S. Fish & Wildlife Service - U.S. FWS (Department of Interior)
Source: Junkin, Elizabeth , Lands of Brighter Destiny. and U.S. Fish & Wildlife
Service Web Page, www.fws.gov
• Established 1939, although various forms of game refuges in America go back at least
to early 1900s.
• Total Acreage Managed: 93 Million Acres
• Various designations under U.S. FWS jurisdiction: National Wildlife Refuges (more
than 520) and thousands of small wetlands and other special management areas. The
agency also operates 66 National Fish Hatcheries, 64 fishery resource offices, and 78
ecological field stations.
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National Park Service - NPS {Department of Interior)
Source: The National Park Service Web Page, www.nps.gov
• Established in 1916 under National Park Service Organic Act; General Authorities
Act of 1970 gave equal protection to all areas administered by NPS in creating the
nation-wide National Park System.
• Total Acreage Managed: 80.7 Million Acres
• Various designations under NPS jurisdiction: National Parks (54), National
Monuments (73), National Preserves (16), National Historic Sites (77), National Historic
Parks (38), National Memorials (28), National Battlefields (about 15), National
Cemeteries (14), National Recreation Areas (19), National Seashores (10), National
Lakeshores (4), National Wild and Scenic Rivers (9), National Parkways (4), National
Scenic Trails (3), and other NPS affiliated areas.
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The battle over the future of America's public lands - specifically in regards to
the question of how the federal government ought best to manage these areas - has been
a seemingly endless tussle between one or more interest groups for at least the last 130
years in American history. Mary Coulombe of the American Forest and Paper
Association (AF&PA) pointed out to the author in a recent interview that the battle over
how to manage the public lands is never ending, principally because of its fundamental
ties to social and political trends (Coulombe, AF&PA 4/3/00). Nonetheless, inside of this
on-going debate an extremely important factor has persisted in shaping how the public
lands are managed by administrative agencies: the public lands legislation developed by
Congress (Shanks 1984, 243). As pointed out by Senate Energy and Natural Resources
Committee staff member Mark Rey, enacted congressional public lands legislation acts as
the statutory "tools" which federal land management agencies use to guide and direct the
course of action they take when managing the public lands (Rey, Senate ENR Committee
2/25/00). Given that Congress has the special ability to guide the management of public
lands through various policies, and that on any one public land issue there may be three
competing interests (i.e. environmentalists vs. developers vs. recreational users) the
debate in Congress over how to best manage the public lands can be very heated and
complex. Junkin described this situation well, declaring that "to policy makers, the
public lands present continual legal conundrums, as the battle is fought out in the blurred
ideological differences between definitions of terms like stewardship, conservation or
preservation" (1986, 4).
The past five years of debate in Congress over public lands management/policies
has been particular! y intense. This is most likely due to at least several, overlapping
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factors, two of which are worth briefly mentioning here. The first is that most political
critics agree that the Clinton-Gore White House, since its inception in 1993, has taken on
a very environmentally-sensitive stance towards public lands management, and has
expressed this administratively through various aggressive rulemaking procedures and
executive orders, such as the president's recent use of the 1906 Antiquities Act in
designating the Giant Sequoia National Monument in California (White House 4/15/00,
Online). Second, since replacing the Democrat majority in 1995, Republicans have
controlled Congress and the various congressional committees charged with oversight of
the federal management of the public lands. Many observers have pointed out that the
Republican leadership of these committees has generally been more developmentoriented
towards the public lands than the White House (Congressional Quarterly
Almanac (COA) 1995, 5-4). The result of these two factors has been that Congress has
spent an enormous part of its time for the last five years locked in a ongoing feud with the
Clinton administration over how best to manage the public lands (Condit, House
Resources Committee 4/7/00).
In light of this apparent collision between two opposite forces, then, the author
presents the essential question of this research paper: what have been the relevant trends
in the arena of congressional public lands legislation for roughly the last five years (1995
- early 2000)? To be certain, this is an enormous question, which does not render itself
to easy summarization. However, the possible answer to this question, as the reader will
see, is two-part, and lies in two different sets of information. The first part of the answer
to the question is, in fact, the author's original query - asking what the shape of actually
enacted congressional public lands legislation has been for the last five years. This
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analysis of major, enacted congressional public lands legislation seeks to understand
whether or not such legislation has been aimed at development and increased public
access to public lands - such as new mining and logging initiatives - or whether
Congress has taken on a more environmental/conservationist tack, opting to protect and
conserve the public lands through various policy measures. Each major piece of
legislation to be examined in Chapter Four of this paper will be evaluated for three
factors, which will be enumerated below. The second part of the answer to the question
of trends in congressional public lands legislation lies in the interviews of actual public
lands experts/professionals who regularly work with public lands issues. These experts
have indicated that there is a secondary trend to merely the shape of a few enacted pieces
of legislation. Many of these experts have described a larger trend - a lack of enacted
congressional public lands legislation, which has generally been caused by a lack of
cooperation between Congress and the Clinton administration. Views on why there has
been this lack of cooperation are extremely divergent, as will be seen in Chapter Four.
Some of the experts make compelling arguments that the blame for the lack of
cooperation lies with Congress, while others make equally strong arguments that the fault
has been with the Clinton administration. In any case, it will be seen by the end of
Chapter Four that there are good arguments for both sides of this debate.
As indicated previously, each major piece of legislation to be examined in Chapter
Four of this paper will be assessed for the three factors. Further description will be given
early in Chapter Four as to why those specific pieces of legislation have been chosen for
analysis. The following three factors will be applied to the selected pieces of legislation:
• Status of the public lands in question - Because the current scope of this paper has
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taken into account all U.S. federal lands, it is important to clearly indicate what type of
public lands a particular bill is centered around. This is necessary because some federal
lands are subject to much more stricter regulation than others (i.e. Yellowstone National
Park vs. vacant BLM grazing land). The essential question of this 'status' factor will be
ascertaining what federal land management agency has jurisdiction over the lands in
question. It is necessary to establish what agency has jurisdiction over the lands in
question because each agency has its own regulatory stance. For instance, the BLM is
legally bound to promote a multiple-use management strategy, while the NPS tends to be
much more strict in its land use regulations. Please refer to Table 1-1 for further
description of the various federal land management agencies.
• Issue typology the public lands legislation is dealing with - A brief sampling
of the public lands issues and legislation debated by Congress in the past year alone
provides a researcher with plenty of evidence that there is a wide variety in the types of
public lands issues facing Congress. Hence, when looking at the past five years of
congressional public lands legislation passed by both houses of Congress and signed into
law by the president, it is very important to identify and explain what types of issues were
being addressed in the law and generally why those issues were significant, if indeed they
were.
• Underlying management philosophy of the public lands legislation - This
criteria seeks to understand whether or not an enacted piece of congressional public lands
legislation calls for a public lands policy that is more favorable towards increased
protection and conservation of a given area of federal land, or is more focused at
increasing access and development of such land. For the purposes of this paper, a piece
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of legislation will be coded as pro-development/access if it is favorable towards increased
resource development, manual or motorized access, and general deregulation of public
lands. Congressional legislation will be coded as leaning towards conservation if it
shows a tendency towards calling for increased protection, natural enhancement,
restoration, decreased motorized access, or increased federal regulation of public lands.
Clearly, the term 'conservation' still has debated meanings in hard-core public lands
policy debate circles, but for the purposes of this paper, the term will apply to a piece of
legislation that places the protection of land before development/exploitation of land,
despite the fact that the classic definition of land 'conservation' includes notions of land
protection and careful development of resources (Cawley 1993, 17).
