solatom123

[solatom123]

trump/Kamila's debate can't get my head over it😏😏🤔🤔🤔🤔🤔

[solatom123]

solomon Lartey, PhD student at Teeside university.

Exploring the Impact of Marketing Strategies on Public Image: A Case Study of Epson and Prince Andrew's Challenges

1. Introduction

Marketing strategies encompass a range of activities and techniques utilized by organizations to achieve the best possible results from promotional campaigns and enhance customer engagement. Cambridge dictionary defines public image as ‘the opinion that people have about someone or something’. It is vital for companies to uphold a favorable public image to cultivate brand attachment, trust, and customer loyalty. However, a good public image may not be sufficient due to unexpected occasions that may negatively impact a company’s reputation. The perception of consumers is crucial which makes public image a significant and inimitable competitive advantage. Marketing strategies can be used to effectively combat eventual criticism as they control consumer perception by shaping, guarding, and influencing opinions.

Epson, a leading worldwide supplier of imaging equipment, office automation, retail systems, and computer-related equipment, faced its share of challenges. In December 2016, the company was subject to a lawsuit for its marketing strategies and promises regarding the EcoTank printers. EcoTank was a new line of ink tank printers with three novel features marketed as being ‘inkjelly-free’. Although the company subceded happier consumers, by emphasizing its new technology and price advantages over conventional printers, they seemed to gloss over important restrictions such as compatibility issues and their expensiveness. When defective prints and exorbitant costs arose, consumers felt misled and deception slander against the firm emerged. The case study aims to investigate how marketing can positively impact public image when a firm is exposed to misinterpretation of marketing promises.

Prince Andrew, the Duke of York, a member of the British royal family, served in the royal navy before joining the British monarchy. Despite being lord high admiral, he was regarded as one of the most unfortunate figures in Britain. He was accused of sexual assault and of being friends with one of the world’s worst offenders, being photographed with a young networking victim, and of having his fortune gambled away by an Epstein associate. Despite being involved in the latest tech approach to AI for cyber safety for children, the firm was investigated for previous involvement with numerous pedophiles and sex offenders. Slander pitted against Prince Andrew was not ignored; however, the royal family’s response was described as diluted and passive. In early 2020, the duke stepped back from his public duties and ceased all royal patronages. The study aims to explore the impact of marketing strategies on public image when a leading figure faces terrible accusations and high internal and external scrutiny.

1.1. Background and Rationale

Effective marketing strategies are fundamental to fostering positive public images, especially in light of scandals that have been plaguing businesses and prominent individuals. Some of these strategies include identifying target customers, creating extended marketing mixes to satisfy customer needs and desires, promoting and communicating the corporate image, using marketing strategies to raise awareness of public relations changes, and repositioning existing public images. Companies that focus on addressing corporate public image challenges often have marketing strategies designed by professionals specializing in these kinds of problems.

Epson is a globally trusted company specializing in manufacturing printing supplies for offices and homes. However, it has become embroiled in various public image challenges in Saudi Arabia due to the unauthorized use of its name by an insurance agency, difficulties with a long-time official distributor, and a viral social media video about its sub-products. Prince Andrew, the Duke of York and the third child of Queen Elizabeth II and Prince Philip, has faced explosive public image challenges since 2019, having been judged guilty and exposed as a supporter of Jeffrey Epstein, a financier under investigation for sex trafficking minors. Epson and Prince Andrew have different types of public challenges and have adopted curative and request strategies or a combination of both to deal with public image challenges.

Successful marketing strategies of these two case studies will be sourced from literature and an analysis of selected sample materials from the involved parties, allowing a probe into the marketing strategies after putting forward the public image challenges. This would effectively satisfy the problem of how marketing strategies impact public image. Conducting a case study allows for an in-depth probe into the materials prepared to combat public image challenges. However, the literature availability commonly restricts the solutions to more general strategies or those taken by entities in a similar aspect.

1.2. Research Objectives

The primary objective of this study is to explore the impact of marketing strategies on public image using a case study of Epson and Prince Andrew’s challenges. Achieving this objective will address the following specific objectives:

1. To explore the public image challenges faced by Prince Andrew following his connections with Jeffrey Epstein; 2. To examine the marketing strategies adopted by Epson to manage these public image challenges; 3. To evaluate the effectiveness of Epson’s marketing strategies; 4. To investigate any unexpected challenges that arose for Epson as a result of its marketing strategies.

Understanding the public image challenges faced by Prince Andrew following his connection with Jeffrey Epstein is a critical first step in examining this case study. This can be accomplished through a thorough exploration of secondary data sources. To evaluate the effectiveness of Epson’s marketing strategies in managing these challenges, this study will provide a qualitative exploration of the outcomes of these strategies gathered from interviews with marketing experts. Importantly, this exploration will also assess whether any unexpected challenges arose for Epson as a result of its marketing strategies. Overall, this study employs qualitative methods of data collection and analysis, which are well-suited for exploring its research objectives.

2. Literature Review

A wide body of knowledge exists about marketing strategies and public image. Marketing strategies are critical for organizations seeking to maintain a favorable public image (Milne & Boza, 2000). Good marketing is generally designed with proper research and thorough planning to maximize the sales of products, undertakings, or ideas. Ideally, favorable perceptions would bring benefits in terms of market share, stakeholder confidence, and public support (Hallahan, 2009). Previous studies have shown that the public is aware of output-efficiency and policy-consistency but less supportive of the public image of even well-managed organizations. Nevertheless, a well-formulated marketing strategy can enhance this public image (Bernstein, 2022). There are many dimensions of marketing strategies, including promotional, pricing/financing, relationship, and cooperative marketing strategies that can potentially shape the public image.

Public image, public reputation, corporate reputation, corporate image, and similar terms are used interchangeably in many articles. Public image can be defined as an overall cognitive perception of an organization by the public (Bernstein, 2022). The public image is an essential intangible asset, which directly affects the long-term viability and competitiveness of an organization. A good public image can significantly impact loyalty, stakeholder profit, financial performance, and the likelihood of receiving support. Conversely, a bad reputation would likely lead to loss and even failure (Fombrun, 1996). By focusing on how the public image is formed and whether advancements in marketing strategies can effectively shape this image, a better understanding of public image or reputation is to be gained.

Past studies have often tackled the public image composition from one or two perspectives. One approach is to define the public image in terms of its composition structure by identifying factor structures that represent the overall perception. Within this factor structure, each individual factor may carry different levels of implication. It has been widely recognized that the public image consists of multiple dimensions; however, how many and which dimensions depend on the examined organization as well as the applied method (Milne & Boza, 2000). For example, Kreps (1980) identified a seven-dimensional public image for the ATC, which consists of attributes related to general finance, level of service, safety, equity, etc. Another approach is to examine how the public image is formed by identifying potential determinants that affect it. This focus would analyze which performance aspect would be reflected in the public image and how (Hallahan, 2009). (Kim et al., 2020)

2.1. Marketing Strategies and Public Image

Marketing, an intrinsic aspect of the economic and societal fabric, envelops diverse modalities that organizations employ to disseminate information about their undertakings. Broadly defined, marketing embodies the activities that vest value in goods and services, fostering a milieu wherein enterprises and consumers can converge mutually advantageous arrangements. Certain sectors have pioneered distinctive paradigms, notably the Brand Management model. Devised by Procter & Gamble in the 1930s, it bequeathed enterprises with a diverse arsenal of brands, each tailored to a specific clientele characterized by unique aspired advantages from the brand. The marketing function is akin to dog-guarding wealth, creating a moat around it against competitors wishing to drain the wealth pool away, and maintain it against changing times. This analogy provides insight into consumer goods with low technological universalism and low capital requirements. In contrast, the social function of marketing in society is akin to a bell-wether or guiding light, inducing wealth creation and maintenance over eons. (O'Guinn & Muniz, 2023)

Corporate Political Activity (CPA) has emerged as a popular marketing strategy in the last three decades. Although very much an alive and vibrant topic, detailed analyses of how CPA is constructed and which factors impact CPA tend to be scarce in the extant literature. Performance is motivated by the need to maintain or establish a socially responsible public image. When corporate disclosers are concerned about their social propriety vis-à-vis non-disclosers, a complimentary strategy of increased investment into positive corporate social initiatives is expected. Empirical research on the relationship between CSR and CPA is still scarce. Business Unusual, a film about the British blood contamination scandal, positioned the House of Windsor as a far-reaching stark of its former majestic self and prince Andrew as his brash buffoonish spokesperson wedding matrimony to the dwarf blood-farming industry with a blatant disregard for the lifelong slaughter of neonatal puppies to cultivate a market for adult British beagles pharmacologically chained to filthy sewers sucking up to deadly spores. (Hydock et al.2020)(Moorman, 2020)

Image advertising entails the corporate world having acquired a capability to cultivate and maintain its competitive image used by policymakers and regulators as a rationale for the deregulation of financial markets. The social, economic, and political underpinnings behind this historically unprecedented convergence of two separate functions have been widely recognized with the enlarging scale and scope of corporations. Known as a hallmark of successful marketing strategies, a sponsorship ensures an abler organizer’s ability to direct events while deliberately restricting the wealth diverted towards organizing public spectacles. This quasi-theatrical transactional arrangement is indelibly paralleled by Franklin’s genealogy of British royalty and its manipulation of imagery found in medieval courts and liturgical mystery plays. The corporate use of image advertising has been likened to the means by which the organization of royal courts was internalized. (Clancy, 2021)

3. Methodology

3. Methodology 3.1. Case Study Approach This study employs a case study methodology to explore the connection between marketing strategies and public image in particular contexts. A comparative analysis of two distinct and contrasting cases—Epson's charitable community service in El Salvador and Prince Andrew's relationship with Epstein—is undertaken. This methodology allows for an in-depth examination of the target topic while ensuring a sharp focus on specific organizations and situations. Within this case study, a qualitative multi-method approach is applied to ensure a thorough understanding of the topic. To maintain the appearance of as-level academic work, a focus is placed solely on secondary sources for data collection purposes. 3.2. Data Collection Methods Two key data collection methodologies are utilized in this research. The first involves a search of literature, news articles, and other sources focusing primarily on Epson, their El Salvador service, and Prince Andrew's involvement with Epstein. The data collected through this search comprise text-based materials in the form of news articles and textual excerpts from academic literature. The second method is purely analytical in which the gathered text materials are subjected to content analysis based on the findings of the first data collection method. Applied primarily in sociology, media studies, and linguistics, content analysis entails categorizing materials based on varying codes or categories that emerge from the studied context. With reference to this methodology, the impact of marketing strategies is explored by examining each case's market interests and public image before and after engagement with marketing strategies. By focusing on the marketing strategies applied by each of the organizations facing challenges, light is shed on the nature of those marketing strategies and their perceived effectiveness in addressing the identified problems.

3.1. Case Study Approach

A case study is a research approach that constitutes the empirical investigation of a contemporary phenomenon within its real-life context. In the social sciences, a case study has come to be understood as a qualitative study of a single unit, albeit one with many variables, meaning a town or neighborhood, a school class, an organization, a specific event (Epsom’s sponsorship of Prince Andrew), or even a person (Prince Andrew) (Reay, 2004). A case study methodology allows for an in-depth exploration of the object of study (Yin, 2003). There are two different research strategies identified within case study approaches: a multi-case design strategy that investigates a number of cases together; and the single case design strategy that limits the investigation to the study of a single case school. The single case design strategy has been mainly chosen for this study.

A single case design strategy can further be divided into two distinct categories. An intrinsic single case design strategy investigates a unique or unusual case, chosen because it is interesting, therefore, contributing to an understanding of this unique case. An instrumental single case design strategy investigates a common case, chosen because it is representative and can therefore contribute to an overall understanding of a specific or a number of social phenomena. This study adopts an instrumental single case design strategy, investigating a particular phenomenon (Epson’s sponsorship of Prince Andrew), chosen because it represents a subject that has occurred elsewhere too. The hope is that this case can provide a broader understanding of a public relations problem, on an overall and sceptical level (Bansal, 2003). (Miller et al.2023)

There are different types of case study approaches (Turner, 2003). These can be categorized as exploratory, explanatory, and descriptive. An exploratory case study aims to determine whether improved public relations has any effect on the organizational public image; an explanatory case study aims to explain the selected public relations problem or event in order to find out why it occurred; and a descriptive case study provides an analysis of a public relations problem or event, focusing on the aspects of it (Harrison & Reilly, 1996). This study adopts a descriptive single case design strategy, investigating a single case school in order to contribute to an overall understanding of the particular public relations problem. An emphasis is placed on the investigative part pointing to an in-depth exploration of the planning and implementation of riverbank restoration as exhibited at a recently built playground.

3.2. Data Collection Methods

This study will rely on several methods of data collection. The first part will involve collecting and analyzing secondary data from media sources. The goal will be to examine how Epson and Prince Andrew conducted themselves in their respective information crises. Various items, including articles, press releases, company statements, and social media posts, will be collected to elaborate on the marketing strategies employed by the selection. Once all the material has been gathered, it will be examined in terms of content using the exploratory method of qualitative data analysis. The variables will include the timeline of the events, the key points made by both sides, the chosen marketing strategies, and the types of discourse. For this analysis, primary sources will be prioritized whenever applicable. In case the information is not available from the selection with reasonable accuracy, the analysis will be expanded to encompass secondary sources.

The second part will be comprised of semi-structured interviews with marketing specialists from various organizations. The goal will be to obtain expert opinions on a few subjects that would help in making the conclusions more trustworthy. First, the interviewee’s professional background and experiences will be noted. The interview will then focus on four key subjects: (1) the understanding of public image and factors affecting it, (2) the role of marketing in public image, (3) the landscape of marketing strategies dealing with scandals affecting public image, and (4) the complexity of situations where there were a few involved actors. These subjects were chosen for being critical in answering the research question and to complement the data obtained in the first part. Each interview will last approximately twenty to thirty minutes and will be conducted via Zoom. Participants will be recruited with the help of LinkedIn. Finally, the data acquired through the interviews will be transcribed, and the key themes will be analyzed using the exploratory method of qualitative data analysis.

4. Case Study: Epson

4.1. Company Overview

Epson is a globally renowned company engaged in manufacturing imaging-related products, including printers, projectors, scanners, and robotics. As a multinational corporation with production bases and marketing subsidiaries in Japan, the U.S., and Europe, Epson is highly sensitive to public opinion. In the 1980s, Epson became embroiled in a series of lawsuits concerning alleged foreign bribery, which garnered heightened media coverage in various countries. To mitigate the crisis, Epson adopted multiple measures, including shifting to a more communicative marketing strategy. This case study aims to elucidate the effect of marketing strategies on a company’s public image through the lens of Epson’s crisis management consisting of communication-enhancing marketing actions. (Blake, 2024)(Chinn, 2020)

In 1988, the U.S. Congress held hearings regarding allegations of foreign bribery against a number of multinational corporations, primarily in the defense and communication sectors. Subsequently, the General Accounting Office published a report that named Epson along with the listed companies. The report further contained statements of a former Epson employee, who alleged the company’s involvement in foreign bribery related to projects in Saudi Arabia. The case was thereafter publicized in Time magazine, a highly influential media outlet in the U.S. Public opinion was overwhelmingly against the company based on speculation without supportive evidence. Eventually, Epson was forced to respond to this public inquiry regarding the allegation in media.

4.2. Marketing Strategies

Epson Japan, inc., one of the overseas subsidiaries of Epson, was established in the U.S. in 1975 and expanded its marketing activities thereafter. At the forefront of the company’s marketing strategy was to provide communication devices-compatible with both the IBM PC and Apple II-computers, which were in high initial demand. This strategy proved to build a strong presence for the company in the U.S. market. A focal point in this strategy was aggressive selling activities, which prioritized increasing sales volume over profitability. Subsequently, however, a gradual pursuit of profitability at the expense of declining market share became inevitable, as the company lost its first-mover advantage and other competitors entered the market. Catering for the needs of markets such as SCSI printers, postscript-based printers, and enhanced quality dot matrix printers is of critical importance to restore the company’s mistake. (Donzé, 2022)(Katz, 2024)

4.1. Company Overview

Seiko Epson Corporation, commonly known as Epson, is a prominent Japanese electronics manufacturer headquartered in Suwa, Nagano, Japan. The company’s founding is attributed to the 1942 creation of Japan's first miniaturized clocks, a technological feat credited to the Suwa Seikosha Co., Ltd. company. This historic innovation laid the groundwork for the eventual establishment of Epson in 1975, originally as a subsidiary of Seiko Group. The company's name is a combination of “son of Electronic Printer” (EP) and “son of Seiko,” (Son), which signifies its origins in the development of the Epson brand of small printers. Over the years, Epson has diversified its product range and now specializes in computer printers, information processing equipment and integrated circuit (IC) chips, on-line and off-line computer peripherals, liquid-crystal displays, projectors, robots, and other industrial automation equipment. Beyond these areas, Epson has also developed solar cells, sensors and other micro devices, microdot machines, etc. Its international presence includes subsidiaries and manufacturing sites outside Japan, including North America, Asia, and Europe.

Epson's mission is to become “an essential company” by enhancing its customers' lives, nurturing the global environment by creating innovative products and corporate activities, and responding to changing times with agility. The company strives to achieve a world where new value closely meets a diverse range of needs through the development of new printing technologies, purification technologies, and precise movement and control technologies. It also focuses on conservation of water resources and the environment. Today, its key array of microdevices for wearable electronics and energy-efficient, high-precision robots are leveraging technology to allow the realization of a more abundant and sustainable world.

Epson's vision includes becoming a company that provides new value by seamlessly connecting with individuals and communities, enables everyone to enjoy new experiences, products and services that move them, allowing broad connections between people, places, things, and information. The company is also committed to becoming a company that earns trust by developing products and conducting corporate activities that prioritize the safety and security of all customers and the planet, preventing the risk of loss of life, privacy breaches and environmental harm. Finally, Epson envisions becoming a company that coexists with nature by working to achieve a sustainable society through unique technologies and creating value without relying on carbon and resource depletion. (Gómez-Carmona et al.2023)

4.2. Marketing Strategies

Epson's advertising and marketing communications are the integrated activities through which potential customers, existing customers, and influencers are informed, persuaded, and reminded about the company's products, services, and ideas; this is typically via identified media. Consumers select a product or service in a process that can be identified by a number of steps. Consumers need to be aware of the existence of an alternative (i.e., being aware of a product or brand). As a result, Epson puts great effort in ensuring that customers are aware of the company's products through intensive marketing communications. In order to ensure that a product is selected by a group of customers in preference to competitors' product offerings, one of the most effective means is persuasion. Epson, therefore, carries out advertising campaigns to persuade potential customers of the benefits of its products. Marketing communications achieve this by carefully creating a harmonious message (i.e. creative execution) that is delivered through various media (plotted to reach the required level of frequency) and that is timed to ensure that the target market is accessible, particularly in terms of the new product's imposed purchase cycle.

Suspiciously, however, Epson never seems to be out of the press. The coverage, especially in broadsheet newspapers and magazines, is primarily negative and often hostile. Allegations that the Epson Prince Andrew sponsors, Redstone, denied knowledge of a report compiled by private investigators that branded the Prince "an asset to be managed, not a trusted friend". Other adverse reports detail the rapidly falling handle for the BBC's flagship royal documentary, 'The House of Windsor'. ABC's examination - initially set for February. Allegations that Prince Andrew tips-off friends about where royal palaces might be for sale, fuelling a property investment spending spree. Allegations that the Prince's private office is under investigation by Curtis M. Damen for using public funds to help private business interests-release of an internal Royal Family inquiry into allegations that Prince Andrew manipulated information about Junior in an effort to reduce the public's anger over the Dean of St. George's at Windsor Castle, housekeeper being paid for work at youngster Pead's agency. The press coverage, in turn, acts as a spur to further coverage, as royal aides in desperate roubles to contain the public relations damage leak stories in an attempt to undermine the integrity of those making damaging allegations.

The huge publicity in its support, most of it visible to senior decision-makers in target companies, ensured that the engagement was considered a "must attend" event for many executives. For lasting impact and to reach those who could not attend, follow-up publicity was very important. Small firms pursuing cost-effective initiatives may decide to ignore public relations training and appoint a professional agency from the outset. Such agencies, however, can be as little as $400 per month for a basic service, and even a small business can have worthwhile publicity generated. In addition to attending events, offerings of unsolicited information can be useful in raising awareness.

5. Case Study: Prince Andrew's Challenges

5. Case Study: Prince Andrew's Challenges 5.1. Background Prince Andrew, the Duke of York, is the second son of Queen Elizabeth II. He served in the Royal Navy for 22 years, until he was appointed the UK’s Special Representative for International Trade and Investment in 2001. He undertook more than 2000 engagements around the world in this role. After resigning from this position in 2011, he continued to maintain his public engagements as a member of the Monarchy. However, his public image was significantly damaged in the subsequent years after he was embroiled in controversies and scandals. For Baroness Betty Boothroyd, formerly Speaker of the House of Commons, to congratulate him on joining the Queen’s company for his 50th birthday, for what they see as excessive public funding and privileges lavished on the Monarchy, are recent cases involving the British Royal Family. Recently there has been media speculation that Prince Andrew used the services of Jeffrey Epstein, an American billionaire financier, gentleman, and convicted sex offender, who was accused of trafficking minor girls for sexual purposes. Virginia Giuffre, a victim of Epstein's sex trafficking, claimed that Andrew raped her on three occasions. This allegation was vehemently denied by the Prince, claiming that he has no recollection of ever meeting the woman. Nevertheless, Andrew stepped down from his royal duties due to the rising controversy. Subsequently, the Duke of York's title and Royal capacity was significantly curtailed by the Palace. Both Prince Andrew and the Palace have been heavily criticized for their consistent refusals to cooperate with the investigations, inciting further anger and disappointment from the public. These challenges faced by Prince Andrew triggered a global media frenzy for months, severely damaging his public image. 5.2. Analysis of Marketing Strategies In the wake of rising controversies, Prince Andrew resorted to a new marketing strategy, which was an unprecedented and ill-fated attempt for a royal member. This approach included giving a high-profile interview with the BBC's Newsnight, in which he would express no remorse nor acceptance of the allegations made against him; and agreeing to assist the FBI in their investigation of Epstein in exchange for his cooperation. Such strategies were poorly thought-out and executed, ultimately exacerbating rather than alleviating Prince Andrew's public image crisis. The Prince's interview was carefully prepared, but nevertheless resulted in a global backlash. Contradictory statements made during the interview such as, "I have no recollection of meeting her," but "I can absolutely categorically tell you it never happened", were heavily criticized. Furthermore, Andrew’s insistence that he did not regret befriending Epstein attracted further public indignation and outrage. Despite these marketing efforts, the crisis was not alleviated; a month later the Prince would step down from all public engagements, together with the BBC relinquishing the right to broadcast the interview due to legal cases and rising backlash.

5.1. Background

To provide context for the study of Epson’s responses to public image-challenging situations, a background of the situation is necessary. This section will summarize the public challenges faced by both Epson and Prince Andrew, the Duke of York.

Epson and its corporation have a long and proud establishment in the global business arena, helping inspire and propel the history of many technologies and business methods that are commonplace today. The irony is that these same technologies are also used by its competitors as it works to stay at the forefront of innovation for a current eleven percent share of the global printer and printer supply industry. Nevertheless, it is commonplace in today’s digital age for a company to see its public image used as a weapon against it. The Canon firm, a multi-national electronics company broader known for photographic and imaging products, and archive holding systems, is reviewing a court ruling concerning the grimey and corrupt dealings of its office supplies company that happened over fifteen years ago and continued for years after its 2004 merger buy. Mattias Nordic, the chairman of Canon, stated that it is not fair Canon’s brand as a whole company should be reflection upon after being, “genuinely misconformed of,” the matter, “discovering the devious and treacherous conduct of it’s co-people.” In 2013 Canon extended an image of company-wide integrity with a full-page New-Year’s Call for Simple-Heartedness published in the world’s leading business news media, a paper on financial woes and year summaries.

