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... A MOCK TRIAL: THE RIGHT TO SELF-DEFENSE By Maria S. Metaxas An Honors Project submitted to the University of Indianapolis Honors College in partial fulfillment of the requirements for a Baccalaureate degree with distinction. Written under the direction of your advisors name here. February 27, 2015 Approved by: __________________________________________________________________ Dr. Maryam Stevenson, Faculty Advisor ______________________________________________________________ Dr. Amy Allen Sekhar, Executive Director, Honors College ______________________________________________________________________ First Reader ______________________________________________________________________ Second Reader M. Metaxas ii Abstract The legal field is one that is full of abstract concepts and constructs that are open to interpretation. This opens the door to varying and conflicting statements regarding a controversial issue such as self-defense. There is at present times a gap in the literature related to this issue. Often times, the issue of self-defense is one that varies on a case-bycase basis, as it should. The question at hand, therefore, is what constitutes self-defense? Are there certain cases that are clear, black and white depictions of a individual asserting his right to defend himself? Or is it a matter left up to interpretation, say by a jury? These questions are the type of investigation that I embarked on in order to compile an understanding of what comprises a self-defense case. This research was then translated into a creative piece that can be utilized by future students to aid their education and understanding of legal principles. As a result of my research, a mock trial was created where the issue of self-defense is one left up to a jury. The created piece was purposefully made to be left up to interpretation in terms of guilt and innocence. This mimics what is often the case in a real-world criminal trial. ii M. Metaxas iii Table of Contents Cover Page ............................................................................................................... i Abstract .................................................................................................................. ii Statement of Purpose ...............................................................................................1 Introduction ..............................................................................................................2 Product Produced .....................................................................................................8 Analysis/Conclusion ..............................................................................................82 Reflection ...............................................................................................................83 References ..............................................................................................................86 Appendices .............................................................................................................88 Appendix A: Diagram of the area around Wellington High School ..........88 Appendix B: Diagram of Sam Smiths injury............................................89 Appendix C: Jordan Days Facebook profile.............................................90 Appendix D: Jordan Days Facebook picture ............................................91 Appendix B: CITI Training .......................................................................92 iii M. Metaxas 1 Statement of Purpose The purpose of this project was to create a mock trial that can be used by future University of Indianapolis students who are interested in Pre-Law. My goal in this project was to create a comprehensive packet containing case law, statutory law, trial procedures, instructions, facts of law, a case summary, a list of witnesses, the statement for each witness, and the exhibits to be used in the mock trial. The main legal issues that were researched are assault and self-defense. Upon the completion of the project, I played out the mock trial as a part of my presentation. By researching these key legal issues and compiling a mock trial packet that can in turn be used in the classroom I enhanced my understanding about the law and to aid future students education. M. Metaxas 2 Introduction For someone interested in the legal field, the topic of self-defense is one that poses a difficult question. The meaning of self-defense can be interpreted many ways, and this is what makes criminal cases revolving around self-defense difficult to solve. When does an individual have the right to use force to protect themselves? And how much force does that individual have the right to use? A review of the previous literature conducted on this topic is necessary to begin to understand how to answer these questions. In order to define the elements that make up a self-defense claim it is necessary to examine the literature. The issue of self-defense is not a new topic in the legal field. However, it is necessary to continue research into the topic as it evolves with society. With an issue such as self-defense, there is no clear cut way to define it. As society evolves, so does the nature of criminal acts. This leads to no two criminal cases being the same. That is why it is necessary to review the literature on this topic and begin to examine what has been decided in the past. Such precedents can then guide future decisions. The first source examines a North Carolina Supreme Court case which held that, an honest but unreasonable belief in the necessity for self-defense will not reduce murder to manslaughter (Jarrell, 1992). This article is one that looks at a subjective criteria, the belief of the defendant, in deciding whether or not it constitutes self-defense. Four elements of self-defense are found by the North Carolina Supreme Court, which will parallel elements found by other Courts and other state laws. First, it appeared to the defendant and he believed it to be necessary to kill the deceased in order to save himself M. Metaxas 3 from death or great bodily harm. Second, the defendants belief was reasonable in that the circumstances as they appeared to him at the time were sufficient to create such a belief in the mind of a person of ordinary firmness. Third, the defendant was not the aggressor in bringing on the affray. And finally, the defendant did not use excessive force (Jarrell, 1992). This comprehensive set of criteria for establishing the legitimacy of a self-defense claim coincides across sources. The second source looks at those who contribute to the necessity of self-defense. This article laid out four areas which constituted provocation by the defendant. Such areas are verbal provocation, purposeful provocation, provocation by criminality, and looking for trouble (Lagstein, 2013). For the purposes of this paper provocation by criminality is important. Provocation by criminality is when one creates the situation requiring self-defense by participating in crime (Lagstein, 2013). This is the only source that introduced the possibility that the aggressor may be responsible for his need to use self-defense. Another area that Lagstein addresses, along with multiple other writers, is a duty to retreat. While conducting research, I found disagreement among the sources regarding this issue. It is important to note that a duty to retreat (or lack thereof) is not the deciding factor in whether defendants can claim self-defense. In fact, the Supreme Court of Indiana noted that American sentiment no longer favored the notion of retreat in the face of assault where one who is without faulty is attacked in a place where he has a right to be (Lagstein, 2013). M. Metaxas 4 A second overlapping area that I found among the articles is the idea of a right to life. Lagstein argues that self-defense cases turn on factors independent of specific laws. One important factor being the balance between the defenders autonomic interest and the attackers right to life. Multiple sources include opinions regarding the right to life and whether or not the defenders right to life outweighs an aggressors. This is one factor that is left up to the jury and can be crucial in deciding whether or not someone is entitled to self-defense Contributing to this idea, Shlomit Wallerstein refers to a rights theory. This theory states that, a defendants right not to be killed overrides an aggressors right (Wallerstein, 2005). Wallerstein argues that this theory justifies self-defense because a defendants core right not to be killed overrules any right of the aggressor. This means that the aggressor forfeits his right to life through acts of aggression (Wallerstein, 2005). However, two interesting questions are posed by this theory. First, if all people have the right not to be killed, then how does one forfeit that right even after he stops acting in an aggressive manner. And second, is forfeiture is typically seen as permanent? If so, then a person cannot regain that right even after he stops acting aggressively (Wallerstein, 2005). Drawing back to the beliefs of the defender, another article looks at a hybrid theory of self-defense. This hybrid theory states that, the defendant is only justified in the killing of the victim if both (a) the killer acted with the belief that his act was necessary to prevent the victim from carrying out his imminent threat of grievous bodily harm or death, and (b) the killing did indeed prevent the victim from causing grievous M. Metaxas 5 bodily harm or death to the killer (Fontaine, 2010). This theory is interesting because while it did draw on the beliefs of the defender, it is the first article to consider whether or not the killing did, indeed, prevent the victim from causing grievous bodily harm or death to the killer. Along with the beliefs of the defender, this source also parallels other sources in that it mentions natural rights of a human. Some questions that it poses are whether one has a natural right not to be killed? And if so, what abridges that right (Fontaine, 2010). Like the article by Douglas Jarrell, Fontaine also lists requirements of selfdefense, many of which are similar. First, the defendant must have honestly and reasonably believed that she was faced with an imminent threat of grievous bodily harm or death. Second, she needed to have honestly and reasonably believed that it was necessary to kill the victim in order to prevent the threat from being realized. Third, the amount of the defendants force must not have exceeded the degree of force posed by the threat. Fourth, the defendant needed to have honestly and reasonably believed that the treat against her was unlawful or unjustified. And finally, many jurisdictions require that the defendant not be the initial aggressor or provoker of the threat (Fontaine, 2010). These criteria bring up several points which have already been mentioned such as the honest and reasonable belief of the defendant, the actual prevention of the threat, the amount of force used, and the concept of the initial aggressor. Furthering the idea that the self-defense must have actually ceased the imminent threat, Megan E. Magoon looks at the legislation around self-defense. She states that the intent of the legislation is that the force could only be used if it was the only viable M. Metaxas 6 remedy under the circumstances (Magoon, 2010). Magoon is the first author to introduce the idea that, along with many rules of criminal procedure, when a defendant provides evidence of self-defense it is up to the prosecution to disprove it beyond a reasonable doubt (Magoon, 2010). Going along with this idea, in deciding whether a selfdefense instruction is necessary the Court must look at the evidence in the light most favorable to the defendant (Magoon, 2010). Since the belief of the defendant has been established as a necessary factor in deciding if a case is subject to a self-defense claim, it is necessary to examine a twoprong test offered in The University of Kansas Law Review. This two part test is a novel idea in that it offers both a subjective and an objective criteria for establishing selfdefense. The first prong is subjective and asks whether the defendant, sincerely believed that the use of deadly force was necessary to protect himself or another (Phillips, 2009). The concept of a sincere belief, which has been introduced in many of the articles, appears again. The second prong is a more objective test and asks whether the defendants sincere belief was reasonable. It this part of the test that must be supported by facts (Phillips, 2009). The final source contributes and furthers ideas that have already been posed. Specifically, the idea of the initial aggressor, provocation by criminality, and a duty to retreat. The State Bar of Nevada found that three elements are necessary to justify the use of deadly force. First, the person using deadly force cannot have been the original aggressor in a situation that gave rise to the need to use that force (Giles, 2014). This mirrors the idea given by other writers that the initial aggressor is not entitled to use M. Metaxas 7 deadly force. Second, the person using deadly force must have a legal right to be in the location where the force is being used, (Giles, 2014). This idea is one that has not been previously mentioned but relates to provocation by criminality. And third, the person using deadly force must not be actively committing a criminal act or otherwise acting in furtherance of a criminal activity when the deadly force is used (Giles, 2014). Again, another mention of provocation by criminality. This author relates that as long as the three requirements are met there is no duty to retreat before using deadly force. A theme that has been common among the sources. In summary, there are many overlapping themes among the authors who study self-defense. In deciding whether or not someone is subject to a self-defense claim it is important to note who the initial aggressor is and if the belief in the need of self-defense is reasonable. These are two points which appeared in the analyses of many authors. Another point drawn upon by many academics is the right to life and what this encompasses. These topics relate to my research in that I examined how they played a part in designing a criminal case. These are the topics that determined whether the defendant in my case has a valid claim of self-defense. In such a way that these issues played a part in my research, my work contributes to the vast field of legal studies. Future research should be done that examines the intricate relationship between defender and aggressor and how that relationship can contribute to the situation calling for selfdefense. With each new case that calls for the examination of a self-defense claim the large body of research relevant to this topic expands. M. Metaxas 8 Product Produced Case Summary Wellington High School is located in Atlanta, Georgia and serves as the only secondary school in the city. It is home to 4,500 students who are in grades 9-12. Wellington High is located in an affluential neighborhood and has a history of having a low crime rate. However, in recent years the school has seen an increase in violence and drug activity among upperclass students. Specifically, there have been multiple suspensions and expulsions for the buying and selling of prescription medications. In an effort to stop this the school has enacted a new zero-tolerance drug policy. The school enforces this policy by having drug dogs come search the school monthly on random days. However, due to a limited number of drug dogs in the county, the dogs only search the school building and are unable to search student cars parked in the parking lot. The increase in violence at the school has been due to this drug trafficking. The school principal has had to hire law enforcement officials to patrol the hallways and cafeteria due to fights breaking out between students. Sam Smith is a seventeen year old, junior at Wellington High School. Sam has lived in Atlanta all his life and lives in a neighborhood close to the school. He lives with his mother, father, and younger sister. Sam is an average student who maintains Bs and Cs. He does not participate in any sports but is known to have a lot of friends. There are not gangs at Wellington High School but Sam is known to hang out with a drug crowd. His girlfriend, Marsha Young, is also seventeen years old but she is a senior at Wellington High. They have been dating off and on since they were freshman. Marsha is M. Metaxas 9 an above-average student who maintains As. She is captain of the soccer team and a member of the debate team. Marsha has a reputation of being a goodie-two-shoes and is often asked why she hangs around with Sam Smith. On January 27, 2014 Sam Smith had arranged to sell prescription medication to two senior students, Jordan Day and Alex Jones. Jordan and Alex are both eighteen-year old seniors at Wellington High School and have a history of getting into trouble. Jordan Day is the troublemaker of the pair and has been suspended for cheating on a math exam freshman year. Alex is often seen as the quieter, submissive one in the pair but has a history of detentions and in-school suspensions for petty infractions. On the day of the arranged deal, Sam has agreed to drive Marsha home from school after he takes care of something. Marsha, knowing that Sam is up to no good, agrees to sit and wait in the car. The two sit in Sams car in the parking lot of Wellington High School after school has released for the day. Jordan Day and Alex Jones have agreed to pay Sam $100 for a bottle of medication and agree to meet him in the school parking lot. Sam sees Jordan and Alex approaching on foot and tells Marsha to wait in the car. Sam exits the car and begins to walk toward Jordan and Alex. Upon getting closer, Sam notices that both boys have knives sticking out of their front pockets. Sam reaches into his back pocket and pulls out a black tube of pepper spray that he always carries and holds it up defensively in front of him. Jordan and Alex approach Sam and begin to reach into their pockets and withdraw the knives. Sam tells Jordan and Alex that he will put the pepper spray away if they will put their knives away. Sam, realizing that M. Metaxas 10 Jordan and Alex are not going to listen, turns away and opens the car door. He tells Marsha that they are going to leave and puts his keys in the ignition. Jordan and Alex then approach the car, grab Sam, and forcefully take the bottle of pills from his pocket as well as the $50 cash that he had in his wallet. In the process, Jordan and Alex both cut Sams arm and Sam falls to the ground. Before retreating, Jordan and Alex each kick Sam in the side and punch him in the face as Sam is lying on the ground bleeding from the cuts on his arm. Marsha, meanwhile, stays in the car and witnesses the entire event. Marsha is the one who calls 911 and police arrive within a few minutes. In a police interview Marsha says that she heard Sam, Jordan, and Alex arguing before the attack. The next day detectives go to Wellington High School and conduct interviews to begin to investigate what had happened. One student, Avery Cook, tells detectives that he was browsing Facebook two weeks earlier and had seen a picture of Jordan Day posing with a knife. Another student, Sawyer Emerson, tells the detectives that he had witnessed an altercation between Sam, Jordan, and Alex two weeks prior. During this altercation, he says that Sam accused Jordan and Alex of stealing pills from his locker and threatened the two of them. Sawyer also told detectives that Jordan and Alex had confided in him and had expressed fear of Sam. Sam suffered severe cuts to his right arm which required 28 stitches total to close. He was admitted to the hospital and remained there for 3 hours while doctors stitched his arm. M. Metaxas 11 Jordan and Alex were arrested and charged with aggravated battery, robbery, and carrying a weapon on school property in violation of sections 16-5-24, 16-8-40, and 1611-127.1, Georgia Statutes. M. Metaxas 12 IN THE CIRCUIT COURT OF THE TWENTY FIRST JUDICIAL CIRCUIT IN AND FOR FULTON COUNTY, GEORGIA CRIMINAL DIVISION STATE OF GEORGIA, Prosecution v. Case No. 11-0011-H JORDAN DAY, Defendant ALEX JONES Defendant __________________________/ INFORMATION In the name of and by the authority of the State of Georgia: W. George Tate, State Attorney for the Twenty-First Judicial Circuit of the State of Georgia, charges that in Fulton County, Georgia, the above-named Defendant committed the following crimes. COUNT 1 On or about January 27, 2014, in violation of section 16-5-24, Georgia Statutes, Jordan Day and Alex Jones committed an Aggravated Battery upon Sam Smith by intentionally cutting Sam Smith with a knife on his arm, causing great bodily harm, and during the M. Metaxas 13 commission of the crime, Jordan Day and Alex Jones carried or had in their possession a knife, which constitutes a deadly weapon. COUNT 2 On or about January 27, 2014, in violation of section 16-8-40, Georgia Statutes, Jordan Day and Alex Jones committed a Robbery upon Sam Smith by intentionally taking property, that is, prescription medication and $50 cash, from the person of Sam Smith by use of force. COUNT 3 On or about January 27, 2014, Jordan Day and Alex Jones violated Georgia Statute 1611-127.1 by carrying a weapon, that is, a knife, on school property. Gabriel S. Slaten Asssistant State Attorney STATE OF GEORGIA FULTON COUNTY W. GEORGE TATE, STATE ATTORNEY TWENTY-FIRST JUDICIAL CIRCUIT M. Metaxas 14 Witness List Prosecution: Defense: Sam Smith-Victim Jordan Day-Defendant Marsha Young-Girlfriend Alex Jones-Defendant Charlie Hughes-School Principal Dr. Quinn Rutherford-Psychiatrist Avery Cook-Facebook Friend Sawyer Emerson-Friend *Each team must call all four witnesses for their respective party. **Witnesses may be male or female. EXHIBIT LIST Only the following physical evidence may be introduced at trial: A. A diagram of the area around Wellington High School. B. A diagram of Sam Smiths injury. C. Printout of Jordan Days Facebook profile D. Printout of Jordan Days Facebook picture M. Metaxas 15 STIPULATIONS Stipulations shall be considered part of the record. Prosecution and defense stipulate to the following: 1. Federal Rules of Evidence and Procedure apply. 2. All of the exhibits referred to above are authentic and accurate copies of the documents. No objections as to the authenticity of the exhibits may be made. Exhibits may still be objectionable under the Federal Rules of Evidence and require a proper foundation for admission. 3. All witness statements were given under oath. 4. All charging documents were signed by the proper parties. 5. Jurisdiction and venue are proper. 6. The arrest warrant was based on sufficient probable cause and properly issued. 7. Dr. Rutherford is a qualified expert witness and can testify to relevant information. 8. The absence of lab reports may not be questioned. 9. The absence of photographs may not be questioned. 10. All physical evidence and witnesses not provided for in the case are unavailable and their availability may not be questioned. 11. The diagram of the area around Wellington High School is an accurate diagram of the area, and the diagram of Sam Smiths injury is an accurate diagram of the injury. Neither party can challenge the authenticity of the exhibits. 12. Beyond whats stated in the witness statements, there was no other forensic evidence found in this case. M. Metaxas 16 13. All witness statements were taken in February 2014. 14. Physical descriptions of the victim, the defendant, and of the witnesses are accurate and may not be questioned. M. Metaxas 17 IN THE CIRCUIT COURT OF THE TWENTY FIRST JUDICIAL CIRCUIT IN AND FOR FULTON COUNTY, GEORGIA CRIMINAL DIVISION STATE OF GEORGIA, Prosecution, v. Case No. 11-0011-H JORDAN DAY, Defendant, ALEX JONES Defendant, _________________________/ SWORN STATEMENT OF SAM SMITH My name is Sam Smith. I am seventeen years old and a junior at Wellington High School. I have lived in Atlanta all of my life. I live in Bollingbrook, which is about a ten minute walk from the high school. I live with my mother, father, and younger sister. My younger sisters name is Ally. She is fourteen years old and is in eighth grade at Wellington Middle School. I like going to school at Wellington High School. The teachers are pretty cool and I have a lot of friends. Im not really a sporty guy but I like to hang around with my friends and attend football and basketball games. There arent really cliques or gangs at my school, but I do have a group of friends that I hang around with a lot of the time. My girlfriends name is Marsha Young. Shes a senior at Wellington but we are both M. Metaxas 18 seventeen. While I wouldnt say we were serious, weve been dating off and on since freshman year. Marshas pretty cool but she has an annoying habit of nagging me about my grades. See, Marsha just doesnt understand that school doesnt come easy to everyone. Marsha gets straight As and doesnt get that Im just not a book-smart type of guy. Dont get me wrong, I do okay in school. My grades just arent up to Marshas standards. I dont like to spend my free time studying, and if I can get by with Bs and Cs and still chill with my friends thats what Im gonna do, you know? I drive Marsha home from school most days and we were about to leave from the school parking lot when the incident happened. It was January 27 of last year and I had plans to meet Jordan Day and Alex Jones after school. I had some Adderall that I wasnt going to use and they asked if they could snag some to help them study for a big test they had coming up. Now, I know that its not right to be selling my medication but I figured I would make a few bucks off the whole thing. Anyways, Jordan and Alex told me that they would give me $100 for the Adderall that I had left over and I really wanted to buy a new PlayStation so I figured, what was the harm? I told Marsha that I had to meet up with them in the parking lot quickly and that I would drive her home afterwards. Looking back, I should have known not to mess around with guys like Jordan and Alex. We have had disagreements in the past and theyre seen as troublemakers at school. I think that Marsha had a feeling that something was up, like I said, shes always nagging me about hanging around with a bad crowd and not spending time on my schoolwork like I should. Anyways, she stayed in the car in the high school parking lot M. Metaxas 19 and I got out to meet Jordan and Alex. As I was walking towards Jordan and Alex I saw something sticking out of their front pockets. After getting a little closer I realized that they both had knives. This really scared me and I reached for a tube of pepper spray that my mom makes me carry for protection. You see, I have a job at the local Pizza King and sometimes have to walk home after work in the dark. My moms kind of paranoid and bought the pepper spray for me after I started my job. Anyways, I took out the pepper spray from my back pocket and held it up in front of my face. Jordan and Alex came closer to me and took out their knives. I was really confused at this point because I thought we were cool. I told them that if they would just put their knives away I would put my pepper spray away and we could all go our separate ways. By this point I realized that the $100 that I was going to make was not worth all of this. I was also scared for Marsha because I did not want her to get stuck in the middle. After I said this I realized that they were not going to listen to me. Feeling scared for my life, I walked quickly back to my car and opened the driver side door. I told Marsha that we had to get out of there and put the keys in the ignition. Next thing I knew, Jordan and Alex came up to the car, grabbed me, and snatched the pill bottle and my wallet out of my pocket. While they were robbing me they both cut me on my arm with their knives. I fell to the ground grabbing my arm and Jordan and Alex both kicked me and punched me as I was lying on the ground. I was beat up real bad. Im just thankful that Marsha was in the car to witness the whole thing and to call 911. The next thing I remember is waking up in the hospital with bandages on my arm. The doctors told me that I required 28 stitches and would have scars for the rest of my life. I just cant believe that Jordan and M. Metaxas 20 Alex would do something like this over some money and pills. I guess I always knew they were bad news. M. Metaxas 21 IN THE CIRCUIT COURT OF THE TWENTY FIRST JUDICIAL CIRCUIT IN AND FOR FULTON COUNTY, GEORGIA CRIMINAL DIVISION STATE OF GEORGIA, Prosecution, v. Case No. 11-0011-H JORDAN DAY, Defendant, ALEX JONES Defendant, _________________________/ SWORN STATEMENT OF MARSHA YOUNG My name is Marsha Young. I am seventeen years old and a senior at Wellington High School. I moved to Atlanta the summer before my freshman year and have gone to Wellington all four years of high school. I live in a neighborhood across the street from Wellington with my mother, father, and twin brother. My twins name is Michael but we dont get along very well. I think he has always been jealous of me because I get better grades than he does. My parents are always comparing the two of us and I think that it gets on his nerves. Speaking of grades, I consider myself an above-average student at Wellington. Most of my classmates would rather spend their time doing drugs or going to parties then studying and preparing for their future. Not me! I am the captain of the soccer team and I M. Metaxas 22 am on the debate team at Wellington. My dream is to get into Princeton and I cant let anything get in my way. Well, I guess there is one thing that causes a problem for me sometimes. My boyfriend, Sam Smith, is not the best student. Dont get me wrong, he is a really nice guy and a great boyfriendwe just dont have the same goals in life. Most of my friends wonder why I hang out with Sam, but weve been together since freshman year and I just cant see myself without him! Secretly, Im hoping that I will be a good influence on him and he will start to work harder in school. Its not that Sam is a bad student, he gets Bs and Cs, its just not what I would want for him. Sam drives me home from school most days because my parents let Michael take our car to football practice. Dont even get me started on that but I dont mind too much because it lets me get more time with Sam. On January 27 of last year Sam had told me that he would drive me home but he had to meet some guys in the parking lot first. Like I said, Sam doesnt always make the smartest decisions and on this day I just had a feeling that he was up to no good. However, desperately needing a ride home I agreed to sit and wait in the car while he met his friends. Anyways, I thought he was going to meet his friends. Imagine my surprise when I saw Jordan Day and Alex Jones walking towards us! I wouldnt exactly say the three were close. They have had arguments in the past that Sam has told me all about. Jordan and Alex have a reputation of being troublemakers at school, the type of people that I dont like to hang around with. What happened next was terrifying. I watched as Sam walked toward Jordan and Alex and all of a sudden Sam was pulling out the pepper spray that he carries. I know that his mom made him carry pepper spray since sometimes he walks home from work in the M. Metaxas 23 dark, but I never thought he would actually have to use it! I looked to see what the trouble was and saw that Jordan and Alex were pulling knives out of their pockets. Then, I heard yelling and saw the three boys arguing. At this point, the argument wasnt physical but I could tell that Sam was scared. Thankfully, or so I thought, Sam turned back towards the car and opened the door. He told me that we had to leave and was just putting the keys in the ignition when Jordan and Alex came up to him. I saw Jordan and Alex grab what looked like a medication bottle out of Sams pocket and they took his wallet also. As they were doing this they cut Sams arm with their knives. I started screaming and pulled my phone out to call 911. As if the boys hadnt done enough harm already, as Sam was lying on the ground bleeding they kicked him and punched him in the face. I was crying by this point and begging 911 to hurry. Thankfully, the police arrived within a few minutes and an ambulance took Sam to the hospital. Now, I know that Sam doesnt always make the best decisions but no one deserves something like this to happen to them. M. Metaxas 24 IN THE CIRCUIT COURT OF THE TWENTY FIRST JUDICIAL CIRCUIT IN AND FOR FULTON COUNTY, GEORGIA CRIMINAL DIVISION STATE OF GEORGIA, Prosecution, v. Case No. 11-0011-H JORDAN DAY, Defendant, ALEX JONES Defendant, _________________________/ SWORN STATEMENT OF CHARLIE HUGHES My name is Charlie Hughes and I am the principal at Wellington High School. I got my Bachelors degree in secondary education and math from Emory University and then completed a supervised internship that included classroom teaching. After that, I passed the Georgia State Licensing Exam and got a job teaching high school math. I taught math for 10 years before obtaining my Masters degree in educational administration from Georgia Southern University. I have been the principal at Wellington for the past five years. I live in Atlanta with my wife and our two daughters. My daughters are eight and ten years old. They attend Wellington Elementary School where my wife teaches. M. Metaxas 25 Wellington High School is a fairly large school. It is home to 4,500 students in grades 9-12. I enjoy being the principal, however Wellington has been having some troubles lately. Recently, the school has seen an increase in violence and drug activity among upper-class students. Specifically, I have had to suspend and expel multiple students for the buying and selling of prescription medication. In an attempt to put a stop to this I enacted a zero-tolerance drug policy. We enforce this policy by having drug dogs search the school at random once each month. However, due to a limited number of drug dogs in the county, the dogs are only able to search inside the school building. I believe that the increase in violence at Wellington is due to this drug trafficking. That is why I am doing everything I can to put a stop to it. I have also hired law enforcement officials to patrol the hallways and the cafeteria due to fights breaking out between students. There is definitely a group of troublemakers at Wellington High School. While I do not like to use this label loosely, a few of the students are recurrent visits to my office. Jordan Day and Alex Jones are two such students. I have had to suspend Jordan for cheating on a math exam freshman year. Alex is the quieter of the two and I believe him to be a follower. Him and Jordan are always together and always causing trouble. Alex has a history of detentions and in-school suspensions for petty infractions such as being truant and smoking cigarettes in the school bathroom during lunch. I have had meetings with both the students and their parents to try and fix their behavior. Up until now I believed that these meetings were working because I have not had many problems with either boy this year. M. Metaxas 26 Sam Smith is another student that keeps popping up on my radar. Sam is known to hang around with many of the students involved in the drug trafficking I mentioned earlier. However, I have never been able to catch Sam doing anything wrong. Sam is a quiet student who I believe makes an effort to fly under the radar. He has been in my office before for low grades and problems paying attention in class but nothing that has caused me much concern. I have, however, heard rumors that he sells pills but I have not been able to obtain proof. Part of the reason I started the drug dog searches was to find out if my students were indeed selling pills on school property. M. Metaxas 27 IN THE CIRCUIT COURT OF THE TWENTY FIRST JUDICIAL CIRCUIT IN AND FOR FULTON COUNTY, GEORGIA CRIMINAL DIVISION STATE OF GEORGIA, Prosecution, v. Case No. 11-0011-H JORDAN DAY, Defendant, ALEX JONES Defendant, _________________________/ SWORN STATEMENT OF AVERY COOK My name is Avery Cook. I am seventeen years old and a senior at Wellington High School. I moved to Atlanta last year and have had some difficulties fitting in at Wellington. Thats not to say I dont have friends, I do, its just that Wellington is a school full of cliques and groups and I dont really fit into any one group. I live in an apartment thats walking distance from Wellington so I often walk to and from school. My mother and younger sister both live with me. My sister is ten years old and attends Wellington Elementary. I try to set a good example for her by staying out of trouble and doing well in school. Honestly, I try hard in school because I cant wait to graduate and go off to college. I am trying to get into a college in my home state, California, so I have to focus on my schoolwork this year. M. Metaxas 28 Since I am shy and dont interact much with the students at Wellington, I find myself using Facebook to surf the internet in my free time. I dont really like face-to-face interaction and find it much easier to talk to people on the internet. Facebook is pretty cool because I can add friends and then use the Messenger app to talk to them. Its like were talking in person but it doesnt scare me so much. Every day after school I go home and get my homework done and spend the rest of the evening on Facebook. I have about 300 friends on Facebook, most of them from my high school back in California. However, I have added some of the guys that are in my classes at Wellington. Im trying to be a little more social and get to know the people that I will be spending my last year with. With that being said, Jordan Day is one of my Facebook friends. I have shop class with Jordan and have talked to him a couple of times. He seems pretty cool. Hes the type of guy that I thought I might be able to become friends with. That was before I saw his Facebook page. After class one day I decided to go home and add Jordan on Facebook. I thought maybe we could start talking on there and I might be able to make a friend that I could hang out with. However, once he accepted my friend request and I began to look through his profile I got quite frightened. Jordans profile picture was him holding a knife and smiling menacingly. It was the kind of picture that you see on the news of someone who has committed a crime. Along with this picture, Jordan had posted a Facebook status that said, Just bought this beauty, nobody better mess with me. I can remember exactly when I saw this because I had just turned in a big project that I had been working on all month. My project was due January 20 and I had turned it in that afternoon before I went M. Metaxas 29 home from school. So it must have been around January 20 that I saw these posts. After that, I decided I did not want to be friends with Jordan Day. M. Metaxas 30 IN THE CIRCUIT COURT OF THE TWENTY FIRST JUDICIAL CIRCUIT IN AND FOR FULTON COUNTY, GEORGIA CRIMINAL DIVISION STATE OF GEORGIA, Prosecution, v. Case No. 11-0011-H JORDAN DAY, Defendant, ALEX JONES Defendant, _________________________/ SWORN STATEMENT OF JORDAN DAY My name is Jordan Day. I am an eighteen year old senior at Wellington High School. I live at 334 Hollingsboro Avenue. I live with my father, step-mom, and three younger brothers. Being the oldest of the family I have had to take care of my younger siblings and serve as a leader in the household. I have a part-time job at a local pet store where I clean the cages of the cats and dogs and help with the grooming. I have been working there for the past three years and have gotten promoted to a shift supervisor. When I am not at the pet store I am usually at home taking care of my younger brothers. My father works all the time and is often on the road traveling. Our step-mom is okay shes pretty nice but she likes to spend all of her time shopping and going to dinner with her girlfriends. M. Metaxas 31 I do not like Wellington High School. The principal is mean and for some reason has it out for me and my best friend, Alex Jones. Weve never given him any reason to dislike us but he is always watching us. Its like he is just waiting to bust us for something. Im not sure why we have the reputation of being troublemakers. Sure, weve had our fair share of run-ins with the principal and uptight teachers but nothing that has ever been a big deal. The most trouble Ive been in was for cheating on a math exam freshman year. It wasnt even my fault. I had been up all night the night before taking care of my younger brother who was sick with the flu. Dad was out of town again, of course, and I did not have time to study in between taking Josh to the bathroom to get sick. Principal Hughes does not have a reason to dislike Alex either. Hes even more of a goody goody than I am. The most trouble hes been in is for smoking a cigarette in the school bathroom. Big deal. Its not like were into hard drugs or anything like that. The real troublemaker at school is Sam Smith. That boy is no good. He hangs around with his goody two shoes girlfriend Marsha Young and tries to act all innocent but Alex and I know the real him. Dont just take my word for it. I have proof! Two weeks ago Alex and I were hanging out at my locker during a passing period and Sam comes up to us all high and mighty. We can tell that hes fuming. He storms up to us, slams my locker shut and demands to know, who we think we are. I tell him that we have no idea what hes talking about and he rolls his eyes. Then, he starts yelling about how we stole some pills from his locker. Not only this absurd, but hes yelling about having pills in his locker when Principal Hughes just enacted a zero-tolerance drug policy. Crazy! I tell him that he needs to chill out and that we did not take anything from M. Metaxas 32 his locker. How could we? We dont know his locker combination. Then, Sam gets real close to my face, puts his hands on my shoulders, and says that if we ever stole from him again we were going to be sorry. Flash forward two weeks and Alex and I are real stressed out about an upcoming history exam. I had been spending all of my time taking care of my brothers and, once again, had no time to study. Having learned my lesson freshman year, I decided to pull an all-nighter the night before the exam and try to cram. However, there was no way I was going to make it without some extra help. Now, I know that doing drugs is wrongbut what else was I going to do? Anyways, Alex and I make a deal with Sam that we would pay him $100 for some of his Adderall. We decide to meet in the school parking lot after the final bell. After the final bell I go find Alex at his locker and we begin to walk towards the parking lot. We see Sam standing outside of his car and Marsha sitting in the passenger seat. Sam had the same menacing look on his face that he had the day he approached us about stealing from him. Alex and I walk towards Sam and Sam pulls something out from his back pocket. Thinking that this is a set up and Sam is going to follow through on his threat from two weeks earlier, Alex and I pull out pocket knives that we carry as a means of protection. You never know who you are going to run into on the streets and it is always good to have a way to protect yourself. Sam begins yelling at us about stealing from him again and we can tell that this is not going to be a civil meeting. Sam runs at us with pepper spray and is yelling about how he is going to hurt us. In self-defense, Alex and I try to grab the pepper spray from him and accidentally end up cutting his arm in the M. Metaxas 33 process. Sam falls to the ground and Alex and I, scared that the police are going to come and we will get in trouble for trying to buy drugs, run off. Now, I know we shouldnt have been trying to buy Adderall and we should have just taken the extra time to prepare for the test but we did what we had to do to protect ourselves. Sam started the whole thing and had probably been planning it for two weeks. He thought we stole from him and he wanted to get revenge. M. Metaxas 34 IN THE CIRCUIT COURT OF THE TWENTY FIRST JUDICIAL CIRCUIT IN AND FOR FULTON COUNTY, GEORGIA CRIMINAL DIVISION STATE OF GEORGIA, Prosecution, v. Case No. 11-0011-H JORDAN DAY, Defendant, ALEX JONES Defendant, _________________________/ SWORN STATEMENT OF ALEX JONES My name is Alex Jones and I am an eighteen year old senior at Wellington High School. I live in Crystal Lake Village which is close to the high school. I have lived in Atlanta all of my life, but Ive moved around a couple of times within the city. My mother, father, and I all live in my house. My mother is a teacher at Wellington Elementary School and my father works at the local doctors office. I dont really mind going to Wellington High. The other students are nice enough and I like pretty much all of my classes. I havent always been the best student. Ive gotten in trouble for skipping class and once for smoking a cigarette in the school bathroom. Besides that, though, Ive really done my best to turn my act around and try to get into a good college. I hope to grow up to be a doctor just like my father. My best M. Metaxas 35 friend at school is Jordan Day. Hes a senior like me and we get along pretty well. I think that is because we are both kind of misunderstood. For some reason we are seen as troublemakers at Wellington. I really think that Principal Hughes has it out for us. He somehow got it in his head that we were drug users and has been trying to catch us doing something wrong for a while now. He has been cracking down on the drug policy at school because of some fights breaking out. Really, Wellington doesnt have a drug problem. I mean, its not like there are gangs fighting over cocaine or anything. The worst drug floating around Wellington is Adderall and thats not even a big deal. Speaking of Adderall, this whole situation started when Jordan and I were trying to find some to help us study for a big history exam we had coming up. Jordan doesnt really have time to study since he takes care of his younger brothers a lot and I have been under a lot of pressure from my dad to get my grades up. That being said, we had heard that Sam Smith had extra Adderall that he was willing to sell. I guess now is as good of a time as any to explain what happened between Jordan, Sam, and I a few weeks before this incident. Jordan and I were hanging out at his locker like we usually do during passing periods when Sam came up to us. I could immediately tell that he was really mad, and to be honest he was sort of scary looking. Sam slammed Jordans locker shut and began to yell at us about stealing pills from his locker. I was shocked! I mean, Jordan and I werent necessarily friends with Sam but we had never gotten into an altercation like this before, and we certainly hadnt stolen from him. We told Sam that he was mistaken and he told us that if we ever stole from him again we were going to be sorry. He even put his hands on Jordan when he was yelling at him. He didnt hit him or anything, but he M. Metaxas 36 was definitely trying to intimidate us. After telling Sam that we definitely didnt take any pills from his locker, once again, he stormed off in a fury. Anyways, a few weeks later Jordan and I were desperate for some study aides and decided to make a deal with Sam to buy some of his Adderall. We had agreed to meet in the school parking lot after school and pay him $100 for a bottle of his leftover Adderall. On January 27 of last year I met Jordan at his locker during our lunch period and we discussed how nervous we were for the meeting. Jordan offered me something to calm my nerves. Jordan told me that it was just some of his step-moms Xanax and that it would help calm us down. Being kind of nervous for our meeting with Sam, I agreed and we each took the Xanax. That afternoon I, once again, met Jordan at his locker. We got the cash and began to walk towards the school parking lot. I was quite nervous for the exchange because of how Sam had acted a few weeks earlier. Jordan and I got to the parking lot and saw Sam Smith standing a few feet from his car. We also saw his girlfriend, Marsha Young, sitting in the passenger seat. As we walked closer to Sam we saw him taking something out of his back pocket. I immediately realized that this might be a set up and that Sam might be acting on his threat from two weeks earlier. In self-defense I pulled out the knife that I carry with me for protection. As we got closer to Sam he began to yell at us about stealing from him once again. We immediately can tell that this is not going to be the civil exchange that we expected. Sam began to run at Jordan and I and we held up our pocket knives in self-defense. Jordan and I try to grab the pepper spray that Sam is holding towards us and we accidentally cut his arm in the process. Sam falls to the M. Metaxas 37 ground and I am petrified that Marsha is on the phone calling the cops. Realizing that I am going to be in a lot of trouble if I stick around, I grab Jordan and we run out of the parking lot and away from the school. In retrospect, I know that buying another students Adderall is wrong but I was desperate to impress my father and do well on the big history exam. I feel bad that Sam got hurt but I was only doing what was necessary to protect myself. He started the whole thing and had been planning his attack for weeks. M. Metaxas 38 IN THE CIRCUIT COURT OF THE TWENTY FIRST JUDICIAL CIRCUIT IN AND FOR FULTON COUNTY, GEORGIA CRIMINAL DIVISION STATE OF GEORGIA, Prosecution, v. Case No. 11-0011-H JORDAN DAY, Defendant, ALEX JONES Defendant, _________________________/ SWORN STATEMENT OF DR. QUINN RUTHERFORD My name is Dr. Quinn Rutherford and I am a licensed psychiatrist at Georgia Hospital. I have Bachelors degrees in psychology and chemistry from Indiana University and my medical degree from Indiana University. After obtaining my degrees I completed four years post-doctoral training in a residency program. I then completed 36 months of required psychiatric training. Then I passed the United States Medical Licensing Examination and obtained Board Certification from the American Board of Psychiatry and Neurology. I have been practicing psychiatry for approximately fifteen years and have testified in more than 45 trials as an expert witness. I was contacted by the defense in order to determine if Xanax would have had an effect on the defendants. I have reviewed all of the evidence, including witness M. Metaxas 39 statements and the police and medical facts. My professional opinion is that someone high on Xanax is not responsible for the poor decision-making that immediately follows taking a high dose of Xanax. I have reached this conclusion because it is medically documented and proven that Xanax decreases judgment and the ability to reason. By Alex Jones own admission he admits to taking four Xanax pills a mere two hours before the events of January 27, 2014. This is more than double the recommended dose for someone his age. Therefore, it is my professional opinion that the defendants should not be held responsible for the poor decision-making that followed. M. Metaxas 40 IN THE CIRCUIT COURT OF THE TWENTY FIRST JUDICIAL CIRCUIT IN AND FOR FULTON COUNTY, GEORGIA CRIMINAL DIVISION STATE OF GEORGIA, Prosecution, v. Case No. 11-0011-H JORDAN DAY, Defendant, ALEX JONES Defendant, _________________________/ SWORN STATEMENT OF SAWYER EMERSON My name is Sawyer Emerson. I am eighteen years old and am a senior at Wellington High School. I have lived in Atlanta all of my life and have attended Wellington for four years. I live with my mother, who teaches economics at the high school, and my younger sister. My sister is eleven and a fifth grader at Wellington Elementary. When I am not in school I have a part-time job at the auto-repair shop on Massachusetts Blvd. I have had this job for three years and have a good relationship with my employer. My responsibilities include changing tires, ordering parts, and making sure all of the orders get filled. I dont mind going to school at Wellington. Some of my friends that I hang out with have been talking about how the school is getting stricter and is cracking down on M. Metaxas 41 our freedoms but I think this is necessary. In my opinion, things have gotten kind of out of hand at Wellington. There has been a real problem with drugs at the school and a lot of times fights will break out because of this. A lot of