WHAT LIES AHEAD
In subsequent chapters, this paper will step-by-step give a reader a general
understanding of U.S. public lands issues past and present, and what role Congress has
played in addressing these issues. Chapter Two will lay out the history of major public
lands developments - roughly from the birth of the national parks with the establishment
of Yellowstone, to the backlash against President Clinton's Grand Staircase -Escalante
National Monument. Chapter Three will survey the major public lands legislation and
issues currently facing the 106th Congress, as well as describe the important public lands
initiatives/activities being carried out by President Clinton. Chapter Four is the essential
crux of this paper - it will describe the two, interconnected trends in the arena of
congressional public lands legislation as ascertained first from the written information,
and then from the oral/interview information. Chapter Five will conclude the paper by
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attempting to give predictions about the future of congressional public lands
issues/legislation, given what the author has learned in trying to ascertain the trends of
congressional public lands legislation for the past five years.
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CHAPTER TWO:
THE HISTORY OF AMERICA'S PUBLIC LANDS POLICIES
INTRODUCTION
The difficulty of discussing public lands policies first requires some general
understanding of the history of America's federal lands and, more importantly, the major
policies that have gradually shaped their existence. Without a brief historical context, not
only are the impacts of recent congressional public lands policies misperceived, but also
the general shape of what modem American public lands are and how they are managed
is lost on the reader.
One slight problem, however, is that the history of America' s public lands is very
extensive, and according to past BLM Director and public lands researcher Marrion
Clawson, the history has "scores of special laws, unique situations, and other aspects
which are not easily summarized" (Clawson 1983, 15). In light of this, the author has
attempted to streamline the otherwise complex history of American public lands into a
handful of specific eras, insi
Male and Female Political Coverage: Is There a Difference?
No full textThe overall goal of this paper is to prove that there is a difference in the kind of media coverage that the two genders receive. Women become penalized in the media for one thing, while in men it is almost praised. An example is Anita Hill. When she came forward and charged Clarence Thomas with sexual harassment, the media ridiculed her for her claim, and dug into her background to see what they could find. They accused her of lying, while some still praised Thomas for his past work. There are issues that are only talked about with women, and overlooked in men. Through looking at articles about three representatives (two female and one male), three senators (two female and one male), three governors ( two female and one male), and Bob and Elizabeth Dole (since they both had a presidential campaign), one will be able to prove that men on average receive different media coverage than women.Male and Female Political Coverage:
Is There a Difference?
Allison Maas
Professor Gilbert
Senior Political Science Thesis
22 May 2000
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When thinking about the differences between men and women, the normal
differences come to mind: biological, physical, wages, etc. One that may not come to
mind is the difference in media coverage between male and female politicians. While
this may not seem like a major difference, it is prevalent in more cases than one would
think. Throughout all of the stories, different terms are applied, and even the style of
writing begins to change. Word like soft-spoken, well dressed, and feisty are Just some
of the examples of words that come into the vocabulary when talking about women.
When talking about men, fighting words come into play, comparing them to Rambo,
focusing on their policies that they have created, or glamorizing addictions that they
have.
While researching this idea of the difference in media coverage, another idea was
accidentally stumbled upon. That is the idea that the media turns all politicians into
characters of sorts. With Marcy Kaptur, the media labeled her as a serious women
politician. Ann Richards became a character who was known for her hair, and what she
said. Diane Feinstein was the feisty politician. Bono became known in the media as the
widow with no political experience. Barbara Mikulski became known as the Senate's
shortest member. Christine Todd Whitman was seen as a hard-nosed governor.
Elizabeth Dole was seen as a feminist, but the media did not think of her in a negative
view.
On the men's side, most of the characters dealt with the actual jobs they held.
Brian Bilbray was one of the exceptions; he was known as the surfing representative.
George Bush Jr. was known more for his business dealings, his father, and his addictions.
Paul Sarbanes was known as a ranking member in the Senate, and taken seriously. Bob
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Dole was seen as the old man running for office, and became the butt of every late night
joke.
There are numerous variables that one needs to take into consideration when
reading this research. The first is where the newspaper is located. Terms or ways of
speaking may be acceptable in some regions but not others. An example would be in the
south, where people call each other honey and other such terms. Another ·'variable is
whether the paper is Republican or Democratic. This is an important consideration,
because a Republican newspaper may focus on different aspects of a Democratic woman
than a Republican woman. The final variable would be whether the politician is
considered to be a radical. In the sense of being a radical one could think about a
politician similar to Pat Buchanan. The media may cover his statements in a different
way than Bob Dole. That would greatly influence the type of coverage that one would
receive.
The overall goal of this paper is to prove that there is a difference in the kind of
media coverage that the two genders receive. Women become penalized in the media for
one thing, while in men it is almost praised. An example is Anita Hill. When she cam
forward and charged Clarence Thomas with sexual harassment, the media ridiculed her
for her claim, and dug into her background to see what they could find. They accused her
of lying, while some still praised Thomas for his past work. There are issues that are
only talked about with women, and overlooked in men. Through looking at articles about
three representatives (two female and one male), three senators (two female and one
male), three governors ( two female and one male), and Bob and Elizabeth Dole ( since
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they both had a presidential campaign), one will be able to prove that men on average
receive different media coverage than women.
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House of Representatives
When choosing the members of the House, California Republican Mary Bono was
looked at because of all the publicity she received while her husband was alive and then
just after he died. Democratic Representative Marcy Kaptur was chosen because of the
length that she has been in the House. With these two, it would be possible to see if
media coverage changed with the longer one was in the House. Republican Brian .
Bilbray was chosen because he was also a representative from California.
Mary Bono
Approximately 158 articles were examined when looking at Mary Bono. Before
she was elected, a majority of the articles were about the possibility of Sonny Bono's
widow running for his seat. Out of 158 articles, only 17 were about House functions.
Most of these dealt with the impeachment hearings. A !,>Teat deal of the articles (66)
talked about the election. 56 articles dealt with Bono's personal life. There were a few
random articles that talked about her possible affair, her stalker, and there was even one
that called her a joke.
Many newspapers liked to focus on Bono as an individual. One of their favorite
ways to look at her was to compare her to another one of Sonny's famous ex-wives, Cher.
There are not really direct comparisons, but more like a look at their friendship, if there
was one, and the support that each gave the other right after the accident. They also
talked about the liberal Cher supporting the conservative Bono, saying that she should
run to fill Sonny's vacated seat.
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Describing Bono when she first decided to run for office, people wrote that, "The
candidate is a former waitress with no political experience who admits she is not 'an
expert on anything.'"' It was almost if they were appalled at the idea that a waitress
could represent the people. Worse, she was a cocktail waitress who received a bachelor's
degree in Art History. Nowhere in the Constitution does it say that a former cocktail
waitress cannot represent the American people.
Once she took office, George Magazine published pictures of her from when she
was younger, trying to start a modeling career. "The California lawmaker is pictured
wearing a shaggy black wig, a fake-fur bra, a fringed bikini bottom and holding what
looks like a tiger pelt."" If this was some kind of current scandal that Bono was involved
in, then the American people should know what is going on. She is not wearing this on
the House floor, she wore this costume when she was younger so she could make money
and try and start a career.
Like numerous politicians before her and just like ones yet to come to
Washington, there are rumors of an extramarital affair. The National Enquirer reported
that Bono might have been having an affair with her karate instructor before Sonny died.