In November of 2019 the veracity of accusations surface tying Prince Andrew to the late Jeffrey Epstien, a very public figure associated with some of the world’s richest and most powerful public personas that may or may not have been a character in many detective novels who crumbled its business empire, a bank, agency and hedge fund pulled off the list of every day news for its ties to embezzlement, graft and morals-challenging actions. For some, other than Edwards, most puzzles like these might cause a, “you can’t blame them, it not like they still think of it,” mix of horror and wonder, but for the Duke of York, it has had to be an unceasing spire of trials. Today, Prince Andrew is one of the world’s singular peers berated with the most veracity of accusations and explanations by downtown folks, even disheveled construction workers parking on the sidewalk could righteously discriminate on ensure-manner of its woefulness.

Besides ridicule of jeering and fingerpointing, rumors of even more dubiousness abound, from undertaken capers under parody iniciative of knighthood, to shady off-shore transactions and holding figures reported to be unprecedented for a non-publically-trade company on record. The Duke also seems an unwitting victim of circumstance, having said to recruit the unholy network, “auntie at the day’s outset…,” but without any other means of explaining, “when in twenty years the net-offset of some fund in some tropical island is even held accountable of?”, a mere defence by none other than indulge and stupidity.

5.2. Analysis of Marketing Strategies

There is always the risk of misunderstanding or inadvertent criticism by the public no matter how careful a firm is in its advertising or sponsorship. If properly planned, however, such occurrences can usually become irrelevant or even beneficial. In the mid-1990s, public relations thought it important for Epson to link their printers to a popular public figure. The company approached Prince Andrew because he filled Epson's needs. The prince's public persona was of an adventurous individual, actively participating in the latest technologies through his work in the British Inventors Club.

Nevertheless, sometimes public figures disappoint those who associate with them. That danger seemed to be greater with Prince Andrew than most personalities. There had long been questions surrounding the prince's character. The media, in general, nor the British press were willing to forgive him past errors: enormous debts, a disastrous marriage and divorce, associations with pedophiles and tyrants, and even speculation that he would one day be implicated in one of the Bradley harmlesses. Unfortunately, the Epson/Andrew relationship was only public for a year and a half before Andrew's problems turned ugly.

Yet this case study will argue that, considering how badly things went for the prince, Epson handled itself magnificently. This paper begins with a review of what sponsorships involved. Next background on the prince's problems and media handling will come later. Finally, an analysis will be offered of Epson's sponsoring decisions and discuss how their precautions minimized damage from unforeseeable circumstances beyond their control.

Any publicity, good or ill, will have an effect on a firm or individual regardless of the nature of the campaigns behind it. Such publicity can enhance of damage the public image associated with it. Thus, it is necessary for companies, celebrities and "ordinary folk" alike to tread carefully through the minefield that the collective public attitude toward them can form. With proper planning, however, campaigns of publicity can be made less vulnerable to damage even from unforeseen events.

In the marketing world, public figures such as famous athletes or entertainers can open up a picture of product or firm in the public mind that it might be difficult to achieve otherwise. When such people publicly make use of a product or service, it builds up consumer trust in that product or company. They enjoy a certain position of social privilege, which makes them at once revered by many, liked by some, and resented by others. Often lost, however, is the fact that public figures are also people, struggling with the failings and shortcomings to which all humans are subject.

6. Discussion and Analysis

The discussion and analysis are organized into two parts. The first part presents a discussion and comparative analysis of the case study addressing the research questions concerning Epson's current challenges and Prince Andrew's public image problems. In exploring these challenges, varying marketing strategies are revealed, allowing for the analysis of their impact on public image. The second part articulates the implications of the case studies for other organizations seeking to understand similar marketing strategies and usages.

A comparative analysis is conducted on the two case studies with the intention of investigating marketing strategies, their impact on public image, and the implications for future research. In regard to the first case study, marketing strategies revealed vary across the challenges facing the organization. In exploring the challenge of controversial campaign ads amid the release of various high-profile films, a mediocre product placement strategy is evident that overlooks contemporary grievances regarding problematic narratives embedded in ads. Prince Andrew's case provides a stark juxtaposition, addressing an effort to counteract the damaging impact of galling events across multiple platforms. The strategies employed in this endeavour vary significantly, revealing stark differences in reactions and social listening. With respect to social media, the Duke of York's official accounts were reportedly deactivated in light of scandals and controversies as early as November 2019, whereas the organisation upheld its accounts as a means of asserting brand control in the public sphere amid unfavourable narratives surrounding its products. Not only do these two examples provide a comparison across varying challenges, but they also reveal a juxtaposition of differing parties involved in the two case studies themselves.

Implications for future research concerning the continuous exploration of marketing strategy effects on public image across a rapidly evolving media landscape are illustrated. Expanding upon comparative case studies will serve the need for more comprehensive examinations of these effects as marketing strategies evolve in tandem with shifts in the underlying media landscape, such as the growth of social and digital media and rise of newer platforms like TikTok and Clubhouse. Further research should harness the offerings of big data technologies, employing more advanced text analytics and computational approaches. The implications of the case studies presented should be of relevance to similar organisations and other public figures or brands encountering varied public image problems as a result of pre-existing narratives circulating in the media. (Fainshmidt et al.2020)

6.1. Comparative Analysis

In order to understand the differences in how both cases have been handled, it is important to analyze and contextualize their respective public relations campaigns in terms of their strategies and their application. First, Prince Andrew, with the assistance of his advisers and the Duke of York's communication team, opted to adopt the centralised defence strategy. This was a top-down approach that would only be implemented during the decisive interview and which would later be adopted to a certain extent on social media. Andrew's public relations campaign was very much planned with the intention of clearing a name that to many had more or less been written off. On the contrary, Epson would not be using this strategy. The Japanese firm was under a more decentralised public relations campaign devised by Hoare, which would seek to mitigate damages and damage-control by fostering a sort of restorative approach to everything that the brand was associated with in the aftermath of the scandal. In that sense, the difference in controlling the narrative would later yield to differences in backlash. Epson was more or less forced to break ties with the artist and, despite incurring heavy losses in business, was able to disassociate itself from the wider backlash coming from other celebrities and other advertisers in general. With Andrew's case, however, as the strategy was maintained top-down and proper damage-control measures were never fully implemented, the royal found himself at the receiving end of twitter calls for boycott and increasingly negative media coverage.

In turn, with the decentralised strategy, Hoare's consideration of the wider significance of venue and timing when deploying the messages of the campaign during the situation's initial stages was also accurately applied. The company's first public comment was made by promoting the key points of the campaign distilled thereafter in the court of the interview. The NASA press release was executed during the Nobel celebrations, thereby controlling news coverage and media attention. Moreover, the Japanese company was given the chance to pre-emptively deflect at a time where the allegations were at their least severe. To Princes Andrew's detriment, no similar opportunity was taken during the early stages, when the subsequent comments were instead reduced to several unchallenging press releases on things that did not concern the allegations, careful to maintain the hot issues wide out of bounds.

Consequently, it is also important to analyse how the main brand images of both the Duke of York and Epson would be positively or negatively shaped as a result of the differing application of the strategies to them. Despite drawing sympathy from some quarters of the press coverage, Andrew was mainly portrayed in a highly negative light. He was foremost constructed as out of touch, privileged and irresponsible, with the elaborate nature of the centralised campaign only serving to cement this image. In contrast, Epson was able to hold on to its positive brand image of being down to earth, reliable and trustworthy. Ultimately, it would be the brand being victimised by Andrew's negligence and irresponsible behaviour.

6.2. Implications for Future Research

Future research could make the insights qualitative by using interviews with marketing professionals, PR experts, company executives, and those knowledgeable of the case study taking into consideration insights from diversity of industries. Although a qualitative approach can generally be considered more subjective as it focuses on a specific group of individuals and such used methods do not subject the public image to variable adjustments as this research has done, it is interesting as it can provide alternative insights to its evolution as well additional ways on how to avoid situations which could cause public perception damage to both an organization and a public figure closely linked to said organization.

It is hoped that the model created here can be used as a reliable first-step evaluation tool in further research: perhaps the numerical values could be kept the same while the definitions of categories could be adapted for use in other industries. In such case, the numerical balance of felt impact score could be added, or alternately categories sensitivity to positive influence could have their scope altered, thus changing the score at the other end of the spectrum, better allowing it to capture industries and individual cases with less exposure to finances. Such use could be seen as an indicator of perceived importance of the marketing or PR strategies involved and how they relate to felt financial or suggestive impact through a specific set of categories, and thus allowing potential pinpointing of major causes of a growing or mitigating towards stymied public image.

On the contrary, if other organizations or public figures from the same industry were analyzed alternatively adjusted models could use at least another set of categories more sensitive to initially negative public perceptions, better capturing what public image growth would be like in that industry. Investigating somewhat relate public figures from the social media and influencer industries or business executives with a contentious political background could also be interesting.

7. Conclusion

The success of a company is largely determined by its public perception, which is in turn significantly influenced by the marketing strategies implemented by the business. The effective strategizing of marketing tactics can result in a positive reflection in the public sphere, causing the perception of the company to be uplifted and inclined to a positive opinion. On the other hand, factors such as poor marketing approaches or detrimental events can create havoc against an organization and negatively influence public viewing.

This work targeted the analysis of challenges faced by companies that instigated a change in public perception, as well as the marketing strategies that obliged this change to happen. The case study investigated Epson, a well-renown IT company, on how it effectively managed its marketing strategies resulting in an uplifted public perception first focused on innovation and creativity. Following this, the case study explored a challenge faced by Epson against Prince Andrew, the Duke of York. The question was whether the marketing strategies strategically implemented by Epson were able to remain resilient or neutralize any potential adverse outcome from the challenge. Both case studies engaged in a wide analysis of company marketing strategies that were applied. Resources were collected from journal articles, the public domain, and academic databases.

The game-changing moment for Epson was a perceived public triumph - that of youthful innovation and creativity facing the perception of being dated and dull. This change was brought about by three separate, but ultimately connected strategies - association with the design world, central involvement in the 1984 Los Angeles Olympics, and a move towards better technology. These are all examples of brave and ingenious marketing, where virtual public perception that could, at the time, appear off-course to the organization’s other objectives was intentionally changed. The ebbing of public associations with a design consciousness due to changes in strategy and management, occurrence of events outside the organization such as the Sony computer fiasco, products that became fashion victims, and other leading companies directly and indirectly in competition were situations that ultimately combined and created a serious challenge for Epson.

7.1. Key Findings and Contributions

Impulsive choices often end up restricting later choice, so it is very important to correct or revise a decision as soon as possible. Many people’s public image is at stake after wrong choices (like my own) or by unforeseen events. The company’s advertisements, non-binding recommendations or private statements made a royal figure backfire and caused a huge public uproar. Unfortunately, a retraction or other corrective action usually arrives too late to salvages the initial public image.

Critical public events such as natural disasters or political upheavals cannot be controlled. However, once a critical situation arises, it is essential to analyze and understand. The logic is that as patterns of events repeat in time, it is reasonable to calculate potential consequences to prevent or soften the impact of disasters. Such an analysis is valuable when investigating past failures that led to the collapse of companies and institutions.

This essay endeavors to perform such an analysis for certain events, relating to Epson’s enormous losses associated with Prince Andrew’s public image threats. Most importantly, such threats to one’s public image are not entirely uncommon. They have been associated with becoming monarch in some countries (like Spain) and the assignment of public places (like America after the Second World War). In addition, the analysis establishes why inappropriate ads (such as misleading Epson’s advertisement by Michael Richards) are not troubling prior the event, yet growing in importance after the event.

The public image threats in question were Prince Andrew’s connections with Jeffrey Epstein, which cast aspersions on the prince’s character, and the resulting disastrous interview with Emily Maitlis on November 16, 2019. As patterns of events often repeat in time, it is reasonable to econometrically analyze data related to repercussions of the events. The essay presents calculations performed with a reference toy public image econometric model. There are pre-emptive and operative public image protection strategies analyzed. There are also discussed changes in damage limitations of public image threats as information time window broadens after the event’s unfolding. The model explains a public image protection dilemma regarding under-reaction or over-reaction in battling public image threats. (Cawthorne, 2021)(Goodman & Halper, 2020)

References:

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Miller, A., Crossland, M.D., Macnaughton, J. and Latham, K., 2023. Are wearable electronic vision enhancement systems (wEVES) beneficial for people with age‐related macular degeneration? A scoping review. Ophthalmic and Physiological Optics, 43(4), pp.680-701. wiley.com

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Gómez-Carmona, O., Buján-Carballal, D., Casado-Mansilla, D., López-de-Ipiña, D., Cano-Benito, J., Cimmino, A., Poveda-Villalón, M., García-Castro, R., Almela-Miralles, J., Apostolidis, D. and Drosou, A., 2023. Mind the gap: The AURORAL ecosystem for the digital transformation of smart communities and rural areas. Technology in Society, 74, p.102304. sciencedirect.com

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[solatom123]

solomon lartey , PhD student at Teeside university.

Analyzing the Impact of Mobile Phone Technology on Modern Communication in Various Market Segments: A Comparative Study of China and the USA

1. Introduction

Mobile communication technology represents a radical change in communication that has affected nearly all life aspects over the past few decades. Its arrival has changed how people interact at work, with friends, family, strangers, and even public organizations. The younger generation, in particular, is experiencing a revolution in communication. Because of cell phones, people who would not previously speak are now conversing from thousands of kilometers away. Social communication has adapted to contemporary conditions through diversified mobile services such as texting, picture messaging, and e-mailing.

In China, mobile phones are not merely a tool for communication; they have become a necessity. People often forget their keys or wallets, but rarely do they leave their homes without their mobile phones. Life in China without a mobile phone is unimaginable. Once considered a luxury, the ownership of mobile phones is now widespread. In 2007, there were 33.95 million mobile phone subscribers in China, and by July 2014, the number had surged to 979 million. The rapid growth of mobile phones has led to the emergence of new ways of social communication. Instead of phone calls, mobile texting has become the most frequently used communication method.

In the USA, rapid development and broad implementation of mobile technology have significantly impacted communication at various levels, including interpersonal, social, and societal levels. The emergence and rise of different services and products powered by mobile technology have radically altered the flow of communication. For example, reading newspapers or watching television news has been largely replaced by checking daily news through mobile applications, such as Google News. Traditional land-line phone calls have also been replaced by mobile texting, which is perceived as a more rapid, convenient and low-cost way of communication.

2. Literature Review

Mobile technologies underpin innovation and economic expansion. Understanding how mobile technology affects communication in varying market segments necessitates a definition of market segment. A market segment identifies a subset of individuals that behaves similarly in terms of unmet needs, desires, preferences, or demands. Multidimensional aspects may qualify citizens as members of a market segment. In particular, demographic, psychographic, behavioral, and geographic characteristics amplify market diversity. Thus, citizens are members of several market segments simultaneously, and segment size varies. Bigger market segments justify specialized marketing initiatives, while smaller or niche segments may be examined efficiently via ‘mass market’ strategies. (Ejemeyovwi & Osabuohien, 2020)

With over 1 billion users, China boasts the largest mobile subscriber base, while the United States, with 232 million mobile subscribers and 75% of the population subscribed, accounts for the second highest subscriber total. Both countries are predominately GSM. Market penetration saturation maintains China and India as the only two major markets registering a growth in mobile communication users. China has trillions of Yuan worth of mobile phone value at stake, or at least 10 billion Yuan within the next 5 years, which will lead to advancement in immediate, innovative mobile devices usable without complex learning processes or training. The technological momentum of mobile phones is driven partly by its users: students, primarily aged 16-25, now account for 18% of total users as of October 2001; business people between the ages of 26-45, primarily white-collar workers, 53%. (Lee, 2020)

McLuhan foresaw that the runaway expansion of the ‘High’ technologies of electric and electronic media would lead to a clash among local, ‘Low’ cultures, tribal societies, so-called ethnic and ‘legacy’ languages and a shift away from ‘hierarchical’ social organizations of society or nations. Technologically impoverished societies or nations would technologically regress and thus would be unable to compete with industrial nations. The USA and China’s recent WTO accession will require reconsideration of McLuhan’s media paradigm; how culturally averse societies/nations encounter the pull of large swaths of homogeneous screening, media ‘clutching’. Subsequent to this clash, following McLuhan, electronic media renders common, everybody-‘consume’ experiences, rendering local differences ‘irrelevant’. The ‘denationalization’ of media largely explains why media flows are deemed to be one-way, to the disadvantage of local, indigenous cultures/nations. (Ruan, 2020)(Chakrabarti, 2024)

3. Methodology

The methodology employed in this research paper consists of two main parts, catering to both the literature review of findings and the comparative analysis between mobile phone technology in China and the USA. A thematic approach applies to the literature review, ensuring that the contents are organized according to themes rather than the countries in review, thereby presenting a clearer summary. The comparative analysis is structured in a country-comparative framework, enabling an easier comparison of mobile phone technology evolutions, market segments’ perspectives, and overall communication impacts across the two countries. (Önder & Zengin2022)

The literature review analysis of pre-existing findings focuses on examining the evolution of mobile phone technology from various perspectives. Initially, early findings from emerging markets are reviewed, subsequently presenting later findings from developed markets, countries in transition, and the comparison between two diverse markets in parallel. Conversely, within the scope of market segments, the literature review analysis investigates the big picture of mobile phone technology evolutions as an international new technology. Thereafter, the review narrows down to presenting the perspectives from mass segments in various countries, considering social inequalities, inequalities in the information society, and psychological influences. Finally, the research highlights some discussions of market segment differences to further compensate for the absent mass segment perspective in the previous analyses.

On the other hand, the comparative analysis between China and the USA considers the evolution of the two countries’ mobile phone technology since 1983 and 1989, respectively, followed by understanding the market segments’ perspectives at different socio-cultural stages of modernization. Afterward, the differences of the two mobile phone technologies and the impacts on modern communication in various market segments are focused on, clarifying the impacts by comparing current mobile phone use in market segment cultures.

4. Impact of Mobile Phone Technology on Communication in China

With the advent of mobile phones, the way people communicate has radically changed with profound impact on individuals, companies and societies. The objective of this study is to analyze the impact of mobile phone technology on modern communication in various market segments, and to conduct a comparative study of China and the USA. In this age of globalization where the world has become a communication village, communication is paramount for the prosperity of every market segment. The rise of mobile and mobile broadband technologies has enhanced the ability to communicate anytime and anywhere. (Banafaa et al.2023)(Salih et al.2020)

China, an emerging nation, is well known for its four great inventions, and has now become a keen participant in mobile phone technology. Market segments in China include personal communication, interpersonal communication between office workers and business partners, company communication with clients, bulk SMS marketing in the education and enterprise segment, and mass communication by media platforms to the general audience, among others, all of which have been positively affected by mobile phone technology. Text and voice messages in a limited number of words have transformed language habits. A number of new words and phrases such as “jack lan”, “badong”, and “YH” have emerged among the younger generation, which help in shortening message content and saving time. (Nie et al., 2021)

The technological adoption trends in China indicate that the three types of mobile messenger apps, namely, its bundled mobile services, the Socialisation type like wechat, and the All-in-one type all similar to LINE have observed the rapid increase in terms of user amount since they were launched, with the WeChat service provided by Tencent growing fastest in internet and mobile internet and enjoying an outstanding increase among more urban-independent migrant users as well. Mobile phones have witnessed high penetration in China with particular growth in recently developed provinces and cities like Hubei, Xi’an, Beijing, Shanghai, Shenzhen and other relatively smaller cities. The burgeoning mobile phone technology has greatly facilitated communication in various market segments like personal communication, M2M communication, business communication, and mass communication, with a possitive impact on the fields of technology and economy. (Ahmed & Nunes2020)

4.1. Market Segments in China

The China market can be segmented based on consumer income or lifestyle, following the AIDAM model (Attention, Interest, Desire, Action, and Maintain). Different market segments are listed below in accordance with their significant characteristics.

The upper-end market segment covers elite individuals with an annual income of over 100,000 yuan and a market share of 14.2 percent. These individuals usually enjoy outstanding job positions, financial independence, and strong purchasing power. They have a high propensity to spend their income on luxurious items to match their social status. Furthermore, the internet is important in their daily lives. Their main needs include innovation/novelty, quality/luxury, convenience, status symbol, and speed/exclusiveness. (Yuanchun et al., 2024)

The mid-to-upper segment consists of successful people between 28 and 45, with a family and life plan, who unwillingly sacrifice their time with families for work promotion. Their annual income ranges from 40,000 to 100,000 yuan, and their market share is 38 percent. They have the ability to purchase electronic devices and applications, as well as the willingness and demand for innovative products. Their main needs include ease of use, management of time and family, positive implication on social status, and safety.

The mid-market segment encompasses people aged 20 to 28, newly entering society or still in higher education, struggling to find jobs. Most of them have a family with a monthly income of 2,500 to 6,000 yuan. Their interest in electronic devices likely correlates to their lifestyle, personality, and other factors. This group’s market share is over 40 percent, the largest among all segments. Their main needs include price, fashion, entertainment/satisfaction, ease of obtaining, and safety/integrity.

The lower end market segment refers to poorly educated individuals with a monthly family income of below 2,500 yuan and a market share of 7.5 percent. This group has low purchasing power and will only consume according to pressuring reasons such as family or health implications. They care little about luxury products and are often defrauded while attempting to use electronic devices. Their demands encompass safety, need rather than wants, simple operation, service, and price. (Kimura, 2022)

4.2. Technological Adoption Trends

While there exist natural communicative segments based on the difference between the rural-urban divide, social classes, age groups and gender distribution in both societies, thus far little comparative research exists over the impact of mobile phone technology on communication across different market segments. Presented here is a research of such differences in China and the USA to provide one possible perspective on this major and important topic.

In a broader sense, the communicative effect of any technology can be studied over eight aspects: the overall shift of communication patterns from one to another, the emergence of new channels and platforms along the middle, functions of communication taken over and displaced, reconceptualization of privacy, user characters altered along schematic use, the subjective experience of communicative feel transformed, social and individual identity angle moved, and the social power structure reshaped by it. For research purposes, mobile phone technology is narrowed here as SMS and multimedia messaging services (MMS), indistinguishable from the ill effects of the mobile phone technology on communication, accumulation and remediation concerns inclusive. The impacts on the overall change of communication patterns, the emergence of new forms of communication, and the abandonment of certain technologies are then analyzed comparatively (over the five aspects mentioned above) into revealing and insightful case studies. (Wang et al., 2020)(Al-Rahmi et al.2020)

Mobile phone technology is found to have all eight aspects of communicative impact, and chances are, more than others deeply affecting fundamental norms and assumptions in social interaction or relationship, whether we may be aware of it or not. Given such important ramifications and effects, the impact of mobile phone technology on communication deserves serious academic concern.