the guys I hang out with have been involved in all of these troubles, but I have tried to stay clear of it. Two of my close friends are Jordan Day and Alex Jones. I feel bad for them because I think they are pretty misunderstood at school. Theyve been in trouble before but never for anything major. Just little things like skipping class or being tardy. One day I was getting my math book out of my locker when I overheard a conversation between Jordan and Alex and another student, Sam Smith. I dont know Sam very well but I have always heard that he is into the drug scene. He dates a nice girl, Marsha Young, so I didnt really know if the rumors about him using drugs were true or not. However, I didnt doubt it after the conversation that I overheard. My locker is only about five away from Jordans and I saw Sam go storming up to Jordan and Alex as they were standing there talking. He was being pretty loud and I heard him accuse Jordan and Alex of stealing pills from him. I also heard him say, If you ever steal from me again, youll be sorry. It sounded like he was really mad. The next day I was talking to Jordan and Alex and asked them about what had happened. They explained to me that they hadnt stolen anything from Sam and they were fearful that he was going to hurt them. Now, I dont want to rat on my friends or anything, but I have been around Jordan and Alex when theyve been talking about using drugs. I think that this has led to a lot of problems for them. I dont know for sure or not if they had stolen pills from Sam but I do know that they were really mad about this incident. In fact, later in the conversation they M. Metaxas 42 began to get mad that Sam had embarrassed them like that in front of people at school. Jordan and Alex decided that Sam would have to pay for embarrassing them and for risking Principal Hughes overhearing talk of drugs at school. They decided that they would show him what it was like to actually be robbed. I didnt feel comfortable participating in this conversation with them so when the conversation shifted to this nature I excused myself. However, before I left I overheard them saying that they were going to plan a drug deal with Sam and then turn the tables on him and rob him. Im not sure what happened that day in January but I do know there had been prior talk of planning to rob Sam Smith. M. Metaxas 43 APPLICABLE STATUTES O.C.G.A. 39-1-1 (2010) 39-1-1. Age of legal majority; residence of persons in state for purpose of attending school (a) The age of legal majority in this state is 18 years; until that age all persons are minors. O.C.G.A. 16-3-21 (2010) 16-3-21. Use of force in defense of self or others; evidence of belief that force was necessary in murder or manslaughter prosecution (a) A person is justified in threatening or using force against another when and to the extent that he or she reasonably believes that such threat or force is necessary to defend himself or herself or a third person against such other's imminent use of unlawful force; however, except as provided in Code Section 16-3-23, a person is justified in using force which is intended or likely to cause death or great bodily harm only if he or she reasonably believes that such force is necessary to prevent death or great bodily injury to himself or herself or a third person or to prevent the commission of a forcible felony. (b) A person is not justified in using force under the circumstances specified in subsection (a) of this Code section if he: (1) Initially provokes the use of force against himself with the intent to use such force as an excuse to inflict bodily harm upon the assailant; (2) Is attempting to commit, committing, or fleeing after the commission or attempted commission of a felony; or M. Metaxas 44 (3) Was the aggressor or was engaged in a combat by agreement unless he withdraws from the encounter and effectively communicates to such other person his intent to do so and the other, notwithstanding, continues or threatens to continue the use of unlawful force. O.C.G.A. 16-3-23.1 (2010) 16-3-23.1. No duty to retreat prior to use of force in self-defense A person who uses threats or force in accordance with Code Section 16-3-21, relating to the use of force in defense of self or others, Code Section 16-3-23, relating to the use of force in defense of a habitation, or Code Section 16-3-24, relating to the use of force in defense of property other than a habitation, has no duty to retreat and has the right to stand his or her ground and use force as provided in said Code sections, including deadly force. O.C.G.A. 16-5-24 (2010) 16-5-24. Aggravated battery (a) A person commits the offense of aggravated battery when he or she maliciously causes bodily harm to another by depriving him or her of a member of his or her body, by rendering a member of his or her body useless, or by seriously disfiguring his or her body or a member thereof. (b) Except as provided in subsections (c) through (h) of this Code section, a person convicted of the offense of aggravated battery shall be punished by imprisonment for not less than one nor more than 20 years. M. Metaxas 45 (g) Any person who commits the offense of aggravated battery upon a student or teacher or other school personnel within a school safety zone as defined in paragraph (1) of subsection (a) of Code Section 16-11-127.1 shall, upon conviction thereof, be punished by imprisonment for not less than five nor more than 20 years. O.C.G.A. 16-8-40 (2010) 16-8-40. Robbery (a) A person commits the offense of robbery when, with intent to commit theft, he takes property of another from the person or the immediate presence of another: (1) By use of force; (2) By intimidation, by the use of threat or coercion, or by placing such person in fear of immediate serious bodily injury to himself or to another; or (3) By sudden snatching. (b) A person convicted of the offense of robbery shall be punished by imprisonment for not less than one nor more than 20 years O.C.G.A. 16-11-127.1 (2010) 16-11-127.1. Carrying weapons within school safety zones, at school functions, or on school property (a) As used in this Code section, the term: (1) "School safety zone" means in or on any real property owned by or leased to any public or private elementary school, secondary school, or school board and used for elementary or secondary education and in or on the campus of any public or private M. Metaxas 46 technical school, vocational school, college, university, or institution of postsecondary education. (2) "Weapon" means and includes any pistol, revolver, or any weapon designed or intended to propel a missile of any kind, or any dirk, bowie knife, switchblade knife, ballistic knife, any other knife having a blade of two or more inches, straight-edge razor, razor blade, spring stick, knuckles, whether made from metal, thermoplastic, wood, or other similar material, blackjack, any bat, club, or other bludgeon-type weapon, or any flailing instrument consisting of two or more rigid parts connected in such a manner as to allow them to swing freely, which may be known as a nun chahka, nun chuck, nunchaku, shuriken, or fighting chain, or any disc, of whatever configuration, having at least two points or pointed blades which is designed to be thrown or propelled and which may be known as a throwing star or oriental dart, or any weapon of like kind, and any stun gun or taser as defined in subsection (a) of Code Section 16-11-106. This paragraph excludes any of these instruments used for classroom work authorized by the teacher. (1) Except as otherwise provided in subsection (c) of this Code section, it shall be unlawful for any person to carry to or to possess or have under such person's control while within a school safety zone or at a school building, school function, or school property or on a bus or other transportation furnished by the school any weapon or explosive compound, other than fireworks the possession of which is regulated by Chapter 10 of Title 25. (2) Any license holder who violates this subsection shall be guilty of a misdemeanor. Any person who is not a license holder who violates this subsection shall be guilty of a M. Metaxas 47 felony and, upon conviction thereof, be punished by a fine of not more than $10,000.00, by imprisonment for not less than two nor more than ten years, or both. (3) Any person convicted of a violation of this subsection involving a dangerous weapon or machine gun, as such terms are defined in Code Section 16-11-121, shall be punished by a fine of not more than $10,000.00 or by imprisonment for a period of not less than five nor more than ten years, or both. (4) A child who violates this subsection may be subject to the provisions of Code Section 15-11-63. (c) The provisions of this Code section shall not apply to: (1) Baseball bats, hockey sticks, or other sports equipment possessed by competitors for legitimate athletic purposes; (2) Participants in organized sport shooting events or firearm training courses; (3) Persons participating in military training programs conducted by or on behalf of the armed forces of the United States or the Georgia Department of Defense; (4) Persons participating in law enforcement training conducted by a police academy certified by the Georgia Peace Officer Standards and Training Council or by a law enforcement agency of the state or the United States or any political subdivision thereof; (5) The following persons, when acting in the performance of their official duties or when en route to or from their official duties: (A) A peace officer as defined by Code Section 35-8-2; (B) A law enforcement officer of the United States government; (C) A prosecuting attorney of this state or of the United States; M. Metaxas 48 (D) An employee of the Georgia Department of Corrections or a correctional facility operated by a political subdivision of this state or the United States who is authorized by the head of such correctional agency or facility to carry a firearm; (E) A person employed as a campus police officer or school security officer who is authorized to carry a weapon in accordance with Chapter 8 of Title 20; and (F) Medical examiners, coroners, and their investigators who are employed by the state or any political subdivision thereof; M. Metaxas 49 JURY INSTRUCTIONS AGGRAVATED BATTERY To prove the crime of Aggravated Battery, the State must prove the following elements beyond a reasonable doubt: 1. JORDAN DAY AND ALEX JONES intentionally touched or struck SAM SMITH against his/her will, or intentionally caused bodily harm to SAM SMITH, 2. JORDAN DAY AND ALEX JONES, in committing the battery, intentionally or knowingly caused great bodily harm, permanent disability, or permanent disfigurement to SAM SMITH, or used a deadly weapon. The first element is the definition of battery. Regarding the second element, a weapon is a deadly weapon if it is used or threatened to be used in a way likely to produce death or great bodily harm. ROBBERY To prove the crime of Robbery, the State must prove the following element beyond a reasonable doubt. 1. JORDAN DAY and ALEX JONES when, with intent to commit theft, took property of another from SAM SMITH or the immediate presence of another: (1) By use of force; (2) By intimidation, by the use of threat or coercion, or by placing such person in fear of immediate serious bodily injury to himself or to another; or (3) By sudden snatching. M. Metaxas 50 CARRYING A WEAPON ON SCHOOL PROPERTY To prove the crime of Carrying a Weapon on School Property, the State must prove the following elements beyond a reasonable doubt. 1. JORDAN DAY and ALEX JONES carried a weapon within a school safety zone, at a school function, or on school property. School safety zone means in or on any real property owned by or leased to any public or private elementary school, secondary school, or school board and used for elementary or secondary education and in or on the campus of any public or private technical school, vocational school, college, university, or institution of postsecondary education. Weapon means and includes any pistol, revolver, or any weapon designed or intended to propel a missile of any kind, or any dirk, bowie knife, switchblade knife, ballistic knife, any other knife having a blade of two or more inches, straight-edge razor, razor blade, spring stick, knuckles, whether made from metal, thermoplastic, wood, or other similar material, blackjack, any bat, club, or other bludgeon-type weapon, or any flailing instrument consisting of two or more rigid parts connected in such a manner as to allow them to swing freely, which may be known as a nun chahka, nun chuck, nunchaku, shuriken, or fighting chain, or any disc, of whatever configuration, having at least two points or pointed blades which is designed to be thrown or propelled and which may be known as a throwing star or oriental dart, or any weapon of like kind, and any stun gun or taser as defined in subsection (a) of Code Section 16-11-106. This paragraph excludes any of these instruments used for classroom work authorized by the teacher. M. Metaxas 51 State v. Benge 158 S.E.2d 70 Facts: Defendant admits shooting victim with a pistol and admits that he never saw a weapon in victims hand. There is other evidence which suggests that defendants repeated firing was unnecessary to his own self-defense and that defendant followed victim outside his habitation and shot him at least three times as he lay on the ground. Procedural History: Defendant argues that the court erred in denying his motion for nonsuit at the close of evidence. Issue(s) Presented: Did the trial judge err by overruling the defendants motion for nonsuit at the close of evidence? Holding: No. Legal Reasoning: Ordinarily, when a person who is free from fault in bringing on a difficulty, is attacked in his own home or on his own premises, the law imposes on him no duty to retreat before he can justify his fighting in self-defense, regardless of the character of the assault, but is entitled to stand his ground, to repel force with force, and to increase his force, so as not only to resist, but also to overcome the assault and secure himself from all harm. M. Metaxas 52 This, of course, would not excuse the defendant if he used excessive force in repelling the attack and overcoming his adversary. State v. Francis, State v. Frizzelle In order to claim self-defense, the force used must be exerted in good faith to prevent the threatened injury. It must not be excessive or disproportionate to the force being used by the attacker. However, the question of excessive force is one for the jury. Disposition: No error. M. Metaxas 53 State v. Bush 34 F.3d 44 Facts: On October 30, 1990, Wallie Howard, a Syracuse police officer working undercover for the DEA was shot and killed during a cocaine buy-bust. Davidson was the head and supplier of a cocaine conspiracy that began in Syracuse in or around 1988. Parke was a chief lieutenant of Davidsons. Parke and Morales frequently delivered cocaine to customers who had called them on beepers to place orders. Lawrence was a seller at one of the conspiracys drug apartments. He was also muscle for the conspiracy. Stewart had dealt cocaine for the conspiracy in the past, and owed the group a debt for cocaine he had purchased three weeks earlier which turned out to be bad. He was invited to participate in the events of the 30th as a means of paying off the debt he owed. A sale between the conspiracy, Agent Howard, and CI Luther Gregory was scheduled for October 30, 1990. On the morning of October 30th, the DEA drug task force met to schedule the buy-bust. Because more than $40,000 in case was being exchanged the agents were concerned about a possible robbery. They attempted to arrange the purchase in a public location. Davidson had made plans to rob Gregory because he felt Gregory had robbed him in the past. M. Metaxas 54 The defendants met the morning of the 30th as well. Davidson laid out his plan to rob Gregory. Parke supplied Lawrence with a .357 caliber revolver. Stewart was armed with a .22 caliber handgun. Morales was to negotiate the deal and act as the driver. Lawrence and Stewart were to conduct the robbery. Davidson and Parke remained behind. Morales met with Agent Howard and Gregory at Gregorys apartment and they agreed to do the deal in a parking lot of Marios Big M. Morales told Gregory to go with him to his apartment to check the quality of the cocaine. When they arrived at Moraless apartment, Lawrence and Stewart emerged with guns. They bound and gagged Gregory, breaking his wrist. Morales, Lawrence, and Stewart returned to Marios Big M. Lawrence and Stewart, both armed, approached Gregorys vehicle where Agent Howard was seated. Stewart had the loaded .22 in his hand and tried to shoot but no round was in the chamber. Agent Howard got three shots off, one hitting Stewart in the shoulder. Lawrence fired the .357 from behind Howard and killed him. Procedural History: Appellants appeal their convictions after a jury trial conducted in the Northern District of New York on various charges stemming from the drug-related killing of an undercover police officer. M. Metaxas 55 After a two-month jury trial held in January and February of 1993, the defendantsappellants were found guilty as charged. Issue(s) Presented: Did the district court err in not specifically charging the jury that it was the governments obligation to prove the absence of self-defense beyond a reasonable doubt? Holding: No. Legal Reasoning: Some courts have held that the failure to instruct the jury of the governments obligation infers that the defendant must prove self-defense. Given the jurys finding that the defendants committed the killing of Agent Howard in an attempt to rob him, the defendants were not entitled, as a matter of law, under the circumstances, to rely on the defense of self-defense. The defendants were not entitled to the defense of self-defense because their need to defend themselves arose out of their own armed aggression. One who commits or attempts a robbery armed with deadly force, and kills the intended victim when the victim responds with force to the robbery attempt, may not avail himself of the defense of self-defense. One who is the aggressor in a conflict culminating in death cannot invoke the necessities of self-preservation. Disposition: No error. M. Metaxas 56 The judgments of conviction are affirmed. M. Metaxas 57 State v. Deck 203 S.E.2d 830 Procedural History: Defendants counsel requested the Court to instruct on self-defense and the Court refused to do so. Issue(s) Presented: Did the trial court err by refusing to instruct the jury on the law of self-defense? Holding: Yes, the evidence in this case was sufficient to require the trial judge to state and apply the law of self-defense to the facts of the case. Legal Reasoning: The right to act in self-defense is based upon necessity, real or apparent, and a person may use such force as is necessary or apparently necessary to save himself from death or great bodily harm. The reasonableness of his belief is to be determined by the jury from the facts and circumstances as they appeared to the accused at the time of the killing. When supported by competent evidence, self-defense unquestionably becomes a substantial and essential feature of a criminal case. Disposition: The defendant is entitled to a new trial. M. Metaxas 58 State v. Hall 366 S.E.2d 527 Facts: Defendant went to his estranged wifes home after reading a note that she had left him at his residence. The note asked defendant to bring her a gun so she could protect herself and her children from victim. Defendant placed a single-barrel shotgun in his truck and drove to wifes mobile home. When defendant arrived he met wife running out of the mobile home. Wife told defendant that victim had a knife and that the victim was going to hurt him. She told defendant to get back in his van. Defendant walked back to his van and got the shotgun. Defendant approached victim with the shotgun. The two men were ten to twelve feet apart. Defendant and victim argued for around ten minutes. Defendant asked victim to leave several times. The evidence indicated that victim had an open knife in his pocket and at one point told defendant that he would put away the knife if he put down the gun. Defendant never saw the knife in the possession of victim. Victim turned as if to leave but abruptly turned back towards defendant and stepped in his direction. It appeared to defendant that victim was reaching for something. Defendant fired the gun. Procedural History: M. Metaxas 59 Defendant was indicted for assault with a deadly weapon inflicting serious injury. Defendant appeals. Issue(s) Presented: Did the evidence require an instruction on self-defense? Did the evidence require an instruction on defense of family? Holding: No. No. Legal Reasoning: Defendant refused his wifes request to get back into his van. He admitted to returning to the van to get the shotgun. Defendant approached victim with the gun. Defendant was not without fault in bringing on the affray and voluntarily and aggressively took himself into a situation in which he well knew that he or the other man would probably use deadly force State v. Brooks There is no evidence that, at any time, defendant withdrew from the fight. As defendant entered into the affray voluntarily and without lawful excuse or provocation, he is considered the aggressor and was therefore not entitled to a charge on self-defense. A family member has the right to come to the defense of a fellow family member when that member is faced with an assault. State v. Moses M. Metaxas 60 Unless there is evidence that defendant had a reasonable belief that an assault was about to be committed by another on the family member, he is not entitled to an instruction on defense of that person. the assistants act may not be in excess of that which the law would allow the assisted party. State v. Moses In this case the wifes statements showed concern for defendants safety. She did not indicate that she felt she was about to be assaulted. Disposition: No error. M. Metaxas 61 State v. McAvoy 417 S.E.2d 489 Facts: On September 7, 1988, defendant was working as a bartender at the Winners Circle Club. Around 11:30 or 11:45 p.m. Gary Gray was in the club and told Annette Underwood and Michelle Williams that his wife and defendant were seeing each other. Gray said that he wanted to take pictures of his wife and the defendant to use as evidence in a custody battle if he and his wife ever divorced. Gray followed the defendant to the back of the bar and exchanged words with defendant. Defendant pushed Gray back into the hallway. Gray went around to the front of the bar and continued talking to defendant. More words were exchanged and defendant pulled out a gun and aimed it at Grays head. Gray slapped at the gun once and stood on the edge of the bar yelling, Shoot me. Go ahead shoot me. After Grays challenge, defendant shot Gray in the head and then asked someone to call the police. The arresting officer testified that he did not smell any alcohol on the defendant. According to the defendant, Gray confronted him two weeks to a month before the shooting and accused the defendant of going out with his wife. Gray told defendant if he ever caught him going out with his wife, he would kill him. According to the defendant, Gray told him, Well, Im going to tell you right now, Im going to kill you. M. Metaxas 62 Gray reached for defendants shirt and defendant stepped away. As the defendant stepped back from Gray, he noticed that Gray was carrying a weapon on his side. Defendant testified that Gray screamed, Shoot me or Im going to kill you. After Gray shouted his first threat, defendant drew a pistol from his belt. Gray then reached back toward his hip to grab what defendant thought was a pistol. Defendant testified that he shot Gray because he thought Gray was going to shoot him. Defendant said he only meant to hurt Gray, not kill him. Procedural History: Defendant was tried in a non-capital trial and charged with first-degree murder. The jury returned a verdict of guilty as charged and the trial court sentenced defendant to a term of life imprisonment. Issue(s) Presented: Did the trial court err in failing to dismiss the charge of murder? Did the trial court err in failing to instruct the jury that a person attacked in his place of business has no duty to retreat and may use force in self-defense, including deadly force, when appropriate? Did the trial court err by giving the jury conflicting instructions on self-defense? Holdings: No, the trial court did not err in failing to dismiss the charge of murder. No, the trial court did not err in failing to instruct the jury regarding a duty to retreat. No, the trial court did not give the jury conflicting instructions on self-defense. M. Metaxas 63 Legal Reasoning: Substantial evidence showed that even though Gray could not reach defendant behind the bar and did not have a weapon, defendant responded to Grays verbal threats by pulling out a gun and shooting Gray in the forehead. Evidence also showed that defendant made no effort to assist Gray. A jury could reasonably conclude that defendant did not believe it necessary to kill the deceased in order to save himself from death or great bodily harm and the State had carried its burden of disproving self-defense. The instruction regarding a duty to retreat is to be used following the usual self-defense instructions where there is evidence raising the issue of retreat. In this instance, there was no evidence of an assault by the victim upon the defendant at the time in question. The evidence is sufficient to support an instruction on self-defense upon the theory that the defendant had a reasonable belief that it was necessary to kill the victim in order to protect himself from death or great bodily harm. However, it does not support a finding that the victim made an assault upon the defendant. The defendants contention that his honest, while unreasonable, belief that killing the victim was necessary to protect himself from imminent death or great bodily harm negates malice is contrary to the principles enunciated in a long line of decisions by the Court regarding self-defense. Disposition: The Court finds defendants trial free of prejudicial error. M. Metaxas 64 State v. Mize 340 S.E.2d 439 Facts: Defendant (Edgar Earl Mize) and the victim had been friends for several years until a disagreement over payment that victim owed defendant. On March 31, 1984 victims girlfriend was visiting with friends. Included in this group was the defendant. Victim arrived and demanded that his girlfriend return to their shared home. The girlfriend was afraid that victim would beat her up (as he had done before) so she asked defendant and his girlfriend to follow her. Victim and his girlfriend got into a physical fight. Defendant came into the room with a pocketknife drawn to break up the fight. Victim cut his hand trying to take the knife away. Defendant and his girlfriend then left. They parked the car and engaged in sexual relations. There is conflicting testimony on whether it was consensual. The girlfriend claims that defendant threatened her with a knife and raped her. Girlfriend related her version of this event to victim. On April 3, 1984 girlfriend and victim went to the mill where victim and defendant both worked so they could confront defendant. Defendant had gone home early because he had heard that victim was out to get him. Over the period of several hours defendant consumed half of a fifth of vodka, several beers, and injected himself with the powder to nine Percodan pills. M. Metaxas 65 Defendant was in the bedroom when he heard victim and others looking for him. He also heard them yelling for victim to get the bumper jack, which victim used as a weapon. After defendants sister and grandmother told the group to leave, defendant took some nerve pills. Defendant then went next door carrying his shot gun with him. A neighbor testified that defendant repeatedly expressed his intention to go next door and kill victim after he finished drinking his beer. Others testified that defendant had told them that he had taken the drugs and drank alcohol so it would appear that he had committed the murder because he was on drugs. Five minutes after defendant left, a neighbor heard four shots. Defendant then returned and said, [t]ell Ruth I got him. Defendant testified that he did not aim the shotgun to kill victim. He testified that he killed victim because he was out to get me. Defendant was not aware of any guns McDonald kept in the trailer and McDonald never directly threatened to kill defendant. A psychiatrist testified that the Percodan likely made defendant more aggressive and the alcohol decreased his capacity for reasoning and judgment, therefore intensifying defendants fear. Procedural History: The defendant requested the Court to instruct the jury on self-defense but the Court refused. Defendant was convicted of first degree murder and sentenced to life in prison. M. Metaxas 66 Issue(s) Presented: Did the trial court err in not submitting the defense of self-defense to the jury pursuant to the defendants request? Holdings: No, the Court holds that there is no evidence of self-defense. Legal Reasoning: A defendant is entitled to an instruction on perfect self-defense as an excuse for a killing when it is shown that, at the time of the killing, the following four elements existed: (1) it appeared to defendant and he believed it to be necessary to kill the deceased in order to save himself from death or great bodily harm; and (2) defendants belief was reasonable in that the circumstances as they appeared to him at the time were sufficient to create such a belief in the mind of a person of ordinary firmness; and (3) defendant was not the aggressor in bringing on the affray, i.e., he did not aggressively and willingly enter into the fight without legal excuse or provocation (4) defendant did not use excessive force, i.e., did not use more force than was necessary or reasonably appeared to him to be necessary under the circumstances to protect himself from death or great bodily harm Disposition: No error. M. Metaxas 67 State v. Norris 279 S.E.2d 570 Procedural History: The trial judge instructed the jury it could find defendant guilty of murder in the first degree, murder in the second degree, voluntary manslaughter, or not guilty. The judge instructed the jury that in order to find the defendant guilty of first-degree murder the State must prove that defendant intentionally and without justification or excuse, and with malice shot victim with a deadly weapon. The judge defined the term without justification or excuse as follows: Members of the jury, when I say without justification or excuse, I have reference to self-defense which will be fully explained hereafter. Issue(s) Presented: Did the trial court err in its charge of self-defense? Holdings: Yes, there was error. Legal Reasoning: The expression without justification or excuse was used as the equivalent of selfdefense throughout the charge, with respect to murder in the first degree, second degree, and voluntary manslaughter. The Court views without justification or excuse as an element of murder to mean the absence of either of the first two elements of self-defense. Either the defendant did not believe it was necessary to kill the victim in order to save herself from death or great bodily harm; or, if she did believe this, her belief was unreasonable. M. Metaxas 68 The instruction given to the jury required the jury to find all four elements of self-defense and deprived the defendant of her imperfect right of self-defense. A killing resulting from the use of excessive force in the exercise of the right of selfdefense is manslaughter. If defendant believed it was necessary to kill the deceased in order to save herself from death or great bodily harm, and if defendants belief was reasonable but defendant, without murderous intent, was the aggressor or used excessive force the defendant only has the imperfect right of self-defense. In this case the defendant is guilty of voluntary manslaughter. Disposition: The judgment is vacated and the case remanded to the Superior Court of Buncombe County. The defendant is entitled to a new trial. M. Metaxas 69 State v. Potter 244 S.E.2d 397 Facts: Ferd Snyder died as a result of a gunshot wound in his chest inflicted at close range on September 25, 1976. Defendant intentionally inflicted this wound with a dead weapon, that is, a pistol. The defense was self-defense. Multiple witnesses testified that defendant had previously discussed shooting victim. States witness testified that immediately after the shooting defendant came to her home and told her he had shot victim. After this witness asked if he was dead, defendant replied, that he hoped that the God damned son of a bitch was dead and that victim had been giving him trouble for a long time. Defendant testified that on September 25, 1976 he had been riding around and drinking beer in a friends car with that friend since noon. Victims car approached the car that defendant was in. There was only room on the road for one car. Victim stopped his truck and blocked the path of defendant. Victim got out of his car and opened the passenger door. He began cursing and calling the defendant vulgar names. Victim punched at defendant through the window. Defendant became angry, grabbed his friends pistol, and left the car. Victim began wrestling with defendant. Victim had his hands around defendants throat and was choking him. M. Metaxas 70 Defendant hit victim with the gun but that did not stop victim. Defendant shot victim in the chest, got back in the car, and went down to his house. Defendant was five feet nine inches and weighed 135 to 140 pounds. He was 50 years old. The deceased was five feet seven inches, weighed 146 pounds, and was an elderly man. States rebuttal witness testified that he had stopped his car in victims driveway before he observed victim approaching. While they were stopped he observed victim approaching. Victim stopped roughly 20 feet in front of the car. Defendant took the pistol off of the car seat, got out of the vehicle, and shot into the dash of the car. After defendant was walking back towards his car, victim got out of the car, grabbed defendant by the neck, and they started to fight. They fought for some minutes when defendant shot victim. States witness testified that at no time did victim approach the car. Issue(s) Presented: Did the trial court err in telling the jury that it must find beyond a reasonable doubt that the defendant was not the aggressor.? Holding: No. Legal Reasoning: M. Metaxas 71 If there was error in this situation it was harmless beyond a reasonable doubt because defendant was convicted of first-degree murder. Therefore, the jury never reached the question of if the defendant was the aggressor. If it did, the answer would have been immaterial. It would have been proper to tell the jury that the killing of Ferd Snyder would be excused altogether as being in self-defense if all four elements of a perfect right to selfdefense were met. [A] defendant, persecuted for homicide in a difficulty which he has himself wrongfully provoked, may not maintain the position of perfect self-defense unless, at a time prior to the killing, he had quitted the combat State v. Crisp (1916) Disposition: The Court finds no error entitling defendant to a new trial. M. Metaxas 72 United States v. Jordan Danks 221 F.3d 103 Facts: In April 1998, Danks shot at a car which was parked within 1,000 feet of an elementary school. Procedural History: A federal grand jury charged Danks with possessing a firearm within 1,000 feet of a school, in violation of 18 U.S.C. Statute 922(q)(2)(A). Danks moved to dismiss the indictment, arguing that the statute is an unconstitutional use of Congresss Commerce Clause power. The District Court denied his motion, finding that the amended Act was constitutional and that the firearm had moved in interstate commerce. Danks pleaded guilty to the offense and the District Court sentenced him to a two-year term of probation. Danks appeals the order denying his motion to dismiss. Issue(s) Presented: Is the amended Act still an unconstitutional use of Congresss Commerce Clause under Lopez? Holding: No. Legal Reasoning: Because section 922(q) contains an interstate-commerce requirement, i.e., the firearm in question must have been shipped or transported in interstate commerce, the statute M. Metaxas 73 ensures through case-by-case inquiry that the firearm in question affects interstate commerce. Disposition: The Court affirms. M. Metaxas 74 United States v. Belen Nieves-Castano 480 F.3d 597 Facts: Nieves-Castano lived in a third-floor apartment with her mother, her mothers school-age child, and her own two minor sons. On August 30, 2005, a joint FBI and Puerto Rico police operation was investigating drug activity at the housing project, and law enforcement officials obtained and executed a search warrant at Nieves-Castanos apartment. An officer posted outside the building saw Nieves-Castano slide an old, black golf bag off of the rear balcony of her apartment. The officer retrieved the bag, which contained an AK-47 rifle. Procedural History: Belen Nieves-Castano was convicted of two weapons charges after a jury trial. One conviction was for unlawful possession of a machine gun and the other was for the unlawful possession of a firearm in a school zone. Nieves-Castano appeals both convictions. Issue(s) Presented: Is the school-zone statute unconstitutionally void for vagueness under the Fifth Amendments Due Process Clause because it fails to specify how to measure the 1000 foot distance from a school that marks the boundary of a school zone? Holding: No. Legal Reasoning: M. Metaxas 75 The school-zone statute is based on congressional findings that firearms had increasingly been found in and around schools. The concern is that these firearms could deter parents from sending their children to school and could increase the occurrence of violent crimes in school zones. The occurrence of violent crimes in school zones had resulted in a decline in the quality of education. This, therefore, has an adverse impact on commerce. Courts, including this Court, have consistently rejected due process vagueness challenges to other firearm provisions. The statute gives fair notice to people potentially subject to it and adequately guards against arbitrary and discriminatory enforcement. Disposition: The Court affirms the conviction on the second count and rejects the constitutional voidfor-vagueness attack. M. Metaxas 76 Tinker v. Des Moines Independent Community School District 393 U.S. 503 Facts: In 1965, Des Moines, Iowa residents John F. Tinker (15) and his siblings along with one of their friends decided to wear black arm bands to school in protest of the Vietnam War. The principals of the schools learned of their plan and met to create a policy that stated that school children wearing an armband would be asked to remove it immediately. Students who violated the policy would be suspended and allowed to return to school only after agreeing to comply with the policy. The participants still decided to wear the armbands and the older participants were suspended until their protest had been scheduled to end. Procedural History: The Iowa Civil Liberties Union approached the Tinker family and the ACLU agreed to help the family with the lawsuit. The parents filed suit in U.S. District Court, which upheld the decision of the Des Moines school board. The U.S. Court of Appeals for the 8th Circuit reached a tie vote which meant that the U.S. District Courts decision continued to stand. The Tinkers appealed to the Supreme Court directly. Issue(s) Presented: Does the First Amendment apply to public schools? Holding: Yes. M. Metaxas 77 Legal Reasoning: It can hardly be argued that either students or teachers shed their constitutional rights to freedom of speech or expression at the schoolhouse gate. In order for the Court to justify censoring speech, they "must be able to show that [their] action was caused by something more than a mere desire to avoid the discomfort and unpleasantness that always accompany an unpopular viewpoint," allowing schools to forbid conduct that would "materially and substantially interfere with the requirements of appropriate discipline in the operation of the school. The actions of the Tinkers in wearing the armbands did not cause disruption and held that their activity represented constitutionally protected symbolic speech. Disposition: The Court affirms. M. Metaxas 78 West Virginia State Board of Education v. Barnette 319 U.S. 624 Facts: On January 9, 1942 the West Virginia State Board of Education adopted a resolution ordering that the salute to the flag become a regular part of the program of activities in the public schools, that all students and teachers shall be required to participate in the salute honoring the Nation represented by the Flag; provided, however, that refusal to salute the Flag be regarded as an Act of insubordination, and shall be dealt with accordingly. After some modifications, a stiff-arm salute became required which required the saluter to keep the right hand raised with the palm turned up while the Pledge is repeated. Failure to comply with this resolution was considered insubordinate and resulted in expulsion. The expulsion then exposed the student and parents to criminal prosecution. On the advice of their attorney, the Barnettes had their expelled girls return to school each day even though the school would send them home. Jehovahs Witnesses teach that the obligation imposed by the law of God is superior to those enacted by temporal government. They consider the flag to be an image that falls under the command, 'Thou shalt not make unto thee any graven image, or any likeness of anything that is in heaven above, or that is in the earth beneath, or that is in the water under the earth; thou shalt not bow down thyself to them nor serve them. Procedural History: M. Metaxas 79 The Barnettes brought suit in the United States District Court for themselves and others in similar situations asking its injunction to restrain enforcement of the laws and regulations against Jehovahs Witnesses. Issue(s) Presented: Does the Free Speech Clause of the First Amendment protect students from being forced to salute the American flag and say the Pledge of Allegiance in school? Holding: Yes. Legal Reasoning: The Court criticized previous opinions that put national symbols, like the flag, on a pedestal. It also denied previous argument that flag-saluting ceremonies were an appropriate way to build cohesive-sentiment that national unity depended on. The conflict in this case is between authority and the individual. The founders intended the Bill of Rights to put some rights out of reach of the majorities. Disposition: The Court overturned the resolution. M. Metaxas 80 Bethel School v. Fraser 478 U.S. 675 Facts: Matthew Fraser was suspended from school for making a speech full of sexual double entendres at a school assembly. After appealing through the grievances process at the school, Fraser was still found to be in violation of several school policies against disruptive behavior and the use of vulgar and offensive speech. Later in the trial, obscenity was included in these violations. However, Fraser said that at the initial hearing obscenity was not listed as part of the grounds for the punishment. Fraser was suspended from school for three days, was prohibited from speaking at graduation, and his name was removed from the ballot used to choose graduation speakers. Fraser was still selected to speak through a write-in vote, but school officials prohibited this from happening. Procedural History: With help from his parents and an ACLU lawyer, Fraser filed a lawsuit against the school authorities claiming that his First Amendment right to free speech had been violated. U.S. District Court ruled in his favor. The school district appealed to the US Ninth Circuit Court of Appeals which ruled in Frasers favor. The school district took the case to the US Supreme Court. Issue(s) Presented: M. Metaxas 81 Did Frasers suspension violate the First Amendment? Holding: No. Legal Reasoning: The Court distinguished this from its opinion in Tinker v. Des Moines because the students actions in that case were non-disruptive and could not be seen as connected with the school. This case limits the scope of that ruling and prohibits certain styles of expression that are sexually vulgar. Disposition: The US Supreme Court reversed the Court of Appeals decision and voted to reinstate the suspension. M. Metaxas 82 Analysis/Conclusion The lengthy process that is involved in putting together a mock trial packet is one that has enabled me to acquire a vast array of knowledge. Not only have I gained a clear understanding of the legal process and criminal procedure, but I have also learned about the historical evolution of the term self-defense. This project is one that merged creative work with a historical, research aspect. My work has merit in the fact that it is a comprehensive look at the self-defense claim and will aid in future students learning. The product that I have produced will serve as an educational tool for years to come and has also aided in my education as a Pre-Law student. In creating this product I have read many federal as well as Supreme Court cases in order to compile a complete picture of the evolution of self-defense. In addition to conducting historical research, this project allowed me to conduct legal research as well. The result is a complex interaction between the historical basis of the self-defense claim with the legal ramifications of such an ideal. With an ideal as complex as self-defense, the research is never-ending. My project will serve as a starting point for students studying Pre-Law to begin their research in an area as complex as this. In years to come there will be new cases revolving around selfdefense that further the claims made in this project. M. Metaxas 83 Reflection There is an immense amount of research and creative work that goes into putting together a mock trial. Before completing this project I had a basic understanding of the legal system and criminal procedure. After completing this project I now find myself yearning to learn as much as I can. In order to assemble a comprehensive mock trial packet I conducted a vast amount of research on legal issues such as self-defense, a duty to retreat, components of a self-defense claim, and what falls outside the realm of self-defense. I found myself drawing from multiple areas and disciplines while working on this project and I can relate what I learned to many parts of my educational career. First and foremost, completing this honors project solidified my belief that I want nothing more than to pursue a career in the legal field. I believe that a key component of such a project is to let a student know whether or not they are pursuing goals that are truly what they wish to do one day. I have no qualms about my goal of going to law school upon graduation and pursuing a career in criminal law. By completing this honors project I was able to experience firsthand the type of legal research that I will be expected to conduct throughout my law school career. Therefore, the first way that this project affected my education is that it exposed me to legal research and better prepared me for law school. Second, my honors project not only affected my education, but it will have an impact on future University of Indianapolis students as well. Before I embarked on this journey I knew that one component I wanted to incorporate into my project was aiding future Pre- M. Metaxas 84 Law students education. I believe that learning is a reciprocal process whereby students learn from professors and mentors, but the professors and mentors learn from the students as well. Upon reflecting back on my project and the process that I went through in completing it, I wanted to create something that will have a lasting impression once I graduate and leave UIndy. It brings me great pride that something I created will be used in a classroom and by future students who may not even be attending UIndy yet. Third, this project impacted my work and experience at my current internship with the Marion County Prosecutors Office. While working as an intern for the past 9 months I have drawn much of my inspiration for this project from things I hear and see in the office as well as in the courtroom. I truly believe that this project would not have turned out the same without this firsthand experience in a Major Felony courtroom. A student can conduct all of the research in the world about an issue such as self-defense and the criminal justice system but until it is experienced in a real-world setting the information is just abstract. The combination of the classroom-type research that I have spent the last two semester conducting with my experience in a courtroom is what helped me to create this project. In turn, the same way that my internship and experience in a legal setting aided me in this process, completing this project enhanced my experience at my internship. One example of this is a conversation I had with one of my superiors a couple of months back. We had just been assigned a new murder case in our court and it turned out to be a case where M. Metaxas 85 self-defense was claimed. I was overjoyed at the opportunity to put what work I had done on my honors project to use in a real legal setting. I asked my supervisor if I could help on the case and explained to them the work that I was doing for my honors project. The prosecutors were thrilled to hear that I was applying aspects that I learn in the office to my school work and allowed me the opportunity to work with them on the case. This experience allowed me to ask questions and attempt to piece together my understanding of a self-defense claim. It was an invaluable experience putting what I had learned in my research to use in a real criminal case. Not only was I able to gain the perspective from a prosecutor really working a self-defense case, but I was able to offer them insight and understanding of what I had learned in school. Personally, this is the true benefit that I gained from conducting the process that is creating an honors project. I did not just do research and then write a story. In actuality, I was able to apply what I had learned through my experience as an honors student to a setting where it was relevant and concrete. M. Metaxas 86 References Bethel School v. Fraser, 478 U.S. 675 (1986) Fontaine, R. G. (2010). An attack on self-defense. American Criminal Law Review, 47(1), 57-92. Giles, M. G. (2014, February 12). Elements of a self-defense claim in Nevada. Nevada Lawyer, 16-17. Gilles Phillips, J. K., & Cateforis, E. (2009). Self-defense: Whats a jury got to do with it? Kansas Law Review, 57, 1143-1175. Jarrell, D. M. (1993). Criminal law-Imperfect self-defense-State v. McAvoy, 331 N.C. 583, 417 S.E.3d 489 (1992). North Carolina Law Review. Justia US Law. 2010. 2010 Georgia Code. law.justia.com/codes/georgia/ 2010 (February 19, 2015). Lagstein, A. (2013). Beyond the George Zimmerman trial: The duty to retreat and those who contribute to their own need to use deadly self-defense. Harvard Journal on Racial and Ethnic Justice. Magoon, M. E. (2010). State v. Thurston: An examination of assault, self-defense, and trespass in relation to domestic violence. Maine Law Review, 62(2), 717-730. State v. Benge, 158 S.E.2d 70 (1967) State v. Bush, 34 F.3d 44 (1994) State v. Deck, 203 S.E.2d 830 (1981) State v. Hall, 366 S.E.2d 527 (1988) State v. McAvoy, 417 S.E.2d 489 (1992) State v. Mize, 340 S.E.2d 439 (1986) State v. Norris, 279 S.E2d 570 (1986) State v. Potter, 244 S.E2d 397 (1978) M. Metaxas 87 Tinker v. Des Moines Independent Community School District, 393 U.S. 503 (1969) United States v. Belen Nieves-Castano, 480 F.3d 597 (2007) United States v. Jordan Danks, 221 F.3d 103 (1999) Wallerstein, S. (2005). Justifying the right to self-defense: A theory of forced consequences. Virginia Law Review, 91(4), 999-1035. West Virginia State Board of Education v. Barnette, 319 U.S. 624 (1943) M. Metaxas 88 Appendices Appendix A: Diagram of the area around Wellington High School E P. Hollingsboro Avenue Crystal Lake Drive Bollingbrook Road X. 2 0 0 f t. LEGEND X. Location of incident P. Parking lot E. School exit M. Metaxas 89 Appendix B: Diagram of Sam Smiths injury M. Metaxas 90 Appendix C: Facebook profile of Jordan Day M. Metaxas 91 Appendix D: Facebook picture of Jordan Day M. Metaxas 92 Appendix E: CITI Training  ...