Reports of affairs seem to do little to a politician's career, an example to look at is
President Clinton. He confessed, and did not lose his office. Others choose to step down
from office because of their personal ethics and morals. When people are in the public
eye, stories of possible affairs emerge all the time, and whether they are true or not, is for
the accused person to let the public know.
Again, Bono has to come to understand that she is a celebrity, and that the media
is going to cover everything that she does, especially since she is Sonny's widow. Bono
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was quoted saying in an interview, "I go out with a guy on a date and it's like people
care.""' The guy that she is referring to is her current boyfriend, Brian Prout, the
drummer for the band Diamond Rio.
Once news broke that she had a boyfriend, sightings of them together seemed to
get into every newspaper. The big news around October 22 1999 was when they were
seen kissing in the Rayburn Room of the House. This quote that Bono ge a ·local
newspaper about the event shows the spitfire that she has in her: "It was just a quick kiss
goodbye, certainly not anything to upset Washington decorum. Anybody who would
think that ought to get a life. And if you want me to confirm that I'm in love with him,
yeah, I'm in love with him, and that's that!"'v It seems like she is basically telling
reporters to move away from covering shallow issues and worry about covering issues
that appear to be more newsworthy.
After the excitement of seeing the two of them kiss started to die down, reporters
needed to find something else in Bono' s personal life to report on. So, they noticed one
day that she was seen wearing a "significant rock on her ring finger. ,,v So, rumors began
circulating that she and Prout were engaged. At this time, she has neither denied nor
confirmed the rumor. Maybe she was wearing her wedding ring that Sonny gave her?
Numerous reporters liked to focus on Bono's attire. One paper wrote that, "As the
mayor's wife, she wore snug, flowered cat suits; today it's power suits.""' The
newspapers were commenting that the outfits that she used to be accustomed to wear
were no longer appropriate for U.S. representatives. That seems like it would be the truth
for anyone who is elected to the House.
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Once Bono made it out to \X/ashington D.C., one \vould think that ne\vspapers
could start to find something better to write about than what Bono was wearing. But
readine <:OmP. pP.,vspIJP.r<: woulti c11<:P. pP.r<:o.n to think tht Rono tiiti nothiqg t rpitI
by long, blond hair warn loose . . . is no longer the !aid-back California girl who stood one
step behind Sonny when he ran for mayor of Palm Springs. "vii
All of t..'1e work that Bono has been doing and the commuting between
Washington and California have caused her to lose 10 pmm.ds. The fact that a female
representative lost l O pounds due to the job that she was elected to made the news.
Finding an article about how much weight a man lost during work is more difficult.
Another newsworthy event (at least to some reporters) was when Bono was
debating about cutting her hair, so that she can look like other Washington "helmet
head(s)_"viii The last time that another haircut received so much attention V\''aS when
President Clinton got one on Air Force One while on the runway. The most recenJ article
that deals with her c!ot..hing, stated she wore "a conservative gray suit and wearing a
necklace and pair of diamond earrings given to her at C!nistmas by her late husband ! 0
days before he was killed . . . 111x \-I./hen it comes to the work of a representative. it is
poignant that she is wearing earrings that her deceased husband gave her. What not focus
on Lhe legislation that she is trying to get passed in the House?
The newspapers seem to question the abilities of Bono to continue being a mother
to her children and be successful at her j.ob. A ... rticle upon article focused on questions
similar to this_ One newspaper wrote, "Meanwhile, Bono commutes relentlessly back
and forth to spend time with her children, who live in Palm Springs with their nanny of
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eight years. When in Washington, she stays in touch by e-mail and talks to them twice a
day on the phone. Every so often they fax her their homework to check."' The
newspaper seemed to get across the point that Bono has been trying to have an active part
in her children's lives. The skeptic could look at the fact that she is leaving her children
with someone else to raise while she is across the country. But, she is leaving the care of
her children to a trusted individual whom they have known for years.
Bono's mother-in-law, Jean Bono, sent a letter to The Hemet News, urging voters
not to vote for Bono because she should stay home with her children. Hence the
stereotype that the woman should stay at home with the children is evident with the
generation gap. Bono had an interesting quote to help defend her choice to run. "If I had
died and Sonny had lived, would he have been told he should quit Congress? No. ,,xi This
shows that Bono does not believe that the woman should be forced to stay home after a
spouse dies, because the man would not be _required to.
Many different stories focused on Bono' s look, attitude and how it applies to the
Republican Party. One article wrote that, "she is young, well-spoken, attractive and a
working mother - all of which, except for the articulateness, is at marked odds with the
Republican congressional mean."'"' George Magazine wrote, "she provides what
Republicans have sorely lacked in the age of the Clinton, sex appeal and star power. ,,xiii
These two quotes show that Republicans see her as an important tool in gaining younger
ivomen support.
Finally, after searching through pages and pages of articles, one is able to locate a
handful of articles that deal with Bono's actual work in the House. The first one is about
a bill that Bono proposed that would require the labeling of fruits and vegetables. A fe·
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more articles focused on Bono' s work on a bill that Sonny wanted to pass, which was to
protect the Salton Sea in California. All of these articles were very brief, just giving the
idea for the legislation, and at best Bono is quoted by saying that this is important
legislation to pass. Nothing earthshattering.
The only other batches of stories that deal with legislative work are the stories
about the impeachment inquiry hearings through the impeachment vote. Chie article
described the tone that everyone had while they were speaking. Bono was the only one
who was described as being nervous. "When Bono rose to deliver her speech, it was with
a quaking voice and a visibly nervous demeanor. Other Republicans were at turns
somber, defiant, and even jubilant. ,,xiv
Some articles went on to describe Bono overall with her work in the House. One
described her as, "that uncoinmon member of Congress who doesn't pretend to more
knowledge than she actually possesses. ,,,v It is difficult to tell if this was a complement,
saying that she is not afraid to say she does not know, or if this is negative, implying that
she should not be in Congress if she does not think that she has enough information to
handle the job. To back up that statement, she has been quoted by saying that some of
her work was "baffiing. ,,xv,
One might wonder if Bono was aware of how much in the public eye was on her.
In an interview with Esquire, she was worrying if her hair is to short, and asked if the
reporter thought it was "too dykey?"'-vii Any woman who was trying to gain respect as a
Congressperson should not be quoted making comments like that, in fact, no one should
be quoted saying that.
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One can see that articles about Bono generally focus on her personal life or her
looks. Either than, or the articles would mention that she was Sonny's widow. Less than
half the articles found dealt with Bono and actual legislation that she was working on.
Marcy Kaptur
There were approximately 357 articles dealing with Marcy Kaptur. Otof those,
231 articles looked at different House functions that she was involved with. Examples of
these would be debates on legislation in front of the House, committee meetings, votes
taken, etc. Other articles also dealt with ideas that could be considered House functions.
A few talked about Kaptur running for another office, her religion, and public
appearances she made
When one first looks at the difference in coverage between Bono and Kaptur, the
first main difference is the amount of personal stories. Kaptur had very few stories
written about what she does outside of her Legislative work. People have described
Kaptur when they first met her as, "tough, overly serious politician with little time for
frivolity."xviii This is different from the star quality that Bono received when writers
wrote about her. The most personal stories that appeared about Kaptur would mention
the fact that she was single or that she was a Roman Catholic. With her Catholic
upbringing, she is pro-life, which does not come up in too many articles. One interesting
quote a newspaper wrote was she thought, "the government should not have a rigid antiabortion
position ... ,,,;, None of the articles criticized her for her viewpoints.