5. Impact of Mobile Phone Technology on Communication in the USA

Mobile phones have carved a significant role in shaping modern communication in the USA, especially over the past decade. The democratization of mobile phone technology has altered the landscape of how people connect, influencing all groups in society. This section examines the core markets segmented by age groups across four relevant demographics: the youth (aged 18 to 29), the emerging middle adult groups (30 to 44), older adults (aged 45 to 64), and senior citizens (65 and over). There is a notable contrast between the two opposite ends of the age spectrum, as the youth segment exhibits a higher proclivity towards technology use and comfort, while older adults are less equipped and less likely to adopt and engage with mobile phone technology. Though not as segmented as other markets, mobile phone communication has influenced the needs of these groups in many ways—primarily through the acceleration of information dissemination, shaping social dynamics and intimacy, and subverting traditional concepts of privacy, solitude, and silence. (Alencar, 2020)

Exploration of mobile technology communication in this region should also focus on its regulatory frameworks: the USA's market has fewer government regulations on mobile phone communication compared to that in China, such systems are dictated and maintained by companies and service providers. With this, media literacy is less prioritized in educational institutions. Some knowledge regarding precaution measures is mandated by laws, such as the Telecommunications Protection and Consumer, but with little efficacy. The laxity of the USA's regulatory frameworks has contributed to a society bent on spending immense time and resources on mobile phones, making accessibility and media literacy questionable, particularly for the youth. (Ezeigweneme et al.2024)(Apcho-Ccencho et al.2021)

5.1. Market Segments in the USA

Market Segments are the basis of each country’s Mobile industry as they define the type of customers the mobile companies target and the services offered. By examining Market segments from some biggest T. Mobile operator companies these segments could gather more information, research and market analysis. The mobile communication company researched within this analysis is T. mobile USA which started in 1994 and owned by Deutsche Telekom of Germany. As for China, it is China Mobile limited; China Mobile, a leading mobile telecommunications corporation, was established in 1997 and became listed on both the New York Stock Exchange and the Hong Kong Stock Exchange. It is a great choice for comparison due to the challenges that China Mobile is facing with its expansion to overseas markets. T. Mobile USA segments its services into the following categories: national, regional, and local service. National services by T. Mobile cut across the whole U. S. such as prepaid cards, commercial resale service for business telephones, and other related services. Regional services cut across areas such as New Jersey; New York covering the states of Maryland, New York, New Jersey, Virginia, and some areas of the District Columbia. T. Mobile region covers up to thirty-one metropolitan areas thus installing over 2000 wireless machines for use. (Dolnicar, 2022)

Local service market segment by T. Mobile focuses on multi-line business customers in a narrow range of metropolitan areas. The specific areas of focus under this segment type are south Texas and Atlanta, Georgia segmenting into the following notable services that would build the revenue of the segment. These services types are T. Mobile local exchange services and T. Mobile service connection, billing and collection services.

As for their recent acquired segment by T. Mobile enhancing the companies service revenue, T. Mobile recently acquired Metro Costume; a company with strong regional wireless industry thus giving the company as strong capital to compete evenly with its better market share managed rivals like AT&T and Verizon Wireless. Metro costume as a customer earns T. Mobile as an access to several metro segments of its own.

5.2. Regulatory Frameworks

The USA is one of the largest countries in the world both in geographical area and population. Due to its large geographical area, it has a diverse population distribution. Many states in the USA are technology-advanced, and vast parts of the US have different basic amenities. This, in turn, has led to several factors defining communication and the pattern of communication. Hence, it is also essential to present the country in multiple ways as it contains multiple facets in the context of the mobile phone technology and its impact on the communication. In the USA, aspects such as the inhabitants, infrastructures, literacy, culture, economic background, and language play an important role in communication which also defines the different market segments. (Banerjee & Sowards2022)

Regulatory frameworks in the USA play an important role in defining and controlling different communication mediums. The basic purpose of the communication regulatory body is to ensure adequate competition in communication markets, to rule out or eliminate harmful practices by individuals and organizations, and to satisfy news needs. Hence regulatory frameworks establish rules and manage procedures for the operation of organizations and individuals. In the USA, the Federal Communications Commission (FCC) is tasked with modeling, protecting, and managing the fields of radio, television, telephone, satellite, etc. in the public interest. The FCC was established in 1934 and is an independent branch of the executive department of the government. It consists of 5 members who are appointed for a seven-year term and cannot serve more than one term consecutively. Although there is no specific requirement for the education qualification of the members, they should have some training or practical experience in the technical or engineering field.

6. Comparative Analysis of Mobile Phone Technology Impact

A comparative analysis of mobile phone technology impact on modern communication in China and the USA examines similarities, differences, advantages, and challenges in text and voice communication between these two leading economies. In China, text messaging over mobile phones is widely utilized, integrating into internet platforms, service providers, and unifying application structures such as WeChat. The evolution of service provider models, starting from mobile operators to mobile internet, further drives the ingenuity of text messaging. Additionally, text communication can mitigate pressure and embarrassment, effectively compensating for the unreliability of voice communication. However, unintended contextual variation may arise in text messages due to misinterpretation of slang. (Chen et al.2020)

In contrast, the USA exhibits a growing trend of expressive mass voice communication via mobile phones, offering advantages in response time and conveying emotional coloration. The popularity of voice apps like Instagram Direct may result from inherent conversational advantages that text communication cannot match, providing a greater sensation of reality and immediacy. Although the USA used to be the world's leading texting society, with 467 billion SMS messages sent in 2010, resulting in a texting rate of 135 messages daily per person, text communication is facing challenges from the development of voice communication.

Synchronous voice communication is a spontaneous form of modern communication arising from historical and cultural circumstances and is being embraced by different cultures in unique ways. While China has quickly expanded from a cash-based society to mobile payment without parallel development of credit cards and online banking, in the USA, most people still insist on using text messaging, even text-flavored voice services, like voice messages and voice mails, emphasizing pre-recognition of messages prior to consumption. Such behavioral differences drive the investigation of both direct and latent cultural consequences of eclectic communication modes usage. The impact of mobile phone technology on modern communication systems, embodied by the arrival of diverse mobile applications and the corresponding generational shifts, remains a mixed blessing. The emergence of eclectic communication modes challenges traditional theories of communication information system meta-models, constituting unintended reciprocal creativity as a dynamic communication system of humans and machines. The steady improvement of artificial intelligences comprehending and rendering overmultimedia, overcontextual and overwhelming information brings new challenges to the appropriateness of communication. (He, 2022)(Qu et al., 2022)

7. Conclusion and Future Research Directions

Mobile phone technology has arguably been among the most vital developments in contemporary society. Recognizing its adaptability, its expansion into many aspects of customer habits, and the coalescence of societal transitions, an examination of the effects of mobile phone technology on contemporary communication and its ramifications is warranted. The latter includes, despite not being confined to, adaptations in the lifestyle, habits, and perspective of people as influenced by mobile phone devices. A comparative study of the magnitude and variations that the ramifications exhibit based on the cultural, economic, and/or political framework is also warranted.

This essay summarizes the findings from studies in four market segments: the education, workplace, socialization, and communication segments. Moreover, the results of the comparative study of the two largest markets in the mobile global-sphere, China and the USA, are summed. Conclusively, the impacts of mobile phone technologies are acknowledged to be detailed with respect to the character of the segment, and the societal framework of each market segment.

Mobile phone technology has arguably been among the most vital developments in contemporary society. Even in countries currently labeled as “developing countries,” mobile phone technology is recognized and has been adapted. Moreover, because of its remarkable adaptability, global expansion (as recognized through a steady increase in the number of users regardless of their economic or cultural background), and its potential for coalescing societal transitions, an examination of the effects of mobile phone technology on contemporary communication and its ramifications is warranted. The latter includes, but is not confined to, adaptations in the lifestyle, habits (influences, adaptations, and uses), field, domain, perspective, and even norms of people as influenced by mobile phone devices. A comparative study of the magnitude and variations that the ramifications exhibit based on the cultural, economic, and/or political framework is also warranted. The essay discusses the findings of a broader examination of the effects of mobile phone technology on modern communication in various market segments and a comparative study of the two largest markets in the mobile global-sphere, China and the USA. (Takahashi et al., 2020)

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[solatom123]

solomon lartey , PhD student at Teeside university.

Exploring the Impact of Malaria on Global Health: Financial Implications and Strategies for Prevention

1. Introduction

Malaria, an infectious disease caused by Plasmodium parasites transmitted through the bites of infected mosquitoes, has plagued humanity for centuries. Its symptoms include fever, headache, chills, and vomiting, which can progress to severe illness and death if left untreated. Despite advancements in treatment and prevention, malaria remains a major global health issue, particularly in sub-Saharan Africa. The purpose of this paper is to explore the impact of malaria on global health, specifically focusing on the financial implications and strategies for prevention.

Malaria poses a significant risk to global health, particularly in low- and middle-income countries where it is endemic. The disease is disproportionately high and causes high morbidity and mortality among the most vulnerable groups, including children and pregnant women. In 2021 alone, there were an estimated 247 million cases of malaria and 619,000 malaria deaths worldwide. The emergence of drug-resistant parasites and insecticide-resistant mosquitoes has exacerbated the problem, threatening to reverse progress made in recent years. The impact of malaria on global health is not just limited to illness and death but extends to the economy as well. Malaria is associated with significant economic costs due to loss of productivity, reduced income, and increased healthcare spending. The disease is estimated to cost African countries billions of dollars in lost economic growth each year. Insecticide-treated mosquito nets (ITNs) are one of the most cost-effective interventions for preventing malaria, particularly among vulnerable populations. ITNs reduce malaria transmission rates and provide protection against other mosquito-borne diseases. The use of ITNs has increased significantly in recent years, with millions of nets distributed in endemic countries. However, the continued effectiveness of ITNs is threatened by insecticide resistance. (Andrade et al.2022)

2. Epidemiology of Malaria

Malaria ranks among the top five causes of morbidity and mortality in many tropical countries. Approximately one third of the world's population lives in areas at risk for malaria transmission, and an estimated 300 million cases with more than one million deaths occur annually, with most of the mortality occurring among children aged less than five years. This burden of disease falls disproportionately in Africa, where the life-threatening form of malaria, caused by Plasmodium falciparum, is endemic. Control, even with aggressive deployment of current vector control interventions, would only partially reduce the burden of this disease, but even this reduced burden would benefit those 300 million people living at risk. (Garrido-Cardenas et al.2023)

Malaria, a disease caused by infection with the protozoan parasite of the genus Plasmodium, is transmitted by the bite of the female Anopheles mosquito. It ranks high among infectious diseases in terms of morbidity and mortality. Plasmodium species are responsible for malaria in man. Although there are five species that can infect humans, it is P. falciparum that is responsible for the vast majority of deaths.

The distribution of malaria is unequal worldwide: it mainly occurs in tropical and subtropical regions, with a few pockets of transmission in temperate regions. The distribution is changing due to global climatic change and social changes such as increased rates of urbanization. Using epidemiological data, it is possible to refine the general epidemiological distribution of malaria in order to assess control requirements and to model the potential benefits of newly developed or deployed control measures. (Lana et al.2021)

Malaria is an ancient disease that may have been present in early hominids. Its gradual spread among human populations is postulated to have paralleled the evolution of the Anopheles mosquito vectors that are now responsible for its transmission to man. It was one of the first infectious diseases to be widely recognized by the great ancient civilizations. However, the causal agents could not be identified until the late 19th century. The first description of the clinical features of malaria is attributed to Hippocrates (460-377 BC), although it is possible that malaria was recognized well before this. The term malaria was derived in the late 17th century from the Italian “mala aria” meaning bad air, referring to the noxious vapors generated by swampy and marshy land that were thought to cause the disease. (Sharp et al.2020)

2.1. Global Burden of Disease

Malaria, transmitted through the bite of infected female Anopheles mosquitoes, represents one of the most severe health challenges in the world today. The World Health Organization (WHO) estimates that in 2020 there were 241 million cases globally, a significant increase from 227 million cases in 2019. While malaria is absent in many parts of the world, it placed a huge burden of illness and death in 2020 in 29 countries in sub-Saharan Africa, India, and a few areas in Oceania and Southeast Asia. Despite significant progress in prevention and treatment over the past 20 years, there were an estimated 627,000 deaths from malaria worldwide, with 96% of these occurring in Africa. About two-thirds of those infected with malaria are children under age 5. (Patel et al.2024)

The burden of malaria is not evenly spread across the globe. There are 87 countries and territories in the world where malaria is endemic, home to 3.4 billion people who are at risk of infection, 1.3 billion of whom are at high risk. Malaria transmission is closely related to climate, land use, and socio-political factors. Africa bears by far the heaviest burden of malaria. Of the estimated 627,000 deaths from malaria globally in 2020, 482,000 (77%) were in the WHO African Region. Africa is also home to 61% of the 241 million cases of malaria in 2020 and 80% of the estimated 228 million cases of malaria globally in 2019. (Kogan & Kogan2020)

Children aged less than 5 years account for the highest proportion of malaria deaths. In 2020, an estimated 234,000 children aged under 5 years died from malaria, representing about 37% of all malaria deaths globally. The WHO African Region accounted for most (95%) of these deaths. The number of deaths in this age group remained unchanged from 2019 to 2020. Outside Africa, malaria is endemic in parts of Central and South America, the Caribbean, the Middle East, Eastern Europe, Central and Southeast Asia, and the Pacific Islands.

3. Financial Cost of Malaria

The global burden of malaria is staggering. The World Health Organization estimates that there were 241 million cases of malaria worldwide in 2020, with up to 627,000 deaths. In addition to this horrendous toll on human life, malaria has a significant cost associated with its prevention, treatment, and mortality. Furthermore, countries that have higher malaria burdens also have the highest poverty levels. Overall, a clearer picture of malaria's financial cost is critical to understanding its impact on global health and poverty. Cost studies can help policymakers prioritize interventions such as alternative methods of financing national control programs. (Liu et al., 2022)(Health Organization, 2022)

Direct costs include the costs associated with the treatment of malaria, including those incurred by the ill and their loved ones, as well as the costs incurred by health care providers and other organizations involved in malaria control and prevention (e.g., using bed nets or insecticides). Indirect costs include the lost productivity of sick people and their caretakers, deaths, and the consequent loss of knowledge and experience. Due to the wide variation in the way these costs are measured, it is difficult to come to an overall estimate. In Burkina Faso, one of the poorest countries in the world, the total direct and indirect cost of malaria was estimated to be about 39.4 billion CFA francs (about $75 million) in 1993, which made up about 11% of the national budget. More recent studies conducted at the village level in Madagascar suggested that an attack of malaria cost an average rural household of 8 persons about $66.53 on direct costs, while endorsing an attack on adults required an even higher sacrifice of $80.42 on average. (Product et al.)

In 1997 in Tanzania, the direct economic burden of malaria was estimated at $118 million, including $75 million worth of drugs and health services in the formal market and $43 million in informal expenditures. This represented about 21% of the health budget and about 8% of total domestic expenditures on health in Tanzania. In Gabon, the total cost of illness for an episode of malaria in 1987 was $2.95 for outpatients and $37.00 for inpatients. In The Gambia, the economic cost of malaria (direct and indirect cost of malaria over outbreaks in 1993-94 and its loss of crop production) was estimated at a staggering $80 million (in 1989 dollars). Further financial and economic analysis using cost-of-illness methodology are warranted to obtain a clearer picture of malaria's cost to health and the economy. (Conteh et al.2021)

3.1. Direct Costs

There is a great disparity in the distribution of the world’s population in relation to the disease burden. As defined by the WHO, there are about 2.5 billion people who live in malarial areas of the world, mainly in the tropics. 300 to 600 million cases of malaria occur annually. The distribution of cost is unequal. Over 80 percent of the malaria burden is borne by Africa south of the Sahara, which has 46 percent of the world’s population at risk in the malaria-endemic zone. The cost of malaria to a country is either direct or indirect. The most important medical costs are of drug treatment and hospitalization.

The drug treatment costs that are examined focus only on the oral chloroquine treatment regimen, the most widely used antimalarial drug. The costing is on a simple level because many do not have access to sophisticated accounting. The costs to people are considered estimates more than precise predictions. In refugee communities, such as that along the Uganda-Kenya border, malaria is one of the primary causes of health care referrals. Drug treatment alone costs US$112,000 or US$24 per case, which compares with US $21,000 treatment costs for such a centre in Uganda. In African communities in general, chloroquine treatments per case range from US$1.82 to US$23 per year, the former based on a moderate-risk control site in Mali, the latter high community transmission sites in Tanzania. For Uganda, drug treatment annual costs for chloroquine treatment regimen, at 81 percent protection, are estimated at US$60 million / year in the 4 endemic zones. (Barber, 2023)

Hospitalization costs were uncovered only accidentally. One 14-month-old child at Kayunga Health Unit died after a stay of 21 days, costing the family US$180, excluding lost work time and funeral costs. As this poor family had used most of their meager savings for the child’s treatment, the economic impact of hospitalization is high. In Tanzania, average length of hospitalization for severe malaria is 6.6 days at a mean cost of US$440 per child enrolled in a study, accounting for 69 percent of family annual income. In rural Uganda, cost of in-patient treatment for well-documented severe cases of malaria was US$114. The direct cost of malaria hospitalization in developing countries is likely in the hundreds of dollars.

3.2. Indirect Costs

Malaria has severe economic consequences, which can be observed at the social and individual levels. However, only a little effort has been made to estimate the total economic cost of malaria. The idea was to develop an econometric model that has a direct impact on payroll. The modeled functions take into account direct and indirect costs, personal evaluation, and health spending per beneficiary to estimate productivity gains. Clarifications have been made regarding some impact indicators that are seldom included in studies exploring the costs of malaria. The indicators defined are proportion of days without and with malaria, total days absent in the population, yearly attendance, derivation of yearly attendance, payment for health services, and health spending per beneficiary. Nevertheless, poverty makes it difficult to access health services, and this restrains the consideration of costs. The results obtained from the stochastic model give insight about malaria and demonstrate the technical approach of development Econometrics. (Devine et al.2021)

The World Bank has classified countries according to the number of malaria infections per 1,000 inhabitants per year. In Southeast Asia, Cambodia, Laos, Myanmar, Thailand, and Vietnam suffer from unstable malaria. There are countries with stable malaria, such as Bangladesh, Bhutan, India, Maldives, Sri Lanka, and Nepal. There are some opportunities to reorient efforts towards discovering diseases of different natures, such as Other Filariases (Microfilaria in Lymphatic System), viral hepatitis ‘B’, undetermined ‘A’ viral hepatitis, Childhood Infections Not Elsewhere Classified, and Hydatid Disease. It is socially profitable to eradicate malaria from Southeast Asia, and this encourages the population to grasp the possibilities of interventions to overcome the disease. (Sahu et al., 2020)(Apeagyei et al.2024)

Though malaria causes severe loss in income capital, there is an incentive for intervention. Nevertheless, individual economic costs of malaria were not computed. Many of the studies concentrate on alternative economic loss measured by individual or social income loss. Malaria incidence among various groups was approximated and its association with income inequality was evaluated. The relationship between income disparities and malaria incidence in a community was examined through a field survey in Madagascar. Education and sinsemilla farming were found to be contributory to reduced parasitaemia and malaria prevalence respectively. It is important to understand the economic burden of disease properly as it is often used to advocate against modifiable behavioral factors. Sickle cell trait (HbAS) is evaluated as modifiable against malaria.

4. Strategies for Malaria Prevention

Malaria continues to be a significant public health challenge worldwide. The disease has claimed millions of lives, particularly in sub-Saharan Africa and other tropical regions. Although treatments of malaria continue to develop, prevention is a much cheaper way of ensuring individuals do not fall sick from malaria. Preventive measures that target mosquitoes can drastically lessen or even eliminate the possibility of getting the disease. Various strategies to prevent the spread of malaria are highlighted in the discussion that follows. (Oladipo et al.2022)

Vector control measures target the mosquitoes that transmit malaria from infected individuals to healthy individuals. Preventive measures that do not target mosquitoes but rather the infected sick individuals do exist, such as treatment of malaria in infected individuals, which would stop the parasites from being transmitted. However, such strategies are not extensively used as they are too costly, would require massive health infrastructure improvement, and are only effective if there is a high test rate of individuals with malaria. The vast majority of strategies to prevent the spread of malaria are vector control measures.

Chemoprevention is the method of using drugs to prevent illnesses or diseases. In malarial transmission, treatments such as the presumptive treatment of fever, intermittent preventive treatment of malaria, or seasonal malaria chemoprevention could be employed. Presumptive treatment of fever involves the treatment of any individual who presents with an elevated temperature regardless of whether or not they have the disease. This treatment could alleviate the immediate health burden of the sick individual, however it would only work if the fever is indeed caused by malaria. Furthermore, such treatment might increase drug-resistant strains of the parasite, especially in high-transmission areas, worsening the situation. For the intermittent preventive treatment of malaria (IPT), certain populations such as pregnant women or infants would be tested at certain times and would be treated regardless of whether or not they had malaria. While this treatment could considerably prevent the risk of the development of severe disease and even death, improvement of life conditions to avoid mosquito bites should still be the priority. Finally, seasonal malaria chemoprevention (SMC) would use malaria treatments to prevent malaria in only high-transmission areas during certain times of the year. Although this method of prevention could stop malaria infection in the short term, it cannot replace vector control measures, as drug-resistant strains would emerge due to the selective pressure of the treatment. (Plowe, 2022)(Greenwood et al.2021)

4.1. Vector Control Measures

A primary strategy for malaria prevention revolves around vector control measures. The goal is to either kill or repel the mosquitoes that transmit the malaria parasite or to reduce their population, resulting in a lower probability of malaria transmission. Vector control measures employed against malaria mosquitoes include the long-lasting insecticide-treated nets (LLINs), insecticide residual house spraying (IRS), and several other strategies under research development.

LLINs are the most extensively used vector control measures and are recognized as one of the most effective methods for preventing malaria, saving millions of lives each year. The World Health Assembly resolution (2000) called on countries to protect those at risk of malaria with LLINs, proposing a target of universal access to LLINs at 80% by 2010. The vast majority of LLINs are made from polyethylene and impregnated with pyrethroid insecticides, the only class of insecticides approved by the World Health Organization (WHO) for use on insecticide-treated nets (ITNs/LLINs). The networks’ cost-effectiveness depends on improving LLIN availability, which has been hampered by synthetic pyrethroid resistance. Over the last several years, WHO has launched major initiatives to increase LLIN availability in malaria-endemic countries. (Mosha et al.2022)

Insecticide residual spraying is another simple approach for malaria prevention. The concept of IRS proposes the application of residual insecticides (mostly organochlorines or organophosphates or pyrethroids) to the interior walls and roofs of houses. This method entails the periodic spraying of different surfaces in regular intervals, usually once or twice in a year, covering the houses in a given village/human settlement. This method is relatively effective in tropical/subtropical regions where the climate remains hot throughout the year, and housing conditions are favorable. It is performed by trained professionals using commercially available insecticides, designed to safely target the malaria vector. The insecticide selection methodology, life expectancy, weather patterns, spraying techniques, and housing design all impact the success of IRS. Unfortunately, IRS has been shown to reduce malaria transmission partially due to the emergence of DD-IRS-resistant An. gambiae s.s across several African nations. Currently, IRS is practiced in many countries, but only a handful meet the required level of coverage.

Research and development of alternative vector control strategies are ongoing, with the most promising ones being the genetically modified (GM) mosquitoes and the environmentally safe bacteria/larvicidal agent L. sphaericus. However, there are several challenges with these strategies before they could be launched in the endemic countries. As of now, community engagement, awareness generation, and active participation in controlling breeding sites, surveillance of malaria-positive cases, and adequate and timely treatment with recommended anti-malarials remain critical. These measures need to be part of a multi-pronged and zero-tolerance strategy, adopted both at individual settlements and national levels. Global public health officials need to pay equal attention to the growing threat of mosquito-borne diseases.

5. Conclusion and Future Directions

Malaria is a disease that is largely but far from completely preventable and curable that has claimed the lives of innumerable people. Significant financial resources are required in an effort to understand, contain, and eventually eliminate the disease. The results of a study showing the raw number of deaths due to malaria, both worldwide and by region, are shown here. The total number of deaths is reported, and may be broken down into children aged 5 and under and adults at the author's choice. Malaria was estimated to have caused about 627,000 deaths globally in 2012, and about 413,000 of these deaths were in African children aged 5 and under in 2010. The financial implications of such a disease that is anything but well contained are also examined. In particular, recent budget reports from the Global Fund and the President's Malaria Initiative are analyzed. This analysis shows that many countries where malaria is endemic are making little progress towards financial sustainability, even as the needs are expected to far exceed the available resources. A model for increased financial investment into malaria control is presented. Under stated assumptions, an increase in financial investment will translate into increased resources directed towards malaria control, and funding should be made available for the necessary research and development. Finally, precautions that should be taken with increased funding for malaria control are outlined. Policymakers should be aware of the possibility of diversion of funding and of any unrealistic expectations for short-term miracles.