... BRINGING THE WORLD TO UINDY THROUGH FAIR TRADE By Kathleen Budd An Honors Project submitted to the University of Indianapolis Strain Honors College in partial fulfillment of the requirements for a Baccalaureate degree with distinction. Written under the direction of Dr. Jyotika Saksena. 5 May 2017 Approved by: __________________________________________________________________ Dr. Jyotika Saksena, Faculty Advisor ______________________________________________________________ Dr. James B. Williams, Interim Executive Director, Strain Honors College ______________________________________________________________________ First Reader ______________________________________________________________________ Second Reader K. Budd ii Abstract Fair trade is a practice that encourages socially and environmentally ethical business practices, and ensures an affordable livelihood for small scale artisans. Global Gifts, a fair trade organization, is attempting to enter into a business partnership with Follett bookstores to bring fair trade products to university campuses. This project was an attempt to explore and establish this partnership through research into fair trade and the two organizations. This initiative was also tested through a sale of Global Gifts fair trade products at a representative university campus. The sale was not only useful as a gauge of interest in fair trade products as an option on campus, but also as a platform to inform the university community about fair trade and Global Gifts. This paper will explain the methods and purposes of the project, as well as examine the effectiveness of fair trade efforts. K. Budd iii Acknowledgment Dedicated to the Global Gifts non-profit organization and their fair trade partners around the world. Special thanks to : Sam Carpenter Becky Wigginton Dr. Jyotika Saksena K. Budd iv Table of Contents Cover Page ............................................................................................................... i Abstract .................................................................................................................. ii Acknowledgement ................................................................................................. iii Statement of Purpose ...............................................................................................1 Introduction ..............................................................................................................2 Method/Procedure ..................................................................................................10 Results ..................................................................................................................15 Analysis/Conclusion ..............................................................................................16 Reflection ...............................................................................................................20 References ..............................................................................................................22 Appendices .............................................................................................................25 Appendix A: Partnership Petition ..............................................................25 Appendix B: Letter of Advocacy ...............................................................29 K. Budd 1 Statement of Purpose The purpose of this project was to find outlets that provide fair and livable wages for artisans around the world. After identifying fair trade as the means by which to support the skills of these artisans, I selected the Global Gifts fair trade organization as my local contact to assist the work of the global community. After partnering with this organization, I developed the project into an effort to help the Global Gifts fair trade organization to expand their global influence by gaining a permanent presence on college and university campuses, specifically through partnership with Follett campus bookstores. This goal included an introductory sale of fair trade products on the University of Indianapolis campus, as well as the education of students, faculty, and staff about Global Gifts and the benefits of fair trade. K. Budd 2 Introduction Fair trade is a movement to improve market equality and working conditions around the world, but is it always an effective means to that end? This paper will examine the stated purpose of fair trade, note its criticisms, and further defend fair trades overall capacity to improve producers benefits. Poverty continues to be a very real problem in our world today, and one major factor is wage inequality. In some areas of the globe, workers are not paid a fair wage for what they produce. The profit from the business stays in the hands of the middlemen while the workers may not even get enough to sustain themselves. Fair trade is one means to fight against wage inequality and poverty, by ensuring that the workers are paid fairly for the products they create. Through fair trade, this project aimed to support the Global Gifts fair trade organization in its efforts to reduce poverty and wage inequality worldwide. This paper will examine the process by which I conducted my case study of fair trade. After examining the topic of fair trade in more depth, the interest of the community was gauged both through education and through a sale of fair trade products. I concluded with a suggestion to pursue a partnership between the Follett corporation of campus bookstores and Global Gifts, as a means by which to bring fair trade products to college campuses. What is fair trade? K. Budd 3 While many people have heard the term fair trade before and will generally support the idea that fair trade is beneficial, many of them have either an incorrect or an undeveloped understanding of what the phase fair trade actually refers to (Brown, p. 36). Fair trade is not just the sale of some sort of crafty, decorative bauble that was made in a foreign country. It is a method by which we attempt to "establish some form of global market justice" (Walton What is Fair Trade, p. 433). It is the process of taking locally made products out of the community they were made in, and bringing them to foreign communities like Indianapolis, Indiana, USA, where they can be sold to a wider audience. Fair trade is not simply a matter of trading with the poor of foreign countries (Nicholls and Opal, p. 17). Fair trade is about supporting and building the sustainability of a business (Nicholls and Opal, p. 4). Many people can confuse it with "free trade," which is trade without the presence of taxes and tariffs (Nicholls and Opal, p. 17). However, free trade can lead to poverty and lower wages because of international competition, as well as abuse of environmental resources (Bhagwati, p. 50). Fair trade, by contrast, is a system of international trade that requires businesses to provide their workers with livable wages and to protect the environment ("What is Fair Trade?"). In order to be certified as "fair trade" an organization must prove that its practices are ethical, both socially and environmentally (Reynolds, p.494). This means that it must obey child labor regulations, maintain a safe workplace, be environmentally sustainable, and provide fair wages to workers ("Global Gifts"). These regulations set K. Budd 4 fair trade apart from free trade by setting a standard for a more ethical, sustainable business. Global Gifts Global Gifts is one of these fair trade organizations. It was founded in the early 1980s to bring fair trade products to Indiana and Ohio, with the mission to support "fair wages, gender equity and safe and dignified working conditions" ("Global Gifts"). Global Gifts focuses not only on improving the lives of the artisans that make the products they sell, but also on improving the lives of the people they sell the products to, by creating informed and socially conscious consumers. Global Gifts sells fair trade items that come from over forty different countries around the world, such as Ghana, Mozambique, India, Cambodia, Nicaragua, and many more ("Global Gifts"). It provides a variety of products from these countries, from jewelry and home decor to clothing and kitchen utensils. Each of these pieces reflect the culture of the person who created them. Why fair trade? It is important not only to understand what fair trade is, but also who it benefits. Your mind may flash quickly to a group of poor women sitting in the hot Haitian sun as they thread handmade beads together, or of a large field of coffee trees, with dozens of workers filling wicker baskets with coffee berries. While buying fair trade products will indeed benefit the workers that are creating these products, fair trade goods are produced all over the world in many different settings. The fair trade seal is K. Budd 5 not restricted to starving villages that have never known Western civilization. Fair trade is simply a means to ensure that workers are paid livable wages and have a safe, ethical environment in which to work (Dragusanu, Giovannucci, and Nunn, p. 221). While free trade is simply a lack of restrictions and taxes on international trade, fair trade focuses on making sure that international trade, whether free or not, does not exploit the workers nor the environment (Irwin, p. 2). Fair trade has many beneficial effects on producers. Fair trade organizations, as previously highlighted, benefit producers by providing them with a higher than average income when contrasted with comparable non-fair trade operations (Baumann, Oschinski, and Sthler, pg. 170). This encourages poverty reduction, not just in the sense that workers are provided a livable and sustainable income, but also because it provides an outlet for consumers who may not be otherwise inclined to contribute to poverty reduction efforts (Walton Consequentialism, pg. 136). One study also showed a correlation between fair trade organizations and both productivity and efficiency, particularly efficiency in terms of land usage (Arnould, Plastina, and Ball, pg. 191). This could be due to the assurance of a sustainable wage, which encourages producers to make better long term use of their land. Fair Trade has also been shown to affect education. Fair trade organizations regulate child labor, and studies have shown that this positively impacts the probability of a child studying or being enrolled in school (Arnould et al, pg. 198). Fair trade positively impacts educational achievement, which is often used as an indicator for an individuals, familys, or populations quality of life. K. Budd 6 Buying fair trade products has a positive impact on producers, but it benefits society on a much larger scale than on a worker-to-worker basis. If this were the case, the practice of fair trade would have been short-lived. Fair trade impacts the consumers, who are given the opportunity to become more globally minded. Consumers are able to buy quality products and know that they are not destroying the environment or supporting unethical work environments. They may even learn about the country the product comes from in the process, enabling consumers to become more informed and connected to the world around them. Fair trade additionally benefits the companies that stock these products on their shelves--companies like Global Gifts. Not only do these organizations gain a profit from the sales, but they also create an image for themselves that attracts different types of consumers (Harford, p. 36; Tesler, p. 87). By providing fair trade products, a business can attract more socially conscious consumers that may not have been interested in the business before (Harford, p. 36). This increases the variety of products available for a store to offer, which can attract people because of the added diversity of merchandise. Criticisms of Fair Trade Fair trade is not a perfect system. Some fair trade operations have the potential to negatively affect producers, particularly in poor or developing areas. Even the regulation itself can have a negative impact. More intensive and standardized regulation means that fewer businesses can meet the criteria, and are therefore unable to become fair trade partners (MacAskill, pg. 133; Renard, pg. 424). Despite the standardization, many K. Budd 7 certifications still differ somewhat in their principles and criteria. One example of this is stressing better wages rather that livable wages (Dekhili and Achabou, pg. 548). Similarly, despite the increased price for fair trade products, many fair trade organizations involve middlemen in the sales process (MacAskill, pg. 134). This means that the consumer is paying more for a product, but that profit margin does not equate cent for cent in an increase in wages for the workers. Much of the profit stays in upper management or in the pockets of the middlemen. Some researchers consider that one of the ideals of fair trade are unethical for low-income or developing areas. Fair trade regulates wage compensation and working conditions, and excludes sweatshops from earning fair trade certification. As such, many supporters of fair trade boycott sweatshops to improve the lives of the workers (Renard, pg. 91). The consideration that consumers should boycott sweatshops, and that this is in turn good for the workers, is not necessarily correct (MacAskill, pg. 130). Shutting down a sweatshop leaves its workers without jobs or any source of income, and they are often forced to seek more intensive manual labor to sustain themselves. While the conditions of sweatshops are not enviable and can be dangerous, some researchers believe that even this work is better than the options workers are forced into when a sweatshop is closed. In some cases, the purpose of fair trade fails because the consumers are simply not willing to pay extra for the fair trade version of the product (De Pelsmacker, Driesen, and Rayp, pg. 364). Different populations and differences in demographics have different opinions of whether the fair trade certification is worth the extra money. They furthermore have differing views of the degree to which they are willing to pay extra for K. Budd 8 a fair trade product. A person may be generally willing to pay extra for a fair trade product, but if the price margin reaches too high, they will no longer be willing to pay the extra money for the product. Global Gifts, by contrast, has attempted to address several of these concerns. It focuses on providing not just better but livable wages to workers from a variety of geographic and demographic areas (Sam Carpenter). It also purchases products from a number of different organizations, including wholesale options that cut out the middlemen entirely (Global Gifts). By focusing on addressing these issues, Global Gifts is attempting to improve the fairness of fair trade. As this project is focused on bringing fair trade to university campuses through entering into a partnership with Follett campus bookstores, it is also important from a business standpoint to consider the profitability of bringing in new fair trade products. Follett is the largest group of university campus bookstores in North America, with over 1,200 bookstores across the continent ("Campus Stores"). As a successful business, Follett has high standards in choosing its business partners, and so it must consider the profitability of partnering with Global Gifts, which is itself a non-profit organization. While attracting customers is all well and good, if there is not enough demand for the new products to create a profit for the business, then there is no point in the business offering those products. There is evidence to show that consumers give preference to fair trade products, and are willing to pay a small percentage more for a product if it is fair trade as opposed to the same, cheaper product that is not fair trade K. Budd 9 (Hainmueller, Hiscox, and Sequeira, p. 243). This shows that consumers are conscious of the benefits of fair trade, and that their shopping habits are influenced accordingly. To be considered a "fair trade" product, there are certain regulations put on the development process that in turn affect the sale of these products. For instance, products have a minimum fee charged to buyers (Dragusanu et al, p. 219). This fee ensures not only that the production cost is met, but also provides a livable wage for workers. Additionally, buyers enter into long-term contracts with the producers, which provides a dependable income and security for the workers (Dragusanu et al, p. 220). This may also include advance financing to cover the initial production costs. Many of the products found on the shelves of a Global Gifts store were bought from secondary fair trade partners around the world ("Global Gifts"). These products would not prove economical for consumers if sold to Follett, as there would be too many "middle men" to keep the price low enough to tempt buyers. However, Global Gifts has recently entered into a wholesale agreement with Imani Workshops in Kenya ("Global Gifts"). Imani Workshops offers work and income to HIV-positive Kenyans. Due to the unique relationship that Global Gifts has with Imani, these products would be the best candidates for sale in partnership with Follett. The products could be sold by Global Gifts to Follett at a much lower rate, allowing the bookstores to stock their shelves with reasonably priced items that they can still make a decent profit from. While fair trade is not a perfect system, it still has many benefits for both producers and consumers. Not only does it provide financial security and improved working environments for producers, but it also raises a profit for partnering K. Budd 10 organizations and helps them attract a specific class of consumer. Additionally, it impacts the consumers themselves by educating them about global cultures and helping them become more aware of the world around them. K. Budd 11 Method/Procedure This section will describe the procedure I followed to complete the goals of the project. Working within the field of International Relations, I followed the Action Research model, also known as the Community-Based Participatory Action Research approach (Koshy, Koshy, and Waterman, pg. 1). Action Research focuses on both increasing the researchers understanding of the topic and on affecting some part of society through collaboration between the researcher and a community actorin this case, the Global Gifts fair trade organization (Sagor, pg. 4; Troppe, pg. 2). The structure of this research methodology is illustrated in Figure 1 (Action Research). Figure 1. Depiction of the Community-Based Participatory Action Research Method K. Budd 12 A key part of this projects development was done in collaboration with Global Gifts. The project evolved in consultation with Global Gifts as I learned more about the organizations efforts and goals. Using this methodology, the projects goal and structure remained fluid and changed as I deepened my understanding of the concept of fair trade and the challenges faced by such organizations. At each stage of my project I observed, consulted, and reflected, which allowed me to take different actions than my original plan, and in turn led me to learn different specifics that affected my final project. The initial plan focused on the sale and educating the campus community about fair trade, but as I worked with Global Gifts I learned of the desired presence in campus bookstores. After reflecting on that information, I modified my plan to include that extra facet. My initial interest for the project was to work with a small womens group in Haiti, and as I learned more about their efforts, I understood more about fair trade and how I could affect change in society. When it became clear that I would be unable to partner with the Haitian group due to management struggles, I sought out a different fair trade organization to work with. This is when I began learning more specifically about Global Gifts. As I approached Global Gifts about a possible project to sell their products in a single, temporary sale at the University of Indianapolis, I then learned of the organizations desire to partner with Follett bookstores and to bring fair trade products to college campuses. With this I was able to develop my plan of action for a project that would positively benefit my community and communities around the globe, by not only incorporating the sale and community education, but also the goal of connecting Global Gifts and Follett in a long-term partnership. K. Budd 13 The first part of this project involved coordinating a sale of fair trade products with Global Gifts. Global Gifts provided the merchandise for sale and set the prices. The sale was held from Monday, February 6, 2017 through Friday, February 10, 2017. The sale lasted each day from 11:00am to 1:00pm in the Atrium of the University of Indianapolis's Schwitzer Student Center. The second part of the project focused on education. At the time of the sale, there was an informational poster and Global Gifts promotional pamphlets available at the sale booth for students, staff, and members of the community who wanted to learn more. The information provided on the poster and pamphlets included information about where the products were coming from, fair trade, and Global Gifts. I was present at all times during the sale to explain in detail the benefits of fair trade. The information that I shared during the sale focused on the mission of Global Gifts, fair trade, and information about the communities where these products were created. Along with this information about fair trade, I gauged the support of the campus community for the presence of a Global Gifts fair trade sales stall in the Follett campus bookstore. Along with providing information about this goal, I provided a petition for interested parties to sign to show their support for bringing Global Gifts to college campuses. The final signature list can be found in Appendix A. The third part of this project is the development of a letter of advocacy to the administration of the Follett corporation. After the sale, I included details of my research and of the sale's success a letter to the Follett corporation that oversees many campus bookstores. This letter is an appeal to them to consider adding Global Gifts as a partner K. Budd 14 organization, as they have done with other companies and organizations such as Vera Bradley. The cover letter can be found in Appendix B. I will continue to work in collaboration with Global Gifts as an advocate for their presence on college and university campuses either until Follett agrees to a partnership or until Global Gifts no longer wishes to pursue the partnership. K. Budd 15 Results The result of the sale for Global Gifts at the University of Indianapolis during the week of February 6, 2017, was a total of $981. This total accounts for the sale of 105 products. This was the first Global Gifts week-long sale at a secondary location, and therefore no additional data is available to compare the results of this sale to previous similar sales. The result of educating the campus community about Global Gifts and fair trade was a petition providing evidence of the communitys support of fair trade products being sold in the campus bookstore. During the one-week period, signatures were collected from seventy-three people in support of the proposed partnership between Global Gifts and Follett (see Appendix A). The signatures are a positive representation of support because everyone who signed the petition was first educated about fair trade, Global Gifts, and the proposed partnership. This petition also serves as a measure of how many people in the campus community this project affected in terms of education. A total of seventy-three people, including students, faculty, and staff members of the University of Indianapolis, signed the petition after discussing the details of fair trade with me. Therefore, my objective of educating the campus community and helping them deepen their understanding of fair trade was met in my discussions with these seventy-three people. K. Budd 16 Analysis/Conclusion During the week-long sale of fair trade products, Global Gifts generated a substantial amount of interest for fair trade within the University of Indianapolis campus community. Customers left the sale table more informed than when they arrived, not only with a deeper understanding of the mission of fair trade, but with the ability to make more informed decisions in their buying habits and an interest to see more of what fair trade has to offer. I used the sale to meet my objective of educating the campus community because my presence at the sale put me in the middle of one of the busiest areas on campus, at one of the busiest times during the day. The contents of the sale also drew attention to me and enabled me to initiate conversation. In this manner, I was able to discuss fair trade with people I would not otherwise have contact with. I was also able to discuss with the community how this partnership would benefit them directly. Having Global Gifts products in the university bookstore would provide variety to the products already available to purchase on campus. For students, this would mean that they no longer have to leave campus to find a last-minute gift for a friend or family member. It could also give students and faculty the opportunity to dress up their dorm rooms or offices, as well as find interesting accessories that are not only unique but also come with a story and purpose. More importantly, having a fair trade option on campus will give the campus community an opportunity to make socially and environmentally conscious shopping choices without leaving the university. The University of Indianapolis functioned as the audience for my educational efforts because of my studies at this university, as well as its proximity to the Global K. Budd 17 Gifts administrative office. I was personally invested in the community prior to my project, and was interested in furthering the campuss discussion of fair trade. This decision met Global Gifts business interests of reaching college campuses, as the University of Indianapolis can function as an initial test of interest before developing a business partnership on additional campuses (Julie Edwards). However, as with any study, there were faults in the method used to gauge the campus communitys support of a Global Gifts/Follett partnership. The first fault is assuming that every person who visited the sale during the period would be as likely to stop at the campus bookstore and look at merchandise in a less open setting. The oneweek sale was hosted at an open table in a high-traffic area. This could skew the data by not being an appropriate representation of the business Follett would get for the same products. The sale was advertised briefly, and therefore may have attracted customers that would not have otherwise been interested in buying these goods. Similarly, the results of this sale cannot be used as a representation of the profit Follett would make off the same products in a single week. While this sale only lasted a week, the sense of urgency to buy appealed to customers, as the products would not be available in the same area later. Follett is available continuously, and therefore would not invoke the urgency of the week-long sale. People are likely to purchase an item once during a week-long sale, while they are not as likely to purchase something from a store one week and return to the store to buy something again the next week. The number of signatures may also have flaws in its ability to represent true support, as some people may have signed without fully supporting what they were K. Budd 18 signing. There was also a lack of signatures of other people on campus who were unable to come to support the sale during that week but are still in favor of the partnership. The project, however, still had merit. While the sale was held in an open area rather than within the Follett bookstore for legal reasons, it was located just outside the stores entrance. In this way, the customers at the sale were most likely members of the campus community that have occasion to walk past the bookstore at least once a week, making it a more accurate representation of the Follett stores potential clients. This sale shows that the campus community is in support of having visible fair trade products for sale at the University of Indianapolis. A partnership between Global Gifts and Follett would be profitable to both organizations for many reasons. Global Gifts would generate a wider market for their products, and Follett would not only share in those profits, but would also attract different customers. Having a fair trade option in campus bookstores will attract socially conscious consumers that may have otherwise ignored Follett, and would remind customers that the campus bookstores sell more products than just university apparel and textbooks. Both companies would gain not only profit, but exposure from the partnership. A partnership between Global Gifts and Follett is the end design of this project, but the work is ongoing. Fostering this type of relationship between two businesses is a continuing project in advocacy, and takes time beyond the scope of this specific project. Work will continue in support of a partnership between these two companies until both sides come to an agreement about any collaboration. K. Budd 19 The purpose of this ongoing project continues to be to affect global change by decreasing wage inequality and worldwide poverty. The proposed partnership is only the goal in so much as it brings more awareness to fair trade and gives more income back to the artisans creating the products on the shelves. My project is small in the grand scheme of fair trade, but it nonetheless has addressed the issues of poverty and wage inequality, and contributed support and awareness to fair trade and the workers behind the products. K. Budd 20 Reflection The partnership between Global Gifts and Follett is meant to make a difference for communities across the world by bringing their products to a wider population, through college and university campuses. Global Gifts is already making a difference by buying products made in other countries and bringing them to Indiana and Ohio where there is a wider market. This helps give the workers a livable wage to support themselves and their families by making the business more sustainable. Fair trade is not just about poor versus rich, but is about ensuring that workers get a livable wage for their labor. This project has brought an opportunity to the campus community, to help make a difference on a global scale and become more socially conscious members of the global community. This project was designed to bring information and understanding of fair trade to my campus community. In turn, it helped me realize that I held a similar stigma to the one I was trying to defeat in others. Fair trade certification does not signify that the producers are poor and in need of charity, but rather that the producers are being held to a high social and environmental standard (Dragusanu et al, p. 221). Through this project, I was able to correct my own idea of what fair trade is and develop a fuller comprehension of what my work was doing. The project was initially centered on working with a missionary couple in Haiti, who work with the Mountain Maid organization to help Haitian women develop an income for themselves. I wanted to bring awareness to this effort, in part by bringing their products to the University of Indianapolis and sending the proceeds of the sale back K. Budd 21 to Haiti. While management issues within the organization prevented me from continuing on that goal, it did introduce me to the concept of fair trade. Fair trade became the means by which I could encourage socially conscious trade, and led me to my partnership with the Global Gifts fair trade organization. I was able to modify my goal and focus on educating my community about the benefits of fair trade for society as a whole. While understanding continues to develop, including my own understanding, I have taken one step towards developing a socially and environmentally conscious community. K. Budd 22 References Action Research. Research Methodology, (2016). Arnould, Eric, Alejandro Plastina, and Dwayne Ball. Does Fair Trade Deliver on its Core Value Proposition? Effects on Income, Educational Attainment, and Health in Three Countries. Journal of Public Policy & Marketing 28, no. 2 (2009): 186-201. Baumann, Florian, Matthias Oschinski, and Nikolai Sthler. On the Effects of Fair Trade on the Welfare of the Poor. Journal of International Development 24, (2012): 159-172. Bhagwati, Jagdish. Free Trade Today. Princeton University Press, 2003. Brown, Keith. Buying Into Fair Trade: Culture, Morality, and Consumption. NYU Press, 2013. De Pelsmacker, Patrick, Liesbeth Driesen, and Glenn Rayp. Do Consumers Care About Ethics? Willingness to Pay for Fair-Trade Coffee. Journal of Consumer Affairs 39, no. 2 (2005): 363-385. Dekhili, Sihem, and Mohamed Akli Achabou. Price Fairness in the Case of Green Products: Enterprises Policies and Consumers Perceptions. Business Strategy & the Environment 22, no. 8 (2013): 547-560. Business Source Complete. Dragusanu, Raluca, Daniele Giovannucci, and Nathan Nunn. "The Economics of Fair Trade." The Journal of Economic Perspectives 28, no. 3 (2014): 217-36. American Economic Association. "Follett Campus Stores." Follett Corporation (2017) https://www.follett.com/bookstores K. Budd 23 "Global Gifts: A Fair Trade Store." (2016) http://www.globalgiftsft.com/pages/about-us Hainmueller, Jens, Michael Hiscox, and Sandra Sequeira. "Consumer Demand for Fair Trade: Evidence from a Multistore Field Experiment." 97, no. 2 (2015): 242-256. Harford, Tim. "What Supermarkets Don't Want You To Know." In The Undercover Economist, (2006): 28-55. Random House Incorporated. Irwin, Douglas. Free Trade Under Fire. Princeton University Press, 2015. Julie Edwards, e-mail message to author, March 25, 2015. Koshy, Elizabeth, Valsa Koshy, and Heather Waterman. Action Research in Healthcare. Sage, 2010. MacAskill, William. Doing Good Better. New York: Gotham Books, 2015. Nicholls, Alex, and Charlotte Opal. Fair Trade: Market-Driven Ethical Consumption. Sage, 2005. Renard, Marie-Christine. Quality Certification, Regulation, and Power in Fair Trade. Journal of Rural Studies 21, no. 4 (2005): 419-431. Reynolds, Laura. "Fair Trade Flowers: Global Certification, Environmental Sustainability, and Labor Standards." Rural Sociology 77, no. 4 (2012): 493-519. Academic Search Premier, EBSCOhost. Sam Carpenter, direct communication with author, January 31, 2017. Sagor, Richard. Guiding School Improvement with Action Research. ASCD, (2000). Tesler, Lester. "Why Should Manufacturers Want Fair Trade?" The Journal of Law & Economics 3 (1960): 86-105. Troppe, Marie. "Participatory Action Research: Merging the Community and Scholarly K. Budd 24 Agenda." Education Commission of the States, (1994). Walton, Andrew. Consequentialism, Indirect Effects and Fair Trade. Utilitas 24, no. 1 (2012): 126-138. Walton, Andrew. "What is Fair Trade?" Third World Quarterly 31, no. 3 (2010): 431447. Military & Government Collection. "What Is Fair Trade?" Fair Trade USA (2016) http://fairtradeusa.org/what-is-fair-trade K. Budd 25 Appendix A: Partnership Petition K. Budd 26 K. Budd 27 K. Budd 28 K. Budd 29 Appendix B: Letter of Advocacy to Follett Dear Sir or Madam, I am writing to you on behalf of the Global Gifts fair trade organization. Global Gifts is interested in pursuing a partnership with Follett, to supply more fair trade options to university campuses. Global Gifts has conducted sales on university campuses in the past, which have all been highly successful and profitable. At a recent sale at the University of Indianapolis, students, faculty, and other members of the campus community were asked if they would support a fair trade option in the campus bookstore. The full results of the sale, along with a petition showing the communitys support of the partnership, can be found in the accompanying report. Fair trade is focused on encouraging socially and environmentally conscious business practices and consumer decisions. Fair trade requires fair wages for workers, safe and ethical working environments, and environmental sustainability, and studies have shown that consumers are very supportive of these ideals. These studies show that consumers, when given the choice between a more expensive fair trade product and a similar product that is slightly less expensive but not fair trade, the shopper will spend the extra money for the item that is produced in an ethical environment. A partnership between Global Gifts and Follett would increase publicity for both organizations, and would attract more socially conscious customers to Follett. It would also increase the variety of products available in Follett bookstores, giving students and faculty more reason to visit the campus store. Students could conveniently buy last minute gifts that look personal and unique, and include an intriguing story. The administration at Global Gifts is interested in discussing this in further detail with you at your earliest convenience. You will find contact information included at the end of this letter. Thank you for your time and consideration for Global Gifts and fair trade. We look forward to hearing from you. Sam Carpenter Executive Director Global Gifts 317-917-1836 (phone & fax) http://www.globalgiftsFT.com http://www.globalgiftsft.com/collections/the-imani-collection  ...

... Running head: ADDRESSING SEXUALITY Addressing Sexuality in Practice: A Neuro-based Doctoral Capstone Experience Carmen Rosales, OTS May 2018 A capstone project submitted in partial fulfillment for the requirements of the Doctor of Occupational Therapy degree from the University of Indianapolis, School of Occupational Therapy. Under the direction of the faculty capstone advisor: Beth Ann Walker, PhD, OTR Running head: ADDRESSING SEXUALITY 2 A Capstone Project Entitled Addressing Sexuality in Practice: A Neuro-based Doctoral Capstone Experience Submitted to the School of Occupational Therapy at University of Indianapolis in partial fulfillment for the requirements of the Doctor of Occupational Therapy degree. Carmen Rosales, OTS Approved by: _________________________________________ Faculty Capstone Advisor ________________________ Date _________________________________________ Doctoral Capstone Coordinator ________________________ Date Accepted on this date by the Chair of the School of Occupational Therapy: _________________________________________ Chair, School of Occupational Therapy ________________________ Date Running head: ADDRESSING SEXUALITY 3 Abstract Sexuality is one area of performance resulting in both direct and indirect deficits post brain injury; however, clinicians rarely address this topic during the rehabilitative process (Stocchetti & Zanier, 2016). The purpose of this doctoral capstone project was to determine the need for sexual health resources in an outpatient neurorehabilitation setting and address this need at Lutheran Outpatient Rehabilitation. Following a needs assessment, it was found that Lutheran Outpatient Rehabilitation had no sexual health resources available; however, 75% (6) of brain injury patients reported wishing they had received information regarding sexual health post ABI. To address this need a sexual health resource binder was created, and a supplemental in-service was held to assist outpatient clinicians in (a) recognizing the need to address sexual health with patients post ABI, (b) identifying available sexual health resources, and (c) developing appropriate strategies for addressing sexuality with patients post ABI. Many patients with brain injury want information about sexuality post ABI; however, therapists are hesitant to address this topic in practice. Outcomes from this doctoral capstone experience (DCE) indicate that more education and resources regarding sexuality post ABI could improve clinician competence and confidence incorporating this topic in the neurorehabilitative setting; therefore, improving holistic care and overall patient satisfaction. It is recommended that the facility further assess the outcomes of this project, ensure that comfort discussing the topic is routinely addressed with staff, and that resource files are updated as needed. Running head: ADDRESSING SEXUALITY 4 Chapter 1 Introduction As of 2013 acquired brain injury (ABI) is responsible for the disability of 12 million Americans (Brain Injury Association of America [BIAA], 2013). ABI can lead to physical, cognitive, and psychological deficits negatively impacting functional performance and quality of life (Stocchetti & Zanier, 2016). Sexuality is one area of performance resulting in both direct and indirect deficits post brain injury; however, clinicians rarely address this topic during the rehabilitative process (Stocchetti & Zanier, 2016). It is known that sexual health can influence the state of ones well-being and quality of life; therefore, clinicians need to address this topic in practice (McGrath & Sakellariou, 2016). Throughout a 16-week doctoral capstone experience (DCE), an occupational therapy (OT) student demonstrated entry-level knowledge and skills of the OT process within the outpatient neurorehabilitative setting. The OT student performed holistic care through the production and implementation of a sexual health resource binder. The resource binder will be available for Lutheran Outpatient Rehabilitation therapists to utilize with patients needing and requesting information on sexual health post ABI. Chapter 2 Literature Review Prevalence of Brain Injury Stroke and traumatic brain injury (TBI) are two of the most common adult disorders in the United States. Both diagnoses are neurological in origin and types of ABI (Rao, 2012). Acquired brain injury is defined as, an injury to the brain, which is not hereditary, congenital, degenerative, or induced by birth traumaan acquired brain injury is an injury to the brain that has occurred after brain birth (Brain Injury Association of America, n.d.). Acquired brain injuries are complex and can impact three general neurological systems: cognition, emotion Running head: ADDRESSING SEXUALITY 5 regulation, and motor function (Umphred, Lazaro, Roller, & Burton, 2013). The central location of these neurological systems can result in peripheral deficits. Therefore, treatment of ABI requires a dual approach focused on healing the brain through repetitive, challenging, and meaningful intervention; and increasing functional performance through restorative, adaptive, and/ or compensatory strategies (Umphred, Lazaro, Roller, & Burton, 2013). Sexual Health Exposure in Clinical Programs The multidimensional impact of neurological diagnoses, like ABI, supports neurorehabilitation as a complex clinical subspecialty (Carey, 2010), requiring at minimum, entry-level clinical skills to perform high-quality patient-centered care (Umphred, Lazaro, Roller, & Burton, 2013). Although some students receive entry-level knowledge relative to neurological diagnoses and their prospective intervention approaches, there is limited potential for skill development within the confines of academic coursework. Sexuality is one area of neurorehabilitation with limited research and curricular exposure in programs for health professions (West et. al., 2012). The consequence of limited knowledge and exposure to sexual health deficits related to neurological disorders results in clinician incompetency addressing and treating sexuality post ABI. Sexuality as an Occupation In the world of OT, the term occupation is considered anything an individual wants to do, needs to do, or is expected to do (AOTA, 2014). The Occupational Therapy Practice Framework (OTPF) considers sexuality an occupation, and more specifically, an activity of daily living (ADL) (AOTA, 2014). Sexuality is an important component to address in practice due to its influence on quality of life. A study by McClure (2012) addressed sexuality and the needs of mental health patients illustrating that patients have a higher quality of life when educated on Running head: ADDRESSING SEXUALITY 6 their diagnoses impact on sexual function. Although the resources being collected for this project are not for mental health patients, the educational value is still relevant. Patients with neurological diagnoses have an increased likelihood of experiencing changes in sexual health (Umphred, Lazaro, Roller, & Burton, 2013); therefore, educational resources are beneficial to their rehabilitative experience. Occupational Adaptation Gathering informative sexual health resources, for therapists to utilize with patients, is an objective following the construct of the occupational adaptation (OA) theory. This theory focuses on individuals who experience dysfunction within their environment and the adaptive strategies to improve occupational mastery (Cole & Tufano, 2008). For this project, patients who identify sexuality as a meaningful and purposeful occupation, and report deficits in sexual health, are considered to be experiencing occupational dysfunction. Through the creation and implementation of an informative sexual health resource binder, appropriate strategies and techniques can be incorporated in the rehabilitative process; therefore, increasing the quality of holistic patient centered care (Cole & Tufano, 2008). PLISSIT Model Over the years, researchers have attempted to address the need for sexuality based services in healthcare. Unfortunately, sexual health needs are frequently given low prioritization or are disregarded altogether (Umphred, Lazaro, Roller, & Burton, 2013). McGrath and Sakellariou (2016) indicate several reasons why health professionals fail in attending to these needs including: (a) lack of knowledge; (b) client factors such as age, marital status, and gender; (c) concerns regarding the health professionals safety; (d) fear of causing offense or anger; (e) perceived lack of relevance and importance of sexuality for people with disability; (f) Running head: ADDRESSING SEXUALITY 7 institutional practices and policies that do not prioritize sexuality; (g) personal beliefs and attitudes; (h) and lack of clarity regarding professional roles and concerns regarding damage to professional reputation. Several models have been proposed as algorithmic answers to patients sexual health needs, but there is little evidence supporting the impact on practice (Rutte et. al., 2015). Currently, the PLISSIT model is one of the only models created for addressing and treating sexual health problems with beneficial outcomes (Rutte et. al., 2015). The PLISSIT model was intended to assist therapists in structuring the order of sexuality related treatment, while being cognizant of therapist and patient comfort with the topic (Rutte et. al., 2015). The concept behind the PLISSIT model lies within the stages of its name. The PLISSIT stages include: (a) permission, (b) limited information, (c) specific suggestions, and (d) intensive therapy (Rutte et. al., 2015). Overall, the model is progressive in nature; meaning the stages transition from most to least conservative approaches to addressing sexuality with patients. The PLISSIT model has been successfully used across various populations including women with sexual problems (Fatemeh, Giti, Efat, Fatemeh, & H., 2012), patients with stomas (Ayaz & Kubilay, 2009), patients with gynecological cancers (Chun, 2011), and patients with diabetes (Rutte et. al., 2015). Stages one and two of the PLISSIT model are the primary focus for this project. The creation of a sexual health resource binder will serve as an easily accessible toolbox to provide patients with limited information on relevant content. An in-service presentation focusing on the sexual health resource binder and its contents will also address the development of permission strategies to promote and improve clinician initiation of the topic. With the use of the PLISSIT models conservative approach, it is hoped that therapists within this neurorehabilitative setting will have improved competence and confidence in their ability to address sexuality in practice. Running head: ADDRESSING SEXUALITY 8 Sexual Assessment Framework To provide relevant and meaningful resources for therapists and patients at this setting, one must understand the components which make up sexuality. McBride and Rines (2000) organize the components of sexuality into a sexual assessment framework (SAF). These components include: (a) sexual knowledge, (b) sexual behavior, (c) sexual interest, (d) sexual response, (e) fertility and contraception, and (f) sexual activity (McBride & Rines, 2000). Sexual knowledge refers to the values and beliefs of one's sexuality, as well as the perceived changes in sexuality post injury (McBride & Rines, 2000). Sexual behavior acknowledges one's ability to initiate and/or maintain a social/sexual relationship, which can be impacted by communication skills, social constructs, and/or newly assumed caregiver roles (McBride & Rines, 2000). Sexual interest is both the physical and psychological drive for human closeness, while response refers to the naturally occurring physiological response to sexual stimulation (McBride & Rines, 2000). Fertility and contraception addresses issues related to family planning, safe sex, and contraception (McBride & Rines, 2000). Sexual activity, the last component of the framework, consists of motor abilities, hand function, strength, and management of bowel and bladder programs (McBride & Rines, 2000). The SAF will be used for better understanding patient needs, and for the organization and provision of a relevant resource binder. Chapter 3 Methodology/ Instrumentation In the best-case scenario, sexuality is the last issue to be addressed in the rehabilitative process (Umphred, Lazaro, Roller, & Burton, 2013). In the worst-case scenario, sexuality is not addressed at all (McGrath & Sakellariou, 2016). This evidence supports the need for further exploration of methods to implement sexuality in practice. The creation of a sexual health resource binder required consideration of current literature and the perspective of both treating Running head: ADDRESSING SEXUALITY 9 therapists and patients with ABI. A needs assessment was conducted to support evidence found in the literature and assist in the determination of needed resources with this site-specific population (Bonnel & Smith, 2018). Throughout the course of this 16-week DCE, the OT student completed a minimum of 32 clinical hours a week. Clinical hours consisted of evaluation, intervention planning, treatment, discharge, and documentation of patients with neurological diagnoses including: stroke, brain tumor, spinal cord injury (SCI), and traumatic brain injury (TBI). The OT student was instructed and supervised under a licensed occupational therapist and certified brain injury specialist trainer (CBIST) with relevant credentials supporting advanced knowledge in neurorehabilitation including: membership and leadership roles in the American Society for Neurorehabilitation, the American Congress of Rehabilitation Medicine, the Indiana Occupational Therapy Association (IOTA), and the American Occupational Therapy Association (AOTA). The occupational therapist has also played a role in designing and teaching a nationwide stroke certification course available through the National Stroke Association (RehabLab.org, n.d.). This 16-week exposure to neurorehabilitation facilitated increased understanding of neurological diagnoses and their accompanying deficits impact on sexuality. Participants Patients and therapists of Lutheran Outpatient Rehabilitation were invited to participate in a brief informal survey regarding personal experience related to sexuality and the rehabilitation process. All participants were recruited using convenience sampling. Inclusion criteria for convenience sampling of therapists included: current employment at Lutheran Outpatient Rehabilitation, and licensure as an occupational, physical, or speech therapist. Inclusion criteria for convenience sampling of patients included: being at least 18 years of age, Running head: ADDRESSING SEXUALITY 10 having sustained an ABI, and having received, or is currently receiving, services from Lutheran Outpatient Rehabilitation. Brain injury patients were included in the needs assessment to gain information on sexuality from the perspective of people with disabilities (Moreno, Gan, Zasler, & McKerral, 2015). Acquired brain injury was selected as the inclusive diagnosis because it encompasses the majority of patients being treated at this setting, and can result in decreased sexual function, sexual activity, and sexual satisfaction (Umphred, Lazaro, Roller, & Burton, 2013). A total of 31 patients and 26 therapists were recruited. Of the 31 patients on caseload 53.6% had a primary diagnosis of stroke, 21.4% had a primary diagnosis of TBI, 3.6% had a primary diagnosis of brain tumor, and 21.4% had a primary diagnosis unrelated to ABI. Assessment of Need The surveys were implemented to identify therapist and patient perceptions of sexual health deficits post ABI, and the site-specific needs related to components of the SAF. Survey content was guided by evidence regarding the under recognition of sexual health concerns in a therapeutic context (McGrath & Sakellariou, 2016). All survey questions were organized from least invasive to most invasive to simulate the progressive nature of the PLISSIT model (Rutte et. al., 2015). Both therapists and patients were informed that anonymity would be ensured in support of ethical guidelines. First draft survey content was reviewed and edited by a licensed occupational therapist working in the neurorehabilitative setting. Suggestions made by the licensed occupational therapist were accepted, and all edits were made prior to implementation. Twenty-six outpatient therapists, including physical, occupational, and speech, received a brief, informal, pre-post survey consisting of three Likert scale questions. Survey content was targeted at identifying awareness of sexual health deficits post ABI and perceived competence and confidence in addressing sexual health needs. Therapists were asked to identify their level of Running head: ADDRESSING SEXUALITY 11 awareness of changes in sexuality post ABI, as well as their perceived levels of competence and confidence in addressing sexuality (Rutte et. al., 2015). Surveys were distributed to therapists mailboxes with instruction to return to a designated location post completion. A brief paragraph explaining the survey purpose was included, as well as a statement ensuring there would be no consequence if choosing not to participate. Twenty of the twenty-six pretest surveys were completed and returned to the OT student. Survey responses were transferred to electronic copies so that data analysis could be completed via google surveys. Thirty-one patients with ABI diagnoses received a brief, informal, six question survey consisting of four Likert scale, one yes or no, and one multiple choice question. Survey content was targeted at identifying site specific needs in relation to concepts described in the six domains of the SAF. Prior to receiving a survey, patients were informed of the survey content and asked whether they would like to participate in survey completion. A brief paragraph explaining the purpose of the survey was included. Patients were asked to identify their level of satisfaction regarding their outpatient experiences, whether they received information and/or resources about changes in sexual health post ABI (Umphred, Lazaro, Roller, & Burton, 2013); what disciplines provided this information (McGrath and Sakellariou (2016), and whether they experienced changes in sexual health post ABI (Umphred, Lazaro, Roller, & Burton, 2013). Patients were also asked whether they would have liked to receive information about changes in sexual health post ABI, and identified specific sexuality concerns relative to the SAF (McBride & Rines, 2000). Ten of the 15 patient surveys were completed and returned to the OT student. Survey responses were transferred to electronic copies so that data analysis could be completed via google surveys. Running head: ADDRESSING SEXUALITY 12 Therapist Perceptions Seventy-five percent of therapists agreed or strongly agreed that sexuality can be affected by neurological diagnoses like ABI. Of the 20 responding outpatient therapists, only 10% (2) reported feeling competent in providing sexual health resources for patients and only 15% (3) reported feeling confident in providing sexual health resources. Patient Experience Eighty percent (8) of patients reported not being informed about potential changes regarding sexual health post ABI. Of this 80% (8), 60% reported wishing they had received information or resources regarding sexual health post ABI. Patients reported wanting information in all six domains of the SAF; however, the most relevant areas of sexual health needs were in the domains of sexual behavior, sexual activity, and sexual interest. The information collected in this survey will be used to guide the collection of resources for the sexual health resource binder. Chapter 4 Methodology/ Intervention A relevant sexual health resource binder was created following the needs assessment. Based on survey responses, there is a clear need for education on mechanisms to address sexuality within the scope of OT practice. The PLISSIT model suggests the first steps to approaching sexuality in practice are gaining permission and providing limited information (Rutte et. al., 2015). The sexual health resource binder intended to propose the invitation of a sexual health conversation, and normalize the sexual problem for individuals post ABI (Rutte et. al., 2015). Resources included (a) information on specific brain structures and their relation to sexual function and sexual deficits; (b) information on ABI diagnoses and expected sexual deficits; (c) information on adaptive equipment for sexual dysfunction; (d) positioning strategies; Running head: ADDRESSING SEXUALITY 13 (e) lists of books, blogs, podcasts, and websites with more information about sexual dysfunction post brain injury; (f) referral sources and contact information of local specialists including urologists, sexual educators, sexual counselors, and sexual therapists; and (g) tools for screening and assessing sexual health. All resources were organized based on the six components outlined in the SAF to easily locate resources and maximize appropriate usability by outpatient therapists (McBride & Rines, 2000). The resource binder is located in the outpatient office in a designated area where all specialty resource binders are housed. An electronic copy of the resource binder was also made available. The electronic version is accessible from all outpatient computers under the g-drive and is titled and organized identical to the hard copy binder. Staff Development The OT student communicated the project purpose to all outpatient staff via written and verbal communication. Outpatient staff shared personal experiences regarding patient sexuality post ABI and expressed support for the creation of a sexual health resource binder. To maximize use of the resource binder, the OT student conducted a one hour in-service dedicated to education on the need to address sexual health, the available resources provided in the sexual health resource binder, and the development of strategies for addressing sexuality with patients post brain injury. Staff were also educated on the components of the SAF to promote ongoing organization of future resource collection. Leadership Development Leadership skills were demonstrated by the OT student throughout all phases of the DCE. Self-directed learning and professional behavior were utilized with both clinicians and patients. These skills were necessary to facilitate completion of project goals and objectives. The selfdirected process led to professional development of time management, organization, and intrinsic Running head: ADDRESSING SEXUALITY 14 motivation to acquire responsibility of all project duties. The OT student also demonstrated improved leadership skills through the demonstration of consistent dependability in attendance and assignment completion, and maximized participation in educational opportunities. Advocacy skills were demonstrated through active communication with other disciplines regarding patient care and the relevance of sexuality in OTs scope of practice. Chapter 5 Results Throughout the 16-week experience, the occupational therapy student created and implemented a sexual health resource binder to address clinician competence and confidence with addressing sexuality in neurorehabilitative practice. The education piece of this project advocated for the relevance of sexuality in outpatient neurorehabilitation. Dissemination of this project resulted in clinicians of multiple disciplines being able to confidently identify sexuality as an ADL within the OT scope of practice (AOTA, 2014). Outpatient clinicians were educated why and how to address sexuality in practice with the use of a PowerPoint presentation. The OT student verbally and visually articulated the theoretical base supporting the organizational format including explanation of both the PLISSIT model and SAF. By the end of the in-service presentation, outpatient staff could identify the purpose of each resource being provided and discussed ways in which these resources could be used to educate their patients. Chapter 6 Conclusion/ Discussion The implementation of this DCE facilitated learning and professional development beneficial for future practice. The OT student improved clinical reasoning skills during 32 hours of weekly patient care and was exposed to a variety of complex neurological diagnoses including stroke, TBI, SCI, brain tumors, and some undiagnosed conditions. Exposure to these diagnoses facilitated improved problem solving, clinical reasoning, and overall competency in the Running head: ADDRESSING SEXUALITY 15 neurorehabilitative setting. Exposure to these clinical skills allowed the OT student opportunity to address sexuality with brain injury patients. The student frequently informed patients that sexuality was an appropriate topic of discussion for occupational therapy. Most patients were receptive to this information and, as a result, self-initiated conversations with the OT student about their own sexual health on multiple occasions. These interactions lead to three key experiential takeaways: (a) sexuality is a meaningful and purposeful occupation for some ABI patients, (b) when patients are aware of sexualitys occupational relevance they are more likely to seek help from an occupational therapist, and (c) educational resources on sexual health are beneficial to patients with ABI as they demonstrate the potential for improved occupational engagement. Staff at this site played a significant role in the OT students learning and development of leadership skills. Teamwork amongst outpatient therapists was consistently demonstrated throughout all therapeutic processes. Therapists frequently engaged in interprofessional decision making and goal setting regarding patient care supporting the decision to include all outpatient staff in the evaluation and implementation of this project. Several speech therapists expressed gratitude for knowing that sexuality is in OTs scope of practice, because they now know their responsibility in referring these issues to the appropriate rehabilitative profession. Although, not all therapists were receptive to this topic, interprofessional discussions consistently demonstrated respect for others opinions. Although project implementation increases potential for improved quality of care, it is the responsibility of each clinician to utilize the tools provided and implement change. It was recommended that the outpatient rehabilitation team further assess the outcomes of this project at monthly meetings, ensure comfort discussing the topic is routinely addressed with staff by using Running head: ADDRESSING SEXUALITY 16 the therapist survey post future sexual health in-services, and update resources as needed. The facility plans to schedule an in-service to be presented by one of the local specialists provided in the resource binder to discuss more rehabilitative strategies for sexuality related deficits with relevance to neurological diagnoses. Through the provision of education and resources, outpatient therapists are better equipped to address sexual health needs with brain injury patients. Running head: ADDRESSING SEXUALITY 17 References American Occupational Therapy Association. (2014). Occupational therapy practice framework: Domain and process (3rd ed.). American Journal of Occupational Therapy, 68(Suppl. 