The rest of the articles dealt with different groups that Kaptur worked with,
awards she's won (negative or positive), and her stances on legislation before the House.
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She started working with a group of World War II veterans to get a memorial in
Washington D.C. With her work here, she was awarded the "annual Barbed Wire Award
from the 30,000-member American Ex-Prisoners of War Organization."" She became
the first woman to win this award. An interesting point is that only one newspaper
covered this. One might think that more papers would want to cover this, because it is
not often a woman wins an award "for members of Congress who assist POW ces,"""
Kaptur spoke out on the fact that she thought the capital needed more artwork that
had strong portrayals of women. She was able to add wording into legislation that called
attention to this fact. She did receive some criticism for this, with critics saying that there
was nothing that the legislature as a whole could do to correct this problem.
Newspapers also covered the negative publicity that she received. They were not
worried about covering the fact that she received an "Oinker award"""'' This award was
basically about who brought a large amount of pork back to his/her district. This article
covered both males and females who received the award. It did not condone their action
or approve them, just pointed out what was going on to the public.
Kaptur received a great deal of attention when there was talk that she was a
possibility to become Ross Perot's running mate in 1996. All of the articles that
mentioned this did not have an opinion on this subject, again it was just informing the
public what was going on.
One of the reasons that Perot might have been drawn to her for a potential running
mate could have been because of her anti-NAFTA (North American Free Trade
Agreement) stance. She was very vocal about this. Numerous articles were written and
used her as a source about the subject. She was quoted very often about this subject. She
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also was quoted saying that she would not welcome President Clinton to Toledo if he
ever decided to visit there. Kaptur took an all-female group of Congress members to
Mexico to research the conditions there and state how American production would not be
better if it were to go there. She then wrote a very direct article about her findings and
how women where treated down there. It is too bad that the article did not go t-o
syndication so more people could read her words. "She was snubbed by the Ohio AFLCIO
last month when the male-dominated leadership endorsed (Joel) Hyatt for Senate. It
was a gross ingratitude to Kaptur, who carried labor's banner in the NAFTA debate."'"°''
The writers of that article realized the power that they had in Kaptur and how maledominated
areas often overlook qualified females.
Kaptur was vocal on more than just her feelings for NAFTA. She was also the
"first female House Democrat to criticize Clinton about the Lewinsky matter. ,,,-xiv One of
the liveliest quotes from Kaptur was the one about her feelings for the space station,
which she called an "orbiting tin can. ,,xxv This shows that she was not opposed to stating
her opinion.
Kaptur, along with Bono, was also misinterpreted in the media on some
comments that she made. As a joke, she called Canada a "trust territory,"xxvi meaning
that America and Canada are interrelated and can easily exchange information. Residents
of Canada took those remarks the wrong way.
The main difference in coverage between the two female representatives is that
Kaptur was used more as a source for issues than Bono. Maybe that has something to do
with seniority. The press may see Kaptur as a reliable source, and after a few more
elections, reporters will ask Bono her opinions like they do Kaptur.
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Brian Bilbray
A majority of the articles about Brian Bilbray were found in local papers. He did
not have the national coverage like his fellow Representative Mary Bono. Out of 159
articles, well over half of them dealt with him doing his job as representative. The rest of
the articles dealt with past elections, the impeachment hearings, and the fact thatBilbray
likes to surf
Many articles refer to him being a California Surfing Representative because of
his actions and how he talks. They usually refer to him as "Imperial Beach's surfing
Congressman ... """"" Reports also thought it was amusing that he had a replica of a
Surfing OK sign on his office door.
With all of the publicity of being a surfer in the House, he has upset several
surfing publications/organizations. Surfer Magazine has denounced him for his use of
"surfer jargon" in his campaigns. So did Surfrider Foundation. They got upset with him
because of his environmental voting record.=""
Turbulent Skies: An In Depth Look at the Current Status of the U.S. Airline Industry
No full textThe choice of this topic is quite simple: I enjoy learning about the aviation industry and hope to one day work in it. I conducted research on the aviation industry in the fall of 1999 while enrolled in a study abroad program sponsored by the School for International Training in Geneva, Switzerland. While enrolled on that program, I had the opportunity to work with many aviation related organizations such as: the International Air Transport Association; Airports Council International; Institute of Air Transport; and many others that aided my research. I also had the privilege of interviewing many top executives at EasyJet, LemanAir, and Swissair. I built on my experience from Switzerland for my next airline-related research while enrolled in a study abroad program in Samoa. While in Samoa, I conducted an in-depth study of Polynesian Airlines, Samoa's national carrier. I interviewed executives from the company, government leaders, civil aviation officials, and competing airline executives to obtain my information.Gustavus Student Repository
TABLE OF CONTENTS
FORWARD ___ ____________ _______ 1
INTRODUCTION ___________________ ,2
DELAYS ___________ ___________ 4
PRICING _______________________ 11
AIRLINE CUSTOMER SERVICE COMMITMENT _________ ,21
MERGERS ______________________ ,31
CONCLUSION ___________________ _ _ .37
APPENDIX. _____________________ 42
GLOSSARY _________________ _____ 43
BIBLIOGRAPHY ____________________ 44
Gustavus Student Repository
FORWARD
The choice of this topic is quite simple: I enjoy learning about the aviation industry and
hope to one day work in it. I conducted research on the aviation industry in the fall of 1999
while enrolled in a study abroad program sponsored by the School for International Training in
Geneva, Switzerland. While enrolled on that program, I had the opportunity to work with
many aviation related organizations such as: the International Air Transport Association;
Airports Council International; Institute of Air Transport; and many others that aided my
research. I also had the privilege of interviewing many top executives at EasyJet, LemanAir, and
Swissair. I built on my experience from Switzerland for my next airline-related research while
enrolled in a study abroad program in Samoa. While in Samoa, I conducted an in-depth study of
Polynesian Airlines, Samoa's national carrier. I interviewed executives from the company,
government leaders, civil aviation officials, and competing airline executives to obtain my
information.
I bring a level of bias to this project mainly in the sense that I am a member of the
traveling public and many of the issues this paper brings up directly relate to me. However,
through the use of primary and secondary sources, I feel my bias can be kept out of the research.
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INTRODUCTION
The U.S. airline industry is in chaos, the government needs to step in and re-regulate it.
We have all seen the headlines. "Americans Say Flying Gets Worse," "Lawmakers Discuss
Troubling Flight Delays Report," "I Can't Get No Sa-tis-fac-tion: Airline Service Improving, But
Customers Still Unhappy" and the list goes on (News). Most of us can relate to these headlines
through our own experiences. Since the passage of the Airline Deregulation Act in 1978, the U.S.
Airline industry has experienced drastic changes. Deregulation was seen as the cure for the
ailing industry of the 1970's. With deregulation, came the hub and spoke systems, airline
alliances, service to smaller communities, lower fares ( in some cases,) unhappy customers, lower
service and more complaints, just to name a few things. What happened? This paper will
examine specific issues the airline industry is facing today in order to tell us:
• What went wrong?
• What some of the main complaints are and how to avoid experiencing them?
• What the airlines are trying to do to remedy those complaints?
• What might happen in the future?