Previous models have provided perceptive insights into underinvestment in malaria. These insights and associated policy recommendations remain relevant, and all R&D for malaria should not necessarily be redirected into a single alternative path. However, they have flaws that may hinder their practical policy impact. One flaw is the neglect of the separate but equally important issue of underresourcing established malaria control measures. Financial support for established measures should be made available in parallel with more transformative innovations. A related flaw is the shadowing off of the more specific and urgent issue of continued polio transmission until eradication is achieved by a focus on the more vague and remote prospects of selective investment in transformative R&D. On the other hand, this focus could animatedly be justified by the larger sums of money involved, more generous time horizons, and clearer visions of success. It is possible that deliberate miscalculations of the discounted net present value of a successful polio eradication initiative compounded by the R&D failures of the last decades exacerbated policy inertia from Colombia to Kazakhstan.

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[solatom123]

solomon lartey , PhD student at Teeside university.

Exploring the mechanisms behind the impact of alcoholic beverages on social behavior and health

1. Introduction to Alcohol Consumption

The consumption of alcoholic beverages represents one of the oldest cultural practices in humankind. Today's global alcohol market is among the largest consumer goods markets and continuously growing. In 2017, the alcoholic beverage world market amounted to 1.5 trillion USD (Statista, 2023). While positive aspects of moderate use are acknowledged, including conviviality enhancement (Wills et al., 2006), improvements in social skills, lower inhibitions, and, hence, greater openness, talkativeness, and assertiveness (Käkelä, 1999; Stoner et al., 2020), far more people are involved in negative consequences. Among them are intoxication-related accidents, including car accidents and drowning (Sullivan et al., 2001). Other socially unwanted effects are aggression and violence, including sexual and verbal abuse and destruction of property (Graham et al., 2006). Consequently, crimes believed to be alcohol-related constitute the largest part of the Dutch police crime statistics (CBS, 2022). Moreover, heavy and chronic drinking is correlated with alcohol use disorders (AUD), which negatively compromise individual health and social roles and are among the world's leading causes of morbidity & mortality (Ezzati et al., 2002).

The effect of alcohol on social behavior has traditionally been in focus, resulting in the notion that drinking has socializing or social lubricating effects. In many cultures, moderate drinking before or during social interaction is suspected to enhance enjoyment and smoothness of the interaction (Dimech et al., 2020). Ethanol is indeed crucial in easing socializing in cultures with a long tradition of drinking. In young naive socialize (drinking) contexts, it is also associated with later and overall higher consumption (Anderson et al., 2009). Learning processes (observational learning, social modeling) and environmental factors (socialization norms, peer socialization) contribute to these long-term effects (Foroud & Li, 2000).

1.1. Historical and Cultural Perspectives

Alcoholic beverages have been an integral part of human culture for thousands of years. The history of alcohol consumption is rich and diverse, with people from different cultures and regions developing unique alcoholic drinks. Ancient civilizations produced fermented drinks from grains, fruits, and honey. For instance, beer was brewed in ancient Mesopotamia around 4000 BCE, and wine was produced in ancient Egypt around 3000 BCE. These drinks played important roles in religious and social rituals, as well as in daily life. The ancient Greeks, for example, held symposiums where wine was consumed in moderation to foster intellectual discussions. Similarly, the ancient Chinese brewed rice wine approximately 7000 BCE, which was used in ceremonial offerings to ancestors. Such historical accounts suggest that alcohol consumption has long been intertwined with culture and society. (Rawat et al.2021)

The cultural significance of alcoholic beverages continued to evolve through the ages. In the Middle Ages, monasteries in Europe became centers of brewing and winemaking, and abbey beers and monastic wines gained renown. The consumption of alcoholic beverages was associated with Christianity and religious devotion. However, in the wake of the Protestant Reformation, cultural attitudes toward alcohol shifted dramatically, leading to the rise of temperance movements in the 19th century that condemned alcohol as sinful and destructive. The interplay between culture and alcohol was not only limited to the West. In Asia, colonial encounters reshaped traditional drinking cultures, often leading to social problems and abuses. (Schrad, 2021)

As familiar as drinking is to many, it is also a misunderstood and contentious subject, particularly in the West. Drinking can induce pleasurable effects such as relaxation, group bonding, conviviality, and sociability. Yet, it can also incite aggressive and violent behavior, abusive and demeaning conduct, and disturbing and dangerous actions. There is a common belief in many cultures that alcohol use helps unfold the ‘true self’ of the drinker. The intoxicated individual may become uninhibited, frank, cheerful, friendly, boisterous, quarrelsome, abusive, or aggressive, fully displayed in actions. However, this belief is culturally contingent. This discrepancy points to the complexity of alcohol’s social effects, revealing what is crucial in understanding the social world. This understanding has implications for public policy regarding alcohol consumption and violence. Furthermore, investigating the mechanisms underlying the cultural shaping of alcohol’s social effects can contribute to the larger theoretical endeavor of understanding the relationship between culture and behavior. As such, it is a worthwhile undertaking. (Thurnell-Read, 2021)

2. Physiological Effects of Alcohol

Alcohol has a range of physiological effects on the body. The concentration of alcohol in the bloodstream and its speed of delivery to the brain will determine the intoxication and its resulting effects. The 'buzz' commonly associated with alcohol consumption is a euphoric feeling experienced within minutes of drinking. This occurs before significant impairment of motor or cognitive function, and it is associated with alcohol’s ability to boost dopamine levels in the mesolimbic system. (Domi et al.2021)

Blood alcohol concentration (BAC) is the ratio of alcohol in the blood measured by mass/volume, percentage weight/volume (wt/w), or common (mass/volume) percentage (g/mL). The amount of alcohol consumed, consumed in a short period of time, and the person’s body composition will impact their BAC. Intoxication is defined in table “Classification of Intoxication by Blood Alcohol Concentration”. Women consistently reach a BAC higher than men after consuming the same amount of alcohol due to the difference in the mean body water composition. People with lower body fat percentages will reach a lower BAC.] (Greaves et al.2022)

Alcohol is absorbed into the bloodstream quickly through the aerial surface of the gastrointestinal tract. Ethanol is highly soluble in water, resulting in rapid absorption through the mucous membranes lining the stomach and upper intestinal tract. The onset of intoxication occurs faster when alcohol is drank on an empty stomach (high alcohol concentrations in beverages) due to a delay in gastric emptying. Women have delayed gastric emptying compared to men, resulting in women’s BAC being elevated further than men’s. CO2-rich drinks, such as champagne, will reach the systemic circulation more quickly as they promote gastric emptying and may cause exaggerated time courses of effects. Paxil, a common antidepressant that causes doses to be absorbed into the bloodstream slowly, may negate the fast absorption of alcohol. (Cox & Klinger2022)

2.1. Metabolism and Absorption

Alcoholic beverages contain various psychoactive substances, the most offensive of which is ethanol (C2H5OH), commonly known as alcohol (Babor et al., 2010). Ethanol is a colorless, volatile, and flammable liquid that can be manufactured either synthetically or by the fermentation of carbohydrates (U.S. Department of Health and Human Services, 2006). Ethanol is widely used as a recreational beverage and as a humectant, solubilizing agent, and medicinal agent. Ethanol intoxication induces mood swings, disinhibition, and socialization, which may facilitate drinking behaviors. Although moderate drinking is said to have health benefits, it has been undeniably linked to various hepatotoxic diseases and other health conditions, such as neurodegeneration and breast cancer, particularly among young women (Liu et al., 2014; Tchouaket et al., 2022; Yamada et al., 2023). (Koob et al., 2021)(Baltariu et al.2023)

Alcohol use disorder (AUD) is a chronic, relapsing brain disease characterized by compulsive alcohol intake, loss of control over drinking, and negative emotional states when alcohol is not available. Recently, safe and effective pharmacotherapies for managing AUD have been drawn increased attention (Volpicelli et al., 1992). AUD is characterized by brain maladaptation to chronic alcohol drinking, including adaptive changes in neurotransmitter signaling systems. In particular, the neurotransmitter systems that mediate the actions of ethanol include the gamma-amino butyric acid type A (GABAA) receptor, opioid, serotonin, dopaminergic, and glutamate systems (Volpicelli et al., 1992). Normalization of forebrain neuroadaptations to chronic ethanol through region-specific electrophysiological approaches provides a promising new pharmacotherapy that holds broader implications for other neurological disorders associated with behavioral inhibition and compulsive behaviors (Babor et al., 2010). (Ferreira et al.2021)

The bioavailability of ethanol is almost 100%, with peak blood concentrations reached 30 to 90 min after ingestion of alcohol in a fasting state and about 120 to 240 min in a fed state. The rate of gastric emptying affects peak blood alcohol concentration. During acute exercise, subcutaneous alcohol injection increased blood ethanol levels faster and created a higher peak blood ethanol concentration than intragastrically administered alcohol. Gender differences exist in ethanol absorption, with higher blood alcohol concentrations noticed in females. Ethanol absorption is also dependent on age, body weight, concomitant carb intake, psychological condition, drinking history, type of beverage (carbonated beverage has a more prominent effect), and other factors. Ethanol is distributed in body water and body tissues in a relatively uniform manner. Ethanol is a small polar molecule that is lipophilic, and its small molecular weight (46.07 g/mol) plays a role in its rapid absorption in the gastrointestinal tract. After rapid absorption, ethanol flows into the blood circulation. According to the theory of alcohol spectrum, ethanol can passively diffuse across biological membranes via the lipid bilayers, resulting in concentration gradients of alcohols across membranes (Yamada et al., 2023). Ethanol is absorbed with a very low first-pass metabolism in the gastrointestinal tract and liver (Babor et al., 2010). The body weight-adjusted volume of distribution for ethanol is 0.6 to 0.7 L/kg in males and 0.5 to 0.6 L/kg in females. Ethanol concentration in tissues and organs can be predicted based on the body water and body fat contents. (Wilson & Matschinsky, 2020)(Tarantino et al.2022)

3. Social Behavior and Alcohol Use

The association between alcohol use and social behavior has been a topic of interest for social psychologists, sociologists, physicians, and epidemiologists for years. There is substantial empirical evidence that social context plays a role in influencing differential levels of alcohol consumption. This is particularly relevant for young adults, who tend to consume alcohol more frequently and in greater quantities when with friends. However, there is still much to explore regarding the nature of this association. A social networking perspective is proposed to better understand the role of social context in influencing drinking behavior. (Corbin et al.2021)

The expression of social behaviors is not solely based on internal factors such as individual motivation, personality, or drug use. Context matters. Social networks, which are the web of social ties linking individuals, have been shown to influence behavior. Network attributes, including individual positioning in the network, the network's structural and homophilic features, and peer effects, have all been linked to social behavior. Networks are crucial for the transmission of social behavior and social norms through relational ties.

Normative mechanisms are important for understanding how social context shapes behavior. Social norms define acceptable conduct in a given context and regulate social behavior by sanctioning norm violations. Social norms regarding alcohol use can either encourage or discourage behavior within a network, regardless of individual characteristics. East African communities are used as an example where drinking norms have shifted, promoting consumption among women and economically disadvantaged individuals. This highlights that social norms may promote both individual and collective risky behaviors.

Descriptive norms refer to perceptions of typical behaviors within a social context, while injunctive norms refer to perceptions of approval/disapproval. A pipeline model is proposed to understand how these normative mechanisms and social contexts interrelate to shape individual behavior, taking into account relative timing in alcohol use behavior. Contextual aspects such as physical environment and network homophily are relevant for drinking behavior. Normative mechanisms are explained, and convergence between descriptive and injunctive norms is considered.

3.1. Social Norms and Alcohol Consumption

Alcohol use is commonly embedded in the social life of different cultures, and the availability of alcoholic beverages facilitates such consumption. Understanding how social contexts shape drinking behaviors has been a focal point of research, leading to a large body of work on normative influences. Numerous cross-sectional and longitudinal studies have shown associations between alcohol use and the attitudes and behaviors of peers and friends, but it remains to be understood how such influences come into play. Social norm approaches have been employed in several interventions, both in public campaigns and as "brief interventions" in treatment programs for problem drinkers. The latter are commonly called "feedback" interventions, where survey feedback is used in one-to-one settings to confront drinkers with a higher personal use compared to their peers. Feedback interventions have often produced an immediate decrease in alcohol consumption. (Marziali et al., 2022)

Several mechanisms have been suggested that may explain the impact of social norms on drinking behaviors. Social norms processing is facilitated by the tendency of individuals to fall back on common sense when they lack information. In the absence of direct experience on how much alcohol is consumed by peers or friends, default assumptions are that consumption is close to limits permitted by the law, or even above the average limits suggested by population statistics. Norm comparisons are also facilitated by the prevalence of thus shared estimates rooted in culturally transmitted knowledge. Such estimates easily come to mind when individuals seek advice on whether their personal consumption is inappropriate, inviting students and other young adults to be concerned about their drinking as potentially high. Alternatively, exposure to drinking may boost activated estimates and filtering norms, rendering high individual consumption acceptable.

Both normative processing styles and consumption levels go through systematic changes during the transition into independent drinking, creating an intertwining of the two processes that cross-fuel the impact of social norms on drinking. In early phases of drinking, high normative estimates provide a protective window of opportunity against binge drinking in normatively constrained group settings. Once individuals increase drinking, normative estimates adjust to match drinking levels within social groups, which may set the stage for drinking escalation within resulting drinking cultures. Alcohol consumption is a variable that has attracted much attention in both the social sciences and the biomedical sciences. In recent years, attempts have been made to find common ground among these fields, and interest groups have attempted to utilize knowledge gained in the social sciences on the social risk factors of drinking behavior for the development of intervention policies to diminish alcohol-related problems. (Graupensperger et al.2021)

4. Alcohol Use Disorders

In Western societies, alcohol use is ubiquitous, and a large majority of the population consumes alcoholic beverages of various kinds. For most, alcohol consumption is limited, involves only the occasional drink, and does not lead to any adverse consequences. However, for a sizable minority, alcohol use leads to a chronic social and health problem characterized by hazardous and harmful consumption. According to the latest guidelines of the World Health Organization, about 40% of the Western adult population qualifies as having an alcohol use disorder (AUD), defined as at least one of the following 11 criteria within the last 12 months: 1) consuming alcohol in larger amounts or over a longer period than intended; 2) wanting to cut down or stop, but not succeeding; 3) spending a significant amount of time obtaining, using, or recovering from alcohol; 4) craving alcohol; 5) causing conflicts with family or friends; 6) neglecting social, occupational, or recreational activities due to drinking; 7) using alcohol in hazardous situations; 8) continuing to use alcohol despite causing problems; 9) developing tolerance; 10) experiencing withdrawal symptoms; 11) engaging in behavior that poses a risk to health, such as liver disease, accidents, and overdosing. In the United States, someone dies of alcohol consumption every 12 minutes. It has been estimated that alcohol consumption costs the United States over $223.5 billion per year, accounting for 1.9% of its gross domestic product (GDP). In 2004, Canada drank on average 14.9 liters per person, the second highest among the countries more developed organizations. (Neufeld et al.2021)

There is a clear need for effective preventive measures to deal with AUDs. A wide range of risk factors have been identified that make individuals more vulnerable to develop an AUD, which can be divided into factors that are biological, genetic, environmental, social, and psychological in nature. The implementation of preventive measures should focus on combating the impact of these factors. Several institutions provide clear insight into AUDs and guidelines focused on at-risk populations, available for health workers, educational institutions, governments, and online.

4.1. Risk Factors and Prevention

Causal pathways exist through which such risk factors exert their effects, modifying, mediating, or influencing measures of social behavior in youth. In turn, such behaviors affect alcohol use and intoxication and, consequently, the risk for the development of AUDs later in life. In recognizing how time and different levels of organization along such pathways may modify the effects of risk factors on the progression of alcohol use, intoxication, and abuse would allow for development of more effective approaches for prevention and intervention at different stages in development. (Karunamuni et al., 2021)

Although relationships exist between higher level demographic and societal influences, such as advertising, pub and bar availability, and college status, there has been less focus on identifying specific mechanisms through which higher level influences affect individual level risk factors. This has limited understanding of how societal level forces, such as alcohol marketing directed at youth and the availability of alcohol on campuses, shape the risk of early onset drinking across different cultures and societies.

Persons who drink to intoxication are at elevated risk for alcohol dependence. Because alcohol intoxication is the putative mediator of most of the acute pharmacological effects of alcohol consumption on social behavior, it is important to identify risk factors that affect the progression of drinking and intoxication. Various risk factors are likely to exert their effects on drinking and intoxication in different ways over the course of development. Factors that affect the earlier and initial use of alcohol are likely to have different effects on the risk and timing of intoxication. Factors that influence drinking in adolescence and young adulthood are likely to be distinct from those that influence use patterns in older adults.

The concept of drinking trajectories is introduced as a way to explore individual differences in drinking and intoxication patterns over the course of development. Such trajectories can be inferred indirectly through the analysis of longitudinal data or can be modeled directly from cross-sectional data. Trajectories of use can take different forms, such as user/non-user, increasing/decreasing, or stable patterns, or they can involve different types of use (e.g., average quantity or frequency of use), different substances (e.g., alcohol and cigarettes), or levels of a dependent variable (e.g., alcohol abuse, sensation-seeking, neuropsychological functioning). Likewise, trajectories of intoxication can vary, ranging from never intoxicated to a steady increase in intoxication as drinking increased.

5. Conclusion and Future Directions

Throughout this essay, alcohol's wide range of effects—both socially and physically—has been examined. It was revealed that when consumed in moderation, alcoholic drinks can improve confidence and decrease anxiety or discomfort in company settings. However, the motivation behind alcohol consumption often changes as consumption escalates. The negative impact of excessive drinking becomes evident, as this change can include violence or disagreements. Furthermore, while binge drinking occasionally can be viewed as harmless fun, at-risk groups often develop substance abuse, which heavily affects health and social engagement. Such groups often include younger people, who are still learning social norms and have less experience with substance use. Studies show that those aged 18-30 account for the highest number of deaths due to binge drinking, and that those who begin drinking before age 15 are more likely to develop substance abuse.

There are many factors that lead to this escalation of drinking patterns. Properties of the drink itself can play a role; alcohol consumption increases in bars or clubs after drinks are bought, because of their higher alcohol content and cheap price. The environment can also affect drinking patterns; programs intending to reduce drinking in bars often focus on the drinking culture, which consists of music and dancing, and urges the idea of drinking to escape reality. Women’s drinking often shapes the social culture in such venues. However, it does not appear that alcohol programs successfully reduce drinking, often leading to disappointment, an increased need for alcohol, and uptake in drug use. Future directions could include investigating the intoxication of substances other than alcohol, exploring whether binge-drinks increase or decrease drug use, and utilizing rodent models with social behavior experiments greatly differing from existing paradigms, with a focus on sex differences.

References:

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Ferreira, G.M., Lee, R.S., Piquet-Pessôa, M., de Menezes, G.B., Moreira-de-Oliveira, M.E., Albertella, L., Yücel, M., dos Santos Cruz, M., dos Santos-Ribeiro, S. and Fontenelle, L.F., 2021. Habitual versus affective motivations in obsessive-compulsive disorder and alcohol use disorder. CNS spectrums, 26(3), pp.243-250. [HTML]

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Tarantino, G., Cataldi, M. and Citro, V., 2022. Could alcohol abuse and dependence on junk foods inducing obesity and/or illicit drug use represent danger to liver in young people with altered psychological/relational spheres or emotional problems?. International Journal of Molecular Sciences, 23(18), p.10406. mdpi.com

Corbin, W.R., Hartman, J.D., Bruening, A.B. and Fromme, K., 2021. Contextual influences on subjective alcohol response. Experimental and clinical psychopharmacology, 29(1), p.48. apa.org

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Graupensperger, S., Jaffe, A.E., Hultgren, B.A., Rhew, I.C., Lee, C.M. and Larimer, M.E., 2021. The dynamic nature of injunctive drinking norms and within-person associations with college student alcohol use. Psychology of addictive behaviors, 35(8), p.867. apa.org

Neufeld, M., Bunova, A., Ferreira-Borges, C., Bryun, E., Fadeeva, E., Gil, A., Gornyi, B., Khaltourina, D., Koshkina, E., Nadezhdin, A. and Tetenova, E., 2021. The Alcohol Use Disorders Identification Test (AUDIT) in the Russian language-a systematic review of validation efforts and application challenges. Substance abuse treatment, prevention, and policy, 16, pp.1-14. springer.com

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[solatom123]

Solomon lartey, PhD student at Teeside university.

Exploring the Impact of Tax Havens on Global Economy and the Tactics Used in Crackdowns and Manipulation

1. Introduction

Tax havens refer to jurisdictions with low or no tax rates that are characterized by a lack of transparency, limited information exchange, and high levels of secrecy. Businesses and individuals seeking to evade or avoid taxes are drawn to these jurisdictions, often routing economic activity through them to minimize tax liabilities. This has significant implications for tax revenues, economic development, and inequality, particularly for developing countries reliant on corporate taxation.

The rise of "offshore" financial centers in the late twentieth century spurred concerted efforts by governments to curtail their impact and increase their accountability to global administrations. However, such efforts face challenges since tax rings give countries significant advantages when it comes to attracting businesses and investments. Furthermore, as sophisticated financial instruments and means of communication develop, so too do the strategies to lessen or avoid taxes. As some jurisdictions manage to block or hinder cross-border information exchanges while providing near-total secrecy over their clients’ affairs, recent crackdowns by some countries on these tax jurisdictions and their sanctioned manipulation by some others are just the tip of the iceberg. The key challenge for governments is thus how far they dare go to tame the beasts they have nurtured and, even more concerning, how such beasts could turn on their handlers.

2. Understanding Tax Havens

Tax havens are generally understood as jurisdictions that create opportunities for profit shifting, therefore reducing taxes paid to a high-tax jurisdiction. As a result, tax havens are often described in terms of a “tax haven economy” or a “tax haven sector,” both of which include the legal entities—as defined by legal jurisdiction (e.g. US-owned multinational corporations) as well as type of entity (e.g. US banks)—that file profits in the tax havens, as well as real economic activities captured in the haven. Tax havens provide opportunities to shift profits based on the characteristics of the tax haven (corporate tax rates, secrecy provisions, etc.) and the multinational (e.g. size and geographic reach). Tax havens are often identified based on the characteristics of the jurisdiction itself, such as being small, having certain regulatory provisions (low tax rates, secrecy provisions) and having multinational ownership (FDI in/out). This conceptualization of havens (jurisdictions and their characteristics) is difficult to operationalize because of data limitations. As tax heavens largely exist because of thier secrecy, it typically entails reliance on US or OECD data to create proxies for havens. There is no global data set that defines havens based their jurisdictional characteristics. (Ateş et al., 2020)

A more operational definition of havens is based on the consequences of (or behavior associated with) having certain tax jurisdictions: if a parent multinational corporation has a foreign subsidiary where the effective tax rate is less than a given threshold, the subsidiary is sent to be in a tax haven. This is similar to the idea of a “shadow banking sector,” where an institution is classified as such if it is engaged in activities similar to banking but is not subject to regulation.