1), S1-S48. American Occupational Therapy Association. (2018). Rehabilitation and disability. Retrieved from https://www.aota.org/Practice/Rehabilitation-Disability.aspx Atler, K., Wimmer, R. (2003). An introduction to understanding the OT and OTA fieldwork performance evaluations (FWPEs) [PowerPoint slides]. Retrieved from https://www.aota.org/Education-Careers/Fieldwork/Supervisor/Inservice.aspx Ayaz, S., & Kubilay, G. (2009). Effectiveness of the PLISSIT model for solving the sexual problems of patients with stoma. Journal of Clinical Nursing, 18(1), 89-98. doi:10.1111/j.1365-2702.2008.02282.x BrainandSpinalCord.org. (2017). Acquired brain injury. Retrieved from http://www.brainandspinalcord.org/acquired-brain-injury/ Brain Injury Association of America. (2013). Brain injury facts and statistics. Retrieved from https://www.biausa.org/downloads/public-affairs/Not%20Alone%20Campaign%20Fact% 20Sheet.pdf Brain Injury Association of America. (2013). Brain injury overview. Retrieved from https://www.biausa.org/brain-injury/about-brain-injury/basics/overview Carey, L. (2010). Neuroscience makes sense for occupational therapy. Australian Occupational Therapy Journal, 57(3), 197-199. doi:10.1111/j.1440-1630.2010.00872.x Chun, N. (2011). Effectiveness of PLISSIT model sexual program on female sexual function Running head: ADDRESSING SEXUALITY for women with gynecologic cancer. Journal of Korean Academy of Nursing, 41(4), 471-480. doi:10.4040/jkan.2011.41.4.471 Cole, M. & Tufano, R. (2008). Applied theories in occupational therapy: A practical approach. Thorofare, NJ: SLACK Incorporated. Dixon-Woods, M., Regan, J., Robertson, N., Young, B., Cordle, C., & Tobin, M. (2002). Teaching and learning about human sexuality in undergraduate medical education. Medical Education, 36(5), 432-440. doi:10.1046/j.1365-2923.2002.01198.x Fatemeh, R., Giti, O., Efat, M. K., Fatemeh, J., & H, A. M. (2012). Effectiveness of the PLISSIT-based counseling on sexual function of women...permission-limited information-specific suggestion-intensive therapy. Journal of Nursing & Midwifery, 22(76), 6p. McAlonan, S. (1996). Improving Sexual Rehabilitation Services: The Patient's Perspective. American Journal of Occupational Therapy, 50(10), 826-834. McBride, K., & Rines, B. (2000). Sexuality and spinal cord injury: a road map for nurses. SCI Nursing, 17(1), 8-13. McClure, L. (2012). Where is the sex in mental health practice? A discussion of sexuality care needs of mental health clients. Journal of Ethics in Mental Health, 7(Supplement), 1-6. McGrath, M., & Sakellariou, D. (2016). Why has so little progress been made in the practice of occupational therapy in relation to sexuality? The American Journal of Occupational Therapy: Official Publication of The American Occupational Therapy Association, 70(1), 7001360010p1-5. doi:10.5014/ajot.2016.017707 McLeod, S. A. (2007). Psychology research methods. Retrieved from 18 Running head: ADDRESSING SEXUALITY 19 www.simplypsychology.org/research-methods.html Moreno, A., Gan, C., Zasler, N., & McKerral, M. (2015). Experiences, attitudes, and needs related to sexuality and service delivery in individuals with traumatic brain injury. Neurorehabilitation, 37(1), 99-116. doi:10.3233/NRE-151243 Payne, M. J., Greer, D. L., & Corbin, D. E. (1988). Sexual functioning as a topic in occupational therapy training: a survey of programs. The American Journal of Occupational Therapy: Official Publication of The American Occupational Therapy Association, 42(4), 227-230. Rao, A. K. (2012). Occupational therapy in neurological disorders: looking ahead to the American Occupational Therapy Associations Centennial Vision. The American Journal of Occupational Therapy : Official Publication of the American Occupational Therapy Association, 66(6), e119e130. http://doi.org/10.5014/ajot.2012.005280 RehabLab.org (n.d.). Angela Reimer OTD, MOT, OTR, CBIST. Retrieved from http://www.rehablab.org/about/about-rehablab/angela-reimer.html Rutte, A., Van Oppen, P., Nijpels, G., Snoek, F. J., Enzlin, P., Leusink, P., & Elders, P. M. (2015). Effectiveness of a PLISSIT model intervention in patients with type 2 diabetes mellitus in primary care: design of a cluster-randomized controlled trial. BMC Family Practice, 16(69). doi:10.1186/s12875-015-0283-0 Stocchetti, N., & Zanier, E. R. (2016). Chronic impact of traumatic brain injury on outcome and quality of life: a narrative review. Critical Care (London, England), 20(1), 148. doi:10.1186/s13054-016-1318-1 Umphred, D.A., Lazaro, R.T., Roller, M.L., Burton, G.U. (2013). Umphreds neurological rehabilitation 6th ed. St. Louis, Missouri: Elsevier Health Sciences. Running head: ADDRESSING SEXUALITY 20 West, L. M., Stepleman, L. M., Wilson, C. K., Campbell, J., Villarosa, M., Bodie, B., & Decker, M. (2012). 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... A New Portal for Engagement in Meaningful Activities for Older Adults with Dementia Using Innovative Technology Kenzi Lindquist May, 2018 A capstone project submitted in partial fulfillment for the requirements of the Doctor of Occupational Therapy degree from the University of Indianapolis, School of Occupational Therapy. Under the direction of the faculty capstone advisor: Dr. Julie Bednarski, OTD, OTR, MHS Running Head: TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA A Capstone Project Entitled A New Portal for Engagement in Meaningful Activities for Older Adults with Dementia Using Innovative Technology Submitted to the School of Occupational Therapy at University of Indianapolis in partial fulfillment for the requirements of the Doctor of Occupational Therapy degree. By Kenzi Lindquist Occupational Therapy Student Approved by: Faculty Capstone Advisor Date Doctoral Capstone Coordinator Date Accepted on this date by the Chair of the School of Occupational Therapy: Chair, School of Occupational Therapy Date 1 TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 2 Abstract The aim of this project was to obtain grant funding to assist A Caring Place in purchasing multiple computer-based, person-centered devices from Its Never 2 Late (iN2L) technology. A Caring Place is an adult day service center that serves older adults with mild cognitive impairment and dementia, and varying degrees of confusion and physical functioning, all of whom have unique interests and past experiences. A Caring Place is committed to providing care that is person-centered, value-driven, independence focused, emphasizes well-being, and provides autonomy to the participants. iN2L technology can benefit participants at A Caring Place by providing them with opportunities to engage in meaningful occupations, reminiscence therapy, and social interactions. The occupational therapy doctoral student engaged in the grant proposal writing process by collaborating with the program director to determine the budget, outcome measures, objectives, methods, and dissemination procedures for this project. The primary goals of the technology are to increase participant engagement, well-being, and expression of positive emotions. Keywords: person-centered care, technology, grant proposal, older adults TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 3 A New Portal for Engagement in Meaningful Activities for Older Adults with Dementia Using Innovative Technology An Indianapolis-based non-profit adult day service is committed to providing personcentered care to their participants with dementia and other cognitive impairments. Personcentered care is an essential component to delivering the best care possible to older adults with complex needs, abilities, and desires (Epp, 2003). An emerging approach to utilizing personcentered care with this growing population is through the use of technology and computer-based devices that offer a variety of benefits and applications. This literature review had five specific objectives: 1) to provide background information of an Indianapolis-based adult day service, 2) to gain knowledge regarding characteristics of person-centered care for older adults, 3) to examine and assess the benefits and challenges to implementation of technology-based intervention and activities, 4) to identify how personcentered care can be strengthened by the use of technologies for older adults with mild cognitive impairment and dementia, and 5) to provide information regarding a specific computer-based system. Compiling evidence from the literature is an essential aspect of determining the need for a specific computer-based system designed to provide therapy, memory care, and activities for older adults with dementia and other cognitive impairments. Databases searched included EBSCO and GoogleScholar. The key words used were person-centered care, technology, older adults, and dementia. Adult Day Services Adult day services offer respite for caregivers of individuals with physical or cognitive impairments. These services allow caregivers the ability to continue to care for their loved ones at home by offering physical, cognitive, and social stimulation for adults who have lost TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 4 independence as a result of physical or cognitive impairments. The goal of adult day services is to provide support for these individuals by allowing them access to the community, while also allowing respite for families and caregivers. A Caring Place is an Indianapolis-based 501(c)(3) non-profit adult day service serving adults over 50 years of age who have dementia, Alzheimers and/or other neurological conditions, and whose caregivers are employed or desire respite care (Archdiocese of Indianapolis, 2016a). A Caring Place supports caregivers and their loved ones by providing a safe daytime environment for older adults with physical and/or cognitive challenges. A Caring Place is one of many programs operated by Catholic Charities Indianapolis, whose mission statement states, The staff and volunteers of Catholic Charities Indianapolis are called by the Gospel to uphold the dignity of all people. Guided by Catholic social teaching, we consider it a privilege to deliver compassionate and caring service to help and empower those in need (Archdiocese of Indianapolis, 2016b). Person-Centered Care Person-centered care (PCC) is an essential component to providing quality healthcare, especially for older adults with more complex medical needs. In todays healthcare landscape, services are being shifted from the traditional biomedical model and an emphasis is being placed on providing individualized care based on an individuals unique needs and goals (Li & Porock, 2014). This literature review aimed to explore definitions of PCC and how PCC can improve services provided to the growing population of older adults with cognitive impairments. Pedlar, Hornibrook, and Haasen (2001) stated that the concept of PCC tends to be described in abstract terms of quality, without specific parameters for the implementation or standards of its use (as cited in Epp, 2003). Thus, the concept remains without a single, agreed- TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 5 upon definition throughout the literature, as well as between and within organizations (Kogan, Wilber, & Mosqueda, 2015b). In a systematic literature review conducted by Kogan, Wilber, and Mosqueda (2015b), the six-most frequently cited domains of PCC included holistic care, respect and value, choice, dignity, self-determination, and purposeful living. In this same study, common elements for implementing PCC were found to be care that is coordinated, targeted, team-based, and that places an emphasis on the patient and family experience. Medical care in the current system does not adequately account for an individuals unique preferences and diverse needs, particularly when the individual in question is an older adult with chronic illnesses and functional limitations (Kogan, Wilber, & Mosqueda, 2015b). Kogan, Wilber, and Mosqueda (2015a) interviewed nine organizations, and all organizations described a lack of financial resources and staffing as challenges affecting feasibility of an organizational commitment to PCC. This is an area of opportunity to improve in community-based practice settings, in which there is a dearth of literature regarding PCC to guide the field. Conversely, several leaders in the aforementioned study stated that their organizations not-for-profit financial structure granted them more flexibility within their practice, allowing them to better meet the needs of their patients and clients (2015a). This is particularly important to note when considering an adult day service that is federally funded, but also receives financial resources from donors, and from organizations offering grant funding. A Caring Place Adult Day Services has a unique opportunity to place an emphasis on PCC as their flexibility allows them to put their money towards enhancing the experience for the individuals they serve. PCC for individuals with dementia. The former culture of care for people with dementia tended to reduce dementia to nothing more than a biomedical phenomenon which was task-driven, relied on control techniques TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 6 including chemical and physical restraints, and devalued the individuality of the person with dementia (Epp, 2003). In contrast, the new standard for person-centered dementia care is valuedriven, independence-focused, emphasizes well-being and empowerment of individuals and their families, and provides autonomy to the person (Epp, 2003). Kitwood (1996) stated that the ethical foundation for PCC is that all people are valued and worthy of respect regardless of their disability, and that all people can live fulfilling lives (as cited in Epp, 2003). Person-centered care should be focused on the whole person, including their remaining abilities and emotions, should account for a persons unique personality, relationships, and life experience, and should consider the individuals wants, needs, and goals (Epp, 2003). It is evident that positive results and many benefits are derived from the utilization of PCC. A person-centered approach has been associated with improved quality-of-life in individuals with dementia when the care included social activities and past pleasures and activities (Kane, Lum, Cutler, Degenholtz, & Yu, 2007). Similarly, providing individualized activities with respect to each participants past interests and current capabilities has been found to lead to improvements in nocturnal sleeping and a reduction in daytime napping (Richards, Sullivan, & Phillips, 2001). Another benefit of PCC in the treatment of individuals with dementia is an improved self-esteem and a minimization of anxiety, grief, anger, and the feeling of being a burden to others, which is accomplished when opportunities for self-expression is provided (Epp, 2003). One key component that underlies an older adults opportunity for choice, selfdetermination, and purposeful living is the perception of control. An older adults active participation in their own well-being relies on the belief that he/she is capable to having some control over their own functioning, making it important to provide opportunities for older adults TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 7 to engage in and enhance self-control and decision making (Mallers, Claver, & Lares, 2013). Lachman and Firth (2004) report that well-being can be enhanced through chances to make voluntary choices, and the opportunity to make these choices is positively related to exercise and engagement in leisure activities (as cited in Mallers, Claver & Lares, 2013). Alternatively, lack of choice and self-determination can lead to poor physical fitness, decreased social support, and depression (Krampe, Hautzinger, Ehrenrich, & Kroner-Herwig, 2003). Therefore, interventions to enhance perceived control are especially critical for older adults, given that many inevitable losses and changes are occurring more frequently as one ages. Placing the person at the center and allowing an opportunity for choices can greatly enhance many aspects of an organizations programs, as well as the individuals life and well-being. Technologys Impact There are a variety of ways in which person-centered care may be incorporated into adult day services for older adults with cognitive impairments and dementia. At A Caring Place, a variety of activities are completed each day, such as Bingo, adapted bowling, coloring, music time, etc. Participating in recreational and leisure activities throughout the day provides many benefits to older adults with cognitive impairment and dementia, including a greater well-being, positive affect, and decreased use of psychotropic medications (Brooker & Duce, 2000; Volicer, Simard, Pupa, Medrek, & Riordan, 2006). There is also evidence that engaging individuals with dementia in creative processes can have many advantages (Karp, Paillard-Borg, Wang, Silverstein, Winblad, & Fratiglioni, 2006). An emerging avenue to providing person-entered recreational and leisure activities is through the use of computer-based technology. Many individuals with cognitive impairment and/or dementia might have difficulty engaging in various occupations because of a diminished TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 8 desire to participate in an activity or a reduced ability to self-engage (Leuty, Boger, Young, Hoey, & Mihailidis, 2013). Computer-based technology has the potential to assist in overcoming these limitations. In a study that evaluated a specific computer-based device, researchers found that the majority of older adults in the study were excited to use a novel device, and therapists felt that it was a useful tool for engaging their clients in a creative process (Leuty, Boger, Young, Hoey, & Mihailidis, 2013). Upton, Upton, Jones, Jutlla, and Brooker (2011) found that the benefits of using computer-based technology included supporting reminiscence, aiding recall, increasing and improving interpersonal interactions, and improving quality of life via increased interaction and learning opportunities. Its Never 2 Late Technology. Its Never 2 Late (iN2L) technology is an example of a computer-based system purposed to help older adults with physical and cognitive disabilities engage in meaningful occupations (Its Never 2 Late, 2017). This system is designed for use with older adults, and includes a prototype interface designed specifically for people with memory impairment/dementia (Lazar, Demiris, & Thompson, 2016). iN2L provides opportunities for various recreational leisure activities, including social involvement, entertainment, physical exercise, and cognitive training. The dementia care interface includes categories such as reminiscence, entertain, and stay connected. The goal of iN2L technology is to provide dignified activities and therapeutic experiences by enabling participation in creative and meaningful occupations (Its Never 2 Late, 2017). Few studies have been completed thus far regarding the efficacy of iN2L technology and its impact on individuals who use it. However, studies that have been completed have indicated a great potential for positive results. The Green House Project and Mather LifeWays Institute on TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 9 Aging (2010) found that as a result of participating in iN2L, the older adult participants were significantly more active, more energetic, demonstrated more social engagement behaviors, expressed more positive emotions, demonstrated greater self-efficacy, and experienced a greater quality of life. In a more recent study, Lazar, Demiris, and Thompson (2016) found that using iN2L with participants allowed staff members to facilitate interactions and learn more about participants, while also providing enjoyment for the participants involved. They concluded that while the system did not directly alter relationships between staff and participants, it provided them with opportunities for interactions, particularly through participants reminiscence of past experiences. Theoretical Framework The theoretical framework guiding this doctoral capstone project is the Canadian Model of Occupational Performance (CMOP). The CMOP is a person-centered framework in which the human spirit is at the center. This model describes the person through physical, cognitive, and affective components bound together by the core of the person, their spirituality (Cole & Tufano, 2008). According to the CMOP, there are six principles of client-centered practice: client autonomy and choice, respect for diversity, therapeutic partnership and shared responsibility, enablement and empowerment, contextual congruence, and accessibility and flexibility. These are similar principles to those mentioned above to describe person-centered care, which included holistic care, respect and value, choice, dignity, self-determination, and purposeful living (Kogan, Wilber, & Mosqueda, 2015b) As previously described, older adults with cognitive impairments can benefit greatly from person-centered care; therefore, the CMOP can help facilitate this care by following these principles. Through this model, occupational performance evolves from the interactions between the person, environment, and occupation (Cole & Tufano, TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 10 2008). In the case of this project, remaining person-centered through the use of technology will allow the older adults in the adult day center to access their environment and engage in meaningful occupations. Project Objectives Technology has been shown to aid in the implementation of person-centered care for older adults with dementia or other cognitive impairments. iN2L technology can benefit participants at A Caring Place by providing them with opportunities to engage in meaningful occupations, reminiscence therapy, and social interactions. The aim of this project is to obtain grant funding to assist A Caring Place in purchasing multiple iN2L devices, which will help expand the reach of person-centered care for their participants. Screening and Evaluation A Caring Place serves older adults with mild cognitive impairment and dementia. Mild cognitive impairment causes cognitive changes, which might cause an individual to forget important information, affect the ability to make sound decisions, judge the time or sequence of steps needed to complete a complex task, and visual perception (Alzheimers Association, 2018a). Mild cognitive impairment is often less severe than dementia, often marked by at least slight confusion. Alternatively, dementia is an overall term that describes a wide range of symptoms, including impairments in memory, communication and language, ability to focus and pay attention, reasoning and judgment, and visual perception (Alzheimers Association, 2018b). There are several cognitive assessments that can be utilized to assess severity of confusion and/or dementia. At A Caring place, a variety of cognitive assessments are used, including The Saint Louis University Mental Status Examination (SLUMS) and the Mental Status Questionnaire (MSQ). Every participant is re-assessed annually using at least one of these TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 11 assessments to note potential decline with the progressive disease. The cognitive assessment chosen for each individual participant is based on their payor source and baseline cognitive level. For participants whose payor source is through Veterans Affairs, the SLUMS is used, as it is a requirement of that department. The SLUMS is able to differentiate patients with dementia from those considered as having cognitive impairment, and also detects mild cognitive impairment in non-demented patients (Szczesniak & Rymaszewska, 2016). Other participants are assessed using the MSQ, which provides a strong predictive relationship to memory without analyzing age, and can be used as a useful tool to measure cognitive abilities in older adults (Welch & West, 1999). One common problem among older adults, particularly those with marked confusion, is depression, which can cause emotional suffering and an increased risk of physical inactivity (Blazer & Hybels, 2005). A Caring Place utilizes the Geriatric Depression Scale (GDS) to assess whether or not each participant may have depression. A population-based study by Conradsson, Rosendahl, Littbrand, Gustafson, Olofsson, and Lovheim (2013) concluded that the GDS seems to have an overall usefulness to assessing depressive symptoms among older adults. Informal physical therapy and occupational therapy evaluations are completed based on the participant/family desire to participate in these therapies. Nursing completes vital checks at least once per month for each participant in order to note any significant changes in health status. All staff members are to be observant of each participants changing behavior, functional decline, and alteration in cognitive status in order to determine if modifications in services are needed. TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 12 Participant Assessment In regard to my particular project focus, the participants will be viewed in terms of the group as a whole. The purpose of the screening and evaluation process in this scenario is to analyze the diversity of cognitive impairment severity, physical function, past experiences, and unique interests among participants. This is completed in order to assist in determining the need for the Its Never 2 Late technology. The severity of cognitive impairment varies greatly at this particular setting. Based upon the most recent cognitive assessments, there were seven participants identified to have probable dementia according to the SLUMS, which was only given to eight participants. According to the MSQ, six participants were slightly confused, eight participants were moderately confused, and six participants were severely confused. Out of 24 total participants, six were found to have probable depression, with four participants unable to answer the questions of the GDS. It is evident that the severity of cognitive impairment among participants at A Caring Place varies tremendously. These participants have varying impairments in their ability to remember important information, complete tasks, communication and language, reasoning and judgment, and visual perception (Alzheimers Association, 2018a; Alzheimers Association, 2018b). Physical function also varies greatly among participants; however, all participants are able to ambulate without the use of a wheelchair and with less than minimum assistance from a staff member. All participants are also able to participate in the daily physical activities offered at A Caring Place (bowling, bag toss, drumming, etc.). Therefore, while some participants are able to complete particular activities more independently, faster, and with better outcomes, all are able to participate in activities, and their physical abilities would not prevent them from engaging with the iN2L technology. TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 13 Another aspect that makes an older adult unique is there perspective on their past experiences, interests, and the things that they love. A Caring Place has implemented a Life Stories program, in which each individual and their families are interviewed to gain information on these topics. Every participant has their own binder, which includes pictures from their past, stories of their younger days, past and current hobbies and interests, and a description of their family. Many of the participants at A Caring Place have lived all over the country, some have served in wars, others are retired nurses or doctors, and the list goes on and on. Every individual served is one-of-a-kind, making it difficult for every activity to cater to their personal interests. This introduces a need for a program designed to take into account every unique interest in order to provide person-centered care tailored to engage each individual participant in a meaningful occupation (Richards, Sullivan, & Phillips, 2001). While examining the individuals at A Caring Place as a group of unique individuals, it is apparent that the need and opportunity to provide person-centered care is present when considering the uniqueness of each individual. Person-centered care in this setting should focus on the participants remaining abilities, unique personality, life experience, and their wants, needs, and goals (Epp, 2003). Providing person-centered care in this way can allow each participant to engage in meaningful occupations designed specifically to address the person as a whole. Comparison to Other Practice Areas In this particular community-based setting, the participants are evaluated individually; however, activities and programming are based on the group as a whole, similarly to how this project will be conducted. At A Caring Place Adult Day Services, participants are evaluated in order to provide person-centered care and allowing them access to the community, while also TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 14 providing respite for families and caregivers. Adult day services assist participants with physical or cognitive impairments and allow them to remain in their home with caregiver support. Adult day services differ from medical-based settings such as a skilled nursing facility, in which the screening and evaluation process is completed in order to address training in self-care skills, the use of adaptive equipment, compensatory techniques, and environmental modifications, with the end goal in returning to their prior level of function and living situation (The American Occupational Therapy Association, 2015). A skilled nursing facility assesses the acute changes in function of their clients, as opposed to the changes that happen over time as a person ages. Placement in a skilled nursing facility is often short-term, opposite of that of an adult day service, which could span over the course of several years. Home health is another area in which the individuals served at A Caring Place might receive services. Home health is provided by occupational therapists with the purpose of keeping a patient in their home, similar to an adult day service. Occupational therapists in this setting might address the patients ability to care for themselves, manage their home safely, and manage their conditions (The American Occupational Therapy Association, 2013). Home health care and adult day services share the same goal of keeping older adults in their own homes for as long as possible. These two settings differ in their screening and evaluation process, as home health occupational therapists focus on how an older adult functions in their own home. Adult day services share many common goals of other practice areas focused on the care of common adults, including keeping older adults in their homes for as long as possible. However, adult day services, such as A Caring Place, have a unique perspective and opportunity to provide person-centered care to improve the quality of life and ability to engage with others in the community, while also providing respite to their caregivers. TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 15 Program Planning and Implementation The program planning phase of the doctoral capstone experience is a phase that is intertwined within all other aspects and steps of the project. Plans are constantly changing, new ideas are brought forth, and at times unforeseen circumstances arise and adjustments must be made to the plan. The planning process of this particular project began with the program directors idea to obtain a technology-based device designed to promote person centered care for older adults with dementia and cognitive impairment. Before moving forward with locating funding sources, a needs assessment was completed to determine the need for the Its Never 2 Late (iN2L) technology at A Caring Place for use by older adults with dementia and other cognitive impairments. The needs assessment included conducting a literature review regarding person-centered care, older adults with dementia and other cognitive impairment, use of technology by individuals with dementia, and the specific iN2L technology. The literature review concluded that the iN2L technology could benefit participants at A Caring Place by providing them with opportunities to engage in meaningful occupations, reminiscence therapy, and social interactions. Participants cognitive assessments were also retrospectively analyzed, and indicated that the severity of cognitive impairment among participants at this site varies tremendously. The participants past experiences and interests were examined via viewing of the Life Stories binders, which showed that each individual finds meaning in different occupations. After conducting this needs assessment, it became evident that each participant is unique in their cognitive level and the activities that they find to be important. This introduced an opportunity to make a commitment to providing person-centered care, allowing each participant to engage in TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 16 meaningful occupations designed specifically for them. Ultimately, the plan became to seek funding for the purchase of iN2L technology through various means. Before applying for a grant or asking organizations for donations, it is necessary to locate foundations and organizations that could potentially fund the project. For this doctoral capstone project, this step included an extensive online search of various local foundations, consideration of prior contacts of the program director, and exploration of Indianapolis-based technology companies. An essential component to choosing a funding source is ensuring that the interests, priorities, and missions of the funding source closely align with the projects purpose and mission (Wilson, 2011). Once one or multiple funding sources are located, the requirements of each grant-making organization must be examined to determine the necessary components of the grant proposal. The grant proposal should incorporate the grant writers planning and research, outreach, and understanding of the funders mission and purpose (Wilson, 2011). The typical core components of a grant proposal include a cover letter, summary, statement of needs, program description, objectives, methods, evaluation, budget, and dissemination (Wilson, 2011). In regard to this doctoral capstone project, the grant proposal writing process included collaboration with the program director in order to determine the budget, outcome measures, objectives, methods, and dissemination procedures. The statement of need included a summary of information obtained throughout the needs assessment and literature review. The program description section included the specific equipment that the grant funding will help to obtain, as well as an overview of what the technology provides. The objectives and methods sections described what the primary goals for implementation of the iN2L technology are, as well as how this organization plans to implement the technology and accomplish their goals. A timeline was created for A Caring Place to follow in order to successfully implement and sustain the use of the TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 17 technology. This included initial training, conducting surveys, submitting data intermittently, participating webinars/trainings, analyzing data, and writing and submitting the final evaluation report. Program evaluation, training, and sustainability details were also included in the grant proposal to demonstrate to funders the plan for maintaining this program effectively. Feasible outcomes to evaluate before and after implementation include overall satisfaction, activity engagement, communication, mood scale, SWOT analysis, and usage reports. Surveys and tools have been developed by iN2L regarding these outcomes and are made available to iN2L customers, which will allow A Caring Place to measure specific outcomes at baseline, mid-point, and/or post-program (Its Never 2 Late, 2016). The budget section of this grant proposal included cost of equipment, content subscriptions, training, shipping/handling, and taxes, with the budget totaling $32,992.00. This grant proposal has been completed, and particular components of the final form have been sent to the Central Indiana Community Foundation (CICF) to explore their interest in providing funding for this technology. Leadership When assessing the needs of a particular program, and determining how to address these needs, it is important to demonstrate the leadership skills necessary to effectively plan, develop, organize, and market the proposed project. The development, planning, and implementation processes have been self-directed and have included obtaining information, completing the needs assessment, conducting additional research, and reaching out to funding sources. Collaboration with the program director, coordinator of client services, the occupational therapist, and the physical therapist has also been an essential part of this process. Initiatives to facilitate these collaborative efforts have required communication, teamwork, and interprofessional skills to collaboratively determine the usability and feasibility of the iN2L technology. TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 18 The grant proposal writing process necessitates a great deal of advocacy on behalf of A Caring Place and the individuals whom are served by this organization. To effectively advocate to outside foundations and companies, it is essential to communicate in a manner that is concise, understandable, and most importantly supported by current evidence to benefit the individuals served. While researching the iN2L technology, it became clear that this technology can greatly benefit older adults with dementia and other cognitive impairments. A development in leadership skills in terms of communication was necessary to convey the message of how this technology can improve the lives of participants at A Caring Place to outside organizations. Staff Development Several strategies will be put into place in order to promote staff development and to manage staff who will be introduced to this new technology. One such strategy includes an employee training session provided by the companys trainers at iN2L. This will allow all necessary employees to be trained on how to use the technology and how to best utilize it to benefit the participants served (Its Never 2 Late, 2016). It is essential that all staff members who will be managing the program, as well as those who will be interacting directly with the residents, attend the training session provided by iN2L. The staff from A Caring Place who will be required to participate in training include the program director, coordinator of client services, physical therapist, occupational therapist, and participant support leaders. Monthly in-services will be held to introduce new aspects of iN2L to other staff. In-services may be provided by one staff member per month to give other staff the opportunity to learn about parts of the technology that they may have not seen, discovered, or tried yet. In-services may also include opportunities for staff to collaboratively ask questions, troubleshoot issues, and brainstorm ideas for future uses. TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 19 Staff education regarding iN2L use is not necessary until the iN2L technology is obtained and introduced at A Caring Place. Once funding is received and iN2L is available for use, the staff can be educated on the benefits of using this technology, how to use it, and how to personalize each participants individual experience with the program. It is essential that employees understand the importance of remaining person-centered, as that is both the emphasis of the technology and the focus of A Caring Place. The Occupational Therapy student collaborated with the Program Director at A Caring Place to create a new position on staff, titled Coordinator of Client Programming. The responsibilities of this position will include planning and designing person-centered activities, supervising participant support staff, planning outings, and assisting in other areas as needed. Once the iN2L technology is introduced at this site, the coordinator of client programming will absorb the new responsibilities it brings. These responsibilities might include training new staff or volunteers, planning person-centered activities, organizing in-services, and ensuring that the technology is used to its full potential. Outcomes and Discontinuation This project will not be completed by the end of the Doctoral Capstone Experience; in fact, it will have only just begun. It is imperative that A Caring Place has the tools to effectively evaluate the impact iN2L technology is having on the participants. While it is easy to set lofty goals and give staff outcome tools to measure progress, it is essential that a thorough, detailed plan is provided. Introducing a new technology will add a new aspect to the Activities department. It is important to set a straightforward plan into place that will ease this transition and not add additional responsibility to the staff. Allowing the staff to follow a detailed plan will ensure program sustainability and quality improvement. TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 20 Goals and Objectives A Caring Place has specific goals that the iN2L technology can support. If these goals are achieved, participant experiences can greatly improve, as well as their overall quality of life. The goals of this program are written below, followed by specific objectives that will assist in reaching these overarching goals. 1. Goal 1: Participants will increase engagement in activities provided by the iN2L technology and the activities offered daily by participant support staff. a. At least 75% of necessary staff will be trained on iN2L use and benefits within 90 days of iN2L software installation. b. Interested participants will engage in individualized/group based spiritual or reminiscent activities using iN2L for at least 30 minutes/week within 120 days of implementation. c. Participants will require minimum assistance to engage in daily physical activities using iN2L (e.g. group exercise programs) for 15-30 minutes/day within 150 days of implementation. d. iN2L technology will be utilized 75 hours/month, on average, over the course of 12 months. 2. Goal 2: Using iN2L technology, staff will engage participants in person-centered activities, which will improve participants sense of well-being and increase expression of positive emotions. a. Fifteen personalized, digital biographies (Life Stories) reflecting the participants preferences, interests, past experiences, and family history will be TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 21 created with assistance from staff, volunteers, and family members within six months of implementation. b. Residents will express an increase in positive (happy/joyful/peaceful) emotion after a 12-month period, as measured on a Likert scale survey given preimplementation and at six-month intervals. c. Residents will experience an improvement in mood 75% of the time after engagement in activities offered by the iN2L technology by 12 months. Outcome Tools To determine if participant engagement, well-being, and expression of positive emotions have improved, the following tools have been validated by iN2L and will be used to measure progress: Quality of Life Survey, Resident Assessment by Staff Survey, Mood Scale, and Usage Reports. These tools are described further in this section. The Quality of Life Survey measures both the positive and negative emotional status of the individual over the previous two-week period (Its Never 2 Late, 2016). Participants will be aided by staff to complete the surveys and will be assured complete anonymity and confidentiality. The surveys follow a Likert (five-point) scale format. Prior to the installation of the iN2L systems, a baseline survey will be conducted on the key indicators, and will again be conducted during the 6th and 12th months of the project. Responses will then be transferred to the online versions of the surveys by the coordinator of client programming, and iN2L will provide the resulting reports. The Resident Assessment by Staff Survey measures observed activity levels, energy levels, time spent in activities, engagement levels, activities of daily living, cognition, motor skills, mood, irritability level, and relationships (Its Never 2 Late, 2016). The survey follows a TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 22 Likert scale format. Participant support staff and other involved staff will complete this survey regarding each individual participant before implementation of iN2L, and at 3-month intervals after implementation. Responses will then be transferred to the online versions of the surveys and iN2L will provide the reports of the results. Using the Modified Wong-Baker Facial Grimace Scale, participants moods can be assessed before and after each individual iN2L session (Its Never 2 Late, 2016). Participants will rate their mood on a scale of six moods ranging from bright/happy mood to severely unhappy mood. This information will help determine if the iN2L technology boosts individual participants moods after a session is completed. Responses will then be transferred to the online versions of the surveys and iN2L will provide the reports of the results. The iN2L system is able to tabulate the number of hours the system has been used and generates Monthly Usage Reports (Its Never 2 Late, 2016). These reports show usage hours per day, the ten most used applications, and the top ten websites visited by the users. iN2L provides these reports by the 10th of each month. Usage reports will allow A Caring Place staff to see how much the staff and participants are utilizing the technology daily and monthly, and make changes to schedules to maximize use. Quality Improvement & Sustainability By utilizing the previously described outcome tools, A Caring Place staff will be able to assess the effect that the program is having on the participants experiences. This information will then allow the staff to determine in which areas changes to the program need to be made to achieve its goals. Staff may be able to focus more attention on the technology with specific participants, ask further questions on what might make the program better, or provide more tailored activities based on the responses provided by the participants. The new position TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 23 previously discussed in this paper, the Coordinator of Client Programming, will take on most of the responsibility for quality improvement of this program. This might include training new staff or volunteers, planning person-centered activities, organizing in-services, and ensuring that the technology is used to its fullest potential. To ensure the program is sustainable, A Caring Place will allocate funds and time to support quality improvement. Once the grant term comes to an end, the iN2L licensing fee will be incorporated into the budget for program supplies. Staff will also take advantage of monthly iN2L refresher webinars which are held as follows: 1. Level 1: Introduction to iN2L 1st or 2nd week of the month 2. Level 2: Application Overview 2nd or 3rd week of the month 3. Level 3: Personalization 3rd or 4th week of the month Activities and therapy staff will be required to view Overview Training Videos that reside on the iN2L systems, which demonstrate how the system can enhance music, reminiscence, physical fitness, and sensory activities. These refresher webinars and video trainings will be made available to new staff, volunteers, and other staff who wish to learn more about how to maximize use of the iN2L technology. Staff will also be able to participate in bimonthly iN2L Content Update webinars. To reinforce the benefits of the project as it goes into its second year and to ensure sustainability, an On-site Refresher Training conducted by an iN2L trainer will take place between the 10th and 12th months of the project. Monthly in-services will be held at A Caring Place in which one staff member each month may educate other staff on various aspects of the technology. In-services may also include opportunities for the staff to ask questions, troubleshoot problems, and collaboratively brainstorm ideas for future activities utilizing iN2L. A Caring Place will also participate in TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 24 quarterly Best-Practices Group Calls facilitated by iN2L account managers. These forums will allow staff to find solutions to challenges that may be encountered, continuously identify and motivate project champions, and share stories of success. Response to Changing Needs As previously stated throughout the literature review, there is a new standard of care for older adults living with dementia. The former medical model was task-driven, relied on control techniques including chemical and physical restraints, and devalued the individuality of the person (Epp, 2003). The new standard of care is person-centered, value-driven, independencefocused, emphasizes well-being, and provides autonomy to the person (Epp, 2003). It is well known that the population of older adults is growing, thus the number of individuals living with dementia and other cognitive impairment continues to rise (U.S. Department of Health and Human Services, 2015). It is essential to explore methods designed to engage these individuals in meaningful activities despite cognitive and physical decline. An innovative portal to provide an opportunity of engagement for older adults with dementia is through the use of the iN2L technology. The goal of iN2L technology is to provide dignified activities and therapeutic experiences by enabling participation in creative and meaningful occupations (Its Never 2 Late, 2018). This system is designed to enable personcentered care by providing individual user buttons that can be populated with content and activities that match the interests and needs of each resident. With the iN2L technology, A Caring Place will be able to reach and provide personalized life-enriching, re-engaging, and redirecting activities to more participants than ever before. TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 25 Communication When engaging with the participants at A Caring Place, I have been able to communicate with them effectively by being empathetic, non-judgmental, and person-centered. I have used nonverbal communication to show that I am happy to see them and that I enjoy their company. The participants vary on their levels of confusion and cognitive functioning, so it has been essential to meet each participant where they are, and not expect the same interactions and engagement from them all. By communicating with the participants in an empathetic, nonjudgmental, person-centered manner, I have been able to build rapport and establish a relationship with each one of them. I have not had many opportunities to interact with the participants families; however, when I do get an opportunity, I do my best to convey that their loved one is wanted and cared for at A Caring Place. When interacting with people in the community, such as volunteers, I have also been able to remain professional. It is important that volunteers know that they are appreciated and that their generosity does not go unnoticed. I make it a point to make sure that each volunteer knows what their role is while they are here, and to thank them for their time when they leave. I am often in communication with the staff here, including the program director, coordinator of client services, nurse, physical therapist, occupational therapist, and kitchen aide. I have been able to communicate professionally by remaining HIPAA compliant, using personfirst language, and avoiding engagement in negative conversation. It seems that in every organization, there is at least one employee who is disagreeable, questions the status quo, and sees the negative in every situation. I have found that it is best to avoid promoting this behavior, so I tend to offer alternative perspectives or not participate in a conversation at all. A negative attitude within a team of employees tends to spread quickly, and this does not make the work day TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 26 pleasant for anyone. I believe I have successfully remained positive with all of my colleagues throughout this experience. Lessons Learned Throughout this Doctoral Capstone Experience, I have learned so much from my colleagues, the volunteers, and the participants at A Caring Place. I have also learned many things about myself. It has been important to keep an open mind throughout this process and remain flexible to learning new things and engaging in every opportunity available. By doing so, I have been able to get as much out of this experience as I could. I have gained a great deal of empathy throughout this experience. The more time I spend with older adults, individuals with dementia, and people from different backgrounds, the more I am able to place myself in their shoes and imagine the journey they are going through. I believe developing empathy for all people is an essential aspect to being an effective occupational therapist. Being able to empathize with my clients, no matter who they are, will allow me to develop more person-centered interventions while considering all physical, cognitive, and psychosocial aspects of the person. Being empathetic means that I do not pass judgment on others situations, and instead attempt to consider the circumstances that impact their life. By being nonjudgmental and empathetic, establishing rapport becomes much simpler. When considering what a person might be going through, it becomes easier to ask the necessary questions and build trust. I truly believe that empathy is one of the most important qualities that an occupational therapist can possess, so I am grateful that this experience has allowed me to grow in this area. I have also learned about the day-to-day details, as well as big picture aspects, of managing a non-profit adult day service. Every day is different, with new difficulties arising TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 27 frequently. It is important to be able to problem solve through minor issues before they become a larger issues for all staff. I have learned and participated in the grant writing process and have also learned about requirements that some funders have regarding how to utilize busses, vans, and staff members that are paid for by a grant. I have been exposed to care plans, Medicare/Medicaid funding, billing, case management, and documentation. I have learned that to successfully manage a non-profit, the saying it takes a village is very true. It takes a collaborative team of staff, volunteers, and community members to ensure that a non-profit community-based organization is successful. Experience in these areas will assist me in future practice by giving me background knowledge in these areas and will help me analyze organizations as a whole, and not just the parts affecting me directly. I have been taught many things by my site mentor, other staff, and participants while at A Caring Place. Through this educational experience, I have also learned many things about myself. I have learned what kind of leader and manager I aspire to be in the future. I am uncertain if a management role is one that I would be willing to take on soon; however, I am confident in knowing what skills and qualities make a great leader. I want to be a leader that is willing and able to do the little day to day things. I want to have open lines of communication with those I lead. Communicating effectively with others will help to build trust and will also help to encourage employees to bring any concerns to me without fear of negative consequences. I have been an employee of many different bosses, supervisors, and managers, and I think how a leader treats their employees is what makes or breaks a leaders ability to effectively lead. It is important to praise employees for what they are doing well, and to consider what might be contributing factors to poor performance. Just as it is a priority to remain person-centered with clients, it is also a strategy to use when leading employees. When addressing employee issues, TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 28 that employees background, psychosocial, and occupational factors should be considered. A bad leader can not only negatively impact their employees, but also the clients those employees treat. A great leader can positively impact their employees, which can promote better care for the individuals they serve. Overall, I am thankful for this experience and the lessons I have learned throughout these sixteen weeks. I have been exposed to many things and now have a glimpse into the experience of working for or managing a non-profit organization. I am hopeful that I can use the skills and knowledge I have gained throughout this experience during my job search and in the coming years as a practitioner. TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 29 REFERENCES Alzheimers Association. (2018a). Mild Cognitive Impairment. Retrieved from https://www.alz.org/dementia/mild-cognitive-impairment-mci.asp Alzheimers Association. (2018b). What is Dementia? Retrieved from https://www.alz.org/whatis-dementia.asp Archdiocese of Indianapolis. (2016a). Catholic Charities Indianapolis: A Caring Place Adult Day Services. Retrieved from www.archindy.org/cc/indianapolis/caringplace.html Archdiocese of Indianapolis. (2016b). Catholic Charities Indianapolis: About Us. Retrieved from www.archindy.org/cc/indianapolis/about.html Blazer, D. G. & Hybels, C. F. (2005). Origins of depression in later life. Psychological Medicine, 35, 1241-1252. Brooker, D., Duce, L. (2004). Wellbeing and activity in dementia: A comparison of group reminiscence therapy, structured goal-directed group activity and unstructured time. Aging & Mental Health, 4(4), 354-358. doi: 10.1080/13607860020010510. Burgener, S. & Dickerson-Putnam, J. (1999). Assessing patients in the early stages of irreversible dementia: The relevance of patient perspectives. Journal of Gerontological Nursing, 25, 33-41. Cole, M. & Tufano, R. (2008). Applied theories in occupational therapy: A practical approach. Thorofare, N.J.: SLACK Inc. Conradsson, M., Rosendahl, E., Littbrand, H., Gustafson, Y., Olofsson, B., & Lovheim, H. (2013). Usefulness of the Geriatric Depression Scale 15-item version among very old people with and without cognitive impairment. Aging & Mental Health, 17(5), 638-645. doi: 10.1080/13607863.2012.758231 TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 30 Epp, T. D. (2003). Person-centered dementia care: A vision to be refined. The Canadian Alzheimer Disease Review, 4, 14-18. Its Never 2 Late. (2016). Grant Guide. Retrieved from http://in2lonline.com/research/iN2LGrantGuide2016.pdf Its Never 2 Late. (2017). Welcome to iN2L. Retrieved from http://in2l.com/about-in2l/ Its Never 2 Late. (2018). Benefits of the iN2L System. Retrieved from https://in2l.com/benefits/ Kane, R. A., Lum, T. Y., Cutler, L. J., Degenholtz, H. B., & Yu, T. (2007). Resident outcomes in small-house nursing homes: A longitudinal evaluation of the initial Green House program [Abstract]. Journal of the American Geriatrics Society, 55(6), 832-839. doi: 10.1111/j.1532-5415.2007.01169.x Karp, A., Paillard-Borg, S., Wang, H., Silverstein, M., Winblad, B., & Fratiglioni, L. (2006). Mental, physical, and social components in leisure activities equally contribute to decrease dementia risk [Abstract]. Dementia and Geriatrics Cognitive Disorders, 21(2), 65-73. doi: 10.1159/000089919 Kitwood, T. (1996). Building up the mosaic of good practice. Journal of Dementia Care, 3, 1213. Kogan, A. C., Wilber, K., & Mosqueda, L. (2015a). Moving toward implementation of personcentered care for older adults in community-based medical and social service settings: You only get things done when working in concert with clients. Journal of the American Geriatrics Society, 64, e8-e14. doi: 10.1111/jgs.13876 Kogan, A. C., Wilber, K., & Mosqueda, L. (2015b). Person-centered care for older adults with chronic conditions and functional impairment: A systematic literature review. Journal of the American Geriatrics Society, 64, e1-e7. doi: 10.1111/jgs.13873 TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 31 Krampe, H., Hautzinger, M., Ehrenrich, H., & Kroner-Herwig, B. (2003). Depression among elderly living in senior citizen homes: Investigation of a multifactorial model of depression [Abstract]. Zeitschrift fur Klinische Psychologie un Psychotherapie, 32, 117128. Lachman, M. E. & Firth, K. M. (2004). The adaptive value of feeling in control during midlife. In O. G. Brin, C. D. Ryff, & R. Kessler (Eds.), How healthy are we? A national study of well-being at midlife (pp. 320-349). Chicago, IL: University of Chicago Press. Lazar, A., Demiris, G., Thompson, H. (2016). Evaluation of a multifunctional technology system in a memory care unit: Opportunities for innovation in dementia care. Informatics for Health and Social Care, 41(4), 373-386. doi: 10.3109/17538157.2015.1064428 Leuty, V., Boger, J., Young, L., Hoey, J., & Mihailidis, A. (2013). Engaging older adults with dementia in creative occupations using artificially intelligent assistive technology. Assistive Technology, 25, 72-79. doi: 10.1080/10400435.2012.715113 Li, J. & Porock, D. (2014). Resident outcomes of person-centered care in long-term care: A narrative review of interventional research [Abstract]. International Journal of Nursing Studies, 51(10), 1395-1415. doi:10.1016/j.ijnurstu.2014.04.003 Mallers, M., Claver, M., & Lares, L. A. (2013). Perceived control in the lives of older adults: The influence of Langer and Rodins work on gerontological theory, policy, and practice. The Gerontologist, 54(1), 67-74. doi: 10.1093/geront/gnt051 Pedlar, A., Hornibrook, T., & Haasen, B. (2001). Patient-focused care: Theory and practice. Therapeutic Recreation Journal, 35, 15-30. TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 32 Richards, K., Sullivan, S., Phillips, R. (2001). The effect of individualized activities on the sleep of nursing-home residents who are cognitively impaired [Abstract]. Journal of Psychiatric Mental Health, 7, 59-67. Szczesniak, D. & Rymaszewska, J. (2016). The usefulness of the SLUMS test for diagnosis of mild cognitive impairment and dementia. Pschiatria Polska, 50(2), 457-472. doi: 10.12740/PP/OnlineFirst/43141. The American Occupational Therapy Association. (2013). Occupational Therapys Role in Home Health. Retrieved from https://www.aota.org/~/media/Corporate/Files/AboutOT/Professionals/WhatIsOT/PA/Ho me-Health.pdf The American Occupational Therapy Association. (2015). Occupational Therapys Role in Skilled Nursing Facilities. Retrieved from https://www.aota.org/~/media/Corporate/Files/AboutOT/Professionals/WhatIsOT/RDP/F acts/FactSheet_SkilledNursingFacilities.pdf The Green House Project & Mather LifeWays Institute on Aging. (2010). Final program evaluation for Its Never 2 Late and The Green House Project. Retrieved from: http://in2l.com/wp-content/uploads/2016/04/6.-Green_House_Evaluation_Report.pdf Upton, D., Upton, P., Jones, T., Jutlla, K., & Brooker, D. (2011). Evaluation of the impact of touch screen technology on people with dementia and their carers within care home settings. Commissioned by Department of Health West Midlands, December 2011. Available at http://79.170.44.96/lifestorynetwork.org.uk/wpcontent/uploads/downloads/2012/11/evaluation-of-the-impact-of-the-use-of-touchscreentechnology-with-people-with-dementia-.pdf TECHNOLOGY FOR OLDER ADULTS WITH DEMENTIA 33 U.S. Department of Health and Human Services. (2015). Aging. Retrieved from http://tinyurl.com/h9bef2h Volicer, L., Simard, J., Pupa, J. H., Medrek, R., & Riordan, M. E. (2006). Effects of continuous activity programming on behavioral symptoms of dementia [Abstract]. Journal of the American Medical Directors Association, 7(7), 426-431. Welch, D. C. & West, R. L. (1999). The Short Portable Mental Status Questionnaire: Assessing cognitive ability in nursing home residents. Nursing Research, 48(6), 329-332. Wilson, L. S. (2011). Proposal and grant writing. In K. Jacobs & G. McCormack (Eds.), The Occupational Therapy Manager (pp. 179-191). Bethesda, MD: American Occupational Therapy Association, Inc.  ...