By looking at these factors, this paper will conclude with an answer to the question
posed, Should the U.S. airline industry be re-regulated? The main source of information for this
thesis was obtained through documents provided by secondary sources such as: the General
Accounting Office, Department of Transportation, Federal Aviation Administration, and other
aviation related sources. Primary sources mainly interviews conducted with officials related to
the airline industry, were also instrumental in aiding this research. Finally, the use of prior
knowledge gathered through previous independent studies relating to the airline industry aided
the development of this thesis paper. The information included in this paper is factual and up to
date. Given the airline industry's global status, this paper will implement the use of examples
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relating to the industry from around the world. Now that we have set forth the foundations of
this paper, let us begin our investigation into trying to determine whether the U.S. airline
industry should be re-regulated. First let us begin by looking at the factors that have
contributed to one of the major issues the airlines are facing today, delays.
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DELAYS
No one is willing to accept the blame for the delays that are so prevalent in the airline
industry today. Depending on whom one asks,
he or she will most likely be given a different
answer. When asked what he thought was the
cause of the delays, Mr. Bryan Hawthorne,
Manager Pricing and Yield Management at
Northwest Airlines, gave answers that ranged
from inferring that not enough investment by
local governments into airports to blaming the
delays on the airline's customer service
This picture of rush hour at New York JFK's
International Airport provides a good example of
the delay problem plaguing the airline industry.
representatives working at the airports (HAWTHORNE). This sentiment of blaming the
airlines' own workers is prevalent. In a recent hearing before the Senate Commerce Committee's
Hearing on Airline Labor Relations, R. Thomas Buffenbarger, President of the largest airline
union in North America, claimed, "airline executives have made a cottage industry out of
blaming their own employees for flight delays and cancellations" and stated "It's time they
[airlines] started looking for solutions rather than scapegoats" (Hearing.) If one was to ask the
pilots what the cause for the delay was, he or she might be told that the problem lies in the
outdated technology being used by flight controllers or with not enough runways at airports. If
one was to ask a member of the traveling public what he or she thought caused the delays, they
might likely get a similar answer provided by Mr. Eddie Mandhry, who apathetically stated, "I
don't care what the cause is just get me to where I'm going" (Mandhry ).
The airlines, consumer advocate groups, and branches of the government are extensively
looking into the question, "What causes delays?" The following section will look at some of the
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issues pertaining to delays and what remedies are being discussed to help alleviate those delays.
First, let us look at the slot system.
We are not referring to Las Vegas and the casinos but rather to landing and takeoff slots
at airports around the country. By specifically looking at the example of LaGuardia Airport in
New York City, whose situation is common around the country, we will get a clear picture of
what is at issue here. But before we start let us define what slots are and give a little
background pertaining to their conception. Slots are defined as: a time to take-off or land an
aircraft (Suisse). This does not refer to the gate, at which the aircraft is parked, but rather the
actual take-off or landing of an aircraft. So, for an aircraft to land, unload its passengers, reload
with new ones, and take-off again the airline needs two slots.
Slots came into existence as a result of delays and congestion at five major airports:
Chicago O'Hare; Reagan National; Newark; and Kennedy and LaGuardia in New York City.
Initially, slots were distributed by scheduling committees composed of the airlines that flew to
those airports. Under regulation from the federal government, the committees were effective in
distributing the slots fairly. However, in 1978, under the Carter administration, the airlines were
deregulated when the Airline Deregulation Act was enacted. Subsequent to 1978, the Civil
Aeronautics Board controlled the number of markets that established carriers could enter into
and it also prevented new airlines from forming (GAO 25). Realizing that this practice could
result in higher fares and that it could prevent the industry from growing, Congress passed the
Airline Deregulation Act. This act got rid of federal control on the U.S. domestic market and
instead relied on market forces to determine fares and the levels of services the airlines would
offer domestically (Suisse). With the conception of this Act, the scheduling committees broke
down. The existing airlines were now reluctant to give up their existing slots to new
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competitors. The competitors were unable to obtain the slots and thus were prevented from
competing with the already established airlines.
As a result of the breakdown, the Department of Transportation issued a rule in 1985
designed to replace the scheduling committees. This rule relied on market principles to allocate
slots. The rule came to be known as the "buy-sell rule." Under this rule, slots were
"grandfathered" to the airlines that held the slots. The term "grandfather" refers to an airline's
ability to inherit the slots it currently owns. These airlines could now sell the slots to other
airlines. However, the DOT made it clear that the slots were not the property of the airlines and
that they could be taken away at any time. The airlines saw the slots as valuable commodities
and were quite reluctant to sell them to their competitors. The DOT thought that the buy-sell
rule would lead to new competition in these high-density airports. However the opposite
occurred. New airlines and smaller communities found it difficult to gain access to the high,
density airports (Subcommittee).
Realizing that the new "buy-sell rule" was not providing the outcomes the DOT hoped it
would, the FAA decided to step in and enact a "use-or-lose-it rule." This action by the FAA was
an attempt to keep the airlines from amassing slots. This rule required that the airlines use
their allotted domestic slots 65 percent of the time over a two-month period. This figure was
later raised to 80 percent of the time. However, the airlines were able to get around this
restriction. So, in 1994, the FAA enacted the Federal Aviation Authorization Act. This Act
authorized:
• New international flights to a high-density airport;
• Service by new entrant airlines in extraordinary circumstances;
• Essential air service from the smallest communities to a high-density airport.
Source: FAA
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With the act, the FM granted 42 slot exemptions for air service to LaGuardia. The Act
also called for a study to be conducted by the FAA to consider whether slots could be eliminated
at LaGuardia (FM). In May 1995, the FM found that eliminating the slot rule at LaGuardia
would result in:
• Benefits to consumers in the form of new and expanded air services and
reductions in air fares as a result of increased competition;
• An increase in revenue for each airport as a result of more flights;
• A reduction in airline profits as a result of lower fares which would be offset
somewhat by an increase in the number of passengers;
• A short-term increase in noise which would be offset in the longer-term by the
transition to quieter aircraft;
• An increase in travel delays that may be mitigated over time as passengers and
airlines adjust their behavior and schedules in response to the delays.
The FM estimated that if the slot rule were eradicated, average delays would increase by
9 minutes per flight and delays of 15 minutes or more were estimated to rise to between 16 and
30 percent of all flights. The FM asked Congress to eliminate the slot rule at O'Hare, Kennedy,
and LaGuardia Airports (Subcommittee). Congress, recognizing the FM's request, passed AIR
21, a law eliminating slot controls at O'Hare in 2002 and at Kennedy and LaGuardia in 2007
(AIR 21).
In September of 2000, there were more than 9,000 flight delays at LaGuardia, up from
3,108 in September of 1999 with an average delay of more than 48 minutes. Realizing that AIR 21
was not working, the Port Authority of New York and New Jersey announced it was putting a
moratorium on additional flights to LaGuardia. Instead, along with the help of the FM, they
imposed a lottery system for the redistribution of slots (Subcommittee).
As is evident by the example above, the aviation industry is extremely complex and
works under different business rules than do other industries. This example also brings to light
the political tug,of,war that often occurs within the industry when everyone involved is trying
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to come up with quick solutions to long-term problems. Instead of forcing the traveling public
to constantly adjust to new acts, laws, or rules, the airlines along with FAA, DOT, and Port
Authority could have come to a better solution through the following means.
First, let the market forces decide who will have what slots and when those slots will be
used. In its own study, the FAA found that any delay problems would be remedied over time as
the passengers and airlines adjust their schedules and practices in response to the delays (FAA).
However, today's society demands quick solutions and thus these types of programs never come
to be because they are long-term fixes.
Second, price the slots according to when they are being used. If an airline is using its
slots during peak-hour traffic, let the Port Authority charge extra for those slots
(Subcommittee). If the airlines want to fly during those peak-hours then charge them extra for
it. The problem with this proposition lies in that invariably those extra charges will passed
down to the passenger.