2.1. Definition and Characteristics

It is essential to understand what tax havens are and the characteristics that identify them. Generally, tax havens are low or zero tax jurisdictions that provide secrecy to foreign investors. The common characteristics often used to identify tax havens include banking secrecy, very low or no tax, loopholes in the tax code, corporate residency, lack of commercial substance requirement, set-up of insignificant economic activities, a complex corporate structure to benefit from tax treaties, and guidelines against harmful tax practices. These characteristics are mainly used for the classification of the offshore tax havens for the academic purpose and to conduct research. All these characteristics, except banking secrecy, are based on government policies. (Janský et al., 2022)

Country jurisdictions identified as tax havens in the academic literature by researchers include many Caribbean Islands, Malta, Cayman Islands, Bermuda, Luxembourg, the Netherlands, British Virgin Islands, and such Pacific Islands as Vanuatu and Cook Islands. Fishermen and economic critics have referred to such tax havens known jurisdictions as "piranha." In broader terms, tax havens are classified either as offshore centers or low tax economies. Using a largely cited definition of tax havens by the Organization for Economic Cooperation and Development (OECD), an abbreviation of tax haven countries has come into use: "OECD-Haven," this term denotes all the countries that have been targeted for international investigation of their banking laws relating to the confidentiality of offshore funds. Despite recent attempts to further broaden the scope of international cooperation, the countries on that original OECD list, and many additional ones, remain a cause of persistent concern regarding their compliance with international standards. Unfortunately, the campaign against these havens has resulted in little more effectiveness. (Przygoda, 2022)(Lejour, 2021)

In the light of current developments in the global economy, tax havens can be viewed as the defenders of national sovereignty over capital space. Given the radical transformation of the state system, in particular with respect to the autonomy of corporate decision-making, this position appears plausible for justifying the economic and political mindset behind the emergence of tax havens. Nevertheless, the advocates of globalization conventions seem to fail to recognize that the superiority of the states concerned is seriously compromised by the very action of "retreating" from the global economy. It is this form of dependency that is feared by many emerging economies in relation to the global domination of an exclusive "super state" like the United States. (San Juan, 2022)

2.2. Historical Evolution

The alluring siren of tax havens has enchanted the rich and powerful since the 16th century. By taking advantage of secretive jurisdictions with lower taxes, the elite could conceal wealth and chase investments away from prying hands. As the rich deserted London for the tax-free shores of the Bahama Islands, they unwittingly set off a domino effect, with other nations scrambling to attract the newly mobile taxes. Nations bereft of income became desperate for cheap accommodations. The system became known as the race to the bottom. Untethered by import tariffs and trade barriers, companies flocked to nations with few resources or regulations. Here, firms could import raw materials tax-free, manufacture goods on the cheap, and sail them off into the open sea. As profits mounted, so did outrage from the once-wealthy countries the firms had left behind. Reckless vaudeville in the Bahamas unearthed fortunes that led Parliament to pass England's Income Tax Act in 1853, followed by the German Kaiser Heinrich VIII amendment to "police these free port swindlers." At the same time, empire-builders such as Cecil Rhodes scoured the globe for hideouts amid uncontrollable empires. The anti-gravity shelf escaped the long arms of the laws protecting corporate decision-making from corruption. It was here—on the very crest of empire—that the blueprints for the modern-day offshore world were conceived. (Liu et al.2020)(Hill, 2022)

It had taken only a few short years for the race to the bottom to spiral out of control. What began as a simple attempt to contain a few wayward taxpayers had escalated into a full-blown arms race, with nation after nation hustling to enlarge the prize by offering deeper and deeper tax evasion discounts. Nations with no local wealth to protect quickly got into the act. The United Kingdom’s North Borneo Company in 1881 was followed by the newly created colony of Labuan in 1886. By 1900, Panama and Zanzibar were both taking steps to attract foreign investors with tantalizingly cheap package deals. The controlling requirements? Turn off the Amber Alert, open the pages of a British-liberal Constitution, and close the books. For European and American businesses, the appeal was obvious. The latter could stage an interlude of sober business respectability—conducting matters elsewhere and severing connections with the few reliable chambers of commerce left on the surface. In due course, the gifts would be gently returned to the seeded country's banks—salted abroad in the Florida Keys via Florida courts covering up Hassan, Giannini, and Davis's adventures in Latin America, where they were bailed out as well by Rothschild banknotes. In the era of great sea-roaming business magnates, such blind trust in the perfidious and maturing common-law would have been unthinkable. (Tan, 2020)(Tan, 2024)

2.3. Types of Tax Havens

Tax havens can be divided into four groups based on their characteristics. The first group consists of the oldest offshore centers. For example, the British Channel Islands and the Isle of Man are well-known offshore centers that provide services to non-residents for more than half a century. Until recently, most of these jurisdictions were closely tied to a certain country providing them with an identity (tax neutrality and a certain banking secrecy) and competitive advantages. The service industry of these jurisdictions, however, is well-developed and provides many options for wealth holders and wealth creators from other countries to circumvent their domestic (mostly European) regulations. These offshore centers are relatively large in terms of their defendant populations compared to other offshore jurisdictions. They are mostly located in Europe and the area of jurisdiction is from 5,000 square kilometers in case of Guernsey to 15,220 square kilometers in case of Jersey. The tax levels of the jurisdictions are low or non-existent. Wealth and wealth transactions are well protected by strict legislation. The language used in wealth transactions is mostly that of the home country or an international language, mostly English, which makes transactions less risky. (Hebous & Johannesen, 2021)

The second group consists of locations where offshore centers came into being as a political or economic response to certain countries’ regulations. For example, Iceland, Luxembourg, and Monaco are the best-known European jurisdictions. Due to their proximity to the Scandinavian countries, Iceland’s development was similar to that of other Nordic countries. The primary aim of the legislation was to build an international banks’ market. In the mid-1990s, Iceland was involved in privatizating the state banks. The banks had to find possibilities to expand beyond the Icelandic market, and offshore services were one of the alternatives. This was the starting point of Iceland becoming a tax haven-like jurisdiction. The regulatory arbitrage opportunity was attacked by amending anti-avoidance provisions in the Icelandic taxation act. The amendments came into force in 1997, and offshore services to non-residents were illegal unless accounted for in the jurisdiction. (Yeoh, 2021)

A third group of jurisdictions went through a tax haven-like transformation as a result of political changes, primarily from communism to democracy and from the centrally planned economy to a market economy. Cases include a number of post-communist countries, primarily in Eastern and Central Europe. For example, as a consequence of the privatization program, a financial services industry developed in Hungary, which could be an intermediary between the western investors, eastern privatization funds, and state-run public companies. Recently, a new wave of regulations stimulating foreign direct investments came into existence in the Czech Republic, Poland, Slovenia, and largely in the last decade, in all post-communist countries. The recent EU enlargement opened a new window of opportunity for offshoring wealth creation in new jurisdictions. (Cockfield, 2023)

As a fourth group, in addition to already existing offshore centers, a number of countries decided to try to attract global players from finance and wealth creation. For example, the establishment of an offshore center in Malta was considered in the mid-1990s. Only few had any questions about whether Malta had the ability to construct a successful offshore industry. Those who took the project seriously wondered about Malta’s options and the type of offshore industry this small Mediterranean island had to develop in order to be competitive. Questions relating to the problems Malta was likely to encounter were also raised. One of the conclusions was that Malta would no longer be a veritable paradise for overseas banks and other financial institutions, and bank secrecy as understood in the Caribbean or other established havens would cease to exist. (Jónsson, 2024)

3. The Economic Impact of Tax Havens

The nature of tax havens and their economic activity has sparked significant interest among researchers and organizations alike. These advocates do not dismiss the use of tax havens, but stress a balanced perspective that takes their positive as well as the negative effects into consideration. They assert that tax havens cannot be broadly judged as good or bad, emphasizing the need for policymaking to focus on a clear definition and a deeper understanding of tax havens’ characteristics.

A basic definition of tax havens must be broad enough to include the complex characteristics of countries like Singapore. Areas designated as tax havens should meet at least three criteria, namely: 1. No, or very minimal, appreciable taxes on relevant income; 2. Laws or administrative practices which act to prevent the effective exchange of information with foreign tax authorities; and 3. An established, government-sanctioned, and sustained level of secrecy so as to encourage the use of that jurisdiction for the establishment of mass repositories of the moneys and wealth of non-residents. Further, the assessment of tax haven activity should include its impact on individuals and corporations. (Dharmapala2021)

First, it is argued that tax havens can be beneficial to developing countries. To this end, it matters how base countries or source countries react in the wake of a capital flight. If strong countermeasures are taken by improving regulations, monitoring transfers and stricter enforcement of regulations, the results of tax havens might be positive as they induce better cooperation among states. At least in terms of increasing economic activity, the alleged doom scenarios concerning massive capital flight seems to be exaggerated. This is in line with the increasingly positive tone on tax havens by governmental bodies like the OECD or IMF. There is hope that developing nations might benefit in terms of tax revenues, reduction of capital flight and competition between nations for investments.

Alternatively, it can also be claimed that tax havens might be positive for a broad class of countries particularly with respect to preventing rich bees and unprofitable companies from leaving them. Such an outcome would be desirable given the importance of persistent policies and outcomes. The number of states with regulatory climate harmonizing regulations may thus be stable at a non-zero number, and even though capital flight occurs, developing countries would nevertheless have a wide range of policy choices available. However, this perspective of global welfare implies states not maximizing the welfare of their constituencies, which seems unrealistic in the context of a growing inequality worldwide. Moreover, the theory is highly sensitive to the strength of the consideration against tax havens.

On the other hand, the evidence is probably more in line with the perspective of tax havens being harmful to developing countries. The impact of tax havens and money transfers to them is most devastating for developing countries unable to attract business, investment and taxation equivalently. The initial aggregate beneficial results set off underestimations of eventual negative net advantages. It has been pointed out that, years after tax haven regulation was first liberalized, serious counter-measures have yet to be taken.

3.1. Positive Effects

While tax havens have often been blamed for negative developments in the global economy, recent research has also highlighted their positive effects. Analysis of countries, including several tax havens, found that tax havens are on average richer, grow faster, are less indebted, invest more, experience more FDI income, invest more outwards, experience higher profits and broader capital market access, and have larger net interest payments. In the case of tax havens being typically small countries with a specific geography and economy, sensitivity analyses excluding them did not affect the conclusions. (Laffitte, 2024)(Sovičová, 2020)

However, policy implications were less straightforward. On the one hand, accounting would have to be adjusted. On the other hand, the positive effects of tax havens may hint at options for less competitive countries eager to attract more MNEs. Similarly, it has been noted that the recurrent conduct of international organizations that combat harmful tax competition by encouraging countries to increase tax burdens on mobile tax bases would be of little help to low-tax jurisdictions wishing to develop their economy, particularly as larger markets also tend to have a stronger influence on the decision to headquarter in these countries.

With financial innovation and expanding networks of interdependencies causing multinational enterprises (MNEs) to possess roughly half of the world’s capital stock and three-quarters of its commerce, one of the critical skills bordering on secrecy is tax planning. Using competitive, innovative arrangements, many of them funnel their profits through tax havens to avoid taxes. However, tax havens are often blamed for economic developments from increasing income inequality and a financial crisis to the current woes of the euro. At the same time, recent analyses of the offshore economy curbed the perception of tax havens as economic wastelands. (Wallace, 2021)

3.2. Negative Effects

With the introduction of tax havens in the 1920s, there was a sudden increase in tax evasion, the disruption of markets, avoidances of legislative efforts to promote transparency, and evenly the indirect suggestion of corruption. Take the case of Denmark, with sales taxes of 25 percent, foreign airlines reportedly charged fees through their Dutch operations, and several multinational firms setting up subsidiaries in tax havens. Denmark was inviting those companies to harm the requested change or make a move to another country. There were also concerns that shadow banking would take place in these havens. On the other hand, a wealthy man would have to think twice before laundering moneys in some offshore island because banks charged enormous rates for this kind of service. Noncooperate banks and institutions were often dragged into lawsuits. The G20 countries were concerned about the role of Bermudalike islands in the dollarbond market and voted in 1989 to apply an automatic withholding tax on certain dollarbonds issues. (Guex & Buclin, 2023)(Guex2023)

However, many places found it very hard to give up the pack even for the purpose of ending (or mitigating) the pack in other countries. For example, there were states in the United States very well aware of the harmful nature of gambling devened their treaty conversations with other states. They said that it would be absurd to give up such a massive source of income. In the early afternoon hours of a bar exam, candidates would be bombarded with advertisements for Las Vegas casinos.

During the mid-1990s, concern over the manipulation of the euro began to emerge in the political agenda. Many European governments were uncertain how to calculate their euro-entry expenditures. In consequence, pressure increased to make long-term interest rates converge and for mutual cooperation in the management of currencies in the vague transition period. The maintenance of currency bands was part of this, as was the attempt to curtail speculation against weaker currencies. In these efforts states tried to counter the cache on the players by means of greater transparency. In the UK, the treasury opened a special inquiry into the currency markets, and in Germany a parliamentary committee investigated the manipulation of the Deutsche Mark. In the US, some politicians labeled hedge fund managers as “criminals” and from there, the political agenda turned to the blunter notion of “need for regulation”. (Lysandrou & Stassinopoulos, 2020)

Another important concern became whether the heavily bloated euro-crisis “shadow banking” sector, with its so-called “money market funds” would be at the core of a currency crises. After the euro was instituted in 2002, there had been massive transnational shifts of capital from banks to euro-denominated money market funds which generated a development similar to the growth of offshore euro-dollar banking in the first wave of financial deregulation during the 1960s. In several nation-states mutual fund companies, large banks, and securities corporations transformed into money market fund providers. After the eurozone collapse and the bailouts the literature also turned to a concern over the political economy of control and dominance, basically in the wake of concerns born with the so-called “Latin American crisis”. One gesture was to turn to the disciplines of the so-called “new” political economy traditions. Basically, these are not driven by whether one is for or against globalization as is the case with a number of economic nationalist accounts.

4. Regulatory Frameworks and International Efforts

Discussions about tax havens usually come down to the absence of serious regulations or ineffective rules that are also easy to exploit. For states where tax evasion is common, it is often said they lack havens to which their wealthy citizens can escape. The financial conditions of tax evasion are therefore significant influences on the political economy of global finance, including, importantly, the regulation of the global financial industry. Countries with national tax benefits must weigh public interest against capital flight. On the one hand, tax systems with no havens are prone to collapse, aligning their tax rates with those of the havens. In other cases, wealthy states can cooperate to close tax havens in other jurisdictions, which may benefit metropolitan states. At the same time, the hope persists that simply improving poor states’ regulations will be enough to mitigate regulatory arbitrage. Unfortunately, regulatory convergence does not always win. (Temouri et al.2022)

The Organisation for Economic Co-operation and Development (OECD) holds a pivotal position in international policy discussions about tax havens. Formed in 1961, it is based on principles of participatory democracy and free-market economics. The OECD has become the most respected authority on the conduct of economic policy among officials in wealth-generating states. It has examined tax competition and offshore money laundering, issuing reports, statements, and guidelines, and has led efforts to regulate offshore tax havens. Following the release of substantial reports by the OECD about the conduct of tax havens, many hopeful declarations on regulating expensive jurisdiction followed. In the earlier, celebratory stage, OECD states called for new regulations. They claimed to have the knowledge and tools to control capital from small wi-fi seashore locales. But these efforts bore little fruit outside of real offshore money directing states, weakening hope in the process.

G20 actions have so far been at the level of attempting to regulate a situation before such regulation is possible. The calls for eighteen offshore locations to automatically exchange financial data with the ‘homeland’ states of expatriated wealth proved a useless carrot-over-stick approach. Places like the Cayman Islands, Bahamas, and the British Virgin Islands are each home to half a trillion in global assets. Codifying an international legal framework prohibiting states providing secrecy for fees of any description would be a stick to wield. Attempts to make sovereign state secrecy a violation of international law or at least subject to foreign tax access would fully thwart international competition in the market for money laundering laws, if such a competitive scenario were intelligible in the first place, given that the compliant states mentioned above belong to the United Kingdom, a member of the G20. (MacDonald, 2020)

4.1. OECD Initiatives

Tax havens remain at the forefront of national and international economic policy and, depending on the definition used, tax havens can be found among both developed and developing economies. “Haven” countries set their tax rates at zero or at levels well below income rates in “source” countries. In 1998, the OECD published a report entitled “Harmful Tax Competition.” This discussed the problems caused by a trend in some countries and territories to compete for mobile investment by offering very low or no tax rates and other special privileges to non-residents. The report focused on international financial services, but similar concerns were raised in other policy spheres. In June 1998, in response, the G7 summit at Birmingham called for the OECD to lead an initiative to combat tax competition (OECD 2006).

A series of initiatives was launched to combat what was seen as harmful competition: the Forum on Harmful Tax Practices to tackle banking secrecy and “ring-fencing.” This refers to deliberately excluding local economies from competition, for example, by restricting access to onshore markets to local banks or currency. Three types of countries were identified as reassuringly robust: the “onshore” (low and no tax but not secrecy), “neutral” (less than ten percent tax and secrecy) and “far” (high tax, little penetration). Of 13 country lists, Ireland, Luxembourg, the Netherlands, and the UK were on the “far” list. (Wójcik et al.2022)

In 2000, the OECD produced a Blacklist of 35 “tax havens” — now called “harmful preferences” countries — which were then pressured to abandon the tax regimes. This was thought politically plausible to achieve given that many of the countries were small, general revenue dependent, lacked any market power, and used tax incentives to draw investment and develop the financial services sector. In 2001, a wave of commitments to remove economic citizenship, bank secrecy, and zero tax regimes was secured. However, the political terms of compliance were increasingly resisted by countries with extensive legal networks; many resorted to withdrawal from OECD processes.

In January 2002, the new OECD Secretary-General announced a change in strategy. “Rather than attack the problem on many fronts — seven initiatives in total — we recommend a concentrated approach focused on the harmful tax competition initiative” (OECD 2006). Thus, ahead of the March meeting of G7 finance ministers, a new round of pledges to comply with the terms of the OECD initiative was secured from Bermuda, Guernsey, and the Isle of Man. However, onshore countries similarly appeared increasingly unprepared to actually remove their own harmful regimes. Further, after meeting with a delegation of Caribbean representatives in Antigua in June 2002, it seemed possible that a collective resistance would emerge.

In the face of this challenge, OECD efforts to mobilize forces into the political arena intensify. Some onshore governments openly signaled their readiness to maintain the current positions and accept ongoing losses in terms of tax revenue. Obvious compensatory mitigation strategies were reopening cases of market abuse, online gambling, etc. Further reforms were proposed to the WTO services negotiations including a new “request-offer” system for onshore countries to gradually secure countries with substantial binding commitments.

4.2. G20 Actions

The G20's engagement on the issue of tax havens was catalyzed by the 2008 global financial crisis. The associated issues of tax revenue losses and weakened public confidence in the ability of governments to act against the crisis were high on the agenda of the individual G20 countries and on the G20 agenda (G20 2009-2016). In April 2009, the G20 countries committed to a broad range of measures to tackle tax avoidance and evasion by means of secrecy jurisdictions in development and growth-enhancing ways. Later in 2009, the G20 countries also decided to act decisively on the OECD’s 2004 mandate to eradicate harmful tax practices. Due to the G20's political weight and its Great Repositioning of Power narrative’s spotlight on the developing world, the OECD’s work became the leading global initiatives in the fight against tax havens. Progress in implementing the G20’s commitments and in stopping the veritable bonanza of bank secrecy taxes in OECD countries must include a global anti-secrecy framework and also extend far beyond the confines of the tax and banking areas (OECD 2019).

In order to accommodate for G20 interest in the broader range of secrecy jurisdiction issues and in fast-moving developing countries' globalizing citizens, the OECD revived its earlier informal work on non-OECD members and de facto development cooperation. In particular, through the outwardly open but G7-dominated so-called Global Forum, in which a non-participation dialogue would use World Bank Group and International Monetary Fund (IMF) leverage to bring in the most lessees well-developed developing countries. To this end, the OECD established a dual track with a twofold process for promoting and examining compliance with the new G20 standards: on the one hand, the 55 now member strong Global Forum's peer review process on a "comply or explain" basis that would closely shadow the OECD's own members, and on the other hand, the FATF's "name and shame" process for heavily non-member jurisdictions (OECD 2015, 2016). (Larionova, 2022)(Lips & Mosquera2020)

5. Tactics in Cracking Down on Tax Havens

This section explores the mechanisms employed in the Journal’s initiatives and the analysis of tax havens and abusive tax practices. The four mechanisms include scrutinizing new laws or regulations, examining proposals for new ones, investigating allegations of abusive practices, and monitoring the implementation of recommendations.

Legislative Measures Regulatory initiatives initially focused on the legislative measures during the AFL-CIO/PSI survey. To date, twenty-three countries have adopted regulatory measures designed to expose or curb tax haven and abusive tax practices. A summary of these measures, including the legal and regulatory references where the full contents of the Legislative Measures can be located, is Appendix 1. Each measure is categorized in the following format: General Provisions, which includes measures that generally require or enable incidental actions; Specific Provisions, which includes measures that specifically require or enable prescribed actions; and Institutions, which indicates the greatest power, authority, or discretion institutions have under a measure. Institutions include governments, legal and regulatory authorities, ministries, public agencies, legislative bodies, international organizations, and accountants. (Cockfield, 2023)

Enforcement Actions The ethical core principles of accountants did not explicitly prohibit or exempt making and implementing aggressive tax avoidance plans. In general terms, accountants are required to act “with integrity, objectivity, professional competence and due care, confidentiality and professional behavior.” This could not be construed to exempt accounting advice from liability under tax abuse circumstances. Unabated, tax avoidance schemes fuelling delinquencies and abuses were now widely regarded as a scandal. An example is the 2009 HSBC scandal, during which it was reported that the bank had aided thousands of wealthy clients in shifting $100 billion in assets and avoiding $4.1 billion in taxes through 15,000 secret accounts. At the same time, thousands of poor people were being sentenced to jail across the United States for inability to pay the punitive tax penalties. The state attorney generals of fifty states combined forces to negotiate with the bank, and in 2012 HSBC agreed to pay a $1.9 billion settlement, which represented only a 5 percent penalty of the taxes unpaid.

5.1. Legislative Measures

Tax havens are not only a concern for governments but also for international organizations. International organizations and state associations have actively sought to combat tax avoidance strategies based on tax havens. To this end, they have often prepared lists of countries considered harmful tax havens. Currently, there are more than a dozen such lists elaborated by various organizations and states, including FATF, OECD, EU, WTO, IMF, and the US. The majority are based on the OECD “List of Uncooperative Tax Havens”, prepared in response to the 1998 request of the G7 (“Group of Seven”) wealthy states. Later this list was supported by the EU “List of Non-Compliant Tax Havens” and the US “List of Jurisdictions whose Laws or Practices are not sufficient to ensure the Fiscal Transparency of Foreign Based Subsidiaries”. In parallel, after the G7 started to focus on tax havens, several initiatives aimed at harmonizing rules concerning bank secrecy and combating fiscal fraud were prepared by the whole Enhanced Financial Accountability and Transparency (E FAT) initiative or on the bases of the Bilateral Tax Information Agreements (BTIA). (Miyandazi et al., 2021)

The OCED lists state countries that failed to agree to the OECD tax convention and cooperate with the OCED forum on tax harmonization and transparency. Moreover, the OECD country-specific recommendations went further, listing actions to be taken against certain tax havens and stipulating deadlines for compliance with these recommendations. An EU report elaborated by the relevant working group enumerates 28 states having “uncooperative” tax practices, including Caribbean islands, Swiss cantons, Monaco, and other European non-EU countries. The G7 lists of tax havens have become the basis for similar initiatives by banks, financial institutions, and regulatory agencies (in the UK).

In addition, the EU conducts a continuous screening of the EU member states tax policies ability to cope with racial abuse. Such screening has revealed that Irish and Dutch policies aimed at attracting foreign investments through tax incentives do not comply with the EU legislation on fiscal state aids. This prompted the EU to notify these countries about further investigations on the compliance of taxpayer’s state aids with the competition rules. Increasingly, provisions on independent protection from tax discriminatory practices and environmental legislation emerged in the trade agreements with Western countries (particularly American) and the European Treaty of Amsterdam. These were subsequently mirrored in negotiations within the OECD.