... Running head: TRANSGENDER SUPPORT GROUPS 1 Across Gender: A narrative medicine-based support group for transgender and gender non-conforming (TGNC) persons Annie L. DeRolf May 2018 A capstone project submitted in partial fulfillment for the requirements of the Doctor of Occupational Therapy degree from the University of Indianapolis, School of Occupational Therapy. Under the direction of the faculty capstone advisor: Sally Wasmuth, Ph.D., OTR Running head: TRANSGENDER SUPPORT GROUPS A Capstone Project Entitled Across Gender: A narrative medicine-based support group for transgender and gender non-conforming (TGNC) persons Submitted to the School of Occupational Therapy at University of Indianapolis in partial fulfillment for the requirements of the Doctor of Occupational Therapy degree. By Annie L. DeRolf OTS Approved by: Faculty Capstone Advisor Date Doctoral Capstone Coordinator Date Accepted on this date by the Chair of the School of Occupational Therapy: Chair, School of Occupational Therapy Date 2 TRANSGENDER SUPPORT GROUPS 3 Abstract Transgender and gender non-conforming (TGNC) persons experience a variety of health and psychosocial disparities, necessitating a need for unique, evidence-based interventions to facilitate occupational engagement and ensure occupational justice. In particular, TGNC individuals report experiencing social isolation. The purpose of this project was two-fold: (1) to demonstrate effective leadership and advocacy throughout the organization and implementation of a narrative medicine-based supportive group in order to (2) provide opportunities for social participation among individuals of similar culture, as well as to increase social perception, empathy, and companionship. The supportive group was held weekly for TGNC-identified individuals who were either patients of the Transgender Health and Wellness Program or members of the community. A brief survey that measured improvements in social participation, developed by the Doctoral Capstone Experience (DCE) student, was administered at the succession of each group. Average survey scores, with 15 being the highest possible score, ranged from 12.5 to 15. Anecdotal support was further evidence of the success of support groups in facilitating engagement in social participation and creating new routines. Overall, this particular DCE elucidated the importance of social participation among TGNC persons, as well as the effectiveness of advocating for occupational therapys role in an emerging niche. 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 4 Background The Lesbian, Gay, Bisexual, Transgender, Queer (LGBTQ) community is one of advocacy, pride, and resilience. However, the LGBTQ community remains stigmatized and marginalized by societys strict perceptions of sexual orientation and gender identity norms, which is no secret amidst the nations current political epoch. Recent issues such as bathroom laws and sporting team regulations caused great debate among politicians and denizens alike, thus registering individuals who identify as transgender or gender non-conforming on social and political radars. Traditionally, the term transgender is used to describe an individual whose gender identity is opposite of their sex assigned at birth (Wagner, Kunkel, Asbury, & Soto, 2016). However, opposite implies that gender is binary (i.e. one is either male or female), thus excluding a number of individuals who identify as non-binary, some other gender, or neither gender. A broader definition of transgender includes those whose gender identity transcends, breaks, transgresses, cuts through, or otherwise deviates from traditionally established gender categories (p. 51). A myriad of terms exist beneath the transgender umbrella, including but not limited to: transwoman [or MTF (male-to-female)], transman [or FTM (female-to-male)], intersex, gender non-conforming, gender fluid, and androgyne (Fenway Health, 2010). Definitions for the aforementioned terms may be found in Appendix A. Canadian Model of Occupational Performance (CMOP) Due to the unique relationship between gender and occupation, the Canadian Model of Occupational Performance (CMOP) will be used to guide the Doctoral Capstone Experience (DCE). The CMOP is a client-centered model that details the relational effects of the person, environment, and occupation on occupational performance (Cole & Tufano, 2008). At the center 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 5 of the model is the person, composed of affective, physical, and cognitive components with the human spirit at its center (2008). Surrounding the person is occupation, which includes self-care, productivity, and leisure (Cole & Tufano, 2008). Lastly, the environment is composed of institutional, social, cultural, and physical elements (2008). It is within these environments that occupations are performed. The person. According to this model, strength, range of motion, endurance, energy, flexibility, and pain fall within physical factors (2008). One or more of these factors may be influenced positively or negatively by the presence of cross-sex hormones. The decision to use cross-sex hormones is made individually, and such hormones may be used to eliminate in as far as possible the secondary sex characteristics of the natal sex and to induce those of the new sex (Gooren, Kreukels, Lapauw, & Giltay, 2015, p. 14). These physical changes may be evidenced by gains or loss in muscle mass, development of breast tissue, and growth of facial hair. Surgical interventions may also be performed, such as double mastectomy, breast augmentation, orchiectomy, labiaplasty, etc., which pose physical implications post-surgically (University Gender Affirmation Surgery, n.d.). Feelings and attitudes that influence an individuals self-concept, motivation, and interpersonal relationships are included in the affective component of the model (2008). Although no criteria is needed to self-identify as transgender, a diagnosis of gender dysphoria is required in order to pursue medical and legal transitions (if desired). According to The Diagnostic and Statistical Manual of Mental Disorders (DSM-5), a diagnosis of gender dysphoria involves a difference between ones experienced/expressed gender and assigned gender, and significant distress or problems functioning for at least six months (American Psychiatric Association, 2016, par. 8). The adolescent or adult must also show at least two of the following 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 6 symptoms: (1) an identifiable incongruence between ones primary and/or secondary sex characteristics as well as ones experienced/expressed gender; (2) a strong desire to no longer have ones primary and/or secondary sex characteristics; (3) a strong desire to possess the primary and/or secondary sex characteristics of ones experienced gender; (4) a strong desire to be of ones experienced gender; (5) a strong desire to be treated as ones experienced gender; (6) a strong conviction that one reacts like and embodies the typical feelings of the experienced gender (American Psychiatric Association, 2016). The aforementioned symptoms of gender dysphoria play a large role in the various psychosocial factors that hinder meaningful occupational engagement. The 2015 Trans Survey, the largest survey devoted to trans lives and experiences, reported that 39% of respondents experienced serious psychological distress one month prior to survey completion (James, Herman, Rankin, Keisling, Mottet, & Anafi, 2016). Furthermore, 40% of respondents reported having attempted suicide in their lifetime, while seven percent (7%) reported having attempted suicide in the past year (2016). This prevalence of suicidal ideations and attempts may signal detriment of the human spirit, as a lack of opportunity to engage in meaningful occupations can elicit a loss of identity, limited expression of spirit, and a sense of meaninglessness (Townsend & Wilcock, 2004). Human spirituality includes the meaning of everyday activities and the symbolic significance of occupation as a part of ones culture (Cole & Tufano, 2008, p. 28). According to the CMOP, the human spirit plays a central role in occupational choice, self-direction, and selfidentity. Limited research detailing the dialectical nature between gender and occupation exists, but literature on the relationship between sexual orientation and occupation is growing (Beagan, De Souza, Godbout, Hamilton, MacLeod, Paynter, & Tobin, 2012). It was argued that 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 7 occupational choice, meaning, context, and engagement are influenced by ones sexual orientation (Jackson, 1995). Similarly to gender identity, persons whose sexual orientation falls within the lesbian, gay, bisexual (LGB) umbrella may seek occupations or occupational contexts that connect them to their community (Beagan et al., 2012). For example, a young lesbian may choose to play softball hoping to connect with other lesbians (Beagan et al., 2012, p. 227). Dressing, communicating, and performing leisure activities that are congruent with ones experienced gender is not simply an attempt to pass but the delicate and intentional ways in which one may affirm their identity. Environment. The components of the environment, as defined by the CMOP, include elements of the physical, social, cultural, and institutional (Cole & Tufano, 2008). Physical environments may include the workplace, classroom, and/or home, while social environments may include co-workers, peers, and/or family (2008). Cultural environments may include religious, ethnic, and political factors, which can affect the opportunities for, and barriers to, participation in life (Cole & Tufano, 2008, p. 28). Lastly, institutional environments may include political and social systems that set rules and limits to occupations (2008). Although gender is not explicitly identified as a component of the environment, its enigmatic relation to the physical, social, cultural, and institutional weighs heavily on the occupational justice for transgender individuals. For example, the lack of a hate crimes bill in the state of Indiana may implicitly allow bias to enter into the workplace and school systems. As reported by the 2015 Trans Survey, unemployment rates among respondents were alarming (15%), which was three times higher than the countrys unemployment rate (5%) (James, Herman, Rankin, Keisling, Mottet, & Anafi, 2016). Higher rates of unemployment were prevalent among Black, American Indian, Middle Eastern, Latino/a, and multiracial respondents. 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 8 For those respondents who held employment, 15% experienced verbal harassment, physical assault, and/or sexual assault at work due to their gender identity or expression. Verbal, physical, and sexual violences were also prevalent outside of the workplace. Fifty-four percent of schoolage (K-12) respondents who were either out or perceived as transgender by peers were verbally harassed, 24% were physically attacked, and 13% were sexually assaulted. In some cases (17%) mistreatment was so severe that they left a K-12 school (2016). Occupation. Through the lens of the CMOP, self-care, productivity, and leisure are the three categories of occupation (Cole & Tufano, 2008). Self-care can be affected in a number of ways, such as avoiding primary and preventative care visits for fear of being stigmatized (Beagan, De Souza, Godbout, Hamilton, MacLeod, Paynter, & Tobin, 2012). Transgender individuals may do or play gender through the occupation of dressing (Beagan et al., 2012). Often times the outward presentation of gender, typically through the means of self-care, is how transgender individuals strive to pass as their experienced or identified gender. For example, transmasculine individuals who take testosterone may intentionally grow and maintain a beard, as it facilitates a more accurate perception of his gender identity. Occupations such as community mobility, shopping, driving, and toileting were also negatively affected among transgender individuals. Discrimination in these settings took many forms: denial of services and/or treatment, denial of access to restrooms, harassment, and violence (James, Herman, Rankin, Keisling, Mottet, & Anafi, 2016). Occupational implications were plenty. For example, 32% of respondents limited the amount that they ate and drank to avoid using the restroom in the past year (James, Herman, Rankin, Keisling, Mottet, & Anafi, 2016, p. 17). Furthermore, one in five transgender persons did not use at least one type of public accommodations (transportation, retail stores, gyms, etc.) due to fear of mistreatment (2016). 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 9 Due to the environmental and personal limitations on occupational performance, there is a need for occupational therapists to enable occupation (Cole & Tufano, 2008). Use of a clientcentered model, such as the CMOP, is imperative in order to provide client-therapist collaboration. Interventions should be designed in a way that is meaningful for the client both personally and within his culture or social group (Cole & Tufano, 2008, p. 28). It is through narrative medicine-based support groups that this intentional design may be achieved. Narrative Medicine Support groups consisting of members who identify as transgender provide occupational engagement (i.e. social participation) within their culture. Attending a support group each week at a designated time provides an opportunity for time management as well as the creation of new roles and routines. In addition to temporal and physical consistencies, using elements of narrative medicine can enhance participation and the experience of deep personal meaning to support groups. Although narrative medicine curriculum is typically for healthcare professionals, the contents of its teachings, specifically through close reading and attentive listening, are transferable. Training in philosophy, literary theory, and literary fiction increases the capacity to perceive and empathize with suffering and turmoil (Charon, DasGupta, Hermann, Irvine, Marcus, Rivera Colon, Spencer, & Spiegel, 2017). Literature itself poses a unique opportunity to explore relationality by opening a bottomless resource for observing, thinking, and talking together about human interactions (Spiegel & Spencer, 2017, p. 15). Reading literary fiction has been empirically shown to increase theory of mind, emotional intelligence, and social perception (Kidd & Castano, 2013). Furthermore, attentive listening can facilitate deep companionship between teller and listener, mutual investment, reciprocal clarity, and affiliation (Charon, 2017, 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 10 p. 157). Narrative medicine-based support groups have the potential to be a unique and efficacious intervention due to their ability to provide increased emotional intelligence and social perception, empathy, and companionship. Screening and Evaluation While at the outpatient-based Doctoral Capstone Experience (DCE), an informal, clientcentered evaluation was completed in order to determine the needs of both the organization (Transgender Health and Wellness Program) and its population (transgender and gender nonconforming patients). I met with the clinics patient care coordinator in a conference room on the fifth floor of the hospital. It was discussed that support groups were the most pressing need, as patients consistently expressed a desire to attend. The patient care coordinator verbalized their1 desire for support groups to not be therapeutic (i.e. pertaining to psychotherapy) in nature. The patient care coordinator also reiterated the primary care physicians desire for the support groups to include an educational component related to trans-care. I introduced he idea of incorporating elements of narrative medicine into the support groups. It was explained that narrative medicine would provide psychosocial benefits (i.e. empathy, introspection, and emotional intelligence) without being overtly therapeutic, like running groups that explicitly target outcomes such as improved coping skills. The patient care coordinator was receptive and in favor of incorporating these elements. Throughout the first four weeks of the DCE, many informal conversations were had involving the need for trans-competent healthcare practices. Although the hospitals Transgender Health and Wellness Program utilizes best practice for their patients, there is a great need among other disciplines, including occupational therapy. When defining trans healthcare, it is imperative to distinguish between three subsystems: (1) preventative healthcare, (2) critical care, and (3) 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 11 transcare (Wagner, Kunkel, Asbury, & Soto, 2016, p. 51; Rachlin, Green, & Lombardi, 2008). Preventative healthcare (i.e. annual checkups) may contribute to anxiety due to a need to correct medical staff on ones preferred pronouns and chosen name (Wagner, Kunkel, Asbury, & Soto, 2016). Gynecological exams for trans-masculine patients can be disparagingly dysphoric, thus forcing these individuals to choose between mental health (i.e., forgo a gynecological exam to avoid identity-related triggering) and physical health (i.e., undergo a gynecological exam but risk stigma or discrimination) (Wagner, Kunkel, Asbury, & Soto, 2016, p. 51). Critical care includes urgent responses to acute health issues and/or serious medical events (2016). This inherent urgency acts as a hindrance to trans patients having the time and/or resources to preidentify inclusive healthcare environments and practitioners, leading some to hesitate seeking necessary healthcare (2016). Lastly, transcare focuses specifically on ones biophysical transition (2016). Gender affirming care may include hormone replacement therapy (HRT), mental health services, and/or surgery (2016). Stigma and discrimination may enter these healthcare subsystems in three modes: individually, interpersonally, and/or institutionally/systemically (Wagner, Kunkel, Asbury, & Soto, 2016). Individual stigma has the ability to inhibit a trans individual from seeking help or communicating with healthcare providers in order to avoid discomfort (2016). Interpersonal stigma occurs during routine communication, such as between healthcare professional and patient, and may include hostility, pandering, and/or unnecessary/inappropriate inquisitiveness (2016). These interactions are likely to result in avoidance on behalf of the trans patient. Lastly, institutional stigma is systematically oppressive in nature (2016). Institutional stigma occurs in a number of ways, including erasure from medical information and healthcare policies, systemic microaggressions, and health insurance disparities (2016, p. 54). For example, transgender 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 12 individuals are less likely to be hired by an employer, limiting access to health insurance and thus trans-related healthcare services (Poteat, German, & Kerrigan, 2013). The prevalence of stigma and discrimination experienced by trans patients in healthcare settings acts as a hindrance on meaningful occupational engagement. Wagner, Kunkel, Asbury, & Soto (2016) conducted qualitative interviews with trans participants in order to provide insight into the effects of gender identity on health experiences. One participants response highlighted money management deficits: There were times where I had to choose betweenyou knowhormones or foodI generally wait for food and electricity (2016, p. 57). Another participant engaged in risky occupations in order to financially sustain his transition. He noted, I did sex work to get my first injection of testosterone (2016, p. 57). Anecdotal stories of discrimination also play into ones fear. After hearing a story of a trans-woman who was denied care by an EMT and subsequently died, a participant stated that she was constantly worried if she was seconds away from getting thrown out because the nurse thinks Im a freak or pervert or somethingthat Im going to get in a car accident and Im going to die because the EMT wont assist me (2016, p. 59). The aforementioned qualitative statements signaled a need for occupational justice within the healthcare environment. Generally, it is considered best practice to stay relaxed and make eye contact, avoid unnecessary questions, avoid gossip or jokes regarding transgender non-conforming (TGNC) patients, continue to use preferred name and pronouns in a patients absence, and create an environment of accountability (National LGBTQ Health Education Center, 2016). Resources from organizations such as Fenway Institute and the World Professional Association for Transgender Health (WPATH) provide best practice standards for organizations to follow. Trans-Affirming Environments 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 13 A trans-affirming healthcare environment begins with the front-line staff. Customer service principles (i.e., accountability, communication, open-mindedness, reliability, responsiveness, and respect) serve as strategies for working with TGNC patients (National LGBTQ Health Education Center, 2016). Gender-neutral language. Assumptions regarding a patients name should be avoided. When addressing patients, avoid the use of gender-specific terminology, such as sir, maam, and Mr./Mrs./Miss/Ms. (National LGBTQ Health Education Center, 2016). When referring to patients in conversation with other staff members, avoid the use of pronouns. For example, rather than stating, She is in room 4, one may say, The patient is in room 4 (2016). Names and pronouns. Politely asking a TGNC individual if they use a preferred name is acceptable; their preferred name may or may not match their records or identification. For example, a healthcare professional may ask, What name would you like me to use? (National LGBTQ Health Education Center, 2016, p. 10). The healthcare professional should also routinely ask for a patients preferred pronouns. She/her/hers and he/him/his are common pronouns preferred by some TGNC individuals, but for some, particularly those who identify as nonbinary, may prefer they/them/theirs or ze/hir/hirs (2016, p. 10). The collection of gender identity data is now recommended by both the Joint Commission and Institute of Medicine; furthermore, it is required by the U.S.s Health Resources and Services Administration (HRSA) and all HRSA-funded centers (2016). The collection of a patients preferred name and pronouns allows healthcare professionals to insert them into a patients chart, allowing all staff to see gender identity and preferences consistently (2016). Name and gender markers. Asking, Could your chart be under a different name? or, What is the name on your insurance? are acceptable in situations where a patients name or 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 14 gender identity does not match their medical records or insurance (2016). A TGNC person should never be asked what their real name is, as it highly offensive (2016). If a healthcare professional slips on using the correct name and/or pronouns, it is acceptable to say, I apologize for using the wrong pronoun/name. I did not mean to disrespect you (2016, p. 11). Other generalized organizational strategies that can be used in order to create a genderaffirming environment are plenty. For example, documentation systems that include Electronic Health Records (EHRs) can be used to track and record preferred name, pronouns, and gender identity (National LGBT Health Education Center, 2016). Non-discriminatory gender identity and expression policies should be included and posted. Single occupancy restrooms that are marked as All-Gender is preferable; however, if this is not allowed, create a policy that ensures TGNC patients may use the bathroom that matches their gender identity. Annual TGNC cultural competency trainings for staff should be provided, and new staff should be trained within 30 days of hire. Policies and procedures that hold staff accountable for any discriminatory actions or words against TGNC patients should be in place, and staff should be aware of these procedures (2016). Implementation Organization and Structure Following an interpretation of the needs assessment, I organized the service delivery of support groups. Essays, poetry, fictional works, and art written or created by transgender individuals were reviewed and selected. The selection of transgender authors and artists was intentional as to ensure authenticity and representation of the transgender experience. Literary works were analyzed and selected based on components of narrative medicine, including time, 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 15 space, metaphor, and voice. Based on these analyses, I assigned open-ended prompts to each narrative for group members to respond following the reading. Concurrently, I sent individual emails to the Transgender Health and Wellness Program team members. These emails explained the structure of the support groups, as well as dates and time. Team members were asked to prepare a 30-minute educational presentation (within their individual scopes of practice) to be given at the start of each support group. Team members were scheduled by subjective availability, and subsequent confirmation emails were sent. Twelve weeks of support groups were scheduled, and an informational document that detailed dates, time, educational speaker and topic, and narrative was created and distributed to team members (Appendix B). The support groups were advertised to clinic patients via a MyChart message. MyChart is personalized and secure online access to their medical records; it also allows patients send and receive messages to and from their medical provider(s). Subsequently, a flyer that included the groups details were distributed to patients during their clinic visits, and the patient care coordinator informed new patients of the support group when scheduling initial visits over the phone. Implementation of Support Groups Support groups took place each Tuesday from 6:00 pm to 7:30 pm over the course of twelve weeks. After finalizing a social participation outcome measure (Appendix C), outcomes were collected after nine of the 12 groups. Each group began with introductions, including name and preferred pronouns. Following introductions, a pre-scheduled staff member led an informal informational session on a particular topic. For example, during week three, the clinics social worker discussed differences and relationships between gender dysphoria and depression. Following the educational component, copies of the scheduled narrative were dispersed. If the narrative was poetry, a group member volunteered to read it aloud. In the cases of longer pieces 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 16 of literature or artwork, close reading or visual analysis was done privately. During the first three weeks of support group implementation, I stated the open-ended prompt, and group members responded to the prompt via free-write for five to eight minutes. Following free-write, the group had an open discussion of their thoughts, reactions, and questions. However, the group expressed their desires to verbally respond to prompts without free-writing. In order to ensure clientcenteredness, this change was made. Groups were facilitated by me and the patient care coordinator. After the narrative discussion, the facilitators allowed members to bring up life events that they felt comfortable discussing with the group. At the conclusion of group, members were given the social participation outcome measure. Leadership and Staff Development A myriad of factors were equally integral in the development of my leadership skills. These factors included: awareness of role, attentive listening, collaboration, advocacy, and evidence-based practice. Being aware of ones role as a DCE student implicitly communicated a sense of respect toward the established team members. It is not beneficial to assert oneself into a team without first being invited; one should allow interprofessional communication to arise organically. This stage of role awareness involved attentive listening in order to gain perspective on the inner-workings of the clinic, including the various interdisciplinary roles. It was through this lens that I was able to envision the role of occupational therapy in a pre-established team within an emerging area of practice. As organic conversations between the team and I arose, specifically regarding the needs of the clinic, it was imperative to collaborate and identify common goals. While the clinic had a variety of needs, these were not occupation-based in their entirety. I collaborated with the patient 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 17 care coordinator on the topic of support groups, explaining that social participation is considered an occupation within the professions scope of practice. Advocacy and evidence-based practice were inherently symbiotic in the early stages of the DCE. Before advocating for occupational therapys role in an emerging area of practice, it was imperative to re-familiarize myself with the fundamental nature of occupational therapy, as well as the small body of literature supporting the professions role in transgender care. It was through this deep level of understanding beyond a generalists knowledge that I was able to educate about and advocate for the intricate relationship between occupation and gender. Although intentional, the retroactive awareness of my role indirectly aided in the clinics receptiveness toward these ideas, thus creating a healthy atmosphere for subsequent staff development. Staff development is a process that will continue to develop throughout the DCE. Through advocacy and education, the clinic is acutely aware of occupational therapys role in a psychosocial setting; however, the ways in which occupational therapy can best serve within the clinic is continuously being investigated throughout this process. Discontinuation and Outcome In preparation of discontinuation, an analysis of outcomes was completed. Social participation outcomes were measured over a nine-week duration. The maximum score on the social participation outcome measure was 15 points; average scores over the course of nine groups ranged from 12.5 to 15, while number of attendees ranged from five to 13. A graph detailing these outcomes is shown in Table 1. Anecdotally, group members who attended the first session returned for the remaining groups and were thus referred to as the core group. Exceptions to the core groups attendance 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 18 included change in work schedules and illness. This core group of attendees exchanged cell phone numbers and created an ongoing group chat wherein they made regular contact with one another. Furthermore, this group began going out for dinner and drinks at the cessation of each session, and they extended this invite to new attendees. This anecdotal evidence is in support of the DCEs purpose: to facilitate engagement in social participation. The support group allowed members of the transgender and gender non-conforming community to make real-life connections with peers and create new routines. As previously stated, support groups were led by me and the patient care coordinator. Coleading the support groups with an individual who has a long-term role within the clinic was advantageous, because they1 are aware of the structure and format, group dynamics, and facilitation skills. This continuity alone serves as one step toward the ensured quality of services. Furthermore, I created a list of open-ended prompts for the patient care coordinator to continue to utilize when facilitating discussion in future support groups. Due to the established need of occupational therapy services, as well as the success of the support groups, my faculty mentor, one of the primary care physicians, and I met with grant writers in order to initiate the process of funding an occupational therapist. Ideally, this would be the pinnacle of ensuring quality improvement, as the occupational therapist could partake in continued program development, research, and occupational therapy services. The current political climate, including a lack of anti-discriminatory legislation and antihate crimes bill in the state of Indiana, necessitates a call to action among occupational therapists (Cook, 2018). Of utmost importance are the things that people do, who people do things with, and how often. Occupations are the means by which we construct and express our identities, and this is especially true in regards to gender. I think, therefore I am suddenly becomes I do, 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 19 therefore I become. When deprived of meaningful occupational engagement, an already compromised identity may be weakened further. Support groups provided one means of occupation (i.e. social participation) for the transgender population. However, further occupational opportunities, such as theatre and/or life skills groups, are needed in order to continually satisfy this societal need and promote occupational justice for this population. Overall Learning In 2011, the American Occupational Therapy Association (AOTA) stated that emerging practice areas, or emerging niches, were one way to respond to societies ever-expanding occupational needs. AOTA researched trends in the six identified practice areas (i.e. Children & Youth, Health & Wellness, Mental Health, Productive Aging, Rehabilitation, Disability, & Participation, Work & Industry, and Education), but the topic of gender identity was not highlighted, signaling that gender identity as seen through an occupational lens remains scarcely explored. In 2014, AOTA published Occupational Therapys Commitment to Nondiscrimination and Inclusion, which explicitly stated, We value individuals and respect their culture, ethnicity, race, age, religion, gender, sexual orientation, and capacities (p. S23). Furthermore, the document highlighted the professions affirmation of every individuals right to access and fully participate in society (2014). As previously discussed, the transgender and gender non-conforming (TGNC) community faces unique occupational challenges, including deprivation, but also esteems different occupations than those of the cisgender population in an effort to convey their true gender identity. The lack of a trend toward transgender healthcare within emerging areas of occupational therapy practice highlights a detrimental disservice to a large subset of individuals that AOTA inherently values, respects, and affirms. A lack of competency among occupational 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 20 therapists, occupational therapy assistants, and occupational therapy students regarding TGNC care is a rejection, however implicit, of occupational justice. An acute awareness of this occupational injustice was the cornerstone of my involvement within the Transgender Health & Wellness Program. It was not until I was fully immersed in their interdisciplinary team that I could hold a candle to occupational therapys unique role in promoting access to occupational engagement for the TGNC population. Communication of occupational therapys role within the transgender clinic specifically, as well as the TGNC population generally, took many forms. My time was often spent writing the background section, including a literature review, for an upcoming research project that aims to elucidate the occupational experiences among the TGNC population. The ultimate goal of this research is to highlight the relevance of the profession in serving this population and advocate for the need of these services. It is imperative that the TGNC population has a voice in this advocacy, which is the justification for conducting participatory action research (PAR). This research led me on an educational journey separate from that of occupational science and into territories of the philosophy of biology, anthropology, evolutionary psychology, and a myriad of other disciplines. Having a foundational knowledge, no matter how novice, of other disciplinary theories allowed me to tailor occupationally-relevant gender science discussions to a variety of professionals, thus improving the adequacy of my advocacy. The success of my advocacy is best evidenced by the clinics desire to offer occupational therapy services to its patients. The clinics medical director, who also serves as one of the two primary care physicians, continues to play an active role in satiating this desire. For example, she attended a meeting with me, my faculty mentor, and one of the hospitals grant writers in order to fund a full-time occupational therapy position, as well as an ongoing theatre project in 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 21 collaboration with a local non-profit organization. This work has the potential to provide necessary research opportunities, as well as social participation, self-efficacy, and quality of life for TGNC persons. Overall, this particular DCE elucidated the importance of social participation among TGNC persons, as well as the effectiveness of advocating for occupational therapys role in an emerging niche. 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 22 Appendix A Androgyne: Refers to someone whose gender identity is both male and female, or neither male nor female. A person might present as androgynous, and/or as sometimes male and sometimes female, and might choose to use an androgynous name. Gender fluid: Refers to gender variations other than the traditional, dichotomous view of male and female. People who self-refer with this term may identify and present themselves as both or alternatively male and female, as no gender, or as a gender outside the male/female binary. Gender identity: A persons innate deeply-felt psychological identification as a man, woman, or something else, which may or may not correspond to the persons external body or assigned sex at birth (i.e., the sex listed on the birth certificate). Gender non-conforming: People whose expression is (1) neither masculine nor feminine or (2) different from traditional or stereotypic expectations of how a man or woman should appear or behave. Intersex: A spectrum of conditions involving anomalies of the sex chromosomes, gonads, reproductive ducts, and/or genitalia. The most traditional definition of intersex refers to individuals born with male and female genitalia, or genitalia that are not clearly male or female. A person may have elements of both male and female anatomy, have different internal organs than external organs, or have anatomy that is inconsistent with chromosomal sex. Transman [or FTM (female-to-male)]: Generally refers to someone who was identified female at birth but who identifies and portrays his gender as male. People will often use this term after taking some steps to express their gender as male, or after medically transitioning. Some, but not 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 23 all, transmen make physical changes through hormones or surgery. Some people prefer to be referred to as men rather than transmen or transgender men. Transwoman [or MTF (male-to-female)]: Generally refers to someone who was identified male at birth but who identifies and portrays her gender as female. People will often use this term after taking some steps to express their gender as female, or after medically transitioning. Some, but not all, transwomen make physical changes through hormones or surgery. Some people prefer to be referred to as women rather than transwomen or transgender women. 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 24 Appendix B Support Group Dates and Educational Topics February 13, 2018 Importance of Primary Care February 20, 2018 Dysphoria and Depression February 27, 2018 Self-Management March 6, 2018 Post-Op Precautions March 13, 2018 PrEP March 20, 2018 Pelvic Health March 27, 2018 Legal Information April 3, 2018 Faith/Religion April 10, 2018 Dietary Information April 17, 2018 Feminine and Masculine Vocalizations April 24, 2018 Role of OT 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 25 Appendix C 1 = Not At All Likely, 2 = Somewhat Likely, 3 = Very Likely After tonights group, how likely are you to Accept a social invite from peers? 1 2 3 Initiate conversation with peers? 1 2 3 Invite a peer to an outing? 1 2 3 Open up to trusted peers? 1 2 3 Seek community resources and/or attend community events? 1 2 3 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 26 Appendix D Number of Attendees an Average Scores on Social Participation Outcome Survey 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 27 References American Occupational Therapy Association [AOTA]. (2014). Occupational therapys commitment to nondiscrimination and inclusion. American Journal of Occupational Therapy, 68(Suppl. 3). S23-S24. American Psychiatric Association [APA]. (2016). What is gender dysphoria? Retrieved from https://www.psychiatry.org/patients-families/gender-dysphoria/what-is-gender-dysphoria Beagan, B. L., De Souza, L., Godbout, C., Hamilton, L., MacLeod, J., Paynter, E., & Tobin, A. (2012). This is the biggest thing youll ever do in your life: Exploring the occupations of transgendered people. Journal of Occupational Science 19(3), 226-240. Charon, R. (2017). Close reading: The signature method of narrative medicine. In The principles and practice of narrative medicine (pp. 157-179). New York, NY: Oxford University Press. Charon, R., DasGupta, S., Hermann, N., Irvine, C., Marcus, E. R., Rivera Colon, E., Spencer, D., & Spiegel, M. (2017). The principles and practice of narrative medicine. New York, NY: University Press. Cole, M. B., & Tufano, R. (2008). Applied theories in occupational therapy: An applied approach. Thorofare, NJ: SLACK Incorporated. Cook, T. (2018). Indiana lawmakers kill hate crimes bill again. Indy Star [online]. Retrieved from https://www.indystar.com/story/news/politics/2018/01/30/indiana-lawmakers-killhate-crimes-bill-again/1078013001/ Fenway Health. (2010). Glossary of gender and transgender terms. Retrieved from http://fenwayhealth.org/documents/the-fenway-institute/handouts/Handout_7-C_ Glossary_of_Gender_and_Transgender_Terms__fi.pdf 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 28 Gooren, L. J., Kreukels, B., Lapauw, B., & Giltay, E. J. (2015). (Patho)physiology of cross-sex hormone administration to transsexual people: The potential impact of male-female genetic differences. Andrologia, 47, 5-19. Jackson, J. (1995). Sexual orientation: Its relevance to occupational science and the practice of occupational therapy. American Journal of Occupational Therapy, 49(7), 669-679. James, S. E., Herman, J. L., Rankin, S., Keisling, M., Mottet, L., Anafi, M. (2016). The report of the 2015 U.S. transgender survey. Washington, D.C.: National Center for Transgender Equality. Kidd, D. C., & Castano, E. (2013). Reading literary fiction improves theory of mind. Science, 342(6156), 377-380. doi: 10.1126/science.1239918 National LGBT Health Education Center. (2016). Affirmative care for transgender and gender non-conforming people: Best practices for front-line health care staff [PDF]. Retrieved from https://www.lgbthealtheducation.org/lgbt-education/publications/ Poteat, T., German, D., & Kerrigan, D. (2013). Managing uncertainty: A grounded theory of stigma in transgender health care encounters. Social Science & Medicine, 84, 22-29. Rachlin, K., Green, J., & Lombardi, E. (2008). Utilization of health care among female-to-male transgender individuals in the United States. Journal of Homosexuality, 54, 243-258. Spiegel, M., & Spencer, D. (2017). Accounts of self: Exploring relationality through literature. In The principles and practice of narrative medicine (pp. 15-36). New York, NY: Oxford University Press. Townsend, E., & Wilcock, A. A. (2004). Occupational justice and client-centered practice: A dialogue in process. Canadian Journal of Occupational Therapy, 71(2), pg. 75-87. 1 Preferred pronouns include they/them/theirs TRANSGENDER SUPPORT GROUPS 29 University Gender Affirmation Surgery (n.d.). Male to female: Top and bottom procedures offered. Retrieved from https://universitygenderaffirmationsurgery.com/male-to-female Wagner, P. E., Kunkel, A., Asbury, M. B., & Soto, F. (2016). Health (trans)gressions: Identity and stigma management in trans* healthcare support seeking. Women and Language, 39(1), 49-74. Yamkovenko, S. (2011). The emerging niche: Whats next in your practice area? American Occupational Therapy Association [AOTA]. Retrieved from https://www.aota.org/Practice/Manage/Niche.aspx 1 Preferred pronouns include they/them/theirs  ...

... The Irene/Altamaha Transition on Sapelo Island, Georgia by Elizabeth Straub Department of Anthropology University of Indianapolis 1400 E Hanna Ave Indianapolis, IN 46227 May 2017 University of Indianapolis Material Culture Lab Technical Report Series No. 4 The Irene/Altamaha Transition on Sapelo Island, Georgia By Elizabeth Straub Dr. Christopher R. Moore Dr. Richard W. Jefferies Dr. Christopher W. Schmidt Director of Graduate Studies The Irene/Altamaha Transition on Sapelo Island, Georgia by Elizabeth Straub Department of Anthropology Material Culture Lab Technical Report Series No. 4 May 2017 ii Abstract The nature and timing of the transition between Late Prehistoric Irene ceramics and Mission period Altamaha ceramics are not well understood. Archaeologists in the Southeast debate over the what caused coastal Guale groups to adopt new motifs and decorative styles, but these changes have often been attributed to Spanish interaction. I have conducted excavations and analysis of Irene, Altamaha, and possible transitional contexts at Site 9Mc23 on Sapelo Island, in hopes of better understanding these changes. These comparisons suggest that there is something unique about the possibly transitional context. Chi-square tests indicate that it may be possible to identify transitional assemblages based on land and groove width, and surface treatment. No significant patterns were revealed through thin section analysis and comparisons of temper. I used Scanning Electron Microscope analysis to evaluate changes in slip technologies between these periods and revealed that Altamaha red filmed sherds are the only sherds that contain a true slip. This suggests a change in technology that is highly visible and may be associated with the Spanish. Unfortunate- ly, sample sizes for transitional sherds were small. The excavation of more possible transitional contexts is needed to fully understand their significance, and more radiocarbon dates for Irene and possible transitional contexts are needed to fully understand the timing of this transition. Acknowledgements Now that this project has come to an end, there are some people that I would like to thank. This project would not have been possible without the interest and support of Drs. Christopher Moore and Richard Jefferies. Thank you for your guidance and for making the field work for this project possible. Most of all, thank you for bringing me along to Sapelo. I owe Dr. Moore an extra thanks for pushing me to choose a thesis topic in the summer after my freshman year and for badgering me about it until I agreed to this one. Thank you for answering my endless questions and for dipping my thesis drafts in red ink. I would also like to thank Dr. Christopher Schmidt, not only for agreeing to serve on my iii committee, but for granting me access to the SEM and teaching me to use it. Thanks to Arysa Gonzalez for helping in this process, as well. I would like to thank Dr. Nadjib Bouzar for assisting me in finding the best statistical methods for this study. I would like to give a huge thank you to the University of Indianapolis and University of Kentucky students who contributed to the fieldwork portion of this project. Thanks to my good friend, Elizabeth Kunz, for taking the time to drive all the way to Georgia to donate free labor to this project, as well. It was a pleasure playing in the dirt with all of you. I owe an extra thanks to the University of Indianapolis students who assisted me in processing the floats for this project (including the 2016 Field Methods class). Thank you to the Georgia Department of Natural Resources, especially to Brian Tucker and Fred Haye for allowing us access to the R.J. Reynolds wildlife preserve and assisting us with the logistics of doing field work on Sapelo Island. Thank you to the InQuery Collaborative for the funding that made the lab and field work for this project possible. Of course, I would also like to thank my parents for their support throughout my time at UIndy. None of this would have been possible without you. Your encouragement and faith in my abilities has meant the world to me. Thank you for always picking up the phone when I needed you. Most of all, thank you for encouraging me to pursue archaeology, even when you werent sure that it was practical. iv Table of Contents List of Figures ............................................................................................................................ vi List of Tables ............................................................................................................................. ix Introduction ................................................................................................................................ 1 Background ................................................................................................................................ 4 Debates Over Spanish Influence12 Understanding Changes in Technical and Decorative Style..16 Field and Lab Methods .............................................................................................................. 17 Excavation and Ceramics Attributes Analysis .............................................................. 17 Thin Section Analysis ................................................................................................... 20 Scanning Electron Microscope Analysis ...................................................................... 22 Results of Investigations ............................................................................................................ 23 Excavations .................................................................................................................... 23 Units 42 and 43 .................................................................................................. 23 Units 46 and 50 .................................................................................................. 32 Unit 47 ............................................................................................................... 43 Units 48 and 51 .................................................................................................. 46 Ceramics Attributes Analysis ........................................................................................ 58 Statistical Comparisons .................................................................................................. 69 Thin Section Analysis .................................................................................................... 79 Scanning Electron Microscope Analysis ....................................................................... 85 Conclusions ................................................................................................................................ 90 References .................................................................................................................................. 92 v List of Figures Figure 1. Map Showing the Location of Sapelo Island .............................................................. 2 Figure 2. An Example of St. Simons Plain Fiber Tempered Pottery (UK6956) ........................ 6 Figure 3. An Example of Refuge/Deptford Check Stamped Pottery (UK6957) ....................... 6 Figure 4. An Example of Savannah Check Stamped Pottery (UK6829.1) ................................ 6 Figure 5. An Example of an Irene Rim Fillet with Whole Cane Punctations (UK6817.2). ...... 8 Figure 6. The Filfot Cross Motif ................................................................................................ 8 Figure 7. A Map of the Georgia Coast Depicting the Locations of Spanish Missions during the Mid-17th Century ................................................................................................. 9 Figure 8. Line Block Motif ........................................................................................................ 11 Figure 9. An Example of Cross Simple Stamping (UK6266) ................................................ 11 Figure 10. Altamaha Rim Fold/Strip Decorated with Fingernail Punctations (UK6263.3) ...... 11 Figure 11. Locations of Excavated Units ................................................................................... 18 Figure 12. Some Altamaha Varieties ......................................................................................... 20 Figure 13. Plan View of Units 42 and 43 ................................................................................... 23 Figure 14. Unit 42 West Profile ................................................................................................. 24 Figure 15. Unit 43, South Portion of Feature 50 ........................................................................ 24 Figure 16. Glass Beads from Feature 50 in Unit 42................................................................... 25 Figure 17. Glass Beads from Unit 42 ......................................................................................... 25 Figure 18. Coarse Earthenware from Unit 42 ............................................................................ 26 Figure 19. Porcelain from Unit 42 ............................................................................................. 26 Figure 20. Majolica Pottery from Units 42, 46, and 50 ............................................................. 27 Figure 21. Lead Shot from Unit 42 ............................................................................................ 27 Figure 22. Composite Plan View of Unit 46 .............................................................................. 33 Figure 23. Plan Views of Unit 50 .............................................................................................. 33 Figure 24. Unit 46 West Profile ................................................................................................. 34 Figure 25. Unit 50 West Profile ................................................................................................. 34 Figure 26. Feature 60 in Unit 46 ................................................................................................ 35 Figure 27. Feature 60 Profile ..................................................................................................... 35 Figure 28. Feature 60 Post in Profile ........................................................................................ 36 Figure 29. Feature 61 at 40 cm BD ............................................................................................ 36 Figure 30. Feature 62 at 40 cm BD ............................................................................................ 37 Figure 31. Anthropomorphic Pipe from Feature 60 ................................................................... 37 Figure 32. Biface from Feature 60 (UK6721) ............................................................................ 38 Figure 33. Coarse Earthenware from Units 46, 28, and 51 ........................................................ 38 vi Figure 34. Unit 47 Shell Midden East Profile ............................................................................ 43 Figure 35. Unit 47 East Profile................................................................................................... 44 Figure 36. Unit 47 Plan View at D = 50 cm BD ........................................................................ 44 Figure 37. Possible Transitional Sherd (UK6100) Recovered from STP 346 ................................... 46 Figure 38. Unit 48 in Plan View ................................................................................................ 48 Figure 39. Unit 48 Plan View Map ............................................................................................ 49 Figure 40. West Profile of Units 48 and 51................................................................................ 50 Figure 41. East Profile of Units 48 and 51 ................................................................................. 50 Figure 42. Feature 63 West Profile ............................................................................................ 51 Figure 43. Feature 64 West Profile Photo .................................................................................. 51 Figure 44. Feature 64 West Profile Drawing ............................................................................. 52 Figure 45. Feature 67 at 61 cm BD ............................................................................................ 52 Figure 46. Feature 68 North Profile Photo ................................................................................. 53 Figure 47. Feature 68 North Profile Drawing ............................................................................ 53 Figure 48. Feature 68 at 50 cm BD ............................................................................................ 54 Figure 49. Feature 66 Photo ....................................................................................................... 54 Figure 51. Pie Chart of Ceramics by Series ............................................................................... 58 Figure 52. A Sample of Uncommon Sherd Types ..................................................................... 59 Figure 53. Savannah Sherds ....................................................................................................... 59 Figure 54. Savannah Check Stamped Jar ................................................................................... 61 Figure 55. Irene Sherds .............................................................................................................. 61 Figure 56. Altamaha Sherd with an Unidentified Incised Design Over Overstamping ............. 64 Figure 57. Base Sherd with Two Painted Dots .......................................................................... 64 Figure 58. Altamaha Rims and Decorated Sherds ..................................................................... 65 Figure 59. A Sample of Altamaha Complicated Stamped Sherds ............................................. 65 Figure 60. Sample of Altamaha Overstamped Sherds ............................................................... 66 Figure 61. Complicated Stamped Altamaha Rim....................................................................... 66 Figure 62. Sherds with Identifiable Vessel Form ....................................................................... 67 Figure 63. Colonoware with Identifiable Vessel Forms ........................................................... 67 Figure 64. A Sample of Irene/Altamaha Sherds ........................................................................ 68 Figure 65. Boxplot of Maximum Body Thickness by Series ..................................................... 70 Figure 66. Savannah Sherds in Thin Section ............................................................................. 80 Figure 67. Irene Sherds in Thin Section ..................................................................................... 81 Figure 68. Altamaha Sherds in Thin Section ............................................................................. 82 Figure 69. Possible Transitional Irene/Altamaha Sherds in Thin Section ................................. 84 Figure 70. SEM Photo of an Altamaha Red Filmed Sherd ........................................................ 87 Figure 71. SEM Photo of an Altamaha Sherd Originally Coded as Having an Orange Slip ..... 