Third, give the DOT the ability to grant the airlines antitrust immunity. As one reads
through this list it becomes evident that much of the blame for the problems in the airline
industry lie in communication. Under current law, the airlines are prohibited from speaking to
one another because these communications could be deemed anti-competitive. The DOT's
antitrust immunity authority ran out in 1989. Prior to this termination the DOT granted the
airlines antitrust immunity in 1987 so that the airlines could meet and agree on adjustments in
their schedules in order to reduce the delays that were occurring at that time. Currently it would
take an act of Congress for the airlines to able to come together and discuss their operating
schedules to remedy the delay problems (Suisse).
Fourth, terminate general aviation aircraft slots. These slots are granted to the general
aviation community, typically corporate jets. In many cases these slots only represent a small
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share of the slot allotted at the particular airport but their impact is significant. Instead of
allowing general aviation aircraft to land at some of
today's busiest airports, those aircraft could be
asked to fly to other airports in the area. For
example, instead of allowing general aviation
aircraft the right to land at Minneapolis / St. Paul
International Airport, those aircraft could be
diverted to downtown St. Paul or other airports in General aviation aircraft contribute to delays at
major airports around the United States.
the area. However, if this provision was being considered to help alleviate the delay problem,
the general aviation community is likely to strongly oppose such an effort.
Fifth, elinrinate the "extra section" flight. Under current guidelines, the airlines do not
need additional slots in order to operate these sections. An "extra section" is an additional
flight that uses the same flight number as an earlier flight. This is most common on shuttle
routes between Boston to New York and New York to Washington DC. These hourly-operated
shuttles tend to fill up; when this occurs the airline will bting in another aircraft to carry the
overflow from the original flight. When both aircraft take-off they fly under the same flight
number and only use one slot instead of the two that it would normally require. These "extra
sections" do not require a slot and this allows the airlines to continue using this practice
(Subcommittee). These extra sections often lead to extra congestion on the runways. However,
if this "extra section" flight was eliminated the main benefits of the shuttle service would be
hindered.
Finally, eliminate the use-or-lose-it requirements. As mentioned earlier, under current
regulation, the airlines are required to use 80 percent of their allotted slots (Subcommittee).
This provision is two-sided. Yes, it does prevent the current holder of the slot from "hoarding"
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those slots, but it also adds to the delays. The airlines know that if they do not use their allotted
80 percent they will lose those slots; in some cases this has resulted in some airlines operating
flights that are not really needed just so they do not lose those slots.
The airlines that own these slots at airports can determine the prices for fares
because of the lack of competition. The way slots are determined is complicated but once an
airline does receive those slots it can "grandfather" them. Slots are in such high demand that a
slot trading system has arisen in the United States domestic market. In the US, some airlines
have reportedly paid up to 2.5 billion. In Europe slot
trading is not permitted so the only way an airline can get more slots is if one airline does not
use the slots it has available. In a General Account Office report it was estimated that out of the
10 most tightly airline controlled airports in the United States, fares were 31 percent higher than
at other large US airports (Suisse). Before a passenger is exposed to the possible delays, he or
she has to first overcome the obstacle of trying to find a cheap fare. Noting that initial barrier,
let us begin with the often-misunderstood practice of pricing.
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PRICING
One of the common complaints about airline service is pricing. Pricing is complicated
when it pertains to how the airlines decide to charge their fares. Many factors attribute to this
complexity and they will be covered later. First, let us look at a comparison between buying
paint from a hardware store and buying paint from an airline. The example provides a humorous
and yet insightful look into the complexity of airline pricing and the frustration that the
customers face.
Buying Paint from a Hardware Store
Customer. Hi. How much is your paint?
Clerk We have regular quality for 18. How many gallons would you like?
Customer. Five gallons of regular quality, please.
Clerk Great. That will be 9 a gallon, and we have 150 different prices up to 9 paint.
Clerk Well, first I need to ask you a few questions. When do you intend to use it?
Customer. I want to paint tomorrow, on my day off.
Clerk Sir, the paint for tomorrow is the 9 version?
Clerk That would be in three weeks, but you will also have to agree to start painting before Friday of that week
and continue painting until at least Sunday.
Customer. You've got to be kidding!
Clerk Sir, we don't kid around here. Of course, I'll have to check to see if we have any of that paint available before
I can sell it to you.
Customer. What do you mean check to see if you can sell it to me? You have shelves full of that stuff, I can see it
right there.
Clerk Just because you can see it doesn't mean that we have it. It may be the same paint, but we sell only a certain
number of gallons on any given weekend. Oh, and by the way, the price just went to $12.
Customer. You mean the price went up while we were talking?
Clerk Yes, sir. You see, we change prices and rules thousands of times a day, and since you haven't actually walked
out of the store with your paint yet, we just decided to change. Unless you want the same thing to happen again, I
would suggest that you get on with your purchase. How many gallons do you want?
Customer. I don't know exactly. Maybe five gallons. Maybe I should buy six gallons just to make sure I have
enough.
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Clerk Oh, no, sir, you can't do that. If you buy the paint and then don't use it, you will be liable for penalties and
possible confiscation of the paint you already have.
Customer. What?
Clerk That's right. We can sell you enough paint to do your kitchen, bathroom, hall and north bedroom, but if you
stop painting before you do the bedroom, you will be in violation of our tariffs.
Customer. But what does it matter to you whether I use all the paint? I already paid you for it!
Clerk Sir, there's no point i
Deutschland für jederman / Germany for Everyone: The Politics of Immigration in Germany
No full textIt is difficult to deny the existence globalization in this 21st Century world. Such "increasing interconnectedness between societies such that events in one part of the world more and more have effects on peoples and societies far away" (Baylis & Smith, 1997, p.7) is thus far unprecedented in world history. The world is increasingly seen as a single place, distanceless and borderless. As globalization continues, the idea of "borderlessness" in relation to nation-states could develop from today's figurative ideas of a world without borders to a more literal and tangible reality. Without territorial boundaries, people would really become "citizens of the world" rather than citizens of individual nation-states.
The idea of a world completely without borders comes in direct conflict with the concept of state sovereignty, or the supreme authority of a nation-state over a bounded territory and populace. In this increasingly globalized era, does state sovereignty pertaining to immigration still exist and if so, is it relevant?
In opposition to current diagnoses that nation-states have diminished sovereignty due to the increasing globalization, Christian Joppke asserts that nation-states continue to maintain state sovereignty over immigration. I will substantiate this theory by demonstrating its relevance with regard to immigration in Germany. This thesis will endeavor to demonstrate the role of sovereignty in the ever-changing politics of immigration and asylum politics in Germany. In doing so, will begin with an examination of the history of immigrant migration into (West) Germany after World War II, analyze the development of immigration and asylum policy since 1956 and introduce the latest legislation pertaining to German immigration and asylum policy.Deutschland fur jederman
Germany for everyone:
The politics of immigration in Germany
Jennifer Schlief
Senior thesis
Gustavus Student Repository
It is difficult to deny the existence globalization in this 21st Century world .
. Such "increasing interconnectedness between societies such that events in one part
of the world more and more have effects on peoples and societies far away" (Baylis &
Smith, 1997, p.7) is thus far unprecedented in world history. The world is increasingly
seen as a single place, distanceless and borderless. As globalization continues, the
idea of "borderlessness" in relation to nation-states could develop from today's
figurative ideas of a world without borders to a more literal and tangible reality.
Without territorial boundaries, people would really become "citizens of the world"
rather than citizens of individual nation-states.