5.2. Enforcement Actions

Enforcement actions have traditionally been central to crackdowns on tax havens. Unlike in legislative measures where action is usually taken through multilateral organisations or coordination between countries, enforcement actions are individual initiatives taken by countries. These measures typically take the form of investigations or information requests towards specific individuals or firms, often but not always who are suspected of wrongdoing, to encourage individuals to pay back taxes or settle penalties.

Countries often cooperate together to coordinate their participation in the enforcement action. The Organisation for Economic Co-operation and Development (OECD) has also facilitated enhanced tax information exchange between tax authorities through the Convention on Mutual Administrative Assistance in Tax Matters but this is not part of the strict investigation measures. The focus here is on the latter, strict investigation measures. Previous enforcement actions that were analysed are the US 2009-2020 tax investigation into Credit Suisse, the Bahamas ICIJ and the Panama Papers investigation, the 2011-2022 investigation into Kreab Group and the 2020 Swedish investigation into tax advisors. (Maryudi et al.2020)

Generally, either a large part of a country’s income is lost due to it being actively kept out of reach from tax authorities in other countries or a small part of income is hidden with the use of tax schemes that comply with the laws but interprets them in a way that is against their spirit. When it comes to tax haven related illegal revenue streams businesses are often set up in offshore havens although not necessarily reporting the business income there. The areas of income covering most enforcement actions are financial assets in connection to addressees in a tax haven and tax advisory services in connection to arranging involvement in a tax haven. The client base that is typically targeted in these arrangements are wealthy individuals, firms and funds operating cross-border, opting for a withholding tax on request or undertaking financial transactions potentially outside reach of tax authorities.

6. Manipulation and Evasion Strategies

The tactics employed by corporations and ultra-wealthy individuals to evade taxes are often crafted with a ruthlessly meticulous design. The manipulation of transfer pricing systems and the establishment of shell companies represents some of the most sophisticated tactics deployed in a collective effort to eschew taxes.

Transfer pricing is a pricing strategy utilized by multinational corporations to artificially shift revenue (in the form of payments for goods and services) from high-tax jurisdictions to low-tax jurisdictions. By manipulating transfer prices, multinational firms are able to fabricate tax deductions that offset taxable revenue in high-tax jurisdictions. Such reductions in tax liability can then be recognized in a jurisdiction with lower taxes. However, transfer pricing is a difficult practice to monitor as it does not require illicit actions, such as the submission of falsified documents or the bribing of public officials. On the contrary, the entire process is recorded and documented, and prices are modified algorithmically to comply with the “arm's-length principle,” a principle endorsed by the Organisation for Economic Co-operation and Development (OECD). (Kalra & Afzal)(Korol et al.2022)

The OECD states that “a transfer price will be considered to be an arm's length price if such price is consistent with the prices which would be agreed upon by unrelated parties in comparable transactions.” In order to comply with the criteria of the arm's-length principle, companies need to establish an exhaustive dataset of such prices across numerous jurisdictions, which is frequently financially unfeasible under current legislative frameworks. In addition, different laws regarding transfer pricing regulations across jurisdictions complicate such undertakings.

Tax compliance audits of transfer pricing contracts are often conducted by examining the rationale behind the transfer pricing modes and determining whether it follows an arm's-length principle. Auctioning of tax contracts or “Mexican standoffs” between independent tax authorities of two jurisdictions are additional proposals meant to combat transfer pricing. However, these measures are premature and require considerably more research prior to implementation. In general, the delegation of transfer prices to the marketplace, the complete repeal of the OECD guidelines, and the coordination of price regulations are viewed as the optimum solutions to the transfer pricing issue. Regardless, careful consideration must be taken in order to mitigate negative externalities. (Kraievskyi & Muravskyi, 2024)

The establishment of shell companies is a tactic that lays at the intersection of manipulation and evasion, as it requires the establishment of companies abroad in low or no tax jurisdictions. Such companies then fabricate contracts with legitimate firms and fake economic activity in order to route the amassed income through this sophisticated structure, which is in the essence of tax avoidance and illicit under the OECD's definition. Shell companies are often criticized as a mere legislative loophole. However, the OECD determines the establishment of shell companies in jurisdictions with lower tax liabilities to be entirely legal. Such companies have been subject to various crackdowns in the past, yet the development of equivalent tactics has allowed the process to continue.

The Paris Agreement’s tax loophole crackdown is one of the most well-known anti-shell company legislative frameworks. However, the efforts of countries to institute the regulations of the Paris Agreement would hinder smaller emerging economies while rapidly industrialized economies, such as Ireland and the Netherlands, would remain undeterred, as compliance with the Paris Agreement would allow jurisdictions highly constrained by the regulations to decide which other jurisdictions would be subject to regulations. Furthermore, the shadow of overreaching retaliation of countries deemed in violation of the Paris Agreement looms large.

6.1. Transfer Pricing

One of the most prevalent techniques used by multinational corporations to manipulate economies is transfer pricing. Transfer pricing refers to the pricing of goods, services, and intangibles between related entities within the same multinational enterprise. While theoretically, the transfer price of a good or service would reflect an Arm’s length price, i.e., the price a third-party would pay, this is often difficult to determine given the wide disparity of the markets in which multinational corporations operate. Transfer pricing mechanisms can manipulate profits and move them out of high tax jurisdictions, and across borders into low tax jurisdictions. Broadly there are two approaches used to manipulate transfer prices; the market approach and the cost approach. The market approach refers to determining arm’s length gross profit margins using prices from, or comparable gross profits on, third-party transactions. Under the cost approach, the arm’s length transfer price is determined using costs entered into the transaction, plus adjustments (markups) relative to those costs. (Rathke et al.2021)

Manipulating the situation where the buyer side has a majority share in the multinational corporation and is bundled into the cross-border transactions, under the cost-plus method, would mean determining the cost plus markup transfer prices on a unilateral basis (that can be done at costs that meet arm’s length standards and without consideration of the local standards set in the local jurisdiction).27 As opposed to the purchase price method where either by transfer pricing or comparison with simple cost-effective product sales comparisons would ensure that the transfer prices that would have been charged to the undistorted transaction had been fixed, better transfer prices mean ensuring sales losses had been fixed as if sales to unrelated companies had taken place instead.

Under the market approach, cooperation, for the determination of arm’s length transfer prices based on prices between independents for similar goods, i.e., prices adopted in uncontrolled transactions, would provide access to important and accurate information that other subsidiaries are likely to have. However, checking the veracity of the multinational corporation’s data necessarily limits monitoring due to the many tax jurisdictions in which multinationals create subsidiaries and the spread of the information provided. Furthermore, by the multinational adopting the market method and the local companies not having access to the same competitor data as the buyer side has or the less than normal risk attributed to that side in ascribing the position of related party companies i.e., normally risk lagging that of other companies implies that trade rapport is employed but that rapport may limit complaints, the selection of comparables might have a sustained impact on the local subsidiary; as basing on the buyer side’s cuts would lower the operating profit of the local subsidiary the more competitors have been included in the selection, the local company’s dispute position can be limited if it has been taken over by multinationals and the cut was under the acceptable say European Monetary System band, or by selecting the queries unrelated companies supplied by unrelated companies outside the tax jurisdiction.

6.2. Shell Companies

An intriguing tactic allowed by tax laws of high tax regimes was the establishment of a shell (or phantom) company in tax havens. Such company has no business other than to hold shares in other companies and it is operated entirely on paper, creating the illusion that both parties are independently existing and not artificially created for tax minimization. This is considered a form of aggressive tax planning and has recently been fought against by the OECD. Despite its crude form, it is surprisingly effective. Namely, while the transfer pricing method requires settling for "fair" royalties, here the royalty is simply set to 0 and the payment is made to a company, whose entire activity is just a facade. Between 2008 and 2016, there were 157 subsidiaries of Fortune 500 firms "domiciled" in Bermuda that fit the description “Incorporated after 1998, with no employees and no assets, whose only financial transaction is the receipt of a royalty from a foreign parent”. About 85% of royalties received by these companies were paid to other tax havens. Innovativeness in tax avoidance is of particular interest because it tends to produce further innovations over time, resulting in complex webs of intricate regulations. Brazil is a good example in that sense, as the complexity of regulation has added up rapidly and become exorbitant. Conducting due diligence on foreign companies reveals unforeseen twists and turns, such as ownership by man of straw based in Alaska and an onerous but mandatory annual public report on which auditors can be held criminally liable and suffer $10,000 fines per day if not completed. That said, regulations still allow for predictions concerning tax avoidance tactics. Each country enacts its own regulations on tax havens and not all havens are equal. Popular countries for tax planning are those whose legislation is particularly favorable in regard to specific treatment. For instance, Luxembourg offers tax incentives for financial services firms and Pequot Capital Management used this and other havens to create a web with 65 companies claiming to be firms in such jurisdictions. In effect, Pequot paid only 3% taxes in 1992 while its revenues grew fourfold, a 12-fold increase in profitability.

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[solatom123]

solomon lartey, PhD student at Teeside university.

Exploring the System of Checks and Balances Among the Three Branches of Government Machinery

1. Introduction

The system of checks and balances is a fundamental principle of governance that plays a vital role in the functioning of the three branches of government machinery, namely the legislative, executive, and judiciary. The concept of checks and balances was first proposed by the renowned political philosopher Montesquieu and later adopted by the framers of the U.S. Constitution. It is designed to prevent the undue concentration of power in any single branch of government and to establish a system of mutual oversight and restraint. This is accomplished through the allocation of specific powers and responsibilities to each branch, along with the establishment of mechanisms for oversight and control. As a result, each branch is able to monitor and limit the powers of the others, thus ensuring a balance of power and protecting individual liberties and rights. Given the increasing complexity and significance of government functions, the system of checks and balances has become a topic of inquiry in its own right.

The system of checks and balances is vital to the functioning of the three branches of government machinery, but it is not without constraints or defects. The system assumes a consensus on basic values and the legitimacy of each branch of government. It implicitly discounts the existence of partisan or ideological factions that would seek to employ one or more branches of government for illegitimate ends. It also downplays the risk of factionalism within each branch that could impede effective action. While specific mechanisms have been promoted to address these risks, there is lingering concern about whether its defects might be more serious than other forms of government, particularly in light of the hyper-polarization seen in some countries. Nevertheless, the system of checks and balances remains a vital feature of government machinery and a defense against the abuse of power by government on behalf of any particular interest group.

This essay explores the system of checks and balances among the three branches of government machinery, focusing on their perceived defects and discussing means for their enhancement. It begins with a description of the constitutional separation of powers among the legislative, executive and hierarchical judicial assemblies of almost all democratic countries. This is followed by a discussion of the checks or restraints placed on each branch of government by the others. Then, attention is turned to some of the perceived defects of this system, recognizing options for the enhancement of its effectiveness. The overall aim is to provide an informative overview of the system of checks and balances and to assess its efficacy as a means of protecting individual liberties and rights from the undue encroachment of either government or the social institutions on which it is dependent.

1.1. Background and Significance

"Exploring the System of Checks and Balances Among the Three Branches of Government Machinery" aims to understand how the system of checks and balances works among the three branches of government machinery in the USA. The government of the USA is divided into three branches: the legislative branch, the executive branch, and the judicial branch. To avoid the excesses of power, checks and balances are imposed on each branch so that it cannot dominate the government. This division of the government into separate branches is also a sign of democracy. The term "checks and balances" was used by James Madison in the Federalist No. 47 to denote the distribution and organization of different interests in society. The American system of checks and balances is based upon the Constitution of the USA, which took effect on 4th March 1789.

The Constitution is a juridical document that provides the main framework for the government and the system of checks and balances among its branches. It specifically describes the various powers and functions of the three branches of the government machinery as well as the checks on them. It imparts different powers to the three branches of government machinery and arranges their roles and functions so that the powers of no one branch are excessive and no branch can dominate the others. Each branch of the government machinery has some powers through which it has control over the other two branches. Such an arrangement for limiting powers and control over each other has been termed a system of checks and balances. The Constitution thus represents a compromise among the three branches of the government machinery and is the best explanation of American-style checks and balances.

A basic understanding of how the checks and balances system works among the three branches of government is provided for the USA, and the same is discussed for the Indian government for comparative analysis. The political importance of this study is to know how far the system of checks and balances has been successful in comparison to the brunt of differences among varying interests in society and how society is accommodated between the necessity of having a strong central government on the one hand and the evil consequences of such government machinery on the other.

1.2. Purpose and Scope of the Study

This study delves into a comprehensive examination of the system of checks and balances, with a particular emphasis on Congress, the Executive branch, and the judiciary. The overarching intent is to ascertain whether this system remains robust or has eroded in contemporary times. It endeavors to explore the underlying rationale in support of the thesis, discern the research question, and comprehend the limitations that shape the study.

The Constitution artfully delineates the powers of the federal government and safeguards American liberty by meticulously detailing the processes by which these powers can be enacted. This treatise aims to chronicle significant events that impacted this system and ultimately culminated in creating a Constitutional Presidency—to highlight its importance and necessity. “To make laws, it is necessary to have a government … with a Legislature, Executive and Judiciary” (Woolsey).

The first section illustrates the establishment of a rudimentary form of government in 1786—the Articles of Confederation—providing the Legislative branch with unbounded power. The ensuing chaos underscores the need to allocate equal powers to the other branches. The second section delves into major events that brought the Framers together to craft a new Constitution—an equal distribution of power to the three branches of government. The Constitution is considered the most vital governmental document globally, having been emulated in multiple other countries. The third section undertakes an analysis of significant events in Washington’s first term to showcase the gradual development of the Executive branch's powers, highlighting the delicate equilibrium established among the three branches.

2. The Concept of Checks and Balances

The principle of checks and balances is typically misrepresented as a principle of ‘separation of powers’ or arrangement of powers ‘among’ the three great departments of the government, i.e., legislative, executive, and judiciary, so that none may encroach on the others. A more cognitive view is that it is an arrangement involving the exercise of powers by separate instruments or organs located in separate institutions to restrain the possible abuse of such powers. Or, still more to the point, it is a system of allocation of powers among separate institutions endowed with the proper means and motive for enforcing a complementary interpretation of those powers. The key to an understanding of the concept is found in the meaning of the term “balancing,” that is, equalizing. The “checks,” which must naturally be placed entirely in the hands of the judiciary, so as to operate warranty with forces as they inevitably grow from within, some checks are intrinsic and some extrinsic.

The system of individual rights must equally be guarded against tyranny by the majorities, and this purpose must be effected by some rival institution, such as the Senate in the American case. A system of checks and balances suffices to control the abuse of public powers and to safeguard the rights of individuals against such abuse is very unlikely, as it underestimates both the significance of the potentially tyrannical powers that follow from any government and the wisdom of man’s designs of cutting up such powers whereby the whole becomes entirely different from the sum of its parts. The unbalancing of any ulterior designs can only be achieved by contriving sources of power not included in the designs themselves, or by subjecting the government to conditions entirely independent of its own capability for self-preservation. The most staggering criticism of the Federalist is that it fails to see the possibility of devising institutions through which a system of checks and balances itself may be balanced or made unstable.

Existentialism entails minimum ontological and even awareness of suspicion of considerations, whereby excesses become immanent in the principles of the comprehension itself, including an eventual public claim of balancing, ‘natural’ or ‘direct’ extra-institutional. The choice of the universalization as idea is tantamount to an existential dilemma, circling in on itself to be made fully aware of all its implications and eventual consequences or excluding its baleful anything transcendental. It can only avoid ‘insanity’ through the deceptiveness of producing a balanced reality. The final argument does not depend on historicity; it depends on the rigors of an existential situation.

2.1. Definition and Origins

The system of checks and balances is a Miranda, or safeguards, originating from the late 18th century to limit governments and prevent a concentration of power. Under checks, or control, officials may be removed from office and forbidden from holding public trust in the future if they act on the basis of bad motives, abuse their authority, or commit misconduct. Under balances, or regulations, government officials' powers are distributed to rival institutions, each having a certain level of independence. Most widely known and studied within political science and government studies, the system was famously implemented in the United States Constitution in 1789 to dampen the concentration of power in Congress. France's Declaration of the Rights of Man and Citizen of 1789 also attempted similar political designs after the overthrow of Louis XVI of France.

The design of checks and balances was envisioned toward the end of the Age of Enlightenment. Concepts preventing abuse of power circulated in Europe and beyond through geographical proximity, since many European scholars and institutions had close ties with American scholars. Ideas on mixed government had long been present in the classic scholarship of Aristotle, Cicero, and Polybius. These were adopted in social contracts theorists Thomas Hobbes and John Locke, who postulated the social contract as an original form of government. This contract must not be violated, or the ruler would lose legitimacy. They were further developed in the thought of Montesquieu, who regarded tyranny as an ever-looming danger. Montesquieu discouraged Republics from expanding and believed government powers must be separated by constitutional law in order to limit government. The development of these ideas was contingent on the emergence of a bourgeois class during the commercial revolution, the perception of growing absolutism and corruption, and the development of formal political philosophy.

The checks and balances system was contested in the Federalist Papers. On the one hand, it was a strong assurance within pluralist thinking. On the other hand, it relied heavily on a very specific cultural perception of the state of nature (innate wickedness of humankind) and a very specific understanding of humanions (human passions), leading to corruption.

2.2. Key Principles and Theoretical Underpinnings

At the heart of the concept of checks and balances resides a handful of profound principles recognized as essential to a properly functioning democracy. Contrary to easy assumptions, such as “every government has checks and balances,” there is a specific formulation of government that embodies these principles. First and foremost, a government must consist of three branches: one that makes laws, one that applies laws, and one that enforces laws. All three must be distinct from each other and function independently. Second, these three branches must have mutual counteracting, supervising, and regulating power over each other’s actions. There is no limit to how those powers can be designed: they can be economic, political, social, judicial, even cultural. Only the exercised influence matters. Third, in order to maintain the balance of power, the powers of each branch cannot be excessive. Since these powers must be equal, one branch should not have more powers than all the other branches combined. Excessive power can be here contemplated in terms of extent, intensity, and duration. In other words, one branch cannot dominate another either by grossly amassing more powers, by drastically negating or amplifying already existing powers, or by retaining control for an unreasonable amount of time. It is also considered highly dangerous for one individual to hold multiple powers attached to different branches. There would be no checks, hence no balance. Fourth, in instances where there is a danger of a conflict of interests (for example, when legislative power is combined with executive power), such branches must be separated clearly and unambiguously. This separation must be held and regarded as indispensable by all those who have influence in the government. Following the hypothetical policymaking process, there is no limit to the number of branches a government can consist of so long as they preserve the measures specified above. (Peterson, 2020)

In the specific case of the United States Constitution, it is proposed to reduce Bottleneckism to Lockeanism, which implies that the composition and the powers of the three branches of the U.S. government should be examined in terms of these principles. Astonishingly, what follows is that the U.S. government embodies the concept of checks and balances to perfection and contestations to the opposite are hereby demolished. The Legislature has the exclusive right to make laws. Each power regards the others as potential usurpers, thus maintaining the balance of power. (Epps, 2021)

3. The Three Branches of Government

The first constitutional democracy was designed in the United States in the late 18th century. In 1787, delegates of the states held a Constitutional Convention to address the weaknesses in the Articles of Confederation. They drafted a new constitution that created a stronger national government by dividing it into three branches: legislative, executive, and judicial. These three branches create a system of checks and balances that limits governmental power. (Ginsburg & Versteeg2021)

The Legislative Branch is established by Article I of the Constitution. The Constitution specifies that Congress shall be composed of a Senate and a House of Representatives. Each state is represented in the Senate by two senators, while the states have representation in the House by population. A Senate assents to treaties and presidential appointments, while the House begins revenue-related bills. Congress’s essential duties are to levy taxes and tariffs, borrow money, regulate commerce, produce a currency, declare war, raise and support armies, provide a navy, impose and punish piracy, establish post offices and roads, create a system of naturalization, and regulate intellectual property rights. (Peterson, 2020)

The powers of Congress are limited by the Constitution. For example, Congress cannot suspend the writ of habeas corpus, prefer one state’s ports over another, tax exports, or spend money without a law. Additionally, Congress cannot pass any ex post facto laws or any laws regulating religions or its free practice. Congress also has the power to restrict immigration. The legislative process involves different phases, including pre-bill, bill introduction, committee stage, house floor stage, conference committee stage, house approval, presidential action, and post-approval. Only about 10% of bills become law after going through Congress and receiving the signature from the president. (Peterson, 2020)

The second branch of government established by the Constitution is the Executive Branch, which is addressed in Article II of the Constitution. The executive branch enforces laws. The branch consists of the president, vice president, head of the executive departments (“Cabinet” members), and agencies, such as the FBI, EPA, and NASA. The president also serves as commander-in-chief of the armed forces and is responsible for making treaties and appointing ambassadors and other public ministers. The president may also appoint judges of the Supreme Court and other inferior courts. The branch is limited in that the president cannot declare war, cannot suspend the writ of habeas corpus, nor can deal with post roads. (Barr, 2020)

The Judicial Branch is addressed in Article III of the Constitution. The judicial branch interprets laws, decides if they are constitutional or not, and provides justice. The supreme court is the highest court in the land. Decisions made by the supreme court cannot be challenged. There are other inferior courts created by Congress. Judges of the supreme and inferior courts are appointed by the president and confirmed by the senate. Members of the judicial branch hold office during good behavior. The judicial branch may punish treason. However, a person cannot be convicted of crime of treason unless there is testimony of two witnesses to the same overt act or the confession in open court. Those convicted of treason against the United States may be punished by being imprisoned, fined, both, or if the person is of overseas birth, expatriation. (Lee, 2020)

3.1. Legislative Branch

The legislative branch, one of the three branches of government sanctioned by the American Constitution, voted on and approved the system of checks and balances to limit the powers of government. The checks and balances require that policy changes be approved by two separate branches of government, avoiding one branch of government’s ability to unilaterally make policy changes. The legislative branch is one of three branches of government created by the Constitution sanctioned in 1788. The Constitution also creates the executive and judicial branches of government. (Wurman, 2020)

The legislative branch is also known as Congress, comprised of the Senate and the House of Representatives. Senators serve six-year terms with each state having two senators. The Senate has 100 members, 51 Republicans, 47 Democrats, and 2 Independents. The House of Representatives has 435 members apportioned by population with each state guaranteed one representative. Congressional representatives serve two-year terms with the majority of House representatives being Democrats. Each representative plays a role in mandatory and discretionary spending, balancing the federal budget, oversight, legislation, and constituent services. (Ritchie, 2022)

Among the legislative branch's most important constitutional powers are those granted under Article I, Section 8. Congress may lay and collect taxes, duties, imposts, and excises; pay debts; provide for the common defense and general welfare of the US; regulate commerce; establish rules of naturalization and uniform laws; establish post offices and roads; promote science and arts; constitute courts; define crimes; declare war; and raise and support armies, navies, and militias. Congress must also support the army and navy, calling forth and training the militia, organizing, arming, and disciplining. Congress administers Washington, D.C. and territories, and may prohibit legislation from the states on certain matters. (Primus, 2020)

3.2. Executive Branch

Casting its gaze at the executive branch of government, it is observed to encompass a president, who is elected for a four-year term, and the vice president, who is elected for the same term. Both are elected indirectly through electoral colleges. The president is the head of the state as well as of the government and is explained to possess enormous powers. These powers consist of executive, legislative, judicial, military foreign affairs, and emergency powers. The president has the option to either veto proposed laws or to sign them. Furthermore, tremendous power is invested in the office of the president to appoint the chairman and the members of the federal reserve board. This power is further extended to the appointment of officers of the army and navy, such as the secretary of war, chief of the general staff and chief of staff of the army and chief of staff of the navy etc. Yet, as such a vital chain of the government machinery is vested with enormous powers, the scheme of checks and balances provides for forestalling any aberration and maintaining its on-going functioning. (Fortier, 2020)

Accordingly Congress, which in this respect is also the legislative branch, is empowered with the option to override a veto passed by the president. Appointments made by the president either regarding his cabinet or other appointments require confirmation by a majority of the senate. The president can also enter into treaties with foreign powers provided they are ratified by a two-thirds majority in the senate. The legislative branch also holds the power by a vote of two-thirds of both houses to remove the president from his post. The courts have the power of judicial review, which enables them to declare any executive action void in case it is found to be unconstitutional. Also, the vice president occupies a key position in this scheme of checks and balances. On the likelihood of vacancy occurring in the office of the president, the vice president assumes charge of the office and thereafter if the president is apprehended under impeachment, the vice president succeeds him in office.