87 vii Figure 72. SEM Photo of an Altamaha Sherd Originally Coded as Having a White/Tan Slip ..88 Figure 73. SEM Photo of an Altamaha Sherd with a Blackened Interior ..................................88 Figure 74. SEM Photo of an Irene Sherd Originally Coded as Having a White/Tan Slip .........89 Figure 75. SEM Photo of an Irene Sherd with a Blackened Interior ..........................................89 viii List of Tables Table 1. All Artifacts from Unit 42 ............................................................................................ 29 Table 2. All Ceramics from Unit 42 ........................................................................................... 30 Table 3. All Artifacts from Unit 43 ............................................................................................ 31 Table 4. All Ceramics from Unit 43 ........................................................................................... 31 Table 5. All Artifacts from Unit 46.. ......................................................................39 Table 6. All Ceramics from Unit 46... ....................................................................40 Table 7. All Artifacts from Unit 50.. ......................................................................41 Table 8. All Ceramics from Unit 50... ....................................................................42 Table 9. All Artifacts from Unit 47... .................................................45 Table 10. All Ceramics from Unit 47.. ...................................................................45 Table 11. AMS Dates from Features 50 and 66.. ...................................................48 Table 12. All Artifacts from Unit 48.. ....................................................................55 Table 13. All Ceramics from Unit 48.. ...................................................................56 Table 14. All Artifacts from Unit 51.. ....................................................................57 Table 15. All Ceramics from Unit 51.. ...................................................................57 Table 16. Table of Irene Temper... .....................................................................60 Table 17. Table of Irene Surface Treatments.. .......................................................60 Table 18. Table of Altamaha Surface Treatment.. .................................................62 Table 19. Table of Altamaha Temper.. ...................................................................63 Table 20. SPSS Output for Surface Treatment Chi-Square Test.. ..........................73 Table 21. SPSS Output for Surface Treatment Crosstab with Residuals.. .............73 Table 22. SPSS Output for Land and Groove Width Chi-Square Test.. ................75 Table 23. SPSS Output for Land and Groove Width Crosstab with Residuals.. ....75 Table 24. SPSS Output for Temper Chi-Square Test.. ...........................................78 Table 25. SPSS Output for Temper Crosstab with Residuals.. .............................. 78 Table 26. Sherds Used for Thin Section Analysis.. ................................................85 ix Introduction Between what southeastern archaeologists have called the Irene and Altamaha periods, rim forms, temper recipes, surface treatments, and decorative techniques and motifs all change (Saunders 2000). The timing and cause of these changes are still debated by archaeologists working in the Southeast. Often they have been associated with changes in social organization and religious views related to the rise of the Spanish Mission period around 1580 around the same time (Deagan and Thomas 2009; Saunders 2000, 2009). However, studies of this transition have yielded somewhat conflicting results and its nature and timing are poorly understood. The Sapelo Island Mission Period Archaeology Project (SIMPAP) has been investigating Mission period activities on at the Sapelo Shell Ring Complex (Site 9Mc23) since 2003 when University of Kentucky archaeologists discovered the sites Mission period component north of the monumental rings. SIMPAPs goal has been to locate Mission San Joseph de Sapala and the associated Guale town (Jefferies and Moore 2009). To date, excavations at Site 9Mc23 on Sapelo Is- land (Figure 1), have led to the discovery of a number of sherds with traits of both Irene and Altamaha ceramics. As part of this project, I have conducted excavations targeting Irene, Altamaha, and possible transitional context in order to further our knowledge about these changes and their cause. Macroscopic, thin section, and scanning electron microscope (SEM) analyses, along with statistical comparisons, have been used to better understand this mixed trait assemblage and the Irene-Altamaha transition. This project had three primary goals. The first was to determine how the technical and decorative style of Guale ceramics change between the Irene and Altamaha phases. Particular attention was be paid to which elements change and which may be temporally diagnostic. This investigation was be done through detailed attributes analysis and statistical comparison. Aside from often cited and diagnostic traits, this study revealed only two notable differences between Irene and Altamaha. The first was an increase in the diversity of temper recipes among Altamaha ceramics, which was noted through thin section analysis. The other was related to changes in slip technologies. SEM analysis indicates that red filming, a trait that is diagnostic of Altamaha, represents the only case of 1 N Figure 1. Map of Sapelo Island. 2 a true slip on ceramics from this area. Red filming represents a change in technology, rather than a change in style. The second goal was to determine when the Irene/Altamaha transition occurred on Sapelo Island. The timing of the transition varies along the coast, with earlier dates in the north and later dates to the south (Worth 2009). Saunders (2009) notes that the transition was extremely rapid, but we do not know when the transition occurred on Sapelo Island. Radiocarbon dates from Irene and Altamaha contexts at Site 9Mc23 will contribute to a greater understanding of the spread of Altamaha along the Georgia coast. However, most of the datable material recovered in these excavations came from Altamaha contexts. More dates from Irene and possibly transitional contexts are needed to accomplish this goal. The final goal of this project was to determine whether mixed trait sherds from Sapelo Island represent a transitional period. This was investigated through the excavation of a possibly transitional context and analysis of mixed-trait sherds. This could contribute to a better understanding of what this period of transition looked like and how quickly it occurred. Based on the results of the statistical comparison of temper and surface treatment, this research suggests that it is possible to identify transitional contexts at the assemblage level. This is further supported by thin section analysis, which indicates an increase in temper recipes during the Altamaha period. This diversity was not observed in Irene contexts or those thought to be transitional. 3 Background Sapelo Island is a barrier island located just off the Georgia coast in McIntosh County (Figure 1). Unlike many of Georgias other barrier islands, Sapelo is not a remnant Pleistocene shoreline, but a Holocene formation, which was deposited on top of Pleistocene mud as sea levels fell (Truck and Alexander 2013). McMichael (1980) has divided the island into five zones based on soil type, vegetation, and elevation. The zone that he named Stratum A is most likely to contain sites and consists of two ridges, one each on the east and west side of the island. These areas have high elevations compared to the rest of the island; soils range from poorly to excessively drained. Vegetation consists of maritime live oak forest. The concentration of settlements in this zone is noted on other coastal islands, as well. The island as a whole has a relatively low elevation, at about three meters (10 feet) (USCD 2017). Site 9Mc23 is located on the western edge of the island, just inside the islands maritime forest, with direct access to the salt marsh. This location would allow its residents easy access to what have been called the two most productive resource zones for coastal Georgia hunter-gatherers (Thomas 2008a). Resources on the island are abundant and diverse, with a number of productive terrestrial and marine foraging possibilities available to its residents. While many different foods were consumed by the residents of Site 9Mc23, common foods included a variety of fish, deer, clam and oysters which were (Jefferies and Moore 2009; Thomas 2008a). Sapelo may have been inhabited almost immediately after its formation in 4500 B.P., but these populations likely would have been small and their settlements temporary, leaving little evidence of their occupation (Truck and Alexander 2013:186-187). Excavations at Site 9Mc23 confirm that the site has been occupied at least since the Late Archaic (cal. 3000-1000 B.C.), when the most famous component of the site, three monumental shell rings were constructed and occupied (Thompson 2006, 2007; Thompson and Andrus 2011; Thompson et. al 2004). Today, the largest of these rings remains more or less intact, and the second is still partially visible, though damaged by erosion and mid 20th century excavations. The third and smallest ring is now visible only as a scatter of shell. 4 Investigations of the interior of the Shell Ring II have yielded very few prehistoric artifacts. However, investigations of the areas outside of the rings yielded evidence of Late Archaic occupation, including features that have been interpreted as structures. These excavations suggest that the shell rings were likely formed by domestic midden deposits (Simpkins 1980). This interpretation is supported by resistivity studies, which indicate that most of the shell deposits accumulated slowly over time. Based on the presence of a few clean shell deposits, it is likely that some feasting events occurred at the site, but they account for only a small portion of the deposits. Seasonality studies of oyster deposits in the shell rings indicate that the site was occupied year-round (Thompson and Andrus 2011). While Sapelos inhabitants were constructing the shell rings, they were producing what archeologists have called St. Simons pottery (Jefferies and Moore 2009; Sassaman 1993) (Figure 2). This pottery is characterized by molded or modeled construction and plain or incised surface treatments, often decorated with punctations (DePratter 1991). In order to produce pottery, non-plastic materials are often added to the clay in a process called tempering. St. Simons pottery tends to be tempered with organic material, as is most early pottery worldwide (Sassaman 1993). Specifically, St. Simons pottery is tempered with Spanish moss, which is abundant in coastal Georgia (Simpkins and Allard 1986). On Sapelo, the St. Simons series is followed by Refuge/Deptford and Wilmington (Figure 3), dating to the Woodland period (about cal. 1000 B.C. to A.D. 800) (Thompson 2006). This is when the coil-building technique replaced earlier molding and modeling techniques and grit/sand and sand tempers became common (DePratter 1991). The Savannah phase replaces Refuge/Deptford and Wilmington at the beginning of the early Late Prehistoric (about cal. A.D. 1000 - 1300) (Thompson 2006). During this period, there appears to be an increase in population size and complexity of social organization, evidenced by excavations at Bourbon Field, a village and mound site that is also located on Sapelo Island. The Savannah component of the site consists of heavier occupation zones when compared to the preceding Deptford period. These occupation zones are equally spaced and organized in a linear pattern, 5 suggesting more formal organization of space (Crook 1984). Excavations at Kenan Field have revealed evidence of what may have been the residence of a high-ranking official on a low platform mound. A structure that was likely the site of community gatherings was also excavated at the site (Crook 1980). During the Savannah phase, potters produced thin, coil-built vessels, averaging around 6.5 mm thick at Site 9Mc23 (Moore 2009:113). Savannah Figure 2. An Example of St. Simons Plain Fiber Tempered Pottery (UK6956). pastes tend to be fine, with grit/sand tempers (DePratter 1991). Check stamping is the most common surface treatment among Savannah sherds (Figure 4) recorded at Site 9Mc23, representing 75% of analyzed Savannah sherds as of 2009 (Moore 2009). Burnished plain, cord marked, and complicated stamped surface treatments have been recorded as well. St. Catherines Series ceramics, which are tempered with finer grog, also date to this period (DePratter 1991), but are not often differentiated Figure 3. An Example of Refuge/Deptford Check Stamped Pottery (UK6957). from Savannah by SIMPAP because there is an overlap between the radiocarbon dates for the two periods (Thomas 2008b) and both are found in the same contexts at Site 9Mc23 (Moore 2009) The Savannah series often exhibits curvilinear complicated stamping, similar to the stamping described on later Irene sherds, though these are uncommon at Site 9Mc23. These patterns were proFigure 4. An Example of Savannah Check Stamped Pottery (UK6829.1). 6 duced by carving curved designs into wooden paddles. The paddles were then pressed into cethe ramics surface before firing, leaving impressed designs on the surfaces of the pots (Saunders 2000). Savannah Complicated Stamped motifs include figure eights, figure nines, and concentric circles, which may include crosses in the center. Burnished interiors are common (DePratter 1991). The Irene phase begins around A.D. 1300 to 1350 and is commonly associated with the late Late Prehistoric occupation of the coast (about cal. A.D. 1300-1580) (Saunders 2000; Thomas 2008b). During the Irene phase, there is a noteworthy change in social organization. Between 1937 andn 1940, the WPA excavated a mound complex dating to the Savannah and Irene phases at the Irene Mound site, near Savannah Georgia. The first seven stages of the mound, which dated to the Savannah phase, were platform mounds typical of that time, where a chiefs residence would have been constructed. The final stage of the mound, which dated to the Irene phase, was rounded, rather than flat. The mound was converted from a chiefly residence to a shared burial space. The inhabitants also constructed a council house at the site during this period (Caldwell and McCann 1941). These changes have been interpreted as evidence of a shift towards a more egalitarian society, where decisions were made by a group, rather than an individual, and the chiefs position was somewhat less elevated, both literally and figuratively (DePratter 1991). Thompson (2009) argues that, while changes in mound construction and architecture at the site did result in more inclusive social spaces, this may be a reflection of changes in how leaders chose to display and reinforce their power, rather than a qualitative change in social organization. The structures at the top of the Savannah period mounds would have served to hide the actions of those in power, excluding others. Rituals and feasts held in council houses during the Irene period would have been for performances that served to reinforce power, just like exclusion. In both periods, the space is arranged to reinforce the positions of those in power, first through exclusion and later through performance. Thompson (2009) suggests that this change in methods of reinforcing power may have been triggered by a decline in agricultural productivity, based on the evidence of decreased maize consumption indicated by stable isotope analysis of individuals at the Irene site. These social changes were accompanied by changes in ceramic technology and design. Ce- 7 ramics became thicker than they were during the Savannah phase (averaging 7.3 mm at Site 9Mc23) and are grit or coarse sand tempered (Moore 2009:119; Saunders 2000). Changes in design elements during the Irene period include changes in complicated stamped motifs. During the Irene phase complicated stamped designs include curved lines, which are often part of the Filfot Cross motif (Figure 5). This motif consists of a raised central dot with lines radiating in four directions and ending in a curvilinear scroll (Saunders 2000). The design tends to be composed of lands and grooves that are narrow relative to those found on later Altama- ha ceramics. These complicated stamped motifs characterized 72.4% of analyzed Irene sherds at Site 9Mc23 as of 2009. Plain and incised sherds also were recorded at the site (Moore 2009:114). Irene jar rims tend to be decorated with a rim fillet, which is produced by applying a strip of clay below the vessels lip (Figure 6). This strip is often decorated with cane punctations (DePratter 1991). It was during this period that the Spanish began their initial explorations of what is now the east coast of the United States and when they first came into contact with the Guale. After a number of exploratory expeditions, the Spanish established a permanent settlement at St. Augustine in 1565 (Jefferies and Moore 2009). The northernmost Spanish town of Santa Elena was established in the following year on Parris Island, off the coast of South Carolina (DePratter 2009). Soon after, Figure 5. An Example of an Irene Rim Fillet with Whole Cane Punctations (UK6817.2). Figure 6. The Filfot Cross Motif. Adapted from Saunders (2000). 8 Figure 7. A Map of the Georgia Coast Depicting the Locations of Spanish Missions during the Mid-17th Century. Adapted from Worth (2007:11) 9 the Jesuits established missions in Guale towns along the coast (Worth 2007). At this time the Guale were organized in three stratified chiefdoms, located in three different provinces. The leadership of these chiefdoms alternated between micos in different towns in the province, who held the highest positions of authority. Guale society was matrilineal and there were many instances of female leadership in the 17th century (Thomas 2008c). Guale towns were occupied year-round, and their residents relied on agriculture, as well as marine resources, for subsistence. This combination of foraging and farming meant that the Guale would occasionally leave their towns temporarily in order to exploit certain resources. This may explain conflicting reports from Europeans regarding Guale mobility (Thomas 2008a, 2008c). Reliance on agriculture increased as the Guale were incorporated into the mission system. It is likely that the sabana system, which required the Guale to grow crops for local consumption as well as export, left them with less time to fish and forage and resulted in a more sedentary lifestyle (Thomas 2008d). The stress caused by the mission systems labor draft, as well as epidemics, caused satellite villages to relocate to larger towns, resulting in larger, more centralized towns (Worth 2007). Eventually, during the later Altamaha period, external pressures caused the mission system to contract. Raids conducted by the English-allied Westo beginning in the 1660s forced the Spanish and Guale to relocate to the barrier islands to the east of their initial settlements, creating blended communities that included refugees from the interior, the Spanish, and displaced Guale. Shortly after, in 1683, raids conducted by English and French pirates forced the Spanish and Guale to move yet again, this time retreating to the south, with all groups eventually settling on Amelia Island and the adjacent area around St. Augustine (Worth 2009). Near the beginning of the Mission period, around A.D. 1580, a new ceramic series called Altamaha develops (Saunders 2000). During the Altamaha period, vessel walls become slightly thicker, with an average maximum body thickness of 8.2 mm reported by SIMPAP at Site 9Mc23. Grit/sand is the most common temper, but this series does exhibit a greater diversity of temper recipes (Moore 2009:142). 10 Altamaha sherds are characterized by a rectilinear variation on the Filfot Cross, known as Line Block (Figure 8). This motif consists of a raised central dot surrounded by straight, rather than curved, lines radiating in four directions. These lands and grooves tend to be relatively wide, compared to complicated stamped Irene sherds (Moore 2009; Saunders 2000). Complicated stamped and overstamped sherds both have been Figure 8. Line Block Motif. described in the Altamaha assemblage from Site 9Mc23 (Moore 2009). Overstamped ceramics are produced by stamping a design into wet clay, rotating the paddle, and stamping over the design, obscuring the original motif. This is often done with paddles carved with complicated designs, which may or may not completely obscure the original design. However, cross simple stamping, where the design is completely obliterated, may also be Figure 9. An Example of Cross Simple Stamping (UK6266). produced using paddles carved with a series of strait lines oriented in the same direction. In addition to complicated and overstamping, there is a resurgence of check stamping during the Altamaha phase, which is uncommon during the previous Irene phase (Saunders 2000). Other surface treatments include plain, incised, and red filmed (Moore 2009). Rims are often finished with Figure 10. Altamaha Rim Fold/Strip Decorated with Fingernail Punctations (UK6263.3). a rim fold/strip. This rim form may be the result of 11 the same process that creates the Irene rim fillets, or it may be the result of the potter building up the vessel wall and folding it over at the top. The bottom of the fold is often decorated with fingernail or cane punctations (Saunders 2000). It is unclear which of the changes between Irene and Altamaha occurred first. Some sherds displaying traits of both Irene and Altamaha ceramics, which are thought to be transitional, have been recovered in previous excavations at Site 9Mc23. Sherds identified as possibly transitional often have mixed wide and narrow lands and grooves (an Altamaha trait) in combination with cur- vilinear stamping (an Irene trait). We recovered sherds that have Irene motifs on Altamaha pastes. The study of these sherds may lead to a better understanding of which changes in the series occurred first. A comparison of traits such as temper and construction techniques could allow for a better understanding of other less commonly investigated differences between the two series. It may also contribute to a better understanding of how the transition occurred and possibly what caused changes in Guale ceramic production. Debates Over Spanish Influence The arrival of the Spanish undoubtedly had an impact on the Guale of coastal Georgia, but the importance of that impact and the degree to which it influenced ceramic technology and design is a matter of some debate. Assumptions of Spanish dominance in their interactions with the Guale have often been extended into questions about changing ceramic technology. Saunderss (2000) comparison of one Late Irene and two Mission period sites suggests that the level of interaction with the Spanish and the degree of pottery change are related. She has gone so far as to suggest that the Spanish friars may have been actively involved in the process, directing native producers to change certain elements. Later, she suggests that the Guale altered their methods to make their pottery more appealing to the Spanish, an interpretation that attributes change to market forces (Saunders 2009, 2012). The replacement of the Filfot Cross with the Line Block motif is one of the changes that has been interpreted as the result of Spanish interaction. The Filfot Cross is symbolic of the Guale worldview, and Saunders (2000) has states that changes in the Guale worldview caused by their 12 incorporation into the Spanish mission system led them to alter this design. She has also proposed that the retention of the four fields design, albeit in a different form, was an act of resistance on the part of the Guale. If the Spanish friars recognized the Filfot Cross as a cosmological symbol and disapproved of its use, the Guale may have found ways to alter it, while still retaining its meaning (Saunders 2009). Either way, the change is not interpreted as originating with the Guale or other indigenous groups, but with the Spanish colonizers. However, it should be noted that there were Guale groups who were not immediately incor- porated into the mission system (Saunders 2000) and that non-mission Guale sites have received little attention from archaeologists (Deagan and Thomas 2009). Saunderss (2000) assertion that pottery change is related to interaction with the Spanish is based on a comparison of one late Irene site and two Altamaha mission sites. Without knowing what kind of pottery was being produced outside of the mission system at the same time, it is impossible to say that the two factors are directly related (Moore and Jeffereies 2014; Worth 2009). However, investigations of this kind are somewhat complicated by the fact that mission period sites are primarily identified by the presence of European artifacts (Deagan and Thomas 2009). The assumption that the Spanish would have had such a heavy influence on the Guale has been contested. In fact, in many instances, it seems that the opposite was true. In many of the areas colonized by the Spanish there is evidence of heavy indigenous influence in architecture and town planning (Voss 2008). It also seems that the Spanish adopted a primarily indigenous diet in many colonies, relying on locally hunted, gathered, and cultivated resources rather than European domesticates, a pattern that archaeologists have observed on both Sapelo Island and St. Catherines (Moore and Jefferies 2014; Reitz and Dukes 2008). Archaeological investigations have shown that the Spanish used Native American ceramics, not just as utilitarian wares, but in public spaces, as well (Deagan 1983; Voss 2008). Due to the fact that Spanish St. Augustine, and the rest of La Florida, existed as a periphery in the world system of the day, it was likely difficult for the residents of this region to obtain the Spanish goods to which they were accustomed, including pottery. To supplement what they were 13 able to get from non-Spanish European countries, they would have turned to what was locally available (Hughes 2012; Voss 2008). In some ways, this likely influenced pottery production, as in the case of colonowares, which clearly imitate Spanish vessel forms (Saunders 2000; Moore and Jefferies 2014), and Saunders (2009) states that the increased diversity in decoration from Irene to Altamaha may have been an attempt to make Guale pottery more appealing to the Spanish. However, it is clearly the case that the Spanish had to adopt many aspects of Guale culture and that the Guale may have had a greater cultural influence on the Spanish living in La Florida than the Span- ish had on the Guale (Moore and Jefferies 2014). It is especially difficult to imagine that the Spanish could have had such a profound influence on the Guale at the time of the development of the Altamaha series. The new ceramic style developed after the Spanish abandoned their early settlement at Santa Elena, which suggests that the Spanish were likely not a significant influence at the time of its initial adoption (Moore and Jefferies 2014; Worth 2009). Worth (2009) proposes that Altamaha pottery developed in situ in the northern region of the Spanish mission system before or very soon after the arrival of the Spanish, when their influence would not have been at its peak. Based on the absence of Altamaha ceramics at Santa Elena, and its presence at Santa Catalina on St. Catherines Island, Saunders (2009) suggests that this transition occurred quickly, within a single generation of potters. The earliest dates for Altamaha ceramics occur in the northern portions of the region, with later dates at sites farther to the south, such as at St. Augustine (Worth 2009). For this reason Worth (2009) argues that the Altamaha series was carried southward by Guale migration. However, a combination of ethnohistoric and archaeological investigations show that the dates for the adoption of Altamaha ceramics in the southern regions of the mission system do not correspond with the dates of the arrival of the southward migration of the Guale and Spanish (Worth 2009). It also seems unlikely that the Spanish actively promoted Altamaha ceramics. The presence of multiple ceramic types within the Spanish mission system suggests that the Spanish were not directly promoting any single pottery style. While it is true that Altamaha spread southward along the coast, replacing other ceramic types as it moved through the mission system, it did not spread 14 to the western portion of the Spanish mission system in Florida. The western portion of the mission system experienced a similar phenomenon, with Jefferson ceramics coming to dominate the regions ceramics assemblages in the same way that Altamaha dominated ceramics assemblages in the east (Worth 2009). The fact that Altamaha spread only through part of the mission system suggests that the Spanish did not promote the new ceramic style. The concept of interaction spheres that extend along the coast also has been used to explain the pattern of the spread of Altamaha from north to south, accounting for the prevalence of Altama- ha ceramics along the eastern coast of Florida and Jefferson along the west coast (Worth 2009). This explanation suggests that interactions between indigenous groups, rather than contact with the Spanish, are primarily responsible for the development and spread of the Altamaha series, though the presence of the Spanish likely had some influence. So far, these explanations suggest that the Spanish were responsible for the development and spread of Altamaha ceramics, either through direct promotion or relocation and influence on Guale worldviews. Another more satisfying explanation for changes in pottery production is that it was part of a process that was in motion before the arrival of the Spanish. It is important to remember that Guale culture was not static before Spanish arrival and that the Spanish form only one part of the historical context in which these changes occurred (Moore and Jefferies 2014). Guale society was in a state of change before the arrival of the Spanish, with changes in political organization during the Irene period illustrated by the capping of the Irene mound (DePratter 1991; Thompson 2009) and a general trend toward increased sedentism, social complexity, and population growth throughout the history of the occupants of the Georgia coast (Crook 1984). Guale society was already in a state of change when the Spanish arrived. The development of Altamaha pottery can be seen as a continuation of these processes. When Altamaha ceramics are compared to other Lamar ceramics from the interior, it becomes clear that many of the traits that are new to Guale ceramics could have come from interactions with interior groups that were not a part of the Spanish mission system. Both Altamaha-like rim forms and rectilinear stamping are found at interior sites. Many other traits that are considered new to Altama- 15 ha can be found on earlier ceramics and appear to be revivals of old techniques rather than innovations. Red filming, for example, is commonly associated with mission sites and is considered a trait that is new to Altamaha and may indicate Spanish influence. However, red filming has been described at Woodland and Late Prehistoric sites in Georgia prior to Spanish contact. Based on these similarities and revival of old techniques, it seems more likely that Altamaha developed out of interactions with interior groups than as a result of Spanish influence. Further investigations focused on sourcing would allow for a better understanding of the significance of interactions between coastal and interior groups (Moore and Jefferies 2014). There is a resurgence in check stamping during the Altamaha period as well, but this trait is not new either. It was a fairly common surface treatment during the Savannah period and is present on non-Guale ceramics along the coast during the Irene period. SIMPAP has reported low frequencies of check stamped Irene sherds, but this is not common along the coast (Semon 2015). The revival of this surface treatment may be the result of interactions with other coastal groups who practiced check stamping (Jefferies and Moore 2009; Moore and Jefferies 2014). Understanding Changes in Technical and Decorative Style There are still a lot of questions surrounding the transition from Irene to Altamaha, especially with regards to the cause of the changes in technology and design. Investigations that involve the excavation of non-mission sites dating to the Altamaha period and sourcing studies that focus on identifying interactions between coastal and interior groups could shed some light on these questions, but a detailed attributes analysis may also be helpful. Technical style, as well as decorative style, has important cultural meanings, and the study of both can reveal the structures behind patterns of human behavior. The act of pottery production would have communicated cultural values, in both its technical and decorative aspects (Lechtman 1977), suggesting that changes in this process would likely reflect changing Guale worldviews, as proposed by Saunders (2000). It is likely that if change in the technical or decorative aspects of pottery production were encouraged by the Spanish, these changes would be to the traits that are either highly visible, likely 16 causing them to look more Spanish, or that improve the function of the vessels in some way. The Spanish would have had little incentive to actively change Guale pottery unless it benefitted them in some way. They might have made changes that made the pottery more visually appealing to them or altered the symbolic meaning of the pottery. Or they may have introduced methods that made the pottery more functional, such as higher firing temperatures (Saunders 2000, 2009). These elements might include slip, decoration, vessel form, and/or surface treatment. However, changes in less visible traits, with little impact on performance, would seem to indicate a lack of Spanish involvement, as the Spanish would have little incentive to change these elements. Less visible elements might include temper recipes, thickness, and perhaps subtle changes in surface treatment, such as land and groove width. A better understanding of the nature and timing of this transition may help to clarify some of the issues surrounding the cause of Guale ceramic change, as well as possibly allowing for the refinement of the ceramic chronology for the Irene/Altamaha transition. 17 Field and Lab Methods Excavation and Ceramic Attributes Analysis All excavations were performed following procedures developed for SIMPAP (Jefferies and Moore 2009). Units were primarily placed as part of SIMPAPs sampling strategy, based on the location of positive shovel tests during a systematic site-wide survey. Unit 42 was a sample unit placed over a soil core anomaly that indicated the presence of a shell-filled pit. Unit 43 was an extension of this unit, placed to excavate the south half of a second shell-filled pit. The location of Unit 46 was determined based on high concentrations of Altamaha pottery and a single sherd of redware recovered during shovel test survey. Excavation of this unit revealed what is thought to be an Irene structure floor and Unit 50 was placed to further investigate this feature. Unit 48 was excavated to test a shell midden pile located at the southeastern edge of the site. The location of Unit 48 was chosen to investigate a shell midden pile located during shovel test survey, which yielded a large sherd with both Irene and Altamaha traits. Unit 51 was an extension of this unit, which was excavated in order to remove a Mission period pig burial that was partially located within Unit 48. Most excavations were carried out in 10 cm levels, except where features were encountered and excavated separately. Features were excavated as a single element unless there were differences in soil color or texture that justified treating them as separate zones. The exception to this rule was Unit 51, an extension of Unit 48, which was excavated in cultural strata to allow for the quick removal of pig skeletal remains that had to be left partially exposed while the upper levels of the new unit were removed. This also provided a stratigraphic control for dating the ceramics from the shell midden. When possible postmolds were encountered, they were bisected to reveal a profile that would allow excavators to confirm their function. Floatation samples were taken from 25 x 25 cm columns at the corner of each unit, and bulk float samples were taken from features that excavators thought were likely to contain botanicals. All artifacts, including ceramics, collected from these excavations were carefully cleaned and analyzed following SIMPAP protocols (Jefferies and Moore 2009). Ceramics were first sorted by size, which determined the amount of data collected for each sherd. For sherd size 1 (x < 1 cm2) 18 N Figure 11. Locations of Excavated Units. 19 and sherd size 2 (1 < x < 4 cm2) only counts and weights were recorded. Surface treatment, decoration, temper, and thicknesses were recorded for size 3 (x > 4 cm2) sherds. Multiple measurements were taken with digital calipers to determine the maximum thickness for each rim and body sherd. For both size 3 (x > 4 cm2) and partial vessels, vessel form also was recorded. Sherds size 3 and larger with both Irene and Altamaha traits were noted as possible transitional sherds. Unlike a traditional Southeastern typological analysis, SIMPAP analysis codes the ceramic series as an attribute, in order to allow for investigation of within-series variation. In addition to the types commonly used in this region, a number of varieties within the Altamaha series were defined in order to conduct a more detailed study of the diversity of temper recipes that developed during that period (Figure 12). Eventually we hope to determine whether there is a temporal element to these varieties. The most common of these varieties is Altamaha, which is characterized by grit/sand temper and fits the standard definition of the type (DePratter 2009). The Green variety has the same paste, but includes only sherds with a fine check stamped surface treatment. The Belle Marsh variety is defined by shell temper (Figure 12a) and the Darien variety has a finer, sandier paste than Altamaha (Figure 12b).The definition of the Mud River variety is based on the inclusion of large pieces of quartz with iron oxide films (Figure 12c). The Sapelo variety is defined by clay temper (Figure 12d). The definition of the Caldwell variety is based on vessel form and decoration and includes bellshaped bowls with paired hemiconical punctates. The Lamar variety is based on similar criteria and consists of cazuela bowls with well-executed Lamar motifs. If these vessels have fine pastes, they are considered to be part of the McIntosh variety. Thin Section Analysis The investigation of temper was carried out through macroscopic analysis of the broken edges of sherds and the analysis of a sample of thin sections. Thin sectioning allows for a more detailed study of temper and construction techniques. The thin sections were studied microscopically, using the point counting method to allow for quantitative analysis (Stoltman 2001). Data were recorded at points along a 1mm x 1mm grid and included temper, inclusions, paste, and voids. This was not a 20 true petrographic analysis, using various spectrums of light to identify the make up of the sherds, so it was not possible to identify most inclusions that were smaller than of a millimeter. For this reason, anything smaller than of a millimeter was considered to be part of the paste. It is unlikely that materials of this size were included intentionally, so their exclusion was not a major loss, as this analysis is more concerned with intentional changes in temper recipes. Sand and grit also were differentiated based on size and in keeping with SIMPAP protocols, where sand is composed of quartz grains of less than 1 mm and anything larger is grit. Clay was identified when its color did not match Shell A B Clay Quartz C D Figure 12. Some Altamaha Varieties. A) Belle Marsh, B) Darien, C) Mud River, D) Sapelo. Temper is too fine to be labeled for the Darien variety. 21 the majority of the sherds paste, and sherd inclusions were identified based on their angular shape or the inclusion of temper. Percentages were calculated based on this point counting sample. Twenty sherds were selected for this process: six Irene, seven Altamaha, and six possible transitional sherds, as well as two Savannah sherds for comparative purposes. Sherds selected for this analysis included at least one rimsherd from each ceramic type, in order to compare rim construction techniques between the types. However, there was no observable difference in this aspect of the thin sections. Sherds selected from the Altamaha series include a sampling of different varie- ties. This method was used to test for temper variability within types, as well as to test the varieties described above. Scanning Electron Microscope Analysis This study used the SEM to identify sherds that have true slips and compare slip technologies from different series. Slips can be identified using the SEM because they have finer particles than the body of the sherd, resulting in what appears to be a thin, smooth layer resting on top of a much larger and rougher one. The sherds selected for SEM analysis were embedded in epoxy and cut into thick sections to provide samples small enough to place in the SEM. The use of epoxy ensured that the possible slips came all the way up to the edge of the sherd. Cutting the thick section on both sides also ensured a more standardized orientation. Sherds were imaged at multiple magnifications in order to ensure that slips of varying thicknesses would not be missed. Sherds with red filming, a known slip, were examined under the SEM in order to determine that the slip could be differentiated from the sherd body and to confirm that it did not resemble burnished or plain surfaces. Other possible slipped sherds were then examined in order to determine whether they were truly slipped or merely discolored by oxidizing or reducing conditions during firing. One blackened and one white/tan slipped sherd were selected from both the Irene and Altamaha series for comparison. An additional Altamaha sherd with a possible orange slip, which was not present among Irene sherds, also was selected. Unfortunately, no possible transitional sherds in this assemblage had possible slips, so they could not be included in the sample. This allows for the identification of true slips and possibly the identification of changes in slip technologies through time. 22 Results of Investigations Excavations Units 42 and 43 Unit 42 was a 2 x 2 m sample unit located near a block excavation carried out by SIMPAP from 2006 to 2011. The purpose of this block excavation was to investigate what is believed to be a Spanish structure dating to the Mission period (Moore and Jefferies 2016). When excavated, Unit 42 revealed two pits, one filled with shell (Feature 50) and one filled with midden (Feature 51), and two possible post features (Features 54 and 55). Two features were likely either posts or pits (Features 52 and 53). In order to excavate all of Feature 50, Unit 43, a 0.5 x 1 m unit, was added to the south. The shell-filled pits discovered during this block excavation resemble those described at other Spanish colonial sites and are likely the result of Spanish waste disposal (Moore and Jefferies 2016). This is supported by the presence of glass beads (Figures 16 and 17), coarse earthenware (Figure 18), porcelain (Figure 19), majolica pottery (Figure 20), and lead shot (Figure 21), along with faunal remains in Feature 50. The ceramics from these features provide a sample of Altamaha ceramics associated with the Mission period. AMS dating of a maize specimen recovered from Feature 50 returned a date of 160 +/- 25 B.P. and a Bayesian modeled date of 1660 to 1685 (Table 11). Figure 13. Plan View of Units 42 and 43. Created by Dr. Christopher Moore. 23 Figure 14. Unit 42 West Profile. Photo taken by Dr. Richard Jefferies. Figure 15. Unit 43, South Portion of Feature 50. Photo taken by Dr. Richard Jefferies. 24 Figure 16. Glass Beads from Feature 50 in Unit 42. Photo taken by Dr. Richard Jefferies. Figure 17. Glass Beads from Unit 42. Photo taken by Dr. Richard Jefferies. 25 B A C Figure 18. Coarse Earthenware from Unit 42. A: Level 1, B: Level 2, C: Feature 50. Photo taken by Dr. Richard Jefferies. E B C A D Figure 19. Porcelain from Unit 42. A: Level 1, B:-D: Level 2, E: Level 3. Photo taken by Dr. Richard Jefferies. 26 A C B D E F Figure 20. Majolica Pottery from Units 42, 46, and 50. A: Unit 42 Level 1, B: Unit 42 Level 2, C: Unit 42 Level 4, D: Unit 46 Feature 60, E: Unit 50 Level 2, F: Unit 42 Feature 50. Photo taken by Dr. Richard Jefferies. Figure 21. Lead Shot from Unit 42. Photo taken by Dr. Richard Jefferies. 27 28 Level 1 (0-20 cm BD) Level 2 (20-30 cm BD) Level 3 (30-40 cm BD) Level 4 (40-50 cm BD) Level 5 (50-60 cm BD) Feature 50 Feature 51 Feature 52 Feature 53 Feature 54 Feature 55 Total Level 1 (0-20 cm BD) Level 2 (20-30 cm BD) Level 3 (30-40 cm BD) Level 4 (40-50 cm BD) Level 5 (50-60 cm BD) Feature 50 Feature 51 Feature 52 Feature 53 Feature 54 Feature 55 Total 0 0 1 0 0 0 0 0 0 0 0 1 11 37 28 6 1 13 0 0 0 0 0 96 9 73 142 76 7 326 4 9 11 6 6 669 Groundstone Tool Fragment 23 60 66 78 11 58 5 24 3 12 2 342 0 3 12 0 0 335 49 0 1 0 0 400 Bone Glass Bead Bivalve Antler Table 1. All Artifacts from Unit 42 1 1 3 0 0 1 0 0 0 0 0 6 Lead Shot 7 0 7 0 0 8 0 0 0 11 9 42 Charcoal 2 2 0 1 0 2 0 0 0 0 0 7 Majolica 2 1 0 0 0 2 2 0 0 0 0 7 Coarse Earthenware 33 64 16 2 0 2 0 0 0 0 0 117 Metal Fragment 0 0 1 0 0 0 0 0 0 0 0 1 Core 1 1 2 0 0 4 0 0 1 0 0 9 Otolith 0 0 0 0 0 4 0 0 0 0 0 4 2 1 2 0 0 5 0 2 0 0 0 12 1 3 1 0 0 0 0 0 0 0 0 5 0 1 1 0 0 1 0 0 0 0 0 3 Flake 1 3 1 1 0 41 0 1 2 0 0 50 Gastropod 57 145 79 64 16 62 6 11 6 6 0 452 85 170 94 30 19 125 7 11 14 1 0 556 Prehistoric Prehistoric Ceramics Ceramics (< 1 cm2) (1 < x < 4 cm2) Fired Clay/ Daub Porcelain Crustacean 29 Level 1 (0-20 cm BD) Level 2 (20-30 cm BD) Level 3 (30-40 cm BD) Level 4 (40-50 cm BD) Level 5 (50-60 cm BD) Feature 50 Feature 51 Feature 52 Feature 53 Feature 54 Feature 55 Total Rock 0 0 0 0 0 2 0 0 0 0 0 2 Prehistoric Ceramics (> 4 cm2) 14 41 50 27 2 72 6 1 2 1 1 217 Table 1. Continued. All Artifacts from Unit 42 0 0 1 0 0 0 0 0 0 0 0 1 Shell Bead 0 5 15 4 0 0 0 0 0 0 0 24 Tooth 0 8 9 7 0 0 0 0 0 0 0 24 Turtle Shell 1 8 4 3 0 0 0 0 0 0 0 16 Whelk Shell 0 1 0 1 1 2 0 0 0 0 0 5 UID Botanical 1 0 0 0 0 0 0 0 0 0 0 1 UID Glass 2 0 0 0 0 0 0 0 0 0 0 2 UID 30 Irene Complicated UID UID Altamaha Stamped Lamar Altamaha Plain 0 0 3 0 2 0 4 1 0 1 3 3 1 0 1 1 0 0 0 0 0 0 13 1 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 4 1 25 7 Level 1 (0-20 cm BD) Level 2 (20-30 cm BD) Level 3 (30-40 cm BD) Level 4 (40-50 cm BD) Level 5 (50-60 cm BD) Feature 50 Feature 51 Feature 52 Feature 53 Feature 54 Feature 55 Total Refuge 0 0 1 0 0 0 0 0 0 0 0 1 Altamaha Burnished Plain 0 1 2 0 0 0 0 0 0 0 0 3 Refuge/Deptford Plain 0 0 0 2 0 0 0 0 0 0 0 2 Level 1 (0-20 cm BD) Level 2 (20-30 cm BD) Level 3 (30-40 cm BD) Level 4 (40-50 cm BD) Level 5 (50-60 cm BD) Feature 50 Feature 51 Feature 52 Feature 53 Feature 54 Feature 55 Total St. Simons Incised 0 0 1 0 0 0 0 0 0 0 0 1 St. Simons Plain 0 0 0 2 0 0 0 0 0 0 0 2 Table 2. All Ceramics from Unit 42. Wilmington 0 0 1 0 0 0 0 0 0 0 0 1 Savannah Burnished Plain 0 0 0 1 0 0 1 0 0 0 0 2 Altamaha Check Stamped 0 1 0 0 0 1 0 0 1 0 0 3 Savannah Check Stamped 0 1 1 0 0 1 0 0 0 0 0 3 Altamaha Complicated Altamaha Altamaha Stamped Overstamped Red Filmed 3 4 1 12 16 1 6 14 2 2 2 1 2 0 0 27 36 4 1 1 0 0 1 0 0 0 1 0 0 1 0 0 0 53 74 11 Deptford Check Stamped 0 0 1 0 0 0 0 0 0 0 0 1 UID 3 2 4 0 0 2 2 0 0 0 0 13 31 Deptford Cordmarked Level 1 (0-20 cm BD) 0 Level 2 (20-30 cm BD) 2 Level 3 (30-40 cm BD) 0 Feature 50 0 Total 2 St. Johns Punctate 0 0 0 1 1 Irene Complicated Stamped 0 0 0 1 1 Otolith 0 0 0 0 0 7 7 Tooth 0 1 1 0 0 4 6 Nutshell 0 1 0 0 0 0 1 Altamaha Red Filmed 0 0 1 3 4 UID 1 0 0 0 1 Whelk Shell 0 1 0 0 0 7 8 Metal Fragment 0 0 1 0 0 1 2 Turtle Shell 0 1 0 0 0 12 13 Gastropod 0 0 0 0 0 12 12 Altamaha UID Complicated Altamaha Altamaha Stamped Overstamped 0 0 2 1 0 0 0 0 0 3 17 8 4 17 10 Slag 0 1 0 0 0 0 1 Crustacean 0 0 0 0 0 3 3 Shell Bead 0 0 0 0 0 1 1 Coarse 2 1 0 0 0 0 3 Prehistoric Ceramics (> 4 cm2) 3 2 1 0 0 3 9 Charcoal 3 3 0 0 3 3 12 Prehistoric Prehistoric Ceramics Ceramics (< 1 cm2) (1 < x < 4 cm2) 4 8 33 19 16 11 3 1 0 1 4 8 60 48 Table 4. All Ceramics from Unit 43. Level 1 (0-20 cm BD) Level 2 (20-30 cm BD) Level 3 (30-40 cm BD) Level 4 (40-50 cm BD) Level 5 (50-60 cm BD) Feature 50 Total Level 1 (0-20 cm BD) Level 2 (20-30 cm BD) Level 3 (30-40 cm BD) Level 4 (40-50 cm BD) Level 5 (50-60 cm BD) Feature 50 Total Bone 307 0 31 23 3 1 365 Bivalve 2 7 2 2 0 0 13 Antler 0 8 54 0 0 2 64 Table 3. All Artifacts from Unit 43. Units 46 and 50 Unit 46 was placed as part of SIMPAPs sampling strategy. Excavations began in February 2015, but were not completed until the following August. During the excavation of Unit 46, we identified a large feature that continued into the units north wall. We halted excavations until a 2 x 2 meter extension, Unit 50, could be placed to the north. Majolica (Figure 20) and some coarse earthenware (Figure 33), along with Altamaha ceramics were found in the upper levels of the unit, but the most interesting items dated to the Irene period. In Unit 46, excavators identified Feature 60, a basin-like depression in the north half of the unit (Figures 16-18). It was identified primarily based on dark soil coloration, which, at the time, resulted in well-defined feature boundaries. Artifact density was rather low, but artifacts recovered included primarily Irene sherds, whelk, a chert flake, and an anthropomorphic pipe (Figure 19). Several concentrations of unfired clay were noted in this portion of the feature, as well. A biface also was found in this area (Figure 32). When we expanded the excavation in July, our crew faced much warmer and drier soil conditions, which made the identification of Feature 60s northern boundaries in the sandy soil nearly impossible. However, we noted areas of dark and mottled soil with slight increases in artifact densities in the southern half of the unit that likely represent the northern portion of Feature 60. Along with the basin-like feature, we identified several posts (Feature 60 Post and Features 61, 65, and possibly 62). One of these (Feature 60 Post) was situated directly in the southern half of Feature 60, and another is likely located within or just outside of the features amorphous northern boundary. Three additional features that may be posts were identified in the units western profile, which seems to lie within the feature. Based on the shape of the feature and the increased, but relatively low, density of artifacts within Feature 60, it may represent a living surface or structure floor. It seems likely that at least some of the posts are associated with the feature, which would indicate that it may have been the location of a structure. The presence of a structure may account for the unfired clay that was recovered from the southern portion. The ceramics recovered from this unit indicate that the possible structure dates to 32 the Irene Figure 22. Composite Plan View of Unit 46. A clear outline of the southern portion of Feature 60 is visible. period. Figure 23. Plan Views of Unit 50. Soil conditions were poor during this excavation, making feature boundaries difficult to identify. In these two maps, drawn at 35 and 40 cm BD, the possible location of the northern portion of Feature 60 is visible as areas of very dark brown soil in the southern portion of the unit. 33 Figure 24. Unit 46 West Profile. Figure 25. Unit 50 West Profile. 34 Figure 26. Feature 60 in Unit 46. Photo by Richard Jefferies. Note that north is down. Figure 27. Feature 60 Profile. 35 Figure 28. Feature 60 Post in Profile Figure 29. Feature 61 at D = 40 cm BD. 36 Figure 30. Feature 62 at D = 40 cm BD. Figure 31. Anthropomorphic Pipe from Feature 60. 37 Figure 32. Biface from Feature 60 (UK 6721). Photo taken by Dr. Richard Jefferies. B A C Figure 33. Coarse Earthenware from Units 46, 48, and 51. A: Unit 46 Level 2, B: Unit 48 Level 2, C: Unit 51 Level 2. Photo taken by Dr. Richard Jefferies. 38 39 Level 1 (0-20 cm BD) Level 2 (20-30 cm BD) Level 3 (30-40 cm BD) Level 4 (40-50 cm BD) Level 5 (50-60 cm BD) Feature 60 Total Level 1 (0-20 cm BD) Level 2 (20-30 cm BD) Level 3 (30-40 cm BD) Level 4 (40-50 cm BD) Level 5 (50-60 cm BD) Feature 60 Total 0 0 1 0 0 0 1 Otolith 0 0 0 0 0 1 1 Biface Table 5. All Artifacts from Unit 46. 58 49 46 5 0 4 162 Prehistoric Ceramics (< 1 cm2) 46 60 27 1 2 3 139 Bivalve 2 15 1 0 0 10 28 120 116 53 7 2 7 305 0 1 0 0 0 0 1 10 25 17 4 3 3 62 0 0 0 0 0 1 1 Cut Bone 0 9 0 0 0 0 9 Turtle Shell Coarse Earthenware Prehistoric Ceramics (> 4 cm2) Charcoal Prehistoric Ceramics (1 < x < 4 cm2) 6 4 9 1 0 10 30 Bone 6 12 4 0 0 2 24 0 0 0 0 0 1 1 0 0 0 0 0 1 1 1 0 0 0 0 0 1 Metal Fragment 0 0 9 1 0 0 10 Possible Red Ocher Majolica UID Botanical 0 1 0 0 0 1 2 Gastropod Whelk Shell 0 1 0 0 0 1 2 Flake 40 Level 1 (0-20 cm BD) Level 2 (20-30 cm BD) Level 3 (30-40 cm BD) Level 4 (40-50 cm BD) Level 5 (50-60 cm BD) Feature 60 Total Savannah Plain 1 1 0 0 0 0 2 Altamaha Complicated Stamped 3 12 6 2 2 0 25 St. Simons Incised 0 0 0 0 1 1 2 Altamaha Irene Complicated Irene UID Burnished Stamped Incised Altamaha Plain 3 0 0 0 7 0 1 1 5 1 0 2 0 0 0 0 0 0 0 0 1 0 0 0 16 1 1 3 St. Simons Punctated 0 0 1 0 0 0 1 Level 1 (0-20 cm BD) Level 2 (20-30 cm BD) Level 3 (30-40 cm BD) Level 4 (40-50 cm BD) Level 5 (50-60 cm BD) Feature 60 Total St. Simons Plain 0 1 2 2 2 0 7 UID St. Simons 0 0 3 2 0 1 6 Table 6. All Ceramics from Unit 46. Altamaha Overstamped 4 16 14 2 0 0 36 Savannah Burnished Plain 0 2 0 0 0 0 2 Altamaha Red Filmed 1 1 2 1 0 0 5 Altamaha Check Stamped 0 1 0 0 0 0 1 UID 3 2 4 0 0 0 9 Savannah Check Stamped UID Irene Irene Plain 2 0 0 5 2 1 4 0 0 0 0 0 0 0 0 0 0 0 11 2 1 41 1 2 0 0 0 3 Level 4 (40-50 cm BD) Level 5 (50-60 cm BD) Total Otolith Level 1 (0-20 cm BD) Level 2 (20-30 cm BD) Level 3 (30-40 cm BD) Level 1 (0-20 cm BD) Level 2 (20-30 cm BD) Level 3 (30-40 cm BD) Level 4 (40-50 cm BD) Level 5 (50-60 cm BD) Total Biface 0 0 1 0 0 1 Table 7. All Artifacts from Unit 50. 1 59 3 17 28 10 2 316 18 30 143 123 1 77 3 3 30 40 Bivalve Bone Charcoal Flake Flake Tool 7 1 8 0 0 44 19 0 1 0 46 7 44 1 0 4 4 1 1 1 2 1 13 1 0 103 32 66 4 1 Prehistoric Ceramics Prehistoric Ceramics Prehistoric Ceramics (< 1 cm2) (1 < x < 4 cm2) (> 4 cm2) 0 1 0 0 1 0 Rock 0 1 1 0 0 0 Shatter Gastropod 1 0 0 0 0 1 0 3 0 0 1 2 Tooth 1 1 0 0 0 0 UID Olive Jar 2 1 0 0 0 3 42 Level 1 (0-21 cm BD) Level 2 (20-31 cm BD) Level 3 (30-40 cm BD) Level 4 (40-50 cm BD) Level 5 (50-63 cm BD) Feature 61 Feature 62 Total Level 1 (0-21 cm BD) Level 2 (20-31 cm BD) Level 3 (30-40 cm BD) Level 4 (40-50 cm BD) Level 5 (50-63 cm BD) Feature 61 Feature 62 Total UID St. Simons St. Simons Plain Refuge 0 0 0 0 0 0 0 1 1 0 0 1 1 0 0 0 0 0 0 0 0 1 1 2 Irene Complicated UID Altamaha stamped Altamaha Plain 0 1 0 2 2 1 8 4 0 0 0 0 0 0 0 0 0 0 0 0 0 10 7 1 Table 8. All Ceramics from Unit 50. Savannah Savannah Savannah Savannah Plain Burnished Plain Complicated Stamped Check Stamped 0 0 0 0 0 0 0 1 2 1 1 2 1 0 0 1 0 0 0 0 0 1 0 0 0 0 0 0 3 2 1 4 Altamaha Complicated Altamaha Altamaha Irene/ Stamped Overstamped Incised Altamaha UID 0 1 0 0 1 11 7 0 0 5 4 9 1 5 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 16 17 1 5 7 UID Irene 0 1 0 0 0 0 0 1 Unit 47 Unit 47 was placed in a 40 cm thick linear midden deposit, located on the southeastern periphery of the site. Along with clam, oyster, and whelk, Levels 1 and 2 contained mostly Irene ceramics. Shell and bone deposits reach their peak in Level 3, which contains only Savannah ceramics. A decrease in the amount of shell, bone, and ceramics begins in Level 4. Ceramics from levels 3 and 4 were consistent with what would be expected in a Savannah context and suggest that the area was heavily utilized during the Savannah period. With the exception of a small area of surface bioturbation, no other features were recorded in this unit. Figure 34. Unit 47 Shell Midden East Profile. 43 Figure 35. Unit 47 East Profile Figure 36. Unit 47 Plan View at D = 50 cm BD. 44 45 8 243 1 145 53 450 Bone 13 22 16 2 0 53 0 1 0 0 1 Level 1 (0-20 cm BD) Level 2 (20-30 cm BD) Level 3 (30-40 cm BD) Level 4 (40-50 cm BD) Total UID Savannah 3 1 1 1 0 0 0 0 18 1 19 0 0 0 3 0 3 1 0 1 0 0 Savannah Burnished Plain 5 8 6 2 0 21 0 1 0 0 0 1 Tooth 0 1 0 0 0 1 Flake 5 0 5 0 0 Savannah Check Stamped Crustacean Prehistoric Ceramics (> 4 cm2) Charcoal Savannah Plain Prehistoric Ceramics (1 < x < 4 cm2) 0 3 0 0 0 3 Table 10. All Ceramics from Unit 47. Level 1 (0-20 cm BD) Level 2 (20-30 cm BD) Level 3 (30-40 cm BD) Level 4 (40-50 cm BD) Level 5 (50-60 cm BD) Total Level 1 (0-20 cm BD) Level 2 (20-30 cm BD) Level 3 (30-40 cm BD) Level 4 (40-50 cm BD) Level 5 (50-60 cm BD) Total Bivalve Table 9. All Artifacts from Unit 47. 1 0 0 1 0 2 0 0 0 2 Savannah Cob UID Impressed Irene 0 39 0 15 0 54 Turtle Shell 0 0 0 14 0 14 Gastropod 1 0 0 0 1 Irene Plain 0 7 0 5 0 12 Otolith 3 0 0 3 0 1 0 0 1 0 Irene Complicated Stamped Irene Incised 2 1 0 3 1 7 Prehistoric Ceramics (< 1 cm2) 3 1 0 0 2 UID Units 48 and 51 Units 48 and 51 were placed to investigate one of SIMPAPs shovel test probes. Excavation of STP 346 led to the recovery of a particularly interesting sherd with both Irene and Altamaha traits, which seemed to be located in a shell midden. The slightly flared jar is complicated stamped with mostly rectilinear designs, with only a single curvilinear element visible at the top right corner of the sherd (Figure 37). The sherd has narrow lands and grooves and stamping on the lip, which are Irene traits. It has a grit/clay temper and a heavily burnished interior, traits that are common among Altamaha ceramics from the site. Other mixed trait sherds have been recovered at the site - Figure 37. Possible Transitional Sherd Recovered (UK6100) from STP 346. this one is simply the largest example to date. We placed a 2 x 2 meter unit near the location of the probe in order to further investigate what we hoped might be a transitional context. The discovery of a pig burial forced us to expand our excavations with the addition of Unit 51, a 1 x 2 meter unit to the south. The upper levels of these excavations caught the edge of a shell midden pile that was identified in the previously mentioned shovel probe. The upper levels of the shell midden contained primarily Altamaha ceramics, with a couple of sherds that were identified as possibly transitional. The presence of Altamaha Red Filmed sherds and a single olive jar sherd suggest that this portion of the midden was deposited during the Mission period. The lower levels contained a mixture of Irene and Altamaha ceramics, as well as some possible transitional sherds. The presence of Irene, Altamaha, and transitional sherds suggests that the midden was in use beginning sometime during a transitional period and continued to be used during the Mission period. 