The idea of a world completely without borders comes in direct conflict with the
concept of state sovereignty, or the supreme authority of a nation-state over a
bounded territory and populace. In this increasingly globalized era, does state
sovereignty pertaining to immigration still exist and if so, is it relevant?
In opposition to current diagnoses that nation-states have diminished
sovereignty due to the increasing globalization, Christian Joppke asserts that nationstates
continue to maintain state sovereignty over immigration. I will substantiate this
theory by demonstrating its relevance with regard to immigration in Germany. This
thesis will endeavor to demonstrate the role of sovereignty in the ever-changing
politics of immigration and asylum politics in Germany. In doing so, will begin with an
examination of the history of immigrant migration into (West) Germany after World
War 11, analyze the development of immigration and asylum policy since 1956 and
introduce the latest legislation pertaining to German immigration and asylum policy.
Gustavus Student Repository
I. History of German Immigration: Post World War II
Immigration into Germany after World War II can be viewed as coming in two
distinct waves. The first influx of immigrants was a period of mass migration that
occurred between 1945 and 1950. German refugees returned from territories and
countries that had been claimed or occupied by the Third Reich during its rule, such
as Upper Silesia, East Prussia and Czechoslovakia, and subsequently lost after the
war. By 1950, a reported 8.3 million refugees, expellees or other displaced persons
had entered Germany (Martin, 1994, p.198). At the same time as this large
immigrant influx was occurring, the Germans were working together with the World
War II victors Great Britain, the Soviet Union, the United States and France to
reestablish the German nation-state. When the Federal Republic of Germany was
founded in 1949, massive unemployment, factored in with the large-scale influx of
refugees, was an initial problem for the new nation-state. While the Marshall Plan, a
currency reform, and the development of a social-market economy helped to place
West Germany on a path to sustained economic growth, these aids and reforms were
nonetheless not enough to relinquish the persistent unemployment the country faced
as continued to take in refugees (Martin, 1994). This soon changed, however, as
West Germany's economy suddenly and rapidly boomed during the economic
miracle (Wirtschaftswunder) of the early 1950s. The sudden economic boom created
a need for more workers, who could be found in the largely unemployed immigrant
population. The Federal Republic's immigrant population was quickly absorbed into
the workforce, thus dramatically decreasing the previously high unemployment rate.
According to Martin (1994), the availability of so many workers then furthered West
Gustavus Student Repository
Germany's already burgeoning economic growth because it allowed the nation-state
to expand its economic output without increasing worker's wages, therefore making
West German exports competitive. By the mid-1950s, however, West German
employers were beginning to consider moving their factories abroad if they were
unable to obtain more workers. Due to the increased demand for more workers,
foreign migrant workers began to come to the Federal Republic. By 1955, an
estimated 80,000 foreign workers were holding positions in West German firms
(Martin 1994), and employers were still seeking more. This sustained demand for
enlarging the workforce led to a conscious decision by unions, employers, and the
Federal Republic to import migrant workers (Jacobson, 1996, p. 31). and thus move
West Germany into a second wave of immigration.
The second wave of immigration began in 1956 with the establishment of a
migrant guest worker (Gastarbeiter) program. West Germany got the program
underway by setting up bilateral recruitment treaties (Anwebeabkommen) with the
countries from which it would import workers. The first of these labor agreements
was established between Italy and West Germany in 1955; between 1955 and 1973,
Germany would also sign with Greece, Turkey, Morocco, Portugal, Tunisia, and the
former Yugoslavia (Jacobson, 1996) (Castles & Miller, 1998). In order to further
expedite the conscription of migrant workers, the West German government also
organized a central recruiting force, the German Federal Labor Office, to carry out
the networking tasks. This recruitment system established by the German Federal
Labor Office was well organized and efficient, setting up a networking system
Gustavus Student Repository
throughout West Germany and in the countries of guest worker origin. The system
worked as follows: West German employers seeking workers to fill vacancies
contacted local unemployment offices with their requests. The local unemployment
offices then sent the requests onto a central office, which then passed the requests
onto recruitment offices in Athens, Istanbul, Belgrade, Rome, Verona, Madrid,
Lisbon, Casablanca or Tunis. Once these offices received the requests, they
contacted workers who had registered themselves through their office for available
work in West Germany. The candidates were screened to determine their health and
job skills and, if they were qualified to fill the open positions, they were granted oneyear
work and residence permits and departed by train or plane within a few days
after receiving a position. Once they arrived in the Federal Republic, migrant workers
would be on the assembly line or at the construction job site within one to two days
after arrival (Martin, 1994, p. 201 ).
For the foreign recruits, the attractiveness of the guest worker program was
quite easy to see. When the news of jobs that paid the equivalent of a year's salary
at home in one month, scores of recruitment candidates (ranging in age from
eighteen to thirty-five and consisting mostly of farmers but also semiskilled and
skilled construction workers, miners, and even schoolteachers) registered with
government authorities and awaited their turns to work abroad. But what made the
idea to recruit migrant workers so attractive to the West Germans? In addition to, or
perhaps as an alternative to the notion that the Federal Republic needed more
workers strictly because of its economic boom, David Jacobson (1996) proposes
another reason why recruiting foreign workers appealed to West German business
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and government. According to Jacobson (1996), the impetus for importing migrants
to work in West Germany came from it being a welfare state. In a welfare state, the
country's citizen workers received compensation for their labor in two ways; one, as
"direct" wages from employers, and two, as "indirect" wages, which included such
things as benefits, insurance, and other agreements from the government. By hiring
temporary labor, West German employers could bypass having to pay temporary
workers the indirect wage. The state would also find the hiring of temporary labor
advantageous because it too would avoid having to pay for unemployment support
and the benefits it contributed towards the indirect wage. Since West Germany was
lacking a large resource of potential temporary laborers among its own people, a
decision was made to seek labor from external sources. Thus the West German
government and business sector agreed to jointly pursue the incorporation of a
guest-worker system into its economy.
According to the original design of the guest worker program, the guest worker
policy was to function as a continual worker rotation program. Initially, the plan was
that workers would be brought into West Germany, receive any additional training
needed specifically for the jobs they would be working, work for one to two years, and
finally, upon replacement by other foreign workers, they would rotate out of the
workforce in the Federal Republic and return to their home countries.
Initially, the Gastarbeiterplan functioned as intended; however, according to
Martin (1994) the program became flawed in the long-term because it was only a
short-term solution. The Gastarbeiter plan failed in the long-term because employers
did not want to continually train new workers and because many workers did not want
Gustavus Student Repository
to return to the comparatively poor economic conditions of their homelands. The
West German government had never seriously considered the possibility that,
considering the better economic situation, migrant workers would want to remain in
West Germany. In response to the urgings of Southern European governments,
German unions and businesses, migrant assistance groups and international
organizations, the West German government relaxed rules on worker rotation and
prolonged stays and began to allow guest workers to send for their families. As a
result, the number of migrants residing in West Germany rose from 2.9 million in
1968 to 6.6 million in 1973 (Martin, 1994, p. 201). By 1973, the Federal Republic had
realized that many of the nation's temporary "guests" had become permanent
residents and reacted by imposing a recruitment stop and thus ending the second
wave of immigration.
II. Creating Immigration Policy
Despite the large number of foreigners living in the country after 1956, the
West German government possessed few laws pertaining to immigration policy
because the government assumed that guest workers would eventually return to their
homelands. What they did possess for laws were based on a 1938 Nazi foreign
policy plan, the Aus/anderpolizeiverordnung and this provided meager, if not
unacceptable legal framework for the immigrant population West Germany now held.