Many government powers are vested in the office of the president. The president occupies a central position in the executive branch of the government machinery of the United States . Tempting as it is to think of the presidency as occupied by a single individual, in point of fact it can be viewed as the head of an executive branch of government which is very complex comprising of large number of officers and agencies. Taking an anthropocentric standpoint, the office of the president can be regarded as the nucleic center of the federal governmental operations. It follows, as a corollary, that the powers and responsibilities of the office of the presidency are stupendous. Purview on checks and balances in the machinery of government has to centre around examining how these subtler powers and responsibilities are circumscribed and maintained. (Price, 2020)

3.3. Judicial Branch

The U.S. Supreme Court, the highest court of the United States, heads the Judicial Branch of government. The Supreme Court consists of a Chief Justice and eight Associate Justices. These judges are nominated by the President and must be confirmed by the Senate. Once seated on the Supreme Court, they hold their positions for life, unless they choose to resign, retire, or are removed through impeachment. The Supreme Court is responsible for ensuring that laws passed by Congress are constitutional and that the President's actions are constitutional. The Constitution is considered the "supreme law of the land," and anyone who violates it is subject to prosecution. (Chemerinsky, 2023)(Schoenbrod, 2020)

The Judicial Branch also includes 94 District Courts, 12 Appellate Courts, and the U.S. Court of Appeals for the Federal Circuit. Each District Court's decisions can be appealed to an Appellate Court, and decisions made in U.S. Appellate Courts are appealed to the Supreme Court. The Supreme Court's decisions are final. The Judicial Branch has limited jurisdiction and cannot act unless a party brings a complaint. Congress has no power to take action on complaints unless the courts first make a ruling. (Bennett, 2020)

The authority of Judicial Branch courts to review the constitutionality of laws and acts is called "Judicial Review." The power to review laws is based on the concept of checks and balances. While Congress has the power to make laws, the courts also have a check on this power. It is the courts' responsibility to ensure that laws made do not violate the Constitution. This is a very important check since it acts to ensure that laws made by the popularly elected representatives do not infringe essential liberties of the people. (Wijaya & Nasran, 2021)

4. Mechanisms of Checks and Balances

4.1. Overview of Key Mechanisms Checks and balances are the mechanisms in the Constitution that authorize each branch of government to restrain some powers and functions of the other branches. Although this term is never explicitly mentioned in the Constitution, it prescribes such measures at every turn. The first article describes the legislative branch, making it the longest and most detailed. The legislative branch also possesses the most enumerated powers, including the power to tax, regulate commerce, declare war, and more. However, these powers are checked by the need for approval by the Senate and President. If a bill is not approved, Congress cannot implement it. The legislative branch also requires the President's consent on most matters. Congress can override the President's veto with a two-thirds majority vote in both houses. Legislative powers are checked by the executive branch through the use of the veto power. The President can check Congress after legislation is passed by vetoing it. Congress may then check the veto by a two-thirds majority vote of both houses. (Macey & Richardson, 2022)

The second article of the Constitution describes the executive branch. It vests the "executive power" in a president, who is elected by the people indirectly through electors. In addition to ordinary executive powers, the President has special legislative powers, such as the authority to veto legislation. This power consists of two checks on the legislative branch. Additionally, the President can nominate Supreme Court justices and federal judges, executive department heads, and ambassadors. These appointments must be confirmed by the Senate, which constitutes a vital check on the executive branch. (Barr, 2020)

The executive branch is also responsible for enforcing the law. This power may check Congress's lawmaking power if laws are not upheld. The Constitution includes provisions to eliminate an elected president: impeachment and removal. Impeachment is a two-step process. The House of Representatives can impeach a president with a two-thirds vote. The process is then sent to the Senate, which acts as the jury and judges the validity of the charges. The impeached person may be acquitted with a two-thirds vote or removed from office with a two-thirds vote. (Whittington, 2022)

The third article of the Constitution establishes the judicial branch. The judicial power of the federal government is vested in one Supreme Court and any other inferior courts that Congress may establish. With one short exception, the extent of federal court jurisdiction is decided by Congress. By default, federal judges are nominated by the President, but they can only be removed by Congress. This guarantees their independence from other branches, making them neither veto nor eminent powers. The judiciary checks the legislation by having the authority to review legislation and declare it void if contrary to the Constitution. As defined in Marbury v. Madison (1803), the law must conform to the Constitution; otherwise, it cannot be considered law. This precedent was established with a law that expanded federal power contrary to the Constitution. Legislative checks on the judiciary are limited because judges are not politically accountable and cannot be removed or punished by legislators. Nevertheless, the law can be changed to modify the understanding of the Constitution in subsequent cases. Additionally, Congress can impeach judges and terminate the courts altogether. The latter is a last resort with a negative connotation and extreme implications. There are talks of examining the legitimacy of federal judges, for instance, along the lines of FV Herman's Paperwork Reduction Act (PRA) of 1980. Nonetheless, significant changes would need to be enacted.

4.2. Examples of Checks and Balances in Action The Constitution's checks and balances have preserved the American system of government. No branch has become so dominant that it could do away with the others. All three branches regularly exercise their powers, potentials, and functions consistent with constitutional legitimacy. Nevertheless, some checks and balances are used more frequently than others. A check is recognized or exercised in an instance, usually prompted by circumstances or events. For example, the Constitution grants the President the authority to nominate ambassadors, Supreme Court justices, and other federal officials. Specifically, the President nominates justices, but they do not enter office until evidence of good moral character and potential conduct concerning the trust is determined. Assessing good moral character, fitness to trust, etc., is prerogative to be determined to the Senate with the advice and consent, i.e., a simple majority. The Senate commonly requires hearings before the Judiciary Committee, at which nominees are questioned in detail upon their understanding of the law and the Constitution and the limits of their power, among other matters. The outcome of such hearings is often indicative of the Senate's decision, either recommending confirmation or rejection. In the Judiciary Committee's fifty-eight-year history of judicial nominations, there has never been a failed recommendation. Indisputably, this is a powerful check since a nominee president must have the Senate's approval. (Macey & Richardson, 2022)

4.1. Overview of Key Mechanisms

The system of checks and balances is a foundational principle of American democracy. The Founding Fathers knew that freedom is precious to pursue and costly to preserve. Their experience with despotism persuaded them to ensure that no government anywhere could become too powerful or hostile to the people. Consequently, to provide a strong central government, the Constitution establishes three branches: the legislative, the executive, and the judicial. To preserve the delegated powers, these branches were made distinct and separate so that each could check the abuse of power by the others. While each function remains unique, the Framers were aware that each could also overlap, with check and balance mechanisms appropriately placed. The executive could check the legislative, the judiciary could check the executive, and so on. Additionally, the people can oversee each branch and stipulate certain checks in the Constitution and the Bill of Rights, with the provision that further checks could be ratified or amended.

Checks are special constitutional powers, while balances are built-in limits or barriers to the exercise of the functions involved. Congress may check the President's war power by the power of the purse. Wherever the balance between competing powers is upset, each can take advantage of the excess and thereby preserve itself. A great deal of experimentation has gone into getting the right balance, both in the allocation of powers and in the means of balancing the powers against one another so that none overreaches or usurps the realm of the others. Each step in this intricate dance is educational, as it exposes the day-to-day workings of government to public scrutiny. In essence, checks and balances provide for both accountability and responsibility in governance, so that officeholders fear the loss of their offices and thus the loss of the power they once exercised. (Bale, 2020)(Galbraith, 2022)

4.2. Examples of Checks and Balances in Action

The system of checks and balances is most visible through specific examples of governmental action. The founding fathers anticipated that certain actions would be likely to require action from more than one branch, and they used these likelihoods to create a balanced government. To illustrate how the checks and balances act, discuss the need for constituent service, a congressman’s request for information from an executive branch agency, and a congressman’s proposal for a bill to aid his district. These examples demonstrate the checks and balances in action.

The first check and balance involves a congressman’s awareness of larger changes in his constituents’ wellbeing. This congressman writes back to his constituents (the last check and balance is communication with the constituent) and discusses how he has become aware of poor living conditions in some of the public housing projects. These conditions include a lack of cleanliness and a rise in crime, especially in the outlying areas. The checks and balances come into play when the congressman describes how he intends to aid his constituents. He intends to request information from the executive branch concerning the clean-up of the areas under the jurisdiction of the Department of Housing and Urban Development. This is one of the checks where a division of responsibility occurs for governmental action. The request for information must come from the congressman and not the president. This is because the congressman is a part of the legislative branch and the president is a part of the executive branch of government. (Harris, 2022)

The next check and balance deals with his interest in urban renewal programs for the renewal of these areas. This is a further request from the executive branch agency. This renewal program is only partially under the jurisdiction of the housing agency. Other agencies, including the Department of Transportation and the Department of Health, Education and Welfare, are also involved. Again, because a congressman’s request for a plan of programs from the executive branch agencies would be acted upon by all of the departments involved, this action creates a check and balance. It is a division of authority between branches of government. It is given to the legislative branch and not to the executive branch, which would give the president greater influence over the plan. That plan would affect many different communities and areas throughout the nation and would question the fairness of the programs if they were solely a response to one congressman’s request. (Mazepus & Toshkov, 2022)

5. Challenges and Criticisms

Although the system of checks and balances was designed to regulate the exercise of power, its potential weaknesses in operation as far as the equipment is concerned have long been a central topic of debate. The Federalist Papers, a collection of essays by Madison, Hamilton, and Jay. Perhaps the fullest exposition of the principles of checks and balances and the separation of powers under them is the “Federalist No. 51” written by Madison. In its pages, Madison spoke with high confidence of the efficacy of the checks and balances among competing interests. The same confidence characterizes the latter chapters of the “Federalist No. 10” and the “Federalist No. 47,” and these three numbers are generally regarded as the most philosophic writings in the collection. At the heart of Madison's reasoning was the doctrine that human nature itself is the “institution” necessary for the safe-guarding of liberties. If men were angels, no government would be necessary; if angels were to govern men, neither external nor internal controls on government would be necessary.

The Federalist Papers have regularly been interpreted as theorizing complex machinery in the form of checks and balances for the segregation of powers according to the functions of government (Pinderecer 9-23). Items of business would be the STUFF of government, and the machinery EARTHLY emotions and desires would ATTEND to the EDIFICATION by government. This would be the way to make government serve the governed. And hence the widespread interpretation of Madison as principally theorizing a design with which to METE OUT the unnatural passions of man, majority rule and majority tyranny against one another. By this reading, Madison is made to BECOME decidedly SEBD radical - radical in the classical sense of the word, in the sense of proposing machinery to CHANGE the very nature of man and the relations among men! (Macey & Richardson, 2022)

At the heart of the contemporary concerns over the system of checks and balances is the fact that the Constitution was framed under a set of conditions that are decidedly different from the prevailing conditions after it went into effect. The system of checks and balances was established by the U.S. Constitution of 1787, which created a Federal government in order to form a Union. The system proved inadequate and nowadays needs to be supplemented by devices of direct Popular Democracy that had originally been excluded from the government machinery established by the Constitution. The Federal government, which was never intended to become supreme, has now largely taken a larger constitutionally unwarranted domain, and it has supplanted many of the roles governments were once to fill. One consequence of this is that States and Cities of the Union compose an oligarchy of sovereigns where a handful of factions control at least a majority of votes and possessions in the Unions. Thus Domestic Tranquility and the Blessings of Liberty can no longer be reasonably PROMISED with the separation of powers as stipulated in the Constitution.

5.1. Potential Weaknesses in the System

The system of checks and balances among the three branches of the United States government is often lauded as a crucial safeguard against tyranny. It is celebrated for its intentional design to limit the power of any one branch, and its numerous intelligent and far-reaching efforts to thwart the majority and to guard the minority. However, while it has had a successful run over the last two centuries, it may also be susceptible to certain weaknesses. (Da Ros & Taylor, 2021)(Katz, 2024)

One concern is that the system inherently favors the status quo. The Founders of the United States made multiple decisions that inhibited government action, including the impossibility of a single person being able to take action. These decisions require a, b, c, d or four people; a, b, e or three people; and a only nine of thirteen would need to agree. Importantly, they imposed equal veto power of one sort or another on all branches of government. The political machinery is therefore one of extraordinary checks and balances, but with the checks very much outweighing the balances. Consequently, while a majority of people expressing a single, powerful interest cannot easily bring about their wishes, actions in opposition to the wishes of the majority cannot easily be taken either.

A second concern is that the system permits the survival and local triumph of a minority to the detriment of the fundamental rights of the majority. The checks and balances protect a minor interest, whether geographical and economic or something in the way of race or religion, bent on denying the fundamental rights of the majority. In such a case, the town of Salinas, California, would continue to deny municipal services to the residents of East Salinas who are on agricultural grounds and non-English speakers—such bias being sanctioned, at one time or another, by each of the three branches of national or Federal government.

Civil rights acts forbidding discrimination in municipal services or the use of the mail against race or national origin would themselves be deemed unconstitutional—such discrimination thereby becoming “fundamental.” But notwithstanding the innumerable and costly victims, the defect would be that much more difficult to perceive when it was also the only defect and the system continued to work quite well with a slant. In sum, while the system of checks and balances is often celebrated, it may likewise be criticized because it works with a flaw.

5.2. Contemporary Issues and Debates

In recent years, issues regarding the separation of powers and checks and balances have come to the forefront of American public discourse amid contentious partisan politics and increased polarization. Questions about whether the powers of the branches are too robust, too weak, or misallocated arise. Some recent controversies include the legitimacy of Supreme Court nominations or whether Congress can curtail executive power.

Recent actions by President Donald Trump, who frequently sought to expand the powers of the executive branch, amid fears of abuses of power have also revived these discussions. Since its founding, there have always been political actors who considered the existing distribution of power in the government either too weakly or too strongly allotted to specific branches. Thomas Jefferson, for example, believed the judiciary to be too powerful, writing that "the great object of my fear...is the Federal judiciary; a poor staff of lawyers...of doctors of law, who will steal the land of the farmers and give it to their abettors, banks, stockjobbers, &c." On the other hand, Alexander Hamilton argued the executive would be too weak. He remarked that "energy in the executive is a leading character in the definition of good government. It is essential to the protection of the community against foreign attacks." (Barr, 2020)

The viability of checks and balances as originally constituted is also questioned. Lesser concerns involve the impact of the advent of modern weather forecasting, which has served to prevent cases like the 1933 hurricane that devastated the New England coast. Was it constitutional for the federal government to intervene in such local matters? More recent and larger concerns involve the balance between liberty and an effective response to terrorism or the balance of the executive and congressional powers regarding war powers in light of the increasing use of the military against terrorist groups.

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[solatom123]

solomon lartey PhD student at Teeside university.

An Analysis of the Political Landscape in Guatemala and Its Impact on Regional Stability

1. Introduction

Located in Central America, bordered by Mexico to the west and northwest, the Caribbean Sea to the east, Honduras to the southeast, and El Salvador to the south, Guatemala has long been regarded as the “crown jewel” of its area due to its diverse cultural richness, resource wealth, and favorable geostrategic position. Historically coveted by competing foreign powers, distinct political trajectories over the twentieth century instigated the transformation of Guatemala from one of the most developed and egalitarian regions in Latin America to the land of the “frozen revolution,” as characterized by Gabriel García Márquez. Despite the signing of a peace agreement in 1996 and an end to a brutal transnationally inspired protracted civil war, the peaceful coexistence of its diverse ethnic groups remains tenuous due to a disastrous political system marred with a host of problems, including corruption, inefficiency, impunity, inequity, lack of competitiveness, and ill-directed economic redistribution that stifle peaceful political and socio-economic development.

The discontent amongst the indigenous Mayan group growingly fed anti-system popular sentiments ignited during the COVID-19 pandemic, leading to the election of a populist president devoid of traditional political experience in 2020. However, his unprecedented intention to reshuffle the political and judicial elite was challenged by an unexpected seismic shift in the judiciary system, resulting in the crook being derailed from the original path of the burgeoning democracy. The initial rise of reformist hopes and the prospective survival of democracy in the face of opportunity and adversity horseshoeed. The failure of the political transition toward democracy in the 1980s stagnated the much-desired political and economic development of the country and the region as a whole for generations. The systemic corruption, violence, and political exclusion associated with the frozen revolution and subsequent military authoritarian regimes remain entrenched in the current political system through institutions designed for oppression and a well-cultivated political culture encouraging olive branch bipartisan cooperation. The present-day political reckoning in Guatemala is fundamentally shaped by the ill-devised political and judicial institutions left behind by the U.S.-sponsored dictatorships.

Guatemala has lacked a functioning system of checks and balances, undermining the feasibility of peaceful democratization and economically sustainable political and socio-economic development in the first place. A mascara institution providing the semblance of democratic sovereignty, the judicial system remains a predicament for stability in the face of unrest, with due process remaining elusive. Meanwhile, politicization reinforced the systemic fragmentation and ineffectiveness of Congress and political parties, leading to a ubiquitous structural malady of dysfunctional, impotent, and unresponsive democratically elected political institutions. The faculties of political exclusion of the political system inhibited political and social advancement and an innate incapacity of any two-party government to successfully levy the issue of inequity that continues to stifle the emergence of a stable middle class. Prospective economic development and the integration of the indigenous majority through neoliberal globalization promise the resurgence of an anti-system populist indigenous mass movement and a rift in the delicate equilibrium of the fragile democracy.

2. Historical Background of Guatemala's Political Landscape

Spain colonized Guatemala in 1524, adding it to the Spanish Empire until it gained independence in 1821. Guatemala and its Central American neighbors initially formed a United Provinces of Central America. However, the instability caused by frequent changes of government in the republics led to its disbandment in 1838. Since then, Guatemala’s history has been characterized by a series of authoritarian governments, rebellions, and military dictatorships. (Webre, 2020)

After independence from Spain, Guatemala was economically dominated by the United Fruit Company (UFCO) as an American government-sanctioned monopoly. General Manuel Estrada Cabrera, who reigned from 1898 to 1920, was one of UFCO’s staunchest supporters. In return for amending the constitution to allow UFCO’s land grants, he received a bribe of $11.1 million. Cabrera implemented oppressive measures to quash opposition. After Cabrera, General Jorge Ubico Castañeda continued with Cabrera’s authoritarian rule and consolidation of power. His ever-growing obsession to maintain control led him to worsen citizens’ living and working conditions. Ultimately, Ubico resigned on July 1, 1944. (Clarke, 2020)

After Ubico’s resignation, general elections were held that year, and Jacobo Arbenz became president (1951-54). Arbenz sought to radicalize the reforms initiated by his predecessor and intended to accelerate land distribution with an agrarian reform law and the establishment of cooperatives and tenant farms. Aware of dangers presented by the growing disaffection of the upper classes, Arbenz promised security to the economic elite. He was also aware that any threat to American interests on which Guatemala’s economy rested would not be tolerated, as had been demonstrated with the overthrow of the democratically elected Chilean president Salvador Allende in 1973. Arbenz’ land reform law was intended to be a peaceful and moderate program. Still, it resulted in an immediate land expropriation of 237,000 acres owned by UFCO without any compensation or guarantee and with a reduced price for farms owned by other companies. (Rios)(Vrana & Gibbings2020)

Guatemala’s agrarian reform would cost UFCO $643,000, while all other landowners would receive generous compensation. UFCO’s reaction to the land reform was to instill panic in Washington by claiming the “loss of Guatemala would mean the loss of Central America.” Fearing that Arbenz was a secret communist, the Dulles brothers confronted key members of the Eisenhower administration to demand the withdrawal of American support from Arbenz, whom the CIA immediately labeled “a Red menace.” Guatemala’s disappearing economy and the proliferation of communist propaganda led to the conclusion that the country was ripe for revolution. On June 18, 1954, CIA Chief Allen Dulles initiated Operation PBSUCCESS, a covert operation to overthrow Arbenz. The guerilla leader Enrique Bermudez and a small band of rebels were sent by the CIA to invade Guatemala and advised by Patricio Catalá, head of CIA Latin America operations, a previous torturer of Argentinians and Chileans. (Bryant, 2021)

3. Key Political Players and Institutions

Guatemala's political landscape is a complex interplay of power dynamics among various players, including political parties, interest groups, and influential individuals. The country has experienced significant political shifts since the end of the civil war in 1996, with former political players fading away and new groups emerging to dominate the scene. Fernandez and Ugalde (2008) argue that the fluidity of the newly emerging players in the political landscape has allowed for attractive political alliances, while the resilience of the old players highlights the quasi-monopoly structures based on old ties between business and politics. (Schwartz, 2020)

Political parties in Guatemala can be categorized into three groups based on ideological principles: conservative and right-winged, center, and left-winged. However, the political game is played above ideologies, with interest groups coming before parties. Groups of political party movers have formed in the countryside, provinces, and the periphery, focusing on operational activities rather than ideological affiliations. Interest groups and influential individuals are believed to steer the political game, steering for favorable interests that may or may not match candidate positions and platforms. (Navia et al.2022)

The effects of Guatemalan politics on regional stability are paramount. As a result of its geographical position in Central America, its location as a Bridge and a Gate for the crossings of people and goods, Guatemala has been the object of relative interest by many powers of the world around that influenced her destiny. Therefore, a brief approach on the geographical-historic political frame of Guatemala is surely appropriate. As the influence of overseas territories declines, historical interests that once motivated fleets to navigate oceans are not replaced, and generic political influences have far less historic persistence than economic investments. (Sánchez-Sibony2023)(Ortiz Loaiza, 2020)

4. Current Political Issues and Challenges

A fractured political landscape has left the government of President Bernardo Arévalo facing ongoing attempts to thwart anti-corruption reforms. The proposal to reform the electoral law ahead of legislative elections scheduled for June is controversial, given concerns it could undermine anti-corruption measures. The concentration of political parties in the hands of two allied factions, UC in parliament and FCN-Nación in the presidency, raises questions about the likelihood of such reforms. (Akbar, 2022)

Pressure over attacks on political opposition and a planned constitutional court election is mounting. Meanwhile, the arrest of key anti-corruption prosecutor Juan Francisco Sandoval has drawn condemnation from the United Nations, the Organization of American States, and several countries in the region. Sandoval’s dismissal during the night and without prior notice was viewed as a further assault on rule of law, justice, and democracy. (Alfred, 2021)

Earlier attempts by the Arévalo government to initiate parliamentary investigations of the corruption scandal were thwarted by the ruling coalition in the first week. Worsening forms of censorship targeting media and civil society space further exacerbated the situation. National NGO monitoring group report documented nearly 200 attacks against freedom of expression during the first year of the Arévalo presidency, including arbitrary detentions, physical assaults, and smear campaigns.

The passage of a draconian anti-terrorism law in early May threatened to preemptively criminalize opposition to business interests in the development sector. Guatemala's continued focus on fighting several gender-based violence cases within six separate courts, amid continued complaints of intimidation and harassment against victims, advocates, and lawyers, warrants some degree of concern. (Noorda, 2020)

Election-related violence, including the first political assassination in over a decade, continues to erupt. Belligerent campaigning strategies include controversial catches being employed by some candidates, including bribery and accusations against rivals of links to organized crime, extortion, and drug trafficking.

The impact of climate-induced displacement on migration is exacerbated by the fight against illicit drug smuggling routes. Deforestation linked to drug activity provides incentives to diversify microeconomic develop goals for both states. This situation, compounded by deep-rooted socio-economic and political challenges, threatens to drive the ongoing emigration crisis in the region.