46 Below the shell midden was a dark non-shell midden, which contained mostly Altamaha and a few Irene ceramics. It also contained the largest numbers of possible transitional sherds. Irene and Altamaha ceramics were found in the same contexts, though the frequencies of Irene decreased in the upper levels. This suggests that there was some overlap in the production of these two ceramic types, with the production of Irene ceramics decreasing over time, rather than a sudden replacement. Below the midden we identified several features, including two pit features and a series of three post features (Features 64, 67, and 68). The postmolds originated just below the non-shell mid- den and are arranged in a semi-circular shape. One of these post features, Feature 64, seems to be three separate, but related, posts. Two of these are set a small distance apart, suggesting that they may represent paired posts. The centermost post appears to have been dug at a diagonal angle, suggesting that it may have been placed as a repair or replacement. In the northwest corner of the unit, we identified a shallow pit feature, Feature 63, which contained oyster, clam, charcoal, and a few Altamaha ceramics. Excavators were unable to determine whether the pit originated below or within the shell midden. There were dark linear stains originating at the pit feature, seemingly extending away from it at a right angle. All of the post features were positioned within this area of staining, suggesting that it might represent a trench related to their construction. The posts contained only Altamaha ceramics, so they probably date to the Mission period. We identified a second pit feature, Feature 66, along the southern wall of our original 2 x 2 meter unit. The outline of the pit was clear in plan view at lower levels, but it was difficult to distinguish from the dark shell midden above. However, it was obvious that the pit intruded into the shell midden or originated just below it. Much to our surprise, excavations revealed the front foot and head of an articulated pig skeleton. In order to excavate the rest of the feature and remove the skeleton, we expanded our excavation with a second 1 x 2 meter unit. Once complete, our excavation revealed an entire juvenile pig skeleton in excellent condition. The bone shows no sign of butchering of any kind and all elements were present. The burial pit is clearly intentional and, with the exception of a few sherds, the pit contained no refuse. The few ceramics that were included in the feature fill date to the Mission period. A small sample of the pig 47 remains was used for radiocarbon dating, the results of which indicate that the burial occurred between 220 +/- 25 B.P, with a Bayesian modeled date of A.D. 1645 and 1680 (Table 11). The pig is currently undergoing ancient DNA analysis, which we hope will give us an idea of where it originated (Richard Jefferies, personal communication 2016). These excavations suggest that there was a transitional period in which Irene, Altamaha, and mixed-trait ceramics were produced simultaneously. They also provided us with a number of possible transitional sherds for analysis and comparison with Irene and Altamaha ceramics. Table 11. AMS dates from Features 50 and 66. -8.8 14C Age, Years BP 160 25 -14.6 220 25 Context UGAMS# Material 13C, Feature 50 25052 Maize Feature 66 25048 Pig Bone Figure 38. Unit 48 in Plan View. Photo taken by Dr. Richard Jefferies. Note that North is Down 48 Modeled Age 1660-1685 A.D. 1645-1680 A.D. Figure 39. Unit 48 Plan View Map. 49 Figure 40. West Profile of Units 48 and 51. Figure 41. East Profile of Units 48 and 51. 50 Figure 42. Feature 63 West Profile. Figure 43. Feature 64 West Profile Photo. 51 Figure 44. Feature 64 West Profile Drawing. Figure 45. Feature 67 at D = 61 cm BD. 52 Figur46. Feature 68 North Profile Photo. Figure 47. Feature 68 North Profile Drawing. 53 Figure 48. Feature 68 at D = 50 cm BD. Figure 49. Feature 66 Photo. D = 50 cm BD. 54 55 Level 1 (0-20 cm BD) Level 2 (20-30 cm BD) Level 3 (30-40 cm BD) Level 4 (40-50 cm BD) Level 5 (50-60 cm BD) Feature 63 Feature 64 Feature 66 Feature 68 Total Level 1 (0-20 cm BD) Level 2 (20-30 cm BD) Level 3 (30-40 cm BD) Level 4 (40-50 cm BD) Level 5 (50-60 cm BD) Feature 63 Feature 64 Feature 66 Feature 68 Total 35 53 49 37 1 4 1 44 0 224 Bone 90 87 59 6 0 7 0 1 0 250 20 34 36 2 1 4 0 2 1 100 0 1 2 0 0 0 0 1 0 4 0 0 0 0 0 0 0 1 0 1 0 0 1 0 0 0 0 0 0 1 Lead Shot 1 0 1 0 0 0 0 0 0 2 .22 Caliber Cartridge 12 14 10 4 0 2 1 0 0 43 Gastropod Whelk Shell 12 14 10 4 0 0 0 0 0 40 Fired Clay/ Daub Tooth 0 17 55 36 25 2 5 0 0 140 Charcoal Prehistoric Prehistoric Ceramics Ceramics (1 < x < 4 cm2) (> 4 cm2) 211 343 196 29 6 17 28 1 0 831 Bivalve Table 12. All Artifacts from Unit 48. 2 1 0 0 0 0 0 0 0 3 Olive Jar 1 2 0 0 0 0 0 0 0 3 Otolith 54 86 42 6 0 9 0 0 0 197 Prehistoric Ceramics (< 1 cm2) 56 Level 1 (0-20 cm BD) Level 2 (20-30 cm BD) Level 3 (30-40 cm BD) Level 4 (40-50 cm BD) Level 5 (50-61 cm BD) Feature 63 Feature 64 Feature 66 Feature 68 Total Level 1 (0-20 cm BD) Level 2 (20-30 cm BD) Level 3 (30-40 cm BD) Level 4 (40-50 cm BD) Level 5 (50-61 cm BD) Feature 63 Feature 64 Feature 66 Feature 68 Total Savannah Check Stamped 0 0 2 0 0 0 0 0 0 2 Irene Complicated UID Altamaha Altamaha Complicated UID Irene Stamped Altamaha Plain Stamped Altamaha Overstamped 0 0 6 0 6 7 1 4 2 0 10 9 0 2 4 1 11 9 0 1 0 0 0 1 0 0 0 0 0 1 0 0 1 0 3 0 0 0 0 0 1 0 0 0 0 0 1 0 0 0 0 0 0 1 1 7 13 1 32 28 Altamaha Red Altamaha Check Altamaha Incised Filmed Stamped UID 1 0 0 0 1 2 0 3 0 0 0 3 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 2 2 1 6 Table 13. All Ceramics from Unit 48. 57 Level 1 (0-27 cm BD) Level 2 (24-35 cm BD) Level 3 (33-39 cm BD) Level 4 (38-49 cm BD) Feature 66 Total Savannah 0 0 0 1 0 1 Savannah Check Stamped 0 0 1 0 0 1 1 8 4 3 0 1 17 UID Altamaha 3 4 1 0 1 9 10 1 1 0 0 0 12 Gastropod Irene Complicated Stamped 1 2 1 0 0 4 0 0 0 0 1 0 1 UID Whelk Shell Tooth 1 1 0 1 0 0 3 0 0 22 44 59 12 137 Charcoal 14 9 16 3 1 38 81 Bone 136 119 52 9 2 0 318 Table 15. All Ceramics from Unit 51. Level 1 (0-20 cm BD) Level 2 (20-30 cm BD) Level 3 (30-40 cm BD) Level 4 (40-50 cm BD) Level 5 (50-60 cm BD) Feature 66 Total Level 1 (0-20 cm BD) Level 2 (20-30 cm BD) Level 3 (30-40 cm BD) Level 4 (40-50 cm BD) Level 5 (50-60 cm BD) Feature 66 Total Bivalve Table 14. All Artifacts from Unit 51. Altamaha Plain 1 1 0 0 0 2 0 1 0 0 0 0 1 Olive Jar Altamaha Burnished Plain 0 1 0 0 0 1 23 26 16 2 1 1 69 Prehistoric Ceramics (< 1 cm2) Altamaha Complicated Stamped 3 2 3 0 1 9 49 47 17 6 2 3 124 0 1 0 0 0 0 1 Shell Bead Altamaha Possibly Overstamped Transitional 1 0 1 0 2 1 0 0 0 0 4 1 9 11 9 1 0 2 32 Prehistoric Prehistoric Ceramics Ceramics (1 < x < 4 cm2) (> 4 cm2) Ceramics Attributes Analysis The focus of this analysis is on traits belonging to Irene, Altamaha, and possible transitional sherds. For this reason, only sherds larger than 3 cm2, which can be assigned to a series, are included. Of the 3414 sherds recovered in these excavations, 584 of them were large enough to assign to a ceramic series. This assemblage contains ceramics from all time periods represented at Site 9Mc23, but was primarily composed of Irene and Ceramics Series Altamaha, which make up 10.7% and 67.4% of the typ- 9% able sherds, respectively. St. Simons 11% sherds 72% (Figure 52 a-c) made up 4% of the typable assemblage and were mostly recovered St. Simons Refuge Deptford Wilmington Savannah Irene Altamaha St. Johns Lamar Possibly Transitional Figure 51. Pie Chart of Ceramics by Series. from the lower levels of Unit 46 (Table 6). St. Simons sherds were mostly plain. Three were incised and one had semi-circular punctations (Figure 52 b-c). Five Refuge sherds made up 0.9% of the typeable assemblage (Figure 52 d-e). Surface treatments for all of these sherds were plain or unidentified. Deptford ceramics were also relatively uncommon, at 0.4% (Figure 52 f-h, j-k). One of these was a rather large cordmarked sherd Figure 46f), and the other was check stamped (Figure 52k). A single Wilmington sherd with an overstamped surface treatment was recovered. Savannah sherds were common by comparison, making up 8.2% of the typable assemblage (Figure 53-54). Most of these were check stamped, but plain or burnished plain surface treatments were also common. There was a single example of a cob-impressed sherd (Figure 53c). Most of the Savannah sherds were grit/sand tempered, but there were a few examples of grit/clay and sherd/grit temper, as well as one each of sand/grit, sand/fiber, grit/sherd, and grit/shell. While most of the 58 C B A D E I G F H J K L Figure 52. A Sample of Uncommon Sherd Types. A: St. Simons Plain (UK7031), B: St. Simons Punctate (UK7036), C: St. Simons Incised (UK7055), D-E: Refuge Plain (UK6969, UK6957), F: Deptford Cordmarked (UK7074), G-H: UID Refuge/Deptford (UK6243.1, UK6233), I: Lamar Incised (UK6231), J: UID Refuge/Deptford (UK6243.2), K: Refuge/Deptford Check Stamped (UK6229), L: St. Johns Punctate (UK7088). B C A D F E G Figure 53. Savannah Sherds. A: Savannah Burnished plain bowl (UK6832), B: unidentified Savannah rim (UK6935), C: Savannah Cob-impressed rim (UK6824), D: Savannah Check Stamped rim (UK7025.1), E-G: Savannah Check Stamped (UK6946, UK7025.3, UK6217). 59 sherds were undecorated, there was a single burnished sherd with a pellet node. Twenty-two of the forty-five sherds had burnished or heavily burnished interiors. Vessel form was identified for two Savannah sherds, one jar (Figure 54) and one bowl (Figure 53a) . Irene ceramics account for 10.7% of the typeable assemblage (Figure 55). The majority of these (88.1%) were complicated stamped, mostly with the Filfot Cross motif (62.7%). Just over half of the complicated stamped sherds were overstamped. Of the complicated stamped sherds, 61.5% had the narrow lands and grooves that should be expected among Irene ceramics. Wide and mixed lands and grooves also were present in the Irene assemblage, at 19.2% each. There were two instances each of plain (Figure 55f) and incised (Figure 55d-e) Irene sherds. There were five additional decorated Irene sherds. Three of these had cane punctations along a rim fillet, (Figure 55 a-c) and there was one example each of trailing, partial cane punctations, and a stamped lip. Twenty-nine (49.1%) Irene sherds had burnished or heavily burnished interiors. Of the five Irene rims that were recovered, two had unmodified rims (Figure 55d) and three had rim fillets (Figure 55a-c). Four of the lips were classified as flat-flat/rounded. A single lip was classified as exterior beveled. There was on ceramic disk (Figure 55g). The majority of Irene sherds (72.9%) were grit/sand tempered. Grit/clay was also a common temper combination at 18.6%. Two Irene sherds had grit/shell temper, and there was one example each of sand, sherd/grit, and clay/sand temper. Irene sherds with at least one inclusion, meaning that there was only a single fragment of that material in the sherd, make up 18.6% of the Irene assemblage. Nearly half of these inclusions were Table 16. Table of Irene Temper. Temper Count Sand 1 Grit/Sand 43 Grit/Clay 11 Grit/Shell 2 Sherd/Grit 1 Clay/Sand 1 Total 59 Percentage 1.7% 72.9% 18.6% 3.4% 1.7% 1.7% 100% 60 Table 17. Table of Irene Surface Treatments. Surface Treatment Count Percentage UID Rectilinear 3 5.1% Plain 3 5.1% UID Complicated Stamped 4 6.8% Filfot Cross Complicated Stamped 17 28.8% Line Block Complicated Stamped 1 1.7% Other Curvilinear Complicated Stamped 4 6.8% Overstamped Filfot Cross 20 33.9% Other Curvilinear Overstamped 2 3.4% Other Rectilinear Overstamped 1 1.7% Unidentified 4 6.8% Total 59 100% Figure 54. Savannah Check Stamped Jar (UK6862). A D C B G F E J I K H Figure 55. Irene Sherds. A-C: UID Irene cane punctated rim fillets (UK7017.1, UK6984.2, UK6920.1), D: Irene Incised rim (UK7026), E: Irene Incised body sherd (UK6826), F: Irene Plain (UK7009), G: Irene Complicated Stamped ceramic disc (UK7061), H-K: Irene Complicated Stamped sherds (UK6947.1, UK6882.1, UK6882.2, UK6865.2). 61 fiber and the other half were clay. Only one Table 18. Table of Altamaha Surface Treatment. sherd contained a second inclusion, which was Surface Treatment Count UID Rectilinear 29 Plain 20 Burnished Plain 1 Heavily Burnished Plain 2 Burnished Plain Interior/ Exterior 2 Heavily Burnished Plain Interior/Exterior 1 UID Complicated Stamped 2 Filfot Cross Complicated Stamped 1 Line Block Complicated Stamped 26 Chevron Complicated Stamped 1 Other Curvilinear Complicated Stamped 2 Other Rectilinear Complicated Stamped 6 Overstamped 2 "Cross Simple" 140 Overstamped Filfot Cross 4 Overstamped Line Block 87 Other Curvilinear Overstamped 1 Other Rectilinear Overstamped 6 Checkstamped 4 Eroded/Spalled Exterior 2 Unidentified 31 Total 370 shell. The Altamaha portion of the assemblage was the most diverse, but this may be the result of its larger size. Altamaha ceramics made up 67.4% of the assemblage, at 370 sherds. The majority of Altamaha sherds were classified as complicated stamped (36.2%) or overstamped/cross simple (37%). As expected, the majority (88.4%) of stamped sherds had wide lands and grooves. Narrow and mixed lands and grooves were present in smaller percentages, at 5.3% and 6.3% respectively. After stamping, red filmed (4.6%) and plain (3%) were the most common surface treatments. All other surface treatments were identified in frequencies lower than 1%, including burnished plain, incised, and check Percentage 7.8% 5.3% 0.3% 0.5% 0.5% 0.3% 0.5% 0.3% 1.1% 0.3% 0.5% 1.6% 0.5% 37.8% 1.1% 23.5% 0.3% 1.6% 1.1% 0.5% 8.4% 100% stamped (Table 18). Over half (58.1%) of the Altamaha sherds had burnished or heavily burnished interiors. Despite the larger sample size, Altamaha sherds were slightly less likely to be decorated than Irene sherds, with 8.6% of sherds being decorated, compared to 11.8% for Irene. Decoration on Altamaha sherds consisted mostly of various kinds of punctations applied below the lip of the vessel or along the bottom of the rim fold/strip, including partial cane (n = 6), fingernail (n = 5), paired hemiconical (n = 4), whole cane (n = 3), and one each of triangular, curved shell, vertical rectangle, and unidentified (Figure 58). All paired hemiconical punctates were found with trailing. Other deco- 62 rations include incising (n = 6), trailing (n = 4), and painting (n = 2). Incising and trailing usually occur on sherds that otherwise appear to be plain. However, one sherd in this assemblage shows signs of incising over overstamping. Much of the design is missing, but it may be the letter C and a portion of another letter (Figure 56). One of the painted sherds is an overstamped rim with dots and a wide line on the interior. The other is a base sherd with two dots on the interior (Figure 57). As expected, the Altamaha series shows the most diversity in temper recipes (Table 9). Grit/sand was by Table 19. Counts and Percentages of Altamaha Tempers. Temper Count Sand 6 Sand/Grit 3 Grit/Sand 287 Grit/Sherd 1 Grit/Clay 39 Grit/Shell 23 Grit/Fiber 1 Clay/Sand 7 Clay/Grit 1 Fiber/Clay 1 Composite 1 Total 370 Percentage 1.6% 0.8% 77.6% 0.3% 10.5% 6.2% 0.3% 1.9% 0.3% 0.3% 0.3% 100% far the most common temper, at 77.6%, followed by grit/ clay (10.5%) and grit/shell (6.2%). Clay/sand tempered sherds made up 1.9% of the assemblage. Sand tempered sherds made up 1.6%, all of which were red filmed. Other temper types made up very small percentages of the assemblage, including sand/grit at 0.8% and one example each of grit/ sherd, grit/fiber, clay/grit, fiber/clay, and composite temper (equal parts grit, shell, and clay). Altamaha sherds were also the most likely to contain inclusions. The most common of these were clay at 44.2% and shell at 37.7%. Fiber also was common, making up 22.1% of inclusions. One example each of hematite, grit, and sherd inclusions, as well as two unidentified inclusions also are present. Of the 145 Altamaha sherds that were analyzed using our newly developed system of varieties, the overwhelming majority of sherds were classified as Altamaha (97.2%). Two sherds were classified as Darien, meaning they had fine sandy pastes. The clay tempered Sapelo variety and the heavily shell tempered Belle Marsh variety were represented by one sherd each. These varieties may be useful in further refining the Altamaha chronology and understanding vessel function, but more work with larger sample sizes is needed. The sample collected for this study is too small to tackle these questions, but it was useful for thin section analysis, the results of which are reported below. 63 Twenty of the thirty-four sherds with an identifiable rim form were identified as rim fold/ strips. Six of these were flared, while the others were unidentified. Two rims were unmodified, one flared and one restricted. Two rims had narrow folds, and a single rim was rolled. Vessel form was identifiable for eleven sherds. Three of these were bowls and five were jars (Figures 61 and 62), while the others were identified as colonowares (Figure 63). While all of the red filmed sherds are likely colonoware, as SIMPAP has yet to identify a single red filmed vessel that was not colonoware, only five colonoware sherds were large enough to determine vessel form. Two of these were plates with red filmed interiors and complicated stamped exteriors. The others have unidentified vessel forms. Two of these have red filmed exteriors with plain interiors, one with an interesting vessel form that may have been a cup. The final piece has a plain interior and a complicated stamped exterior. All of these sherds came from Unit 42. Figure 57. Base Sherd with Two Painted Dots on the interior (UK6870.04). Figure 56. Altamaha Sherd with an Unidentified Incised Design Over Overstamping (UK6237.11). 64 B A F K D C L M J I H G E N O Figure 58. Altamaha Rims and Decorated Sherds. A-E: UID Altamaha rim fold/strips with cane punctations (UK6851.2, UK6921.1, UK6232.2, UK6210.1, UK6948.1), F-H: UID Altamaha rim fold/strips with fingernail punctations (UK6263.8, UK6851.1, UK7078), I: UID Altamaha triangular stylus punctations (UK6232.1), J: UID Altamaha rolled rim (UK7090.1), K-L: Altamaha Complicated Stamped rims (UK6948.2, UK6263.1), M-N: UID Altamaha rim and shoulder with paired hemiconical punctates and trailing (UK6263.7, UK6232.3), O: Altamaha Incised neck sherd with an unidentifiable incised design (UK6965). Figure 59. A Sample of Altamaha Complicated Stamped Sherds (UK6263.1, UK6950, UK7094, UK6976, UK7094, UK7094, UK6842.2, UK6265) 65 Figure 60. Sample of Altamaha Overstamped Sherds. UK6266, UK6893, UK6893, UK6266, UK6893, UK6893, UK6893, UK6893, UK6266) Figure 61. Complicated Stamped Altamaha Rim (UK6313). 66 A B D C E Figure 62. Sherds with Identifiable Vessel Forms. A-B: Altamaha Complicated Stamped jar rims with cane punctations (UK6975, UK6924), C: Altamaha Complicated Stamped bowl (UK6307), D: Savannah Burnished Plain bowl (UK6832), E: Altamaha Incised bowl (UK6844). B A C D E Figure 63. Colonoware with Identifiable Vessel Forms. A: Altamaha Red Filmed plate (UK6308), B: Altamaha Complicated Stamped rim (UK6211), C: Altamaha Red Filmed plate rim (UK6267), D: Altamaha Red Filmed unidentified vessel (UK6238), E: Altamaha Red Filmed possible mug (UK6312). 67 Other Mission period ceramics include one Lamar (Figure 52i) and one St. Johns sherd (Figure 52l). The Lamar sherd came from Unit 42. It has a series of triangular punctates below the lip, with two trailed lines running parallel to the rim and was likely part of a bowl. While the term Lamar is often used to describe ceramics from the mainland and interior, SIMPAP uses the term to refer to incised bowls that may have been manufactured during the Irene or Altamaha periods. We do not know whether these sherds were manufactured on the mainland or on Sapelo (Jefferies and Moore 2009). The St. Johns sherd came from Unit 43 Feature 50, one of the shell-filled pits. It has whole cane punctates extending below the rim and a notched lip. The rim is flared, and it is sherd tempered. We also recovered a single sherd that may be Creek from the first level of Unit 47. It is a sizable rim sherd with a sand/sherd temper and scrape marks on the interior. The surface treatment was classified as burnished plain, but it may be brushed. Four of the twelve possible transitional sherds had unidentified surface treatments. Four of these were plain and two were burnished. Four sherds were stamped, two with unidentified rectilinear patterns and two overstamped. Of these four, two had wide lands and grooves, and there was one example each of narrow and mixed lands and grooves. Two of the possible transitional sherds were decorated with incised designs on the body. Ten had grit/sand B temper, and two had grit/clay temper. A C Figure 64. A Sample of Irene/Altamaha Sherds. A-B: Irene/Altamaha Complicated Stamped (UK7012, UK7039), C: Irene/ Altamaha Incised (UK6966), D: Irene/ Altamaha Unidentified Stamped (UK6966). 68 D Unfortunately, possible transitional ceramics made up only 2.2% of the assemblage. This is likely a reflection of the short duration of the purported transitional time period, as well as the fact that we did not identify possibly transitional sherds until later in the project. While some sherds have been noted as Irene/Altamaha throughout the process, the possibly transitional category was not a focus of the analysis throughout the project. It is also likely that any period of transition would have been shorter than the other time periods represented by the ceramic chronology. While these sherds do have traits of both Irene and Altamaha sherds, a larger, dated, sample would be help- ful in determining their relationship to the rest of the ceramic chronology. Statistical Comparisons Statistical comparisons of Irene, Altamaha, and possible transitional sherds and contexts illustrate some useful differences between the three groups. Small sample sizes, especially for transitional sherds, along with abnormal distributions of quantitative data, made statistical analysis difficult. More work with larger samples may be useful in identifying more diagnostic traits. However, some comparisons were still helpful. The maximum thickness was recorded for every sherd larger than 3 cm 2, excluding base sherds, which tend to be much thicker than body sherds, and rims. Jefferies and Moore (2009) have suggested that there is a trend towards increasing thickness from the Savannah period through the Altamaha period, possibly due to increasing vessel size. However, this expected trend was not observed in this dataset. As expected, Savannah sherds had the thinnest average body thickness of 6.8 mm. Body thickness increased during the Irene period to an average thickness of 8.2 mm. Surprisingly, Altamaha sherds had a slightly lower average thickness at 8.1 mm. The difference is small and suggests that there may be no real difference between the two groups in terms of thickness and that this will not be a useful trait for identifying transitional sherds. It may also indicate that this is a late Irene assemblage. Transitional sherds had the greatest thickness at 8.8, which is surprisingly high. The sample size for this category is rather small, and it seems likely that a couple of unusually thick sherds are skewing the average. These measurements do include measurements from sherds near the base and from a variety of vessel forms, which may account for some of the unexpected 69 Figure 65. Boxplot of Maximum Body Thickness by Series. variability in the measurements. The possibility of an overlap between Irene and Altamaha ceramics was tested further using chi-square tests. Tests comparing specific traits across ceramic types were somewhat limited because the use of diagnostic traits would only reflect the groups that they were placed in based on the typology. For this reason, traits cannot be considered independent from type. In order to test the possibility that there may still be differences at the assemblage level, I used the chi-square statistic to compare assemblages from contexts dating to each time period. This provided larger sample sizes that were more suitable for statistical analysis, and it allows us to focus on assemblages, rather than individual sherds. These contexts were defined based on excavation notes and the inclusion of ceramics of predominately one type. Some mixing of ceramics from mul- 70 tiple time periods should be expected. Since the goal of this analysis was to identify differences at the assemblage level, all ceramics from each context were used in the comparison, regardless of ceramic series. The assemblage used to represent the Irene period came from Levels 2 and 3 of Unit 46, which was determined to be an Irene context, with minimal mixing from the preceding Savannah or subsequent Altamaha periods. It contained sixteen Irene sherds, six Altamaha, five possible transitional sherds, and two unidentified sherds. The Altamaha assemblage was pulled from Feature 50, a shell-filled pit that is associated with the Mission period. It consisted of 113 Altamaha sherds, two unidentified sherds, and a single Irene sherd. The possible transitional assemblage was pulled from the possibly transitional shell-midden and the zone just below it in Units 48 and 51. This assemblage consisted of 72 Altamaha sherds, twelve Irene sherds, five unidentified sherds, and three possible transitional sherds. Chi-square tests were used to compare the transitional context with both the Irene and Altamaha contexts. The largest difficulty in conducting statistical comparisons between these assemblages was the issue of sample size. For some traits, such as decoration, the overall sample sizes were too small to attempt statistical comparison. Sample sizes were sufficient for surface treatment, land and groove width, and temper. Even for the traits that were selected for this comparison, there were issues with the counts for individual chi-square cells. However, these issues were unavoidable and not so severe that chi-squares could not be calculated. They will be addressed further below. The first trait considered in this analysis is surface treatment. In order to reduce the number of cells with counts of fewer than five, some surface treatment categories were combined. All curvilinear complicated stamped designs were grouped together, as were all rectilinear stamped designs. As each of these is associated with a particular time period, Irene and Altamaha respectively, this should not be detrimental to this analysis. Plain and burnished plain surface treatments were also combined. As a result, there were only 7 cells with counts lower than five. Unfortunately, due to the nature of the data, these counts likely will not increase even with larger sample sizes. Traits such as rectilinear stamping, cross simple stamping, and check stamping, for example, will always be rare 71 to non-existent in Irene assemblages. For this reason, I still feel confident moving forward with a chi -square analysis. A chi-square test comparing the surface treatment of Irene, Altamaha, and possible transitional sherds returned a p-value of less than 0.001 (Table 20), suggesting that there is a statistically significant difference between the expected and observed surface treatments for these types. Based on the residuals, we can determine which surface treatments contribute most significantly to this result. Both rectilinear and cross simple stamping are much less common among Irene ceramics than expected, with residual values of -3.0 and -7.9 respectively (Table 21). Curvilinear stamping is much more common than expected, with a residual value of 7.7. These results are not surprising, as they are in keeping with the type descriptions. Among the possible transitional ceramics, the surface treatments that contribute most to the significance of the chi-square are plain and cross simple stamping, with residuals of 2.2 and -2.1 respectively. These factors contribute much less to the overall significance of the test than the notable traits from the Irene and Altamaha assemblages. Residuals indicate that most traits from the Altamaha assemblage contribute to the significance of the chi-square. The most significant of these is cross simple stamping, with a residual value of 10.0. This surface treatment is much more common among Altamaha than expected. Rectilinear stamping is more common than expected, with a residual of 3.0, and curvilinear stamping is less common than expected, with a residual of -9.5. Neither of these results are surprising, as this fits with the type description. Plain surface treatment also contributes to significance, with a residual of -2.5, indicating that there are fewer than the expected number of plain ceramics in the Altamaha assemblage. Based on the residual analysis, it seems that the transitional context has a mix of rectilinear and curvilinear stamping that is not found in the Irene and Altamaha assemblages, as well as a slightly higher than expected count of plain ceramics and a slightly lower than expected count of cross simple stamped sherds. Although the residuals for this trait do not indicate that it contributes greatly to the significance of the chi-square, it is also worth noting that there are no check stamped 72 Table 20. SPSS Output for Surface Treatment Chi-Square Test. Chi-Square Tests Asymptotic SigValue Pearson Chi-Square df 10 .000 45.248 10 .000 44.885 Likelihood Ratio nificance (2- a N of Valid Cases 222 Table 21. SPSS Output for Surface Treatment Crosstab with Residuals. Crosstab SurfaceTreatment Rectilinear Context Irene Count Residual Plain Curvilinear 'Cross Simple' Check Stamped 9 2 11 1 0 -3.0 .3 7.7 -7.9 -.3 Possi- Count 34 7 11 23 0 ble Residual .0 2.2 1.8 -2.1 -.7 Altama Count 49 4 3 44 2 ha Residual 3.0 -2.5 -9.5 10.0 1.0 Count 92 13 25 68 2 Transitonal Total Crosstab SurfaceTreatment Unidentified Context Irene Count 6 Residual Possible Tran- Count sitional Residual Altamaha Count 29 3.1 7 82 -1.1 9 Residual Total Total 111 -2.0 Count 22 73 222 sherds found in either the Irene or possible transitional contexts, though they are found in the Altamaha context. While it is not surprising that check stamped ceramics are absent from the Irene assemblage, as they are quite rare during this period, it is worth noting that they are missing from the possible transitional context. If this context is truly transitional, this may suggest that check stamping is a later Altamaha trait. Another chi-square test related to surface treatment compared land and groove widths across the contexts. For this test, only two cells had counts lower than five, with four each. No categories could be combined to fix this, but the counts are close enough that I feel confident moving forward with a chi-square analysis. This test also suggested a statistically significant difference between contexts, with a p-value of less than 0.001 (Table 22). As expected, the residuals indicate that the Irene assemblage had much lower than the expected number of sherds with wide lands and grooves and much higher than the expected number of sherds with narrow lands and grooves, with residuals of -9.1 and 5.1 respectively (Table 23). The transitional assemblage had fewer than the expected number of sherds with wide lands and grooves, indicated by a residual of -4.9. The Altamaha assemblage appears to have contributed the most to the significance of this test. This assemblage had much higher than the expected number of sherds with wide lands and grooves and a much lower than expected number of sherds with narrow lands and grooves, with residuals of 14.0 and -7.0 respectively. Again, this is not surprising, as it is in keeping with the type description. The Altamaha assemblage is the only one with fewer than the expected number of sherds with mixed narrow lands and grooves, as indicated by a residual of -3.0. The transitional assemblage seems to have a mix of both narrow and wide lands and grooves, as well as a number of sherds with mixed wide and narrow lands and grooves that most resembles the Irene assemblage. The final chi-square test was a comparison of temper across the assemblages. Of the three tests presented here, this one had the greatest number of cells with counts lower than five. Most temper categories cannot be grouped, but some could be combined. Sherds with mostly sand, but some grit temper, were combined with sand-tempered sherds in the sand category. Shell and grit/shell 74 Table 22. SPSS Output for Land and Groove Width Chi-Square Test. Chi-Square Tests Asymptotic SigValue Pearson Chi-Square Likelihood Ratio df nificance (2- a 6 .000 25.435 6 .000 26.504 N of Valid Cases 222 Table 23. SPSS Output for Land and Groove Width Crosstab with Residuals. Crosstab Land and Groove Width Wide Context 1 2 3 Count Both Total 7 10 8 4 Residual 2.0 -9.1 5.1 1.9 Count 16 49 10 7 Residual 2.0 -4.9 1.9 1.1 Count 15 87 4 5 -4.0 14.0 -7.0 -3.0 38 146 22 16 Residual Total Narrow Count 75 29 82 111 222 tempered sherds were combined into the shell category. The other category consists of temper types for which there was only one or two examples. These included, grit/sherd, grit/fiber, and composite tempers. The sherd with composite temper had roughly equal parts grit, clay, and shell. Even after these categories, temper was the least suitable trait for statistical analysis included in this study. It included nine cells with counts fewer than five and twelve cells with an expected count lower than five. As in the previously discussed examples, this is due to the nature of the data. Temper diversity increases with time, meaning that temper recipes that are represented in later samples will be absent from earlier samples. Thought the results of this test are less reliable statistically, they do reveal a culturally meaningful pattern, so it is worth proceeding with a chi-square. The chi-square returns a p-value of 0.024 (Table 24), indicating that there is a statistically significant difference between the expected and observed counts for this trait across the three assemblages. Based on the residuals, the Irene and possible transitional contexts contribute the most to the significance of the chi-square. The Irene assemblage has lower than the expected number of sherds with grit/sand temper and higher than expected numbers of sherds with grit/clay temper, with residuals of -2.2 and 4.7 respectively (Table 25). The possible transitional assemblage has greater than expected numbers of sand and grit/sand tempered sherds, with residuals of 2.8 and 2.2. It had fewer than the expected number of grit/clay tempered sherds, indicated by a residual of -3.2. Though these categories are not flagged as significant based on residuals, the Irene assemblage clearly has a low diversity in temper recipes, with counts of 0 for the sand, shell, and clay/ sand categories. Temper diversity appears to increase in the possible transitional assemblage, and increase further in the Altamaha assemblage. It is also worth noting that the rarer temper types, here combined into an other category, are most abundant in the Altamaha context. From this analysis, it appears that the transitional context has tempers that most resemble that of Altamaha assemblages, though they may be slightly less diverse, based on the lack of other categories in the transitional context. More testing would be needed to confirm this. Based on chi-squares comparing surface treatment, land and groove width, and temper, it 76 appears that the context that we have identified as possibly transitional is indeed unique. This assemblage has high frequencies of both rectilinear and curvilinear stamping, while Irene and Altamaha assemblages have mostly one or the other. It also lacks the check stamped surface treatment that is found in Altamaha assemblages. It has relatively high frequencies of both wide and narrow lands and grooves, while Altamaha and Irene assemblages have primarily one or the other, and it also has the highest frequency of mixed wide and narrow lands and grooves. Like the Altamaha assemblage, it has much greater temper diversity than the Irene assemblage, though possibly not as diverse as the Altamaha assemblage. It appears that these traits may be useful in the identification of transitional assemblages; however, more testing is needed. First, AMS dates are needed to confirm that the context that we have identified as possibly transitional does indeed represent a period of transition. While this analysis suggests that the assemblage is unique, this could be due to social factors such as family or ethnic group differences, especially when we take into consideration the diverse groups that would have occupied Sapelo at this time (eg, Worth 2007). Secondly, statistical analysis of additional traits would lend further support to this hypothesis. Decoration and vessel form could be incredibly useful in the identification of transitional contexts, but sample sizes for sherds with these traits were too small in this dataset to even consider for statistical analysis. Repeating some of these tests with larger sample sizes may also lend additional support to this argument. 77 Table 24. SPSS Output for Temper Chi-Square Test. Chi-Square Tests Asymptotic SigValue Pearson Chi-Square df 10 .024 22.856 10 .011 20.658 Likelihood Ratio nificance (2- a N of Valid Cases 222 Table 25. SPSS Output for Temper Crosstab with Residuals. Crosstab Temper Sand Context Irene Count Residual Possibly Count Transi- Residual Grit/ Grit/Clay Shell Clay/ Other Total 0 20 8 0 0 1 -.8 -2.2 4.7 -1.4 -.7 .3 5 65 6 5 1 0 2.8 2.2 -3.2 .9 -.8 -1.8 1 85 11 6 4 4 -2.0 .0 -1.5 .5 1.5 1.5 6 170 25 11 5 5 82 111 tional Altamaha Count Residual Total Count 78 222 Thin Section Analysis The thin section analysis was conducted using both sherds described in the above section on the Altamaha portion of this assemblage as well as sherds that were pulled from other previously excavated contexts, to allow us to test more varieties than were identified in our initial analysis. Overall, thin section analysis showed very little difference between the ceramic types in terms of temper. The two Savannah sherds (Figure 60) had the lowest average percentage of grit, at 11.2%, as compared to Irene at 15.8% (Figure 61), Altamaha at 18.3% (Figure 62), and possible transitional sherds at 19.4% (Figure 63). However, this may be influenced by the particularly small sample of Savannah sherds, with the entire series represented by only two thin sections. Clay was most common among the possible transitional sample at 4.5% and was represented by less than 1% in all other samples (actual percentages are displayed in the table below). It was commonly identified in thin section, even when it was not noted in macroscopic examination. Percentages for sand, paste, and voids were similar across all types, and all other temper types and inclusions (sherd, shell, fiber, mica, unidentified, and possible charcoal) were represented by an average of less than 0.1% to 2%. There was variation from sherd to sherd, largely in agreement with macroscopic temper identifications performed before thin section preparation, meaning that our macroscopic analysis is fairly accurate. However, there appears to be little variation across series. The thin section analysis of the Altamaha varieties that were selected (Altamaha, Belle Marsh, Darien, Mud River, and Sapelo) were more or less consistent with what was expected. The Altamaha variety showed the most diversity in unexpected inclusions, usually amounting to one or two per sherd. As expected, the temper was composed primarily of grit and sand. The Darien (Figure 62e) variety was also mostly grit and sand, but with a higher percentage of sand than the Altamaha variety (Figure 62 a-c), in keeping with our definition of this variety as having a finer paste. The Mud River sherd (Figure 62f) was also composed primarily of grit and sand, as expected. This variety is based on the presence of an iron oxide film around the quartz crystals. The presence of this film was noted on both grit and large sand particles. The Belle Marsh variety (Figure 62d) is defined by shell temper, but shell only made up 79 0.5% of the Belle Marsh thin section. Only one large piece of shell was observed in the thin section, even though several are visible along the sherds broken edges. Upon reexamination and comparison with the portion of the sherd from which the thin section was taken, it appears that one or two sizable pieces of shell may have fallen out of the sherd during the thin section preparation process. Similarly, the Sapelo variety (Figure 62g), which is defined by the presence of clay temper, was made of only 0.63% clay. However, it was noted during thin section analysis that there were fine pieces of clay that were missed by the point counting grid. It should be noted that this sherd had a lower percentage of clay than both the Altamaha and Mud River varieties. Of all of the varieties that were developed for this project, this one seems the most questionable, though this analysis is based on a single thin section, which may not be representative of the whole sherd. Overall, the varieties that were developed for this analysis seem to be supported by thin section analysis. Both the Belle Marsh and Sapelo varieties may require further investigation, but they were composed of the materials predicted by the newly created varieties, though at times in smaller quantities than expected. Surprisingly, there was no significant difference in temper frequencies across types, suggesting that tempering techniques did not change drastically over time. Based on this admittedly small analysis, it would seem that clay preparation techniques were relatively stable throughout the Late Prehistoric and Mission periods. A B Figure 66. Savannah Sherds in Thin Section. A: Savannah grit/sand tempered sherd (UK6829.1), B: Savannah sherd/grit tempered sherd (UKUK630.3). 80 A B C D E F Figure 67. Irene Sherds in Thin Section. A-C: Irene grit/sand (UK6863, UK6817.2, UK6866.1), D-F: Irene grit/clay (UK6825.2, UK6866.2, UK6867). 81 A B C D E F Figure 68. Altamaha Sherds in Thin Section. A-C: Variety Altamaha (UK6267.1, UK6309, UK6266.1), D: Variety Belle Marsh (UK6265.1), E: Variety Darien (UK6850.1), F: Variety Mud River (UK6310), and G: (next page) Variety Sapelo (UK6263.1). 82 Figure 68 Continued. Variety Sapelo in Thin Section (UK6263.3). G 83 A B C D E F Figure 69. Possible Transitional Irene/Altamaha Sherds in Thin Section. A-E: Irene/Altamaha grit/sand sherds (UK6100, UK6842.1, UK6842.6, UK6864, UK6861.2) and F: Irene/Altamaha sand tempered sherd (UK6857.9). 84 85 UK6857.9 6 UK6867 2015-15-1 7 48 46 - W 48 NA NA NA NA UK6861.2 48 50 50 NA 50 64 NA NA NA 3 UK6842.6 42 42 48 42 UK6864 24 48 UK6825.2 NA 47 UK6866.2 2015-18-1 46 - East UK6866.1 2015-18-1 46 - East 126 UK6310 126 6 126 UK6265.13 UK6850.1 UK6266.19 50 NA 48 45 42 3 114 126 Feature UK6842.1 UK6340.33 UK6263.3 Unit NA NA NA 50 NA 50 FS# UK6100 32 STP 346 UK6863 2015-26-1 46 UK6829.1 NA 47 UK6267.1 126 42 UK6817.2 NA 47 UK6309 126 42 Cat# 2 2 3 4 2 2 2 1 NA NA 2 NA 1 2 NA NA 3 3 NA 1 NA Level Grit/Sand Sherd/Grit Clay/Sand Altamaha Comp Stamped Savannah Check UID Altamaha Grit/Clay NA NA Altamaha Overstamped Irene Comp Stamped Grit/Clay Grit/Sand Grit/Sand NA NA NA NA Altamaha Overstamped Altamaha NA Irene Comp Stamped Irene Comp Stamped Irene Comp Stamped Body Body Body Body Body Body Body Body Altamaha Comp Stamped NA Rim Body Body Body Rim Body Body Partial Vessel Body Body Rim Rim Rim Fragment Type Altamaha Comp Stamped Mud River Quartz w/ Iron Oxide Altamaha Comp Stamped Belle Altamaha Red Film Darien Altamaha Comp Stamped Altamaha Grit/Shell Sand Grit/Clay Grit/Sand Grit/Sand Irene Comp Stamped NA Irene Comp Stamped NA Savannah Check NA Altamaha Red Film Altamaha UID Irene NA Altamaha Overstamped Altamaha NA Sapelo Temper Variety Series Table 26. Sherds Used for Thin Section Analysis. The table lists both the sherds context and the percentage of each temper component. Possibly Transitional Possibly Transitional Possibly Transitional Possibly Transitional Possibly Transitional Notes Possibly Transitional Piece Plot Scanning Electron Microscope Analysis The SEM analysis of thick sections was successful, though the slips were more difficult to identify using the epoxy embedding method than in preliminary studies using the edges of freshly broken sherds. However, this method stabilizes the sherd surface before cutting, which ensures that the slip (if one is present) will be present at the cut edge of the sherd. When breaking the sherds, the slips often flaked or chipped off, so that they could not be seen along the broken edge. The epoxy embedding method allows for a more standardized cross section of the slip and the slip is still identi- fiable. Of the six sherds examined with the SEM, only the Altamaha Red Filmed sherd had a readily identifiable slip. On this sherd, there was a visible change in texture between the body of the sherd and the slip at its surface. This texture change was not present on the sherds that were recorded as having blackened surfaces or possible orange or white slips, even after examination under higher magnifications than those needed to identify the red film. This indicates that most of the colorations that were previously recorded as possible slips are the result of oxidation during the firing process, rather than the application of a second, finer material to the vessels surface before firing. Based on this study, red filming represents a new technology, rather than a simple change in color preference. 86 Epoxy Slip Body Figure 70. SEM Photo of an Altamaha Red Filmed Sherd Epoxy Body Figure 71. SEM Photo of an Altamaha Sherd Originally Coded as Having an Orange Slip. 87 Epoxy Body Figure 72. SEM Photo of an Altamaha Sherd Originally Coded as Having a White/Tan Slip. Epoxy Body Figure 73. SEM Photo of an Altamaha Sherd with a Blackened Interior. 88 Epoxy Body Figure 74. SEM Photo of an Irene Sherd Originally Coded as Having a White/Tan Slip. Epoxy Body Figure 75. SEM Photo of an Irene Sherd with a Blackened Interior. 89 Conclusions The goals of this study were to determine whether Late Prehistoric mixed trait sherds on Sapelo Island represent a period of transition, as well as to determine when this transition occurred at Site 9Mc23. Unfortunately, we did not recover enough datable material to give a more specific date for this transition. However, it appears that the context that we identified as possibly transitional is different from Irene and Altamaha contexts at the site in terms of surface treatment, land and groove width, and temper. This might indicate that we have identified a period of transition. Even if this transition occurred over the course of a single generation, as has been suggested (Saunders 2000), it was not immediate. However, the possible transitional context may be the result of social, rather than temporal differences. The identification of a possible transitional period is based largely on the results of the excavation of the shell midden in Units 48 and 51, which contained both Irene and Altamaha ceramics, as well as some sherds with traits belonging to both series. The inclusion of all of these ceramic types in a single midden suggests that they were produced simultaneously and by the same people. The excavation of more contexts like this one and radiocarbon dates from those contexts would be helpful in confirming the transitional nature of this context. Testing for differences in non-diagnostic traits among Irene, Altamaha, and possible transitional sherds showed no statistically significant differences. However, statistical tests for differences between Irene, Altamaha, and possible transitional contexts suggested that there may be statistically significant differences at the assemblage level, which may be useful in the identification of transitional contexts. It seems that transitional contexts may be identified by the presence of ceramics with greater temper diversity than Irene assemblages, as well as mixed wide and narrow land and groove widths. Surface treatment may be the most useful trait. Transitional contexts have mixed curvilinear and rectilinear surface treatments and contain fewer check stamped and cross simple stamped sherds than Altamaha contexts. They may also contain more plain ceramics. The context identified as possibly transitional differed from the Irene and Altamaha contexts in temper, surface treatment, and land and groove width. These differences are evidence that the midden is different in some way from the Irene and Altamaha contexts. However, this does not confirm that the midden is transitional. It may be the case that the midden was deposited by a different ethnic or family group from the 90 other contexts that were considered in this study, especially when the great diversity of groups that congregated on Sapelo Island to avoid raids by the English-backed Westo and pirates is taken into consideration (Worth 2007). Thin section analysis did not identify significant changes in temper technologies through time, with the exception of an increase in the diversity of temper during the Altamaha period. The small sample size may have influenced these results, making it more difficult to accurately identify these differences. However, this analysis did confirm that there are differences in the tempers of the Altamaha varieties that were created for this study. While the sample sizes used were not large enough to make any definite statements about the significance of these differences, the creation of these categories opens up a new avenue for future study. Red filming was the only slip that could be identified in the SEM study, suggesting that this trait represents a change in technology, not the continued use of the same techniques with a new color. This is the best example of highly visible change identified in this study. The fact that this technique is primarily associated with colonowares, which are clearly associated with the Spanish, suggests that it might be the result of Spanish influence. It may not be the case that the Spanish were directly involved in this process, by directing Guale pottery production. It seems more likely that this is a revival of an old technique, encouraged by market forces. A comparison of Altamaha Red Filmed ceramics with other, earlier, red filmed ceramics is necessary to fully understand this development. While it is clear that the context that we initially identified as possibly transitional is different from the other Irene and Altamaha contexts used in this study, more investigation is needed to understand the significance of that difference. The excavation of more possible transitional contexts, and AMS dating of those contexts, is needed to confirm that these ceramics were actually produced at the time of the transition from Irene to Altamaha. Statistical comparisons of ceramics from different areas of Site 9Mc23 to determine how much variation can be expected across the site, may also be helpful in determining whether this is a factor in this analysis. 91 References Cited Caldwell, Joseph R. and Catherine McCann 1941 Irene Mound Site, Chatham County, Georgia. University of Georgia Press, Athens. Crook, Morgan R. 1980 Archaeological Indications of Community Structures at the Kenan Field Site. In Sa pelo Papers: Researches in the History and Prehistory of Sapelo Island, Georgia, edited by D. P. Juengst, pp. 89-100. Studies in the Social Sciences. West Georgia College, Carrollton, Georgia. Crook, Morgan R., Jr. 1984 Evolving Community Organization on the Georgia Coast. Journal of Field Archaeology 11(3):247-263. Deagan, Kathleen 1983 Spanish St. Augustine: The Archaeology of a Colonial Creole Community. Academic Press, New York. Deagan, Kathleen and David Hurst Thomas 2009 Epilogue. In From Santa Elena to St. Augustine: Indigenous Ceramic Variability (A.D. 1400-1700), edited by K. Deagan and D. H. Thomas, pp. 209-212. Anthropological Papers of the American Museum of Natural History. American Museum of Natural History, New York. DePratter, Chester B. 1991 W.P.A. Archaeological Excavations in Chatham County, Georgia: 1937-1942. Laboratory of Archaeology Series Report. 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McMichael, Alan E. 1980 A Model for Barrier Island Settlement Pattern. In Sapelo Papers: Researches in the History and Prehistory of Sapelo Island, Georgia, edited by D. P. Juengst, pp. 47-60. Studies in the Social Sciences. West Georgia College, Carrollton, Georgia. 92 Moore, Christopher R. 2009 Analysis of Native American Ceramics. In In Search of Mission San Joseph de Sapala: Mission Period Archaeological Research on Sapelo Island, Georgia, edited by Richard W. Jefferies and Christopher R. Moore, pp. 70-159. University of Kentucky. Sub mitted to Georgia Department of Natural Resources. Moore, Christopher R. and Richard W. Jefferies 2014 Who Were the Guale? Reevaluating Interactions in the Mission Town of San Joseph de Sapala. In New Perspectives on Spanish Missions in the Indigenous Landscape, edited by L. M. Panich and T. D. Schneider, pp. 79-92. University of Arizona Press, Tucson. 2016 Investigating a possible Spanish Military Structure at the Site of San Joseph de Sapala, Sapelo Island, Georgia. Paper preented at the 2016 Conference on Historical and Underwater Archaeology, Washington, D.C. Reitz, Elizabeth J. and Joel Dukes 2008 Change and Stability in Vertebrate Use between the Irene Period and the Mission Period: Nonhuman Vertebrate Remains from Meeting House Field and Fallen Tree. In Native American Landscapes of St. Catherines Island, Georgia: The Data, edited by D. H. Thomas, pp. 778-298. Anthropological Papers of the American Museum of Natural History. American Museum of Natural History, New York. Sassaman, Kenneth E. 1993 Early Pottery in the Southeast Tradition and Innovation in Cooking Technology. University of Alabama Press, Tuscaloosa. Saunders, Rebecca 2000 Stability and Change in Guale Indian Pottery, A.D. 1300-1720. 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West Georgia College, Carroll ton, Georgia. Simpkins, Daniel L. and Dorothy J. Allard 1986 Isolation and Identification of Spanish Moss Fiber from a Sample of Stallings and Orange Series Ceramics. American Antiquity 51(1):102-117. Stoltman, James B. 93 2001 The Role of Petrography in the Study of Archaeological Ceramics. In Earth Sciences in Archaeology, edited by Paul Goldberg, Vance T. Holliday, and C. Reid Ferring, pp 297-326. Kluwer Academic/Plenum Publishers, New York. Thomas, David Hurst 2008a Foragers and Collectors, Fishers, and Farmers: Implications for St. Catherines Island Archaeology. In Native American Landscapes of St. Catherines Island, Georgia: The Theoretical Framework, edited by D. H. Thomas, pp. 234-292. Anthropological Papers of the American Museum of Natural History No. 88, part I. American Museum of Natural History, New York. 2008b Foragers and Collectors, Fishers, and Farmers: Implications for St. Catherines Island Archaeology. 