Once it became apparent that guest workers were not returning home and instead
settling in West Germany, the German government needed to act swiftly in preparing
appropriate immigration legislation.
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In 1965, the Federal Republic established a new Foreigner Law. Although
initially hailed as a "liberal and cosmopolitan foreigner policy facilitating the conditions
of entry and stay" (Joppke, 1999, p. 66) in actuality, the lawmakers were more
interested in facilitating the return of foreigners to their nations of origin rather than
aiding their entry and stay into West Germany. Whereas old Nazi law make entry
and stay contingent on the foreigner's "worthiness" as deemed by the state, the new
law stipulated: "a residence permit may be issued if the presence of the foreigner
does not harm the interests of the Federal Republic of Germany" (Joppke, 1999, p.
66). The new law granted the state increased sovereignty because the state now
looked out foremost for its own best interests rather than having to determine one's
"worthiness" for entry. For the West Germany at the time, looking out equated using
extreme discretion in issuing residence permits. Residence permits were issued with
such discretion that the issuance of one was considered a virtual "act of grace"
(Joppke, 1999, p. 67).
Deficiencies seemed to abound in the 1965 Foreigner Law, and the lack of
provision for anything more than temporary stays in Germany was one such
deficiency. It wasn't until the introduction of the permanence regulation
(Verfestigungsregelung) in 1978 that detailed rules on how to obtain an unrestricted
residence permit and further going residence entitlement. Another major deficiency
of the 1965 law was the complete lack of rules concerning family reunification.
Detailed rules for this were not instated until the early 1980s.
As social and political problems such as ghettoization and lack of social
integration began to grown in the foreign population, the German government called
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for a recruitment stop in 1973 (Jacobson, 1996). Although there was no longer active
recruitment for foreigners, the foreign population in West Germany continued to grow.
This was because foreign workers, fearful that could not return to West Germany if
they went home, sent for their families to come to them. Ironically, in the period of
German history that contained the most immigrant growth (1965-1990), there were
no legislative reforms pertaining to foreigner law. It was not until the passing of a
new Foreigner Law in 1990 that reforms occurred and what had, until that lime,
mostly been left to 'administrative discretion' officially became law.
Resentment towards foreigners among the ethnic German population began
growing in the early 1980s. During this time, West Germany was dealing with high
unemployment rates due to the second oil crisis. With the number of unemployed
reaching two million and the number of employed foreigners living in Western
Germany reaching the same mark made for an easy blame game: foreigners, many
West Germans conceded, were "stealing" German jobs. When the issue of foreigner
family reunification came back into the focus of German foreigner policy during this
lime of foreigner backlash, Germans were rather hostile towards finding a foreignerfriendly
solution. Under the pressure of pleasing an angered society, the federal
government acted drastically, issuing the statement that, " . . . the family reunification of
non-EU nationals has to be stopped by all legal means compatible with the Basic
Law" (Joppke, 1999, p. 79). When the government issued the Decree on the Socially
Responsible Regulation of Family Reunification in December of 1981, the laws
established were much more placid than previously expected. In these new laws, a
noticeable preference was given to first-generation guest workers residing in
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Germany; there was a sense that politicians felt a special obligation towards these
recruited guest workers. Restrictions were not imposed on the non-resident spouses
of first-generation guest workers, whereas second-generation non-resident spouses
faced a minimum eight-year residence in Germany for the resident spouse and a
one-year post-marital waiting period. The maximum accepted age for children
wanting to reunite with their families in Germany lowered from eighteen years old to
sixteen years old. The establishment of the new rules, however, only furthered the
discussion on family reunification rather than ending it. Following the decree, three
separate parties challenged these rules on family reunification before the
Constitutional Court, citing a violation of Article 6(1) of the Basic Law, stating:
"Marriage and the family shall enjoy the special protection of the state"
(bundesregierung.de). The Court ruled in favor of the Federal Republic, stating that
Article 6 did not imply a constitutional right for the entry of non-resident spouses, and
maintained the eight-year residence requirement and one-year marital waiting rule,
as they argued, " . . . to guarantee the social and economic integration of the resident
spouse and to prevent sham marriages" (Joppke, 1999, p.p. 73-4).
In addition to the lawsuits, a new debate along political and territorial lines
ensued. The conservative Christian Democrats (CDU/CSU) insisted that the new
regulations were not stringent enough. They believed that the only place foreign
family reunification should occur was in the nation of origin. Appropriate foreign
policy, claimed the CDU/CSU, must promote the return migration of foreigners
(Joppke, 1999, p. 80).
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(
A dispute over territory also fueled family reunification debate among political
groups. According to Joppke (1999) because the family reunification decree
announced by the German federal government was not considered a binding federal
law, the rules were subject to the interpretation of the Lander and were therefore
implemented in varying degrees. For example, conservative Baden-WOrttemburg
and Bavaria insisted on second-generation immigrants to be married three years
before allowing the non-resident spouse entry, while the liberal province of Hesse
lowered the second-generation immigrant residence requirement from eight to five
years. Allowing the Lander rather than the state the right to interpret the rules was
part of a unique German government policy called 'cooperative federalism'. Under
cooperative federalism the individual Lander and not the federal government would
be granted extreme power. By granting the Lander the 'final say', the nation-state
effectively limited its own sovereignty.
From the time of the Christian Democratic Union/Free Democratic Party
coalition's gain of leadership in the federal government in 1982 until 1984, a draft for
the reform of the family reunification laws was presented by the CDU/FDP before the
West German Parliament (Bundestag). Many recommendations in the reform draft
were restriction-minded and often even harsh, proposing such measures as banning
marriage immigration for second-generation immigrants and setting an age limit of six
years old for family immigration of children. After the SPD launched the 'Great
Inquiry on the Further Development of Foreigner Law' in 1984, the government
responded to the drafts for reform of the family reunification laws by announcing that
they would not pass any laws restricting family immigration of children. It would be
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four more years before another serious attempt at reforming the Foreigner Law was
considered (Joppke, 1999).
In 1988 Interior Minister Friedrich Zimmermann (CDU) introduced a draft law
consisting of two parts: the first being a Foreign Integration Law and the second a
Foreigner Residence Law. Where the Integration Law was generous, the Residence
Law was restrictive. The Foreign Integration Law proposed benefits and entitlements
to first-generation guest workers, while the Residence Law denied permanent
resident status to all non-EU immigrants arriving after the first-generation guest
workers. The draft law brought about great opposition. According to Joppke (1999),
an "unprecedentedly broad coalition of political parties, charity organization, unions,
and churches mobilized against the restrictive draft law" (p. 83) and it was quickly
withdrawn from consideration.
It wasn't until new Interior Minister Wolfgang Schauble (CDU) proposed a third
revision of the Foreigner Law that the law was finally passed. Schauble was
determined to keep foreign policy out of partisan politics and was able to push the bill
from its draft in September 1989 through its final legislation in April 1990. The law,
which became effective January 1991, allowed foreigners were statutory family and
resident rights. Waiting periods on second-generation marriages were now abolished
and spouses and children of resident immigrants were allowed their own residence
rights independent of the head of the family. The new Foreigner Law no longer made
the return migration of immigrants one of its key objectives, nor did it attempt to
create a "fundamentally new foreign policy" (Joppke, 1999, p. 84). Rather, the new
legislation replaced the Lander's executive discretion pertaining to foreigner policy
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with binding national law. By creating a binding national law, the