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... Examining Newspaper Reports about Sexual Violence K. Martin Violence against women, particularly sexual violence, is not a new phenomenon. However, recent years have seen a relative increase in education programs and awareness around sexual violence what it entails, whom it affects, the impact it has, and how individual incidents relate to society as a whole (DeGue, Fowler, and Randall 2014). Both as a result of and as a contributor to the increased awareness around sexual violence against women, there seems to be greater news media coverage of the issue covering specific, high-profile cases and covering the issue at a community or societal level (Lowenstein 2014). When looking at sexual violence in society and how it is reported in the media, gender is a key factor. Gender is a complex social construct that influences social structures and institutions, with gender inequality existing across institutions (Ferree 2010; Risman 2004). Those gender inequalities have become so engrained as to feel natural, and as a result, many social institutions perpetuate those inequalities (Ferree 2010; Risman 2004). Sexual violence is one example of how engrained gender inequalities manifest across multiple social institutions, including mass media (Ferree 2010; Risman 2004). Mass media is an important social institution that is influenced by and can influence gender and gender inequality (Ferree 2010; Risman 2004). Media has the power to break gender stereotypes and reduce inequality or to maintain the status quo of gender inequality (Risman 2004). As such, there is an obligation on media outlets to use that power responsibly, especially when it comes to issues as sensitive as sexual violence (Black 1995). Research has shown that there are a number of ways that the way in which news media reports incidents of sexual assault from word choice, to verb tense, to the types of details included, to the underlying message can affect how audiences view the specific incident and the issue at large, whether deliberately or 1 Examining Newspaper Reports about Sexual Violence not (Anastasia and Costa 2004; Berns 2001; Carlyle, Slater, and Chakroff 2008; Esteal, Bartels, and Bradford 2012; Franuik, Seefelt, and Vandello 2008; Henly, Miller, and Beazley 1995; Hollander and Rodgers 2014; Lamb and Keon 1995; Schwengels and Lemart 1986; Weimann and Gabor 1987; Wilcox 2005). The existing research shows a connection between specific written components and perceptions of sexual violence, but there is a need for more research on how the discussion of specific incidents of sexual violence connect to the issue of gender inequality in society (Anastasia and Costa 2004; Berns 2001; Carlyle et al. 2008; Esteal et al. 2012; Franuik et al. 2008; Henly et al. 1995; Hollander and Rodgers 2014; Lamb and Keon 1995; Schwengels and Lemart 1986; Weimann and Gabor 1987; Wilcox 2005). With increasing public awareness around sexual violence and increased media coverage, it is important that the issue and individual incidents of sexual violence are reported in a responsible way that accurately represents the incident, avoids re-victimizing or blaming the victim, and addresses how individual incidents are influenced by and can influence society as a whole. Because the local news outlets may be the primary source of information about sexual violence for a share of the population, the responsibility of the news source is critical as their reports can help shape the audiences perspective on the incident of sexual violence discussed as well as the overall issue of sexual violence against women in society (Mejia, Somji, Nixon, Dorfman, and Quintero 2015). Through content analysis of newspaper articles before and after three important societal milestones related to sexual violence against women in 1972, 1994, and 2009, I examine the ways that articles within a local newspaper discuss sexual violence and if incidents of sexual violence are contextualized in the greater societal discussion of sexual violence and gender inequality. I find that articles on incidents of sexual violence have become less sensitive to Examining Newspaper Reports about Sexual Violence victims over time and do little to connect sexual violence to gender inequality in society, perpetuating said inequality and bias against victims of sexual assault. Background The Centers for Disease Control and Prevention (CDC) defines sexual violence as any sexual act committed by a perpetrator without the victims consent or when the victim cannot give consent, up to and including rape (Basile et al. 2014). As of 2013, the Federal Bureau of Investigations definition of rape includes any kind of penetration of the anus or vagina by an object or body part of another person without the victims consent (Office of the Attorney General 2012). According to the 2010 National Intimate Partner and Sexual Violence Survey (NISVS), sexual violence disproportionately affects women about 20% of women in the United States and about 2% of men are victims of rape or attempted rape by someone at some point in their lives. Even more telling, more than two-in-five women and nearly one-in-four men have experienced other kinds of sexual violence during their lifetimes (Basile et al. 2014). Despite these numbers, it understood there are most likely more victims of sexual assault that are not reported during the data collection due to the sensitive nature of the subject and reliance on victim self-report (Basile et al. 2014). Incidents of sexual violence are not a single moment in the lives of the victims, as there are often long-term effects. The CDC National Center for Injury Prevention and Control, Division of Violence Prevention (2014) note that there are both short-term and long-term effects, such as injury or post-traumatic stress disorder, respectively, related to sexual violence: more than one-quarter of women in the United States and more than one-tenth of men have experienced contact sexual violence, physical violence, or stalking by an intimate partner and Examining Newspaper Reports about Sexual Violence reported significant short- or long-term impacts. The data reflect an important issue that affects a disproportionate number of women in society with consequences that last a lifetime. Theoretical Perspectives Gender is a lifelong process of performed behavior that is influenced by and reinforces social structures (Ferree 1990, 2010). According to West and Zimmerman (1987), gender is not something that is or a person has gender is something every individual does through their interactions with others every day; gender is a social construct. However, gender is not a single institution or facet of an institution but an inequality that exists across institutions (Ferree 2010; Risman 2004). Doing gender does not just exist at the microsocial interpersonal level (Ferree 2010). Gender is in itself a complex social structure that is interconnected between the gendered individual, the interactional norms of society, and greater institutional regulations (Risman 2004). Inequalities are created and reinforced at all three levels, and the multidimensional structure model enables examinations into how social change happens at each level (Risman 2004). When looking at how gender inequalities are created based on embodied cultural expectations, particularly as it relates to reporting on sexual assault, one can investigate the social processes of status expectations, cognitive bias, othering, and alter casting (Risman 2004). In every day interactions, the status expectations that exist based on gender can include ideas that women have less to contribute to society than men, and as such, these status expectations perpetuate the status quo that leads to gender inequality (Ridgeway 1993; Risman 2004). Despite the fact that most people would rationally argue that such status expectations are inaccurate, they can still lead to cognitive biases that lead to judgments based on these perceived inequalities Examining Newspaper Reports about Sexual Violence based on gender (Risman 2004). Othering is a strategy, whether intentional or subliminal, used by a dominant societal group men in the case of sex to define the non-dominant group as subordinate, different, and less than the dominant group (Risman 2004; Schwalbe et al. 2000). Finally, altercasting is a strategy to persuade people to behave in a certain way by forcing them into a certain social role (Risman 2004). For example, perpetuating ideas by telling a woman that as a wife and mother, she should stay at home with the children instead of working. Women are more inclined to behave a certain way within the confines of the social role that society, men in particular, have placed on them through status expectations, cognitive bias, and othering (Ridgeway 1993; Risman 2004; Schwalbe et al. 2000). One of the primary ways gendered messages are shared and received is through the media. Mass media plays a huge role in the lives of individuals, and as such, media, especially news media, holds a great deal of power in its ability to influence how individuals see the world as a whole, as well as how they view specific issues (Anastasio and Costa 2004; Hollander and Rodgers 2014; Kasdan, Saxton, and Tavernetti 1998). Potter (2011) defines mass media as all of the organizations that deliver messages through technological outlets in order to attract a continuously growing audience that is conditioned to return to the outlet to receive these messages again and again. As individuals are socialized to the world, language plays an important role. Language has the power to shape how individuals view the world and how they perceive reality (Esteal, Bartles, and Bradford 2012; Lamb and Keon 1995). Media has the ability to frame language in a way that can influence how audiences interpret the language and understand the message being shared, and the more often language around an issue is framed in a certain way, the greater the chances that the audience will interpret it in that way and adopt that viewpoint (Carlyle, Slater, Examining Newspaper Reports about Sexual Violence and Chakroff 2008). As with other aspects of society and performance, language both influences the dominant beliefs and values of society and is greatly influenced by the dominant beliefs and values, so the reality that is constructed reflects and impacts those dominant ideas (Esteal et al. 2012). Similarly, media can both influence and reinforce the status quo. As male values dominate in society, this means the media can contribute to or counter gender stereotypes and discrimination (Hassan, Raza, and Khan 2014; Lamb and Keon 1995; Watkins and Emerson 2000). Specifically, Gerbner (1972) suggested that media representation is symbolic representation in that it portrays societys values and ideals. That leads to two contrasting theories related to the role of media in society regarding sex and gender: symbolic annihilation and the reflection hypothesis. The first, symbolic annihilation, describes how certain groups are absent from or underrepresented in media depictions and is often used to maintain existing social inequalities (Tuchman 1979; Watkins and Emerson 2000). The reflection hypothesis, on the other hand, suggests that the media acts as a mirror, reflecting the real-world values and beliefs of society (Tuchman 1979; Watkins and Emerson 2000). Symbolic annihilation of women in media does not allow for or severely limits accurate representations of women in the media, while the reflection hypothesis can be damaging if audiences believe male-generated depictions of women as a true reflection of reality. Media will include the kinds of issues that the public views as relevant and important, and the public will view them as relevant and important because they were highlighted by the media (Anastasio and Costa 2004). These media representations, especially news media, are an important components used by members of the public as they construct their reality and viewpoint around these important issues, including sexual violence and violence against women (Berns 2001). Examining Newspaper Reports about Sexual Violence Media Responsibility and Constraints According to Carlyle and colleagues (2008), both individual behavior and public policy can be affected by media coverage (Carlyle et al. 2008). As such, the media has an enormous responsibility. Black (1995) argues that the news media and journalists have ethical standards to not only report true and accurate information, but they also have an ethical responsibility to be compassionate to those about whom they are reporting to reduce the possible amount of harm that could come from the process as possible. However, as journalists are also humans living in a society, they are subject to the same societal factors that influence how all of us approach the world and the issues that arise (Black 1995). It is important to note that the process of gathering and distributing information for a news story is not an infallible process, nor is any focus of the mass media on particular issues (Hassan Raza and Kahn 2014). The idea of journalistic ethics and media responsibility comes into even greater focus when discussing reporting on criminal cases, because the balance of reporting accurate information and the idea of minimizing any harm that would be caused becomes much harder to achieve, and this balance becomes even more difficult to manage when discussing sexual violence cases (Black 1995). In addition to the ethical dilemmas related to reporting on cases of sexual violence, there are general constraints to news work that must be taken into account. Journalism is a business with corresponding economic pressures and time deadlines, so reporters prioritize newsworthy items that are often more sensationalized than other stories (Hollander and Rodgers 2014). In addition to this sort of bias toward sensationalism, reporters are part of the public and, as such, subject to draw on the same values and beliefs about the social world that are Examining Newspaper Reports about Sexual Violence considered norms. (Hollander and Rodgers 2014). Lamb and Keon (1995) highlighted that it is a good thing that reporters are often under attack for any biases that may creep into their writing given their highly influential role in shaping the opinions of the public because it provides some additional accountability for journalists to report as fairly and neutrally as possible. How Media Influences Perceptions of Sexual Assault According to Weimann and Gabor (1987), there is a history of criticism around how the news media reports on crime by overemphasizing violent crime, taking only surface-level looks at criminological issues, sensationalizing offenses, reinforcing stereotypes of victims and perpetrators, and giving priority to coverage of newsworthy events. The various aspects of violent crimes what it means to be a victim, what it means to be a perpetrator, what constitutes a random act of violence, what it means to be violent, etc. have become social constructs that are defined and interpreted in specific ways for specific ends (Hollander and Rodgers 2014), so it is important to understand how these factors come into play around reporting of sexual assault cases. Language is a critical component of how crimes, especially sexually violent crimes, are reported. As language can shape how individuals see the world, language can shape how individuals view the actors involved in a news story about a criminal case. The literature suggests several ways in which language may be used, intentionally or not, to influence perceived responsibility in news reports about violence against women: 1) using passive voice 2) using the couple as the agent; 3) obfuscating gender; 4) describing the non-consensual acts as consensual; 5) framing the assault; 6) providing certain details of the assault; and 7) using rape myths. Examining Newspaper Reports about Sexual Violence Passive Voice. One of the common elements in reporting is the use of passive over active voice, which can change how readers understand the content (Henly, Miller, and Beazley1995). Passive voice places the object of the sentence as the primary actor, while the subject is not named (in truncated passive voice) or included only in a phrase by so-and-so (Henly et al. 1995). Passive voice, especially truncated passive voice is used frequently in journalistic writing, especially when writing about crime, because it implies some neutrality toward the actors in the article and easily allows for writing about cases when the perpetrator of the crime is unknown or alleged (Lamb and Keon 1995). However, studies have shown that verb voice helps the reader understand the causal roles of the actors involved and can influence who they view as the responsible party and to what degree (Lamb and Keon 1995). For example, passive voice obscures the agency of the subject, or main actor of the sentence (Henly et al. 1995), so when reading about a crime written in the passive voice, the reader reflects on what has been done to the victim but not as much about the perpetrator who caused the crime (Lamb and Keon 1995). Rape, in particular, is often written about in the truncated passive voice, and a study by Henly, Miller, and Beazley (1995) shows that male readers are especially influenced by the use of passive voice when reading about violence against women they tended to attribute less harm to the victim and less blame on the perpetrator when the story was written in passive voice. Female readers, on the other hand, were less affected by verb voice (Henly et al. 1995). Couple as Agent. Language such as the pair fought or they engaged in sexual behavior is using the couple as the agent of the action as opposed to he hit or he assaulted which describes an individual taking action. Using language that describes both parties as the agent of an assault implies shared responsibility between the parties involved, despite the fact that there is a perpetrator and a victim (Lamb and Keon 1995). This can do two things to mitigate Examining Newspaper Reports about Sexual Violence the blame of the perpetrator and to affect societys understanding of the gender inequality at play regarding sexual assault. Using the agent as a couple degenders the issue, so men and women are more or less equal as agents (Lamb and Keon 1995). Degendering the issue implies first, that sexual and domestic violence affect women but actually impact men and women equally and suggests that women are just as violent as men, despite the fact that sexual and domestic violence disproportionately affects women and men are more often the perpetrators (Berns 2001; Lamb and Keon 1995). Obfuscation of Gender. Using non-gender specific pronouns is not the only word choice that can influence the readers amount of empathy for and blame on the victim, especially if the victim is female (Anastasio and Costa 2004). Use of terms, such as the victim and the perpetrator, obscures the genders of the parties involved in a sexual assault incident and who is responsible (Lamb and Keon 1995). As with using the couple as the agent, degendering the issue in this way suggests inaccurate proportionality between the genders as victims of violence and sexual assault (Berns 2001; Lamb and Keon 1995). Descriptions of the Non-Consensual Acts. How specific word choice influences the audiences empathy for the victim is not limited to identifying the parties involved, but it also includes how the specific acts are described. Due to limited words in the English language to describe sexual acts, along with myths about rape that are deep-rooted in society, there are situations of sexual violence in which non-consensual acts are described using the same terms as one would use to describe consensual sex, for example: fondling, engage in sexual intercourse, or brief touching(Esteal et al. 2012). These types of erotic or affection-laden terms are often opposed to what the victim actually experienced, so this sort of language Examining Newspaper Reports about Sexual Violence minimizes the violence of the act and leads to the reader maintaining a reality alternative to that of the victim (Esteal et al. 2012). Framing of the Assault. As Weimann and Gabor (1987) share, how the media depict the actors in a violent situation and who is responsible the victim and the perpetrator is critical in defining how the public views those sorts of crimes and what society can do about them. According to Wilcox (2005), the perceived innocence of a victim in news reports about sexual violence are often linked to how the women are represented, specifically, the idea that innocence is associated with purity, decency, ordinariness, and vulnerability among women. Alternately, violence is affiliated with the notion of masculinity; however, in violence against women with male perpetrators, the focus tends to turn on the innocence, or lack thereof, of the female victim instead of the guilt of the male assailant (Wilcox 2005). Higher shares of blame are placed on female victims who are attacked in what could be perceived as precarious situations, demonstrate a willingness to drink alcohol or consume illicit drugs, or had consensual sexual contact at another time or for another act (Esteal et al. 2004). For example, in news reports that depict intimate partner violence, the situation is framed, so the responsibility of ending the violence is on the victim to leave (Carlyle, Slater, and Chakroff 2008). Similarly, when a female is framed as the victim of a perpetrators obsession, the victim again becomes the reason for the violence by being the object of said obsession (Anastasio and Costa 2004). This becomes even more apparent when the word accuser is used instead of victim or alleged victim. Using the word accuser in reports may bias the reader against the victim because the accuser becomes the actor in the incident instead of the perpetrator who committed the crime (Franuik et al. 2008). In cases where the victim is the focus, any discussion of perpetrators tends to be on the specific perpetrator, not a larger discussion of the societal Examining Newspaper Reports about Sexual Violence factors that allow for the systemic violence against women to occur, which allows for the status quo remains (Anastasio and Costa 2004; Carlyle et al. 2008). Details of the Assault. The types of news reports about sexual and domestic violence may not always reflect the reality that is found in police reports (Schwengles and Lemart 1986). For example, according to Hollander and Rodgers (2014), news reports would have one believing that when women are assaulted, it is usually by a male stranger in a public place, and after the assault, the victim is helpless and in need of male support. Newspaper articles are more likely to report on sexual assault incidents that follow this pattern the perpetrator is a stranger to the victim, force was used, the initial contact happened outside the home, and, in a slight deviation, the victim is a student (Schwengels and Lemart 1986). Similarly, Franuik, Seefelt, and Vandello (2008) suggest that the more the victim can describe their assaults as violent attack by a stranger, the more believable and sympathetic they are. Even if additional details are included in the police report, newspapers are less likely to report whether the victim tried to resist the assault or protect herself, whether there were witnesses nearby, whether the victim was injured in some way, the victims race, and any information about the perpetrator, unless he is under 35, in which age may be shared (Schwengels and Lemart 1986). Hollander and Rodgers (2014) note whether or how women tried to resist their attackers in cases of sexual violence are rarely reported, and only a small share of news reports depict women as competent and able to defend themselves. Also woefully underreported, at least according to Carlyle, Slater, and Chakroff (2008), is alcohol and drug use in cases of intimate partner violence. The share of news reports about intimate partner violence that mention alcohol or drug use is much smaller than the epidemiological estimates of incidents in which there was some substance use. The fact that reports of female self-defense and drug and alcohol use related to violent crimes are only Examining Newspaper Reports about Sexual Violence discussed in an episodic framing, they appear to be the exception instead of the norm. This means that the lack of accurate reports not only skew how the public understands the risk related to those the ability for a woman to fight back against an attacker, but they are not discussed within the full social context, so discussion of big-picture, societal solutions to the underlying issues are difficult (Carlyle et al. 2008; Hollander and Rodgers 2014). Rape Myths. The differing realities between the actual assault and the media version may also be purported by the use of rape myths in news reports about sexual violence (Franuik et al. 2008). Rape myths are the false, though commonly held, ideals that suggest an incident of sexual violence did not take place (Franuik et al. 2008). According to Franuik, Seefelt, and Vandell (2004), the common rape myths are that the victim is lying about being sexually assaulted, the victim did something to deserve it, the victim asked to be assaulted in some way, the perpetrator is excused because he wasnt able to stop himself, the perpetrator isnt the kind of person who would do such a thing, or the sexual assault is trivial or a natural part of life. While reporters may not use these rape myths intentionally, they are often the base reaction to sexual violence as self-protective measures they suggest it is possible for a woman to prevent herself from being sexually assaulted, the perpetrators are just particularly bad men, and rape is not all that serious anyway (Franiuk et al. 2008). Here, I set out to examine several issues. I look first at verb voice; then I turn to degendering of the victim or perpetrator; then descriptions of non-consensual sex acts using consensual terms; then I look at the details provided about the victim and the assault; and then I turn to the use of specific rape myths. Finally, I explore whether specific sexual assault incidents are contextualized into the broader societal discussion of sexual violence and gender inequality. Examining Newspaper Reports about Sexual Violence Methods Content analysis was used to examine the use of language in newspaper articles reporting on cases of sexual violence before and immediately succeeding the following legislative milestones: the passage of Title IX in 1972, the passage of the Violence Against Women Act in 1994, and the No Taxpayer Funding for Abortion Act that was proposed in Congress in 2011. These specific milestones were chosen because of their impact on gender issues specifically related to sexual assault. Title IX is part of the Education Amendments of 1972 and aims to protect all people from being discriminated against based on sex in federally-funded education programs or activities (Office for Civil Rights 2015). While not initially used in this way, in recent years, Title IX has had a great influence on how on-campus sexual violence incidents are addressed by colleges and universities. The Violence Against Women Act (VAWA) had a dramatic effect on how the criminal justice system responded to violence against women, especially sexual violence, and the services and supports available to victims of said violence (The White House n.d.). Unlike the other two pieces of legislation, the proposed No Taxpayer Funding for Abortion Act did not pass in Congress to become law and did not legislate changes related to sexual violence against women. Legitimate rape was used by one of the bills cosponsors, Representative Todd Akin of Missouri, when describing how legitimate rape does not lead to pregnancy for biological reasons (Millhiser 2012). Forcible rape was used in the bill by Akin and his co-sponsor Representative Paul Ryan of Wisconsin and defined only as rapes involving overt acts of violence (Millhiser 2012). This bill brought the language around sexual violence, the role of the victim, and the role of the perpetrator into the national spotlight in an important way. Examining Newspaper Reports about Sexual Violence Procedure The focus of the study is on articles published in The Indianapolis Star during the years 1970, 1974, 1992, 1996, 2009, and 2013, which includes the two years before and two years after each respective piece of legislation. Reviewing the articles two years prior to the legislation will allow for a more accurate general look at reporting during the time period before the legislation was enacted/proposed while avoiding any potential inciting events that may have led to the legislation that received exceptional news coverage. Similarly, reviewing articles from two years after the legislation will allow time for the initial response and coverage of the issue to settle, so there is again, a more accurate look of how sexual violence was reported following the legislation. The articles were chosen by searching The Indianapolis Star archives on Newspapers.com using the keywords sexual assault, rape, sexual violence, assault, intercourse, carnal knowledge, and sex by force, The articles were reviewed to confirm that they discuss sexual violence, include at least three sentences, reference a specific incident of sexual violence, and refer to both the victim and perpetrator in some capacity. Only articles reporting unique incidents for that year were included in the analysis, using the earliest article published on the incident. In all, 361 distinct articles were included in the analysis, as identified in Table 1 below. Table 1: Number of articles analyzed by year Year 1970 1974 1992 1996 2009 2013 Total Number of Articles 51 59 59 95 31 39 362 Examining Newspaper Reports about Sexual Violence Coding For each article selected, the following variables were coded for use of soft language, descriptions of who can be assaulted, any mitigating or escalating factors that would lead to sexual violence, use of rape myths, discussion of the alleged perpetrators guilt or innocence, and the consideration of the incident of sexual violence as related to global social issues of gender inequality. Coding was based on the presence of each theme, not the number of times they appeared in the articles. A codebook was developed based on the literature reviewed and tested by two coders who used it to analyze the same 15, randomly-selected articles. Both coders used a Microsoft Excel spreadsheet to track which codes were present in each article. Based on the results of the double coding, the codebook was refined. For the final analysis, the articles were coded for 24 variables. Descriptions of the variables are included in Table 2 below. Table 2: Article code themes and variables Theme Variable Description Soft Language Passive Voice Grammatical construction that places the object of the action as the subject of the clause instead of the actor, which places the focus of the sentence on the object instead of the acting agent. Description of action happening to the victim or perpetrator specifically related to the act of sexual violence. Instead of describing the victim or the perpetrator as the main actor in the incident, they are presented as a unit, together, as the doers of the actions related to the assault Use of gender-neutral terms to describe the victim or perpetrator instead of gender-specific pronouns Use of terms that generally describe consensual sexual or romantic acts when describing the activities related to an incident of sexual violence Use of the term accuser instead of victim or alleged victim; includes the idea that the perpetrator is in the position only because the victim has filed a complaint or charges Use of the term accused instead of perpetrator, alleged perpetrator, attacker, or alleged attacker Use of terms that paint the victim as unexceptional or one of many of a similar type Use of terms that paint the perpetrator as unexceptional Couple as Agent De-gendered Descriptors Descriptions of NonConsensual Acts as Romantic Victim as Accuser Perpetrator as Accused Who Can Be Assaulted Victim as Ordinary Perpetrator as Ordinary Examining Newspaper Reports about Sexual Violence Sympathetic Victim Escalation Factors Victim as Violent Perpetrator as Violent Victims Drug/Alcohol Use Rape Myths Perpetrators Drug/Alcohol Use Previous Relationship between Victim and Perpetrator Victim Is Lying Victim Deserved It Victim Asked for It Perpetrator Couldnt Stop Perpetrator Too Good Shock at Perpetrator Rape Is Trivial/Normal Guilt Alleged Perpetrator Is Guilty or one of many of a similar type Suggestion that the victim is particularly worthy of compassion and empathy, often considered to be vulnerable members of society Accounting any physical or sexual violence or threats of violence on the part of the victim leading up to the incident of sexual violence, whether or not the violence was directed toward the eventual assailant. This includes any reference s to a history of physically or sexually violent actions. This does not include actions that are specified as self-defense. Accounting any physical or sexual violence or threats of violence on the part of the perpetrator leading up to the incident of sexual violence, whether or not the violence was directed toward the eventual victim. This includes any references to a history of physically violent actions. This does not include actions that are specified as self-defense. Accounting any consumption of alcohol or drugs on the part of the victim Accounting any consumption of alcohol or drugs on the part of the perpetrator Indication of prior history between the victim and the perpetrator, whether romantic, friendly, co-workers Suggestion that the victim is falsely accusing the perpetrator, including motive for lying Suggestion that the sexual violence was justified based on the kind of person the victim is Suggestion that the sexual violence happened because the victim wanted to be assaulted or put herself in an especially vulnerable situation Suggestion that the attacker was overwhelmed by his baser instincts and not responsible for his actions, such as the victim incited the assault Suggestion that the perpetrator is a decent, caring individual incapable of committing such a crime Suggested surprise or disbelief that the perpetrator would do such a thing given his social or professional status/standing; not disgust-related shock at the heinousness of a crime Suggestion that sexual violence is not violence but just unwanted sexual contact, so it is not a big deal and just a part of life Specific mention of the conviction or sentencing of the perpetrator related to the current sexual assault case; does not include results of civil suits or organizational disciplinary action Examining Newspaper Reports about Sexual Violence Innocence Alleged Perpetrator is Innocent Connection to Gender Issues Sexual Violence as Gender Issue Specific mention of the acquittal of the suspect related to or dismissal of the current sexual assault case; does not include results of civil suits or organizational disciplinary action Relating the particular incident back to sexual violence as a broad, social issue related to gender inequality Results All of the 362 articles included at least one of the five negative code themes, with more than three-quarters of the articles (76 percent) including at least three themes. While article length was not a variable analyzed for all of the articles, a sample of five articles from each year studied 30 articles total suggest that the number of themes found in each article does not correlate to the length of the article. As seen in Figure 1, the most common theme is who can be involved in sexual violence, with more than nine-in-ten articles (91 percent) referring to the victim as ordinary or especially sympathetic or the perpetrator as ordinary. Nearly three-quarters of the articles (74 percent) referenced some escalating factor that led to the sexual assault, and 72 percent used soft language to describe the incident. Almost one-half (49 percent) use at least one of seven rape myths. One-in-five articles specifically note that the perpetrator was convicted of the sexual assault, while only one-in-twenty document that the alleged perpetrator was acquitted or the case was dismissed. Only 13 percent of the articles connect the incident of sexual violence to global gender issues. Examining Newspaper Reports about Sexual Violence Figure 1: Total articles by code theme Soft Language 72% Who Can Be Assaulted 91% Escalation Factors 74% Rape Myths 49% Guilt 20% Innocence 5% Connection to Gender Issues 13% 0% 20% 40% 60% 80% 100% Table 3: Articles by code theme by year 1970 1974 1992 1996 2009 2013 Soft Language Could Be Anyone Escalation Factors Rape Myths Guilt 31% 39% 84% 90% 87% 95% 86% 90% 89% 92% 94% 95% 71% 75% 76% 74% 74% 72% 29% 29% 55% 54% 55% 62% 24% 14% 28% 9% 23% 23% Innocence Connection to Gender Issues 2% 10% 3% 14% 9% 17% 5% 9% 6% 0% 0% 26% Soft Language Soft language in descriptions of sexual violence includes the use of passive voice, referring to the couple as the agent of the incident, using de-gendered language, describing nonconsensual acts in a romantic or consensual way, and referring to the victim as the accuser or perpetrator as the accused. Figure 2 shows the share of articles in each year that use at least one form of soft language. In the 1970s, the use of soft language was much less frequent than in later years. While fewer than two-in-five articles in 1970 and 1974 (31 percent and 39 percent, Examining Newspaper Reports about Sexual Violence respectively), the number jumped to more than four-in-five by 1992, with 95 percent of the articles in 2013 using at least one type of soft language. Figure 2: Articles that use soft language by year 100% 80% 84% 90% 95% 87% 72% 60% 40% 39% 20% 31% 0% 1970 1974 1992 1996 2009 2013 All The most common form of soft language used in the articles is gender-neutral descriptors of the victim and perpetrator, as two-in-five articles reflect this. For example, a 2009 article stated, The assailants reportedly beat the victim, (Star Staff 2009). Almost the same share of articles (38 percent) used passive voice in describing the sexual assault incident, such as, She was taken from the home and driven to a vacant lot...where she was raped, (Staff and Wire Reports 1992). Around the same percentage of articles used romantic or consensual language to describe sexual violence (15 percent), referred to the perpetrator as accused (13 percent) , and referred to the victim as the accuser (10 percent). Examples of consensual language include the description of a rape as, In the moments that followed, the then 23-year-old woman lost her virginity, (Evans 2013) or a 1992 article that read, A 17-year-old female student said he [assailant] kissed, fondled and propositioned her, (Staff and Wire Reports 1992). Only two percent of the articles Examining Newspaper Reports about Sexual Violence made the couple as the agent of the action, as a 2009 article did with After she [the victim] accompanied Smith [assailant] on [police] runs, she and Smith engaged in sex, (Murray 2009). Figure 3: Total articles by use of soft language De-gendered Language 40% Passive Voice 38% Use of Consensual Descriptions 15% Perpetrator as Accused 13% Victim as Accuser Couple as Agent 10% 2% 0% 10% 20% 30% 40% 50% Table 4: Articles by strong language variable by year 1970 1974 1992 1996 2009 2013 Degendered Language 8% 8% 41% 61% 45% 30% Passive Voice Consensual Descriptors Perp as Accused Victim as Accuser Couple as Agent 14% 34% 40% 46% 52% 41% 6% 2% 18% 22% 29% 18% 4% 0% 9% 14% 32% 33% 2% 3% 15% 11% 12% 13% 0% 0% 1% 1% 3% 10% Who Can Be Assaulted Descriptions of victims as one of a large group or especially sympathetic relate to readers understanding of who can be assaulted, and descriptions of perpetrators as one of a group relate to readers understanding of who commits sexual assault. In each year for which articles were analyzed, about nine-in-ten articles used at least one of these descriptions, as seen Examining Newspaper Reports about Sexual Violence in Figure 4. While 1970 has the smallest share of articles using these variables, that share is still 86 percent. In 2013, 95 percent of the articles described victims or perpetrators in this way, which was the largest percentage. Figure 4: Articles that describe who can be assaulted by year 100% 80% 86% 90% 89% 92% 94% 95% 1974 1992 1996 2009 2013 91% 60% 40% 20% 0% 1970 All In the articles, when the authors suggest the victim is ordinary, the victim is extraordinarily sympathetic, or the perpetrator is ordinary, this leads to the understanding of whom common victims and perpetrators are. Examples of describing either the victim or perpetrator as ordinary include referring to the victim as a Northside housewife (Anderson 1970) and referring to the perpetrator as a former Las Vegas (Nev.) waiter, (Indianapolis Star 1974b), while a sympathetic victim includes a 25-year-old mother, (Niederpruem 1992). Describing the victim as ordinary was the most common variable, used in more than three-infour articles (77 percent). Almost one-half of the articles (49 percent) described the victim as especially sympathetic, and 44 percent described the perpetrator as ordinary. Examining Newspaper Reports about Sexual Violence Figure 5: Total articles by descriptions of who can be assaulted Victim as Ordinary 77% Sympathetic Victim 49% Perpetrator as Ordinary 44% 0% 20% 40% 60% 80% 100% Table 5: Articles by strong language variable by year 1970 1974 1992 1996 2009 2013 Victim as Ordinary 57% 80% 81% 78% 71% 90% Sympathetic Victim 49% 41% 58% 43% 58% 49% Perpetrator as Ordinary 29% 20% 45% 55% 65% 54% Escalation Factors Many articles that report on incidents of sexual violence include descriptions of escalating or mitigating factors. These factors include acts of violence by the victim or the perpetrator whether leading up to the sexual assault or at some previous time, use of drugs or alcohol by the victim or the perpetrator, and the existence of a prior relationship between the victim and the perpetrator. Over the six years analyzed, there was the least difference in the shares of articles that included escalation factors only five percentage points separate the year with the smallest share of articles that include at least one escalating factor, 1970, and the year with the greatest share, 1992 (71 percent and 76 percent, respectively). Examining Newspaper Reports about Sexual Violence Figure 6: Articles that describe escalation factors by year 100% 80% 60% 71% 75% 76% 74% 74% 72% 74% 1974 1992 1996 2009 2013 All 40% 20% 0% 1970 By far, the most commonly included escalating factor was the perpetrator as violent, as more than one-half of articles (52 percent) described violent acts committed by the perpetrator, aside from the incident of sexual assault itself. An example includes the following description of an assailant, He was shot after pointing a .38-caliber pistol at a detectives face, (Associated Press 1974). Three-in-ten articles describe some prior relationship between the sexual assault victim and perpetrator, including Police went to his mothers apartment and arrested her former boyfriend after she identified him as the attacker, (Gelarden 1996). Seven percent of the articles describe the victim using alcohol or drugs, and the same share describe the perpetrator using alcohol or drugs. A 1996 article references the victims alcohol use, The woman, also a student, had passed out after drinking at the party , (Associated Press 1996), while a 2013 article refers to the assailants alcohol use, Mr. Hilbert [victims husband] believed that Mr. Menards [assailant] judgment was impaired because of alcohol, (Swiatek 2013). Only two percent of the articles analyzed describe violence committed by the victim that was not in self-defense, such as Fisher [victim], 21, is serving 15 years at Albion Correctional Facility for shooting the wife of her former lover, (Wire Service Reports 1996). Examining Newspaper Reports about Sexual Violence Figure 7: Total articles by inclusion of escalation factors Perpetrator as Violent 52% Previous Relationship between Victim and Perpetrator 30% Victim's Drug/Alcohol Use 7% Perpetrator's Drug/Alcohol Use 7% Victim as Violent 2% 0% 10% 20% 30% 40% 50% 60% Table 6: Articles by escalation factor variable by year 1970 1974 1992 1996 2009 2013 Perpetrator as Violent 59% 75% 45% 52% 32% 41% Previous Relationship between Victim and Perpetrator 16% 5% 46% 30% 45% 33% Victim's Drug/Alcohol Use 2% 0% 12% 9% 6% 13% Perpetrator's Drug/Alcohol Use 6% 3% 8% 9% 3% 8% Victim as Violent 0% 2% 1% 5% 3% 0% Rape Myths The rape myths often woven into descriptions of sexual violence include the idea that the victim is lying, that the victim deserved to be assaulted, that the victim asked to be assaulted, that the perpetrator should not be held responsible for his/her actions because s/he could not help him/herself, that the perpetrator is a good person who would never commit assault, shock that the Examining Newspaper Reports about Sexual Violence perpetrator would commit an assault based on his/her position in society, and that rape is normal or trivial. Figure 8 shows the share of articles in each year that use at least one of these rape myths. In the 1970s, rape myths were used much less frequently than in later years. Fewer than one-third of articles in 1970 and 1974 (29 percent in both years) included rape myths, while around 55 percent of articles in 1992, 1996, and 2009 included these myths. The share of articles that included rape myths in 2013 was more than twice those of the 1970s, as 62 percent of articles in 2013 used rape myths when discussing sexual assault cases. Figure 8: Articles that use rape myths by year 100% 80% 60% 62% 55% 54% 55% 1992 1996 2009 49% 40% 20% 29% 29% 1970 1974 0% 2013 All The common rape myths are generally either about the perpetrator or the victim. More than one-in-four articles (28 percent) described shock that the perpetrator could commit sexual violence, the most commonly used rape myth, while five percent of the articles suggested the perpetrator was a good person who could not have committed sexual assault, and only two percent of the articles described the perpetrator being overcome to the point that he could not stop himself from committing the assault. Examples of shock at the perpetrator include a former South Bend high school basketball star accused of committing four rapes, (Star State Report 1970) and Hartman [assailant] has been dismissed as a volunteer youth pastor at the Salvation Examining Newspaper Reports about Sexual Violence Army-Johnson County Corps Center of Hope, (Thomas 2009). A 1974 article referred to the perpetrator being too good to commit such a crime, Earnest [the assailant] was a very good child and now hes a fine person. He could do no wrong. (Pickering 1974). An example of the rape myth that the perpetrator could not stop himself includes, A convicted sex offender accused of sexually assaulting and killing a 17-year-old Southern Indiana girl says he didnt plan the crime but lost control after the girl resisted his advances, (Star News Services 2013). Regarding the victim, 15 percent of the articles suggested the victim asked to be assaulted, ten percent suggested that the victim lied about being assaulted, and three percent suggested the victim deserved to be assaulted. An example of the myth that the victim asked to be assaulted includes, The rape of another young woman on the Westside early yesterday brought renewed pleas from investigators that women living in apartments employ reasonable protections to protect themselves from intruders. Yesterdays victim...opened the back door to her assailant at 4:20 a.m. (Indianapolis Star 1970). This compares with the myth that the victim deserved to be assaulted, such as the following description of an inmate who was raped in jail, The woman was charged with five counts of prostitution and one count of public indecency, (Tuohy 2013). A 2009 article suggests the victim is lying, Pittsburgh Steelers quarterback Ben Roethlisberger said allegations by a Nevada casino hostess that he raped her a year ago are false and vicious. A 31-year-old Nevada woman has filed a civil lawsuit against the Super Bowl-winning quarterback, (Star News Services 2009). One-in-ten articles described sexual assault as being a normal or uneventful occurrence. An example of this include the following description of a rape on a college campus from an administrator, Its a great disappointment, one of those things that happen, and well just have to set it behind us, (Associated Press 1974). Examining Newspaper Reports about Sexual Violence Figure 9: Total articles by use of rape myths Shock at Perpetrator 28% Victim Asked for It 15% Victim is Lying 10% Rape is Trivial/Normal 10% Perpetrator is Good 5% Victim Deserved It 3% Perpetrator Couldn't Stop 2% 0% 5% 10% 15% 20% 25% 30% Table 7: Articles by rape myth variable by year 1970 1974 1992 1996 2009 2013 Shock at Perpetrator Victim Asked for It Victim is Lying 12% 8% 36% 32% 45% 33% 10% 10% 17% 16% 16% 21% 6% 7% 14% 11% 10% 10% Rape is Trivial/ Normal 10% 8% 7% 15% 10% 8% Perpetrator is Good Victim Deserved It 2% 3% 6% 3% 10% 5% 4% 0% 1% 8% 0% 5% Perpetrator Couldn't Stop 4% 2% 0% 3% 0% 3% Guilt/Innocence One-in-four of the articles analyzed discuss whether or not the alleged perpetrator was convicted of the incident of sexual violence or whether the alleged perpetrator was acquitted or charges were dismissed. 1992 had the greatest share of articles that referenced the alleged perpetrators guilt and the greatest share of articles that referenced the alleged perpetrators innocence (28 percent and 9 percent, respectively). In 1970, there was the smallest share of Examining Newspaper Reports about Sexual Violence articles referring to the alleged perpetrators guilt (2 percent), and 2013 had the smallest share of articles referring to the alleged perpetrators innocence (zero). References to the perpetrators guilt include, A jury found former world heavyweight boxing champion Trevor Berbick guilty Friday of raping a woman who worked as a baby-sitter for his family, (Schneider 1992). On the other hand, references to the alleged perpetrators innocence include, David Hampton...was acquitted of burglary, rape and armed rape charges by a Criminal Court jury last night, (Indianapolis Star 1974a). Figure 10: Articles that note guilt or innocence 100% 80% 60% 40% 28% 24% 23% 14% 20% 2% 9% 3% 23% 20% 9% 5% 6% 0% 5% 0% 1970 1974 1992 Guilt 1996 2009 2013 All Innocence Connections to Global Societal Issues There were no trends to the shares of articles in each year that connected the incident of sexual violence to greater, global issues of gender equality. Examples of this global connection include the following description of a civil case related to a rape on a college campus, It is the first civil case brought under the 1994 Violence Against Women Act, which recognized crimes against women as deprivation of civil rights and gave individuals a right to sue for damages in federal court, (Berstein 1996). Another example is, Examining Newspaper Reports about Sexual Violence Indiana ranked second in the rate of high school females reporting they have been victims of sexual assault, according to a 2010 study by the federal Centers for Disease Control and Prevention. Statistics reveal 1 in 6 girls will become the victim of sexual assault during their lifetime...and the risk is highest for teen girls. (Evans 2013) None of the articles in 2009 made this connection, while more than one-quarter of the articles in 2013 did (26 percent). One-in-ten articles in 1970 referred to global gender issues, and the share increased in 1974 to 14 percent. In 1992, 17 percent of articles made connections to societal issues, but that share dropped in 1996 to only 9 percent. Overall, 13 percent of articles that discussed specific incidents of sexual violence connected those incidents to global gender inequality. Figure 11: Articles that connect incident to societal gender issues 100% 80% 60% 40% 20% 26% 10% 14% 17% 9% 0% 1970 1974 1992 1996 2009 13% 0% 2013 All Conclusions The Indianapolis Star reported on more than 360 individual incidents of sexual violence across 1970, 1974, 1992, 1996, 2009, and 2013, and the levels to which the newspaper demonstrated bias against the victim or recognized sexual violence as an issue of global gender inequality varied from year to year. Looking at the seven themes under which variables were Examining Newspaper Reports about Sexual Violence coded, there were two in which the frequency of articles including variables within that category remained fairly stable Who Can Be Assaulted and Escalation Factors. Neither changes in knowledge about sexual violence over the past 45 years nor the womens rights legislation of 1972, 1994, or 2011 seemed to influence how the Indianapolis Star used these descriptors when reporting on sexual assault incidents. While there were variances over time in whether the newspaper specifically noted the alleged perpetrators guilt or innocence, there were no real trends in how or why those variances arose. The same can be said for the connection to issues of gender inequality in society. However, it should be celebrated that more than one-in-four of the articles in 2013 made this connection. This leaves two themes that have showed some significant change over time. Soft language was least prevalent in articles about sexual violence in the 1970s. Between 1970 and 2013, the share of articles jumped from 31 percent to 95 percent. One element of soft language, the use of passive voice, followed the same trend, which is counter to expectations based on the literature available. While few scholars have written about shifts in the use of passive voice compared with active voice over time, the literature that does exist suggests that use of active voice has been encouraged since decades prior to 1970 (Perlman 2013), and that active voice surpassed passive voice in common usage, at least in scientific writing, active voice is now used more commonly than passive in scientific articles (Alvin 2013). In addition to the more frequent use of soft language over time, soft language was also used more often two years after each legislative event than the two years before it the share increasing by 6-8% in each set of years. This suggests that time has moderated the Indianapolis Stars language when discussing sexual violence to separate the reader from the victims and the acts, Examining Newspaper Reports about Sexual Violence and perhaps dialogues about Title IX, the VAWA, and the No Taxpayer Funding for Abortion Act have also led to the use of more temperate language. The Indianapolis Star has also used rape myths more frequently in recent years than in the 1970s. In both 1970 and 1974, only 29 percent of articles included at least one rape myth. This percentage jumped to around 55 percent in 1992, 1996, and 2009. However, in the most recent year, 2013, 62 percent of articles used at least one rape myth. This suggests that rape myths may have become more widely used or engrained in the culture since the 1970s. The 2011 legislation, the No Taxpayer Funding for Abortion Act, is in fact based on a rape myth, so it is not unsurprising that rape myths are more commonly used after discussions about this legislation, with the myths possibly legitimized by the legislative action. Overall, despite an increased awareness of sexual violence against women since 1970, the Indianapolis Star has either continued to report on sexual assault incidents in about the same way or in ways that are less sensitive to victims over time. While making some connections to the gender inequality of sexual violence, reports on incidents of sexual violence continue to reinforce this inequality with bias against the victim. Discussion Of the seven themes for which articles in the study were analyzed, the prevalence of Who Can Be Assaulted and Escalation Factors remained fairly stable, while the frequency of references to alleged perpetrators guilt or innocence and connections to gender inequality in society demonstrated no real trends. The two themes for which there were noteworthy trends are the use of Soft Language and Rape Myths. In both cases, the prevalence increased dramatically from 1970 to 2013. Instead of the noted issues related to reporting about sexual violence Examining Newspaper Reports about Sexual Violence improving over time, with increased awareness and understanding of sexual assault, these findings suggest the opposite. Looking at the two years surrounding the three legislative milestones related to sexual violence, in 1972, 1994, and 2011, the use of Soft Language and the references included in Could Be Anyone are the only two themes areas in which there were consistent differences before and after the legislative event. In both cases, the prevalence of the problematic language was greater after each milestone. While these legislative activities may have contributed to the conversation and cultural understanding of sexual violence, the findings suggest they did not affect how individual incidents of sexual violence are reported. For the use of both Soft Language and Rape Myths, the greatest increases in frequency occurred from the 1970s to the 1990s. The differences between the 1990s frequencies and the 2000s frequencies are much smaller. Perhaps this is due to the social climate of the 1970s. In the midst of the second-wave feminist movement, the 1970s saw widespread awareness efforts related to the scope and impact of rape, the establishment of the first rape crisis centers, efforts to improve how victims were treated in the criminal justice system, including hundreds of new laws to protect victims, and better medical and mental health services for victims (Kilpatrick 2000). The 1970s saw the birth of the anti-rape movement, a product of the civil rights and feminist movements (Kilpatrick 2000; McMahon and Baker 2011), so it makes sense that newspaper journalists during the 1970s would have ready access to topical, cutting-edge information about rape and sexual assault, making them especially sensitive to how they report on incidents of sexual violence. On the other hand, the influx of pornography and the accompanying degrading language of the 1990s and 2000s may have worked to counter the information and anti-rape efforts of the 1970s (McMahon and Baker 2011). Examining Newspaper Reports about Sexual Violence Among the results of the anti-rape movement started in the 1970s is the expansion of the acts and behaviors that are considered sexual violence (Kilpatrick 2000; McMahon and Baker 2011). Legally and socially, sexual violence has been come to be understood as more of a continuum, as compared with the 1962 definition of rape which could only be committed by a man who has intercourse with a woman other than his wife by force or threat of force, injury, kidnapping, or death (Kilpatrick 2000; McMahon and Baker 2011). Since the 1970s, the definition of sexual violence expanded from a woman being forced to have sexual intercourse by violence from a man other than her husband to include acts against women, against wives by their husbands, acts beyond vaginal penetration, acts that result from coercion or incapacitation, and more (Kilpatrick 2000; McMahon and Baker 2011). While most people understand that the act of rape is wrong, the publics understanding of sexual violence has changed over the years, and as a result, their attitudes about what acts are wrong become less straightforward they think that yes, sex by force is wrong, but what if the woman was just a little too drunk or the assailant only groped but not penetrated (McMahon and Baker 2011). As a result, subtle forms of victim blaming creep into the public consciousness (McMahon and Baker 2011). This may account for the increases in the prevalence of Soft Language, and especially Rape Myths, in the later years of the articles. Despite the positive steps that have been made regarding sexual violence, there is still a great deal of work to do, as evidenced by the millions of individuals all ages and genders who are sexually assaulted every year in the United States and persistent victim blaming (Kilpatrick 2000; McMahon and Baker 2011). McMahon and Baker (2011) note that there is a significant gap in attitudes toward sexual violence, especially toward supporting victims and perpetrator accountability, between individuals who work in the field, e.g., advocates, health Examining Newspaper Reports about Sexual Violence practitioners, and researchers, and the public at large. This suggests that while there is increased understanding and awareness of sexual violence in the 1990s and, especially, the 2000s as compared with the 1970s, that understanding may be limited to a small group of people who are already interested in the issue sexual violence, but it has not trickled down to the general public, including newspaper reporters. The findings of the study reflect the literature reviewed. The ways in which the newspaper articles discuss gender most notably aligns with the gender theory found in Risman (2004). The articles mirror the embodied expectations and gender norms of a society in which more than two-in-five women experience sexual violence at some point in their lives (Basile et al. 2014; Risman 2004). The articles analyzed demonstrate how gender inequalities are created and reinforced at and across three levels at the individual level, the interactional level, and the institutional level. and how status expectations, cognitive bias, othering, and alter casting can be found in the reports of sexual assault (Risman 2004). The articles, in their descriptions of the dynamics of males and females, perpetuate sex roles and gender norms, the individual level (Risman 2004). For example, a 1974 article warned women hitchhikers of the risks involved after the rapes of two female hitchhikers within a week, but there was no warning on the dangers to men who might choose to hitchhike (Indianapolis Star 1974c). The weaker, less capable women have to be warned against an activity that braver, stronger, smarter men can handle without issue. Several articles also described the interactions between husbands and wives, depicting gender stratification at the interactional level (Risman 2004). A 1992 article reports on a jurys acquittal of a man who raped his wife after watching the videotape of the assault the man videotaped himself having sex with his wife, who was tied up with her mouth and eyes taped shut, and this male behavior Examining Newspaper Reports about Sexual Violence was deemed acceptable by a jury of eight women and four men (Star Wire Reports 1992). Finally, the fact that these ideas of gender are perpetuated through the media via these articles demonstrates the institutional level (Risman 2004). While aligning with Rismans gender theory, the findings also reflect Hollander and Rodgers (2014) theories about journalism. The types of sexual violence cases reported in the articles suggest that sensationalized newsworthy items are generally prioritized over other stories, with 70 percent of the articles reporting on stranger attacks of sexual violence. As Risman (2004) noted the interconnected relationship between the individual, interactions with others, and social institutions related to gender, Hollander and Rodgers (2014) highlighted a similar concept with journalism. They noted the fact that reporters are members of the public and draw on the social norms and values that are shared through social interactions and institutions, and those biases can inform their reporting, and those reports can, in turn, shape public opinion (Hollander and Rodgers 2014). The findings also demonstrate the elements of language discussed in the literature related to sexual violence, including passive voice, the couple as agent, obfuscation of gender, consensual descriptions of non-consensual acts, framing of the assault, details of the assault, and rape myths. While the findings align with the literature, there were limitations to this study. The first limitation is related to the fact that only one coder was used for the content analysis. Given the nature of the subject matter and the study approach, there is some subjectivity and the chance for personal biases to influence the analysis. In order to mitigate this issue, two coders were used to test and refine the codebook to develop clear definitions and examples in order to make the analysis process as objective as possible. Given that the analysis was done on articles from only six years in only one newspaper, the applicability of the results is another limitation. Additional Examining Newspaper Reports about Sexual Violence years would need to be included in the study to get a more complete picture of how reporting has changed over time, and additional newspapers would need to be included in the study to get a better picture of how the legislative events affected reporting on sexual violence. Also, including additional cities newspapers in a study would provide insight on if any changes could be seen nationally or if they were only reflective of the norms and culture of central Indiana. There are many opportunities to expand on the research started with this study. With incidents of sexual assault grossly underreported in the United States (Basile et al. 2014; Hollander and Rodgers 2014; Riski and Grusin 2003), how the media represents known cases of sexual violence is important in the publics understanding of sexual violence and how the public relates to victims of sexual violence (Black 1995; Hollander and Rodgers 2014; Lamb and Keon 1995). The media has a responsibility to victims of sexual violence, women , and the public as a whole to report on incidents of sexual assault in a way that does not re-victimize those involved and does not perpetuate gender norms that contribute to gender inequality. 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