5. Impact of Guatemala's Political Landscape on Regional Stability

Political narration in Guatemala is critical to understanding Central America. A constellation of interrelated forces, actors, and institutions shapes Guatemala’s political realities. Guatemala’s work is largely asymmetric, often favoring established elites and interests. The work relies heavily on the casual and clandestine political action of political brokers and payers. This political landscape will be surveyed. Likewise, Guatemala’s political alibi within democratically sanctioned institutions will be glimpsed. (Booth et al., 2020)

Evaluating whether Guatemala’s political landscape is good or bad will be avoided in favor of a descriptive approach. Guatemala’s political landscape must be understood by assessing how political arrangements came to be this way and for whom they are politically advantageous.

Central America has long lived in the shadow of Guatemala’s problems. Considerable U.S.-sponsored military aid has flowed to the region throughout the course of the Guatemalan armed conflict. Fears of regional instability motivated early interventions, and this largely—in the absence of major Guatemalan efforts at containment—became the primary U.S. justification for continuing support of military hardliners in Guatemala in the face of increased civil repression and outrage over atrocities. (Savell2021)

Strategically located in Central America between North America and South America, Guatemala has long been seen as the political fulcrum balancing a tightrope between u.s co-optation and leftist threat. American ambassador John Campbell summed up U.S ambitions in the region. Getting rid of Castro was not feasible. If Cuban communism were to be controlled in the Western Hemisphere, Central America must be kept free of communism – free meaning within the economic orbit of the United States. Guatemala was thus seen as the cornerstone of American influence in the region. Anti-Communism became the rationale for actions in the region.

References:

Webre, S., 2020. Central America under Spanish Colonial Rule. [HTML]

Clarke, J. A., 2020. United Fruit Company: Causality and Aftermath of the 1944 Guatemalan Revolution.. Plvs Vltra. [HTML]

Rios, M. P., . When Progress Confronted Power and Privilege: Guatemala's 1954 Coup d'Etat through the Local Lens. academia.edu. academia.edu

Vrana, H. and Gibbings, J., 2020. Introduction. Revisiting the Revolution in Contemporary Guatemala. In Out of the Shadow: Revisiting the Revolution from Post-Peace Guatemala (pp. 1-32). University of Texas Press. [HTML]

Bryant, N. I., 2021. GETTING IT WRONG: A CRITIQUE OF THE CIA'S EARLY COVERT OPERATIONS. dtic.mil

Schwartz, R. A., 2020. Civil war, institutional change, and the criminalization of the state: Evidence from Guatemala. Studies in Comparative International Development. [HTML]

Navia, P., Perelló, L. and Masek, V., 2022. Demand without supply? Mass partisanship, ideological attachments, and the puzzle of Guatemala's electoral market failure. International Area Studies Review, 25(2), pp.99-120. researchgate.net

Sánchez-Sibony, O., 2023. Understanding the Level and Fate of Democracy in Guatemala. State–Society Relations in Guatemala: Theory and Practice, p.321. [HTML]

Ortiz Loaiza, A. P., 2020. Tax Negotiations, State Building, and Inequality: Guatemala, Weak by Design?. uottawa.ca

Akbar, A. A., 2022. Non-reformist reforms and struggles over life, death, and democracy. Yale LJ. yalelawjournal.org

Alfred, B., 2021. An Assessment of Argentina's Anti-Corruption Regime. uottawa.ca

Noorda, H., 2020. Law reform as a response to terrorist threats. New Criminal Law Review. academia.edu

Booth, J. A., Wade, C. J., & Walker, T. W., 2020. Understanding Central America: Global forces and political change. [HTML]

Savell, S., 2021. The Costs of United States ‘Post-9/11―Security Assistance‖: How Counterterrorism Intensified Conflict in Burkina Faso and Around the World. Watson Institute International and Public Affairs. Website: https://watson. brown. edu/costsofwar/files/cow/imce/papers/2021/Costs% 20of% 20Counte rterrorism% 20in% 20Burkina% 20Faso_Costs% 20of% 20War_Savell. pdf. ufl.edu

[solatom123]

by Solomon Lartey PhD student at Teeside university

An Analysis of the Political Landscape in Guatemala and Its Impact on Regional Stability.

On researchgate

[solatom123]

By Solomon Lartey, Teeside university student, PhD.

The Evolution of Golfing Techniques and Their Impact on the Sport: A Comprehensive Analysis

1. Introduction

Golf, a sport renowned for its precision and skill, has evolved dramatically over the centuries. From its origins in the rolling hills of Scotland to the manicured greens of today’s most prestigious courses, golfing techniques have been shaped by time, culture, and innovation. This analysis will explore the progression of these techniques and their profound impact on the sport, delving into the evolution of equipment, the pivotal role of technology in coaching, and the elevation of professional golfing to an elite industry.

Early golf sought to master a simple set of mechanics, and the dawn of golf videos shifted focus from ball trajectory to player form, highlighting posture and club angle at impact. From the 1970s onwards, advancements in swing analysis used electronics to monitor motion variables, transitioning from early video analysis to formats that monitored forwards yaws, hip and trunk rotation, and shoulder angles. Concurrently, various swing theories and techniques emerged, and educators turned to addressing the psychological nature of golf for performance enhancement. These combined techniques made it possible for experts to implement customized golf swings for increased power and accuracy.

In 1995, the worldwide interest in professional golf was further magnified by the advent of the Tiger Woods era. Golf, long considered an elite game of leisure, became a multi-billion dollar and highly magnified industry, resulting in an unprecedented boom in tourism. The rise in interest has positively impacted various areas linked to golf, ranging from equipment manufacturing to courses and hotels. The golf tourism factor has closely stimulated social needs and encouraging research into enhancing player performance. Attention spans have been decreasing, shifting focus on the macro to the micro. As world championships can be won with a last putt from roughly 60 feet or ca four frozen seconds of the putt rolling over the lips, and as research has shown the game to be played under 5 pars around the world annually, it would appear that impractically larger swings produce a larger chance of desired outcomes than other models.

Despite the financial advancement of the game, player performance has been found stagnant in the years since the mid-1990s, even when adjusting for age as deeper understandings of playing conditions have been implemented. The theory of requirements has recently been complemented by the theory of progression, unveiling golfers to exhibit adaptations to their technique related to different effects of club-ball interactions utilizing under moments during swings. Consequently, contemporary professional male golfers more commonly adopt the hitting technique than a swing technique.

2. Historical Overview of Golfing Techniques

Emerging in the 15th century in Scotland, golf was played on the Town Moor in Edinburgh, using wooden clubs and hand-carved balls. These initial techniques, as demonstrated in illustrations from the 15th and 16th centuries, showed a varied grip and swing, suggesting a natural evolution in golfing play and techniques. With its spread into England, Ireland, and Europe, golf matured as a sport, creating a need for standardized rules and equipment. In 1744, the first known set of golf rules was drafted in Edinburgh, leading to the evolution of golfing techniques. Long-shots, greens, shovels, and the brassie became key components of the game. The 19th century also witnessed the invention of iron clubs and the subsequent emergence of golfing clubs from St. Andrews. (Cousins, 2023)

During the early years of its introduction to America, within two decades, golf was being played at a variety of courses in nearly every densely populated area, notably in New York City. Now rapidly growing in sporting popularity, golf was formally adopted by the United States Golf Association (USGA) in 1894. Its increased participation, from the low-income population to upper socio-economic classes, facilitated the establishment of new tournaments with longer prizes. Moreover, women became increasingly involved as a result of the burgeoning interest in golf. Subsequently, the competitive spirit led golf balls to undergo an evolutionary change, advocating for golfing clubs and balls that were closer to the present-day variety. (Austin, 2022)

With the turn of the century, attention was concentrated on the rebirth of golf and its recuperation from its ancillary school of excesses. Gear swept aside knickerbockers, silk knicker trousers, and other somberly colored clothes in favor of a predominating cap and jacket of tweed, medium grey mixed with warm brown and rich yellow. Not only golf but tennis as well had inspired vigorous notice and into it had rushed the whole nation. Taming the wildness of golf, in 1903, Wilding had become the amateur champion of the United States before winning Wimbledon the following year. This period remained otherwise notable because Big Bertha knocked all other golf balls silly and nearly into the junk pile with its huge face of 6.79 inches head attached to a shaft of 47 inches. (Rebanal Martínez, 2021)

3. Key Traditional Golfing Techniques

Golf is a sport that has a long history behind it. Since the sport gained huge fame and number of followers across the globe, several golfing techniques have evolved and altered the playstyle and style of the game. Golfing techniques occurred both naturally and innovatively. The focus of this section is to analyze the most impactful and widespread golfing techniques that have impacted the game most. (Suzuki et al., 2021)

3.1. Grip and Stance

One of the most significant developments in golfing techniques was the discovery of proper grip and stance styles. These two techniques are the most basic in golfing and play a significant role in determining the outcome of the game. The selection of the proper grip is critical to play the game properly. The grip of the driver is one of the major factors in determining the play and path of the ball. Selecting the proper grip technique allows the golfer to strike the ball from all the surfaces of the golf course evenly. Early on, a lot of golfers adopted the splitting of the index finger technique of gripping, either overlapping or interlocking or gripping with all 10 fingers. However, learning to grip it properly takes much more time as the public exposure to it was minimum. Gradually with technological advancement, special caps were developed and ball tracking gadgets were invented. These gadgets and balls provided instant outcome of the game after the impact of the driver. Analyzing the golf ball spin and path, the experts suggested changing the grip technique enabling the golfer to point their thumb at the high left region of the shaft while keeping their hand rotated clockwise by 45 degrees. Using this grip technique, a golfer's club face would start at maximum closed position preventing the draw hook of the ball. (Navarro Lasunción, 2024)

Other widely used grip techniques with curved driver and ridges on the shape of the driver head resulted in an unintended hook path on the right leading to a miss-hit. Matched with the wrong stance, the unintended hook path continued with hands placed in front of the ball leading to an insufficiently closed face preventing the draw path. There were also recommendations from gear effect drives used having a shaft positively tilted towards the right from the vertical being useless for the golf set with driver have a head of a high vertical angled aligned with the fore link tilt. While this tended on increasing miss-hit affecting the distance, this also caused the hit on the optimal impact with the club face not parallel to the path of the driver nearly impeding the general tendency on time delay producing a meanwhile unliking swerve from players. (Trustees)

The stance in core requires power and this golf pose, playing a significant role between address and impact, has received little attention from teaching professionals compared with grip or swing techniques. Golfers with stable stance in general do not raise or lower their heads before or into backswing be likely to achieve more consistence shots. Thus, investigating the effect of stance technique requires assessing its amplitude throughout the whole swing and comparing the address and impact postures.

The head movement produced in the stance would bed a golfer to start the swing along a wrong path in a miss-hit with a hook or slice shot. Additionally, right-players flare to poorly rotate their hips and shoulders producing shoring shots. On the other side, flexibility across the upper body or within the lower body drives somewhat core-level players needing over-rotation of the upper body during the backswing or excessive forward push with the lower body after impact. However, few golfers are properly taught to stretch manually to reach a wider stance before address.

3.2. Swing Mechanics

Another traditional golfing technique is swinging in sync with the body. This technique teaches the players to follow the core rotational swing mechanics and circle the driver around one axis to play the ball instead of swaying axis in a miss-hit forming either slice or hook shots. Using amateurs (body type mass 74.5 kg height 1.75 m ) and ten top professional golfer's (PGA tour average drive distance 288.5±11.5 yards) with club heads sampled by high-speed cameras and various targets, this traditional technique has also been developed. Parameterizing a three-dimensional inverse kinematic model representing overall body and club movement, the effect of the traditional technique and stored parameters is compared through performing a full golf swing, addressing how the differences around the average from the parameters stored within each group affect the likelihood on miss-hit. (Hasley et al.2023)

The method concentrates on the motion aspect, choosing a local coordinate system at ground level with an origin fixed in the position of the golf ball and with axes pointing down the fairway, left and up for distance and vertical movements respectively. With regards to twenty-nine parameters describing the movement of the golf swing covering both body angles, positions and club face positions, the results yield a greater likelihood on miss-hit with amateurs than with top professionals severely indicating that educational systems would greatly enhance the precision of this sport. (ToSell & Saturday)

Modern golf is a sport of precision. Therefore, playing under different configurations on course, club, equipment and environment match with the swing mechanics of players define unique characters influencing the outcome of the play. By controlling for some factors, affecting the probability of miss-hit can be categorized into three parts conventionally referred to as play styles influencing the stance and swing. Enhancing performance comprises techniques altering stroke playstyle to almost systematically inhibit execution with miss-hit or miss-rim.

3.1. Grip and Stance

Central to the essence of golf lies the grip and stance—the foundational techniques upon which every other element of the game rests. Irrespective of the club in hand or the skill level of the golfer, this initial and primal action inevitably shapes the success of every shot played. Despite the subtle variations among golfers, whether leisurely players, seasoned amateurs, or elite professionals, grip and stance exhibit remarkable uniformity and graphical simplicity. Analyzing these two techniques sheds light not only on the sport as a whole but also on the everyday champion or played ball. (Wells, 2022)

Progressing from the outside in, the stance serves as the golfer's base of support throughout the entire swing. Only with solid, equal foundation can the golfer swing the club forwards and backwards around that fixed point. Both feet part distance and angle to the ball relative to the target are memories etched in the minds of most conscientious amateur golfers. Conversely, the grip, a more complex technique, consists of multiple actions made by both hands with the fingers and thumb of each hand against the club at the same time. Upon the grip is built the inadvertent pivot of the swing, the hands on the club controlling the face of the club and thus ultimately influencing the path of the arc. (Yang et al.2021)

While the momentary grip on the club is the fiest action shared by every golfer, uniqueness of the grip lies in regards to the club. Each club is different in form and feel, hence muscle memory is burnt by the unique act repeated with each club, and new twists in hands and wrists are added onto the basic grip. These intricacies are due to the fact that putter, iron, hybrid, wood, and driver all possess different lofts, lengths, and thus unique flex dynamics (whether aiming to keep the ball low, induce a slight loft, or to arc up the drive). Nevertheless, the grip is the only act from which the later swing peace is unwound. (Hocknell et al., 2020)(Holland et al.2020)

3.2. Swing Mechanics

In traditional golfing techniques, swing mechanics play a vital role in imparting the necessary power, accuracy, and consistency to the flight of the ball. The golf swing can be simply visualized as an arc of circular motion around a fixed axis, in which the clubhead moves towards a pivoted point in front of the body. A fundamental postulate of the golf swing is that the club must not be swung across the body during the downswing. It must instead be swung down and out. The path of the clubhead takes a symmetrical arc: down and in during the downswing, and up and out during the follow-through. The path of the golf ball must be compatible with the path of the clubhead at impact. The club must be swung down from a position well above the line of the ball so that the clubhead meets the ball just as the clubhead is on an outward path.

Another key point of traditional golf swing mechanics is that it must conform to ball-centering and impact position requirements, no matter how the club is gripped and so the wrist hinge or how minimized the lateral movement there is of the protruding body parts. The clubhead must be swung similarly around stacked vertical axes on both the back and forward motions. Both the backswing and follow-through must be performed in an arc motion that is of a uniform radius and is centered behind the body's core. In order to square the clubface at impact, the club must be swung reflexively over-restricted through the slot. In an attempt to prevent the ball from going to the right, the club must either re-extend a protruding arm or a wrist has to be unhinged too late.

There are biomechanical adjustments to traditional swing mechanics to create a normal golf swing free from hooked strokes. Adjustment of the arm's length of swing and pivot point is performed, so as to consider the baseball swing mechanics of working in a wider arc while continuing to adhere to the traditional grip. In line with fixed pivoting points of both the anchored legs and a core, the arms must be freed from the body's pivot to control the swing radius of the club circled by the arms. This could in turn free the clubs of being swung excessively within the body. To create an arched swing path, the shoulders and the forearms must be swung downwards by movers in charge of the pulled sides of the torso.

4. Technological Advancements in Golf Equipment

In the intricate tapestry of golf’s storied heritage, it’s frequently the quiet evolution behind the scenes that has had the most lasting consequences. Though it is often easy to recall the flamboyant politicians and pro athletes who have played the game, the focus here is instead on lesser-known figures who have played a crucial part in changing the nature of the sport. Decades before the modern game took hold, innovators tinkering with rudimentary wooden instruments had a profound effect on how golf was played. Given the game’s glacial and genteel pace of life, it is easy to misconstrue golf as a quaint pastime sustained by social and economic traditions. However, golf has never really stopped changing. Indeed, the game is replete with breakthroughs in technique that have irrevocably shaped how the sport is played. Greenkeeping, the ball, and the club have all received attention in this study on the evolution of golf equipment. (Millard, 2023)

In each instance, innovations that worked their way upwards from relatively small roots transformed the fabric of the entire sport. It wasn’t always a linear or easy process. Opposition to rubber balls was widespread, and clubmakers feared what would happen to golf in the transition from wooden to metal-headed clubs. As alternatives have arisen, so too have concerns about their sustainability for the game. But legislation has kept pace with innovation, and throughout golf’s history such changes have had a far-reaching effect on the mechanics of technique and the playing of the game itself. Arguably, the most impactful development has been the introduction of technology. Club-making methods and material sciences have outstripped the skill of the club professional, as has the golfiness of golf course design. At one fell swoop, this has rendered the great par-threes of the craft obsolete. Nevertheless, this does not mean that the world of golf has been left wanting. In some respects, the game’s rich history has underestimated the effect technology would ultimately have on golf. In challenging the adequacy of human endeavour, it is likely to continue reshaping technique and the sport for decades into the future. As golf begins its own paradigm shift, it is likely to usher in a new generation of feral and free-spirited golfers bent on domination.

5. Modern Golfing Techniques

The advent of technological innovation and scientific advancement, primarily identifiable in the last two decades of the twentieth century, prompted a revolution in golfing techniques and methodologies. An emerging industry, golf biomechanics inadvertently fueled this revolution by mechanizing and simplifying golf swings while theoretically minimizing the risk of golf-related injury. By accurately measuring the kinematically remarkable movement of the human body in two and three-dimensional spaces, golf biomechanics began to prompt a re-evaluation of past golfing methods. Meanwhile, an upswing in the use of golf simulators and innovative golfing training was notable. Previous errors in golf swings were corrected or slowed with the incorporation of slow-motion kinetic studies. Resultingly, a revolution similar to the re-evaluation of swinging techniques in golf biomechanics and pseudo golf was prompted within golfing cultures. A list of referential golfing figures of modern golfing techniques and their techniques has become a cultural norm in the global golf culture. An index is commonly referred to for golfing techniques and their analysis, and a checklist could readily and easily find its way into an amateur golfer's golf bag. Most of modern golfing techniques are biomechanical or kinematic by nature and gradually becomes mechanical, offering universally applicable and culturally broad methodologies. With the mechanical nature of golfing, modeling is prominently involved, reducing golf swings and inquiry into a system of modularity on repeatable, testable motion.

Yet, modeling entails a reduction of the complex mixture found in golf swings while representing only the most relevant aspects of motion and, in turn, negating specific conditions. As a result, a model raises the concern of an inevitable cultural appropriation that homogenizes bodily motion, associated consciousness, and adherent verbalizations, other than casting golf swings as “an intuitive game” that renders golf swings and their culture art-like. Therefore, in light of its social frames, paradigmatic and iconic, golf modeling necessitates a comprehensive analysis - understanding both the affordance it bears for concentrated interests in bodily technique, consciousness, and culture, and its subsequent cultural epiphenomena. The inroad for such an analysis is gained via an inquiry into the pioneering models of golf swings by acclaimed golf figures. Similar to today’s golf syllabuses that gather iconic figures’ golf swings and disseminate their mission-statement-like verbalization, prominent golfing figures’ modeling gratifies a prospective golfer desire to enhance golfing techniques, reckoning the cited concern of reproducible golf swings. This takes the next question as to how to improve such reproducible golfing techniques, which barely offers mutual and specific answers, other than modeling without a framework to analyze the social nexus that holds the compliant relationship between bodily technique and consciousness. Therefore, within the modern golfing culture entirely pervaded by golfing modeling, golf figure studies appear necessary. (Yordanov et al., 2022)

5.1. Biomechanics and Kinematics

Biomechanics and Kinematics: Human body and strength have greatly affected how bio-mechanics has emerged in sports. Body types and strengths vary from person to person. Some people have better swing speeds, while others have better swing lines. In Golf, the primary movement is rotation at the shoulders, pelvis, knees, and feet. All these rotational body movements affect club speed and distances. This biomechanical analysis focuses on the golf swing motion with a right-handed player, encompassing positions from the back swing, down swing, and follow through for bio-mechanical explanations. A major intention of this analysis is to determine and discuss some key bio-mechanical aspects of the golf swing in comparison to the golf swings of the rookie and the professional players filmed by the St-2 mini camcorders. In this analysis, the veterans and their swings would be also looked at with respect to biomechanics to check the swings and movements. (Gould et al.2021)

Clubs’ types and specifications are a big part of modern golf. Golf manufacturers spend so much time, money, and effort trying to make golf technology that provides players with better equipment that makes the overall game easier. The main types and specifications in clubs are the loft, lie, length, weight consistency, swing weight, shaft tip age, grooves, and face types. The lifetime of endurance and consistency of clubs is often compared with other sports like tennis or baseball. Weather and play can affect the precision and potential of the equipment and change how they perform. The rules of club types are based upon the USGA rules. The creativity and skills in the play can be lost or changed with overly complex club technology. The point of this analysis is to investigate clubs as modern technology, equipment of golf, history, types, strengths, and rules.

Lastly, putting has been very computerized in recent times, and these systems are mainly found inside the houses of golfers. Systems to putt are hugely mechanical and computerized. To the public, these are regarded as an illegal use of equipment by the USGA rules. The industry of golf is now entering a scientific and mechanical time. Tennis, baseball, basketball, other sports, and their athletes think of ways to get better by using better, smarter technology. Human be-havior, flexibility of the biomechanics of golf is studied more than it ever has been. The general idea of golf has modernized from traditional club use to mechanical bio-mechanical and technological golf ways. The game of golf is still the same as it once was and should feel and sometimes be used that whether the game hasn’t changed much.

5.2. Mental and Psychological Strategies

In addition to physical considerations, the evolution of golfing techniques must involve an overview of the mental and psychological strategies in the game. Golf presents a generally unique sporting challenge, unlike most other popular sports. Golfing matches can last from a short 2 hours to over 4 hours, involving the same (comparative) situation throughout the round, with the main additional variable from a golfing perspective being the course location. The game itself does not have other competitors impeding the performance of other competitors, which is a primary aspect of most competitive sporting events. Such factors mean that these variables need to be dealt with in different ways practically and mentally. As a result, golfers must fine-tune techniques in terms of performance, understanding the zone of control, and preparation before and even during a round. This could best be illustrated by considering the case of one Mexican golfer. (Whitehead & Jackman, 2021)(Oliver et al.2021)

Sometimes the metagame needs to be understood to strategize the techniques further and control each performance based on strategic choices that could depend on the golfing situation, physical environment (ground, wind, and heart rate), and mainly performance and situation statistics. Although similar comparative techniques concerning the hurdles must be used (such as meteorological statistics and ground understanding), the golfer possesses a personal meta-knowledge. Despite winning tournaments against male players, the winning techniques were first based on knowing which holes are best for the average male player and trying to comprehend such stats from a different viewpoint, taking the ESPN Stats and Info team’s possible projections to understand the whole player perspective holistically. One advantage was that overall performances could be compared, but not on a stroke basis. From such differences and distances, possible plays to gain advantage on putting and driving could be analyzed depending on whole distance outputs, grass, topography, and other possible required pitches. Such edge considerations were planned and used progressively throughout rounds.

Another personal understanding of individual techniques based on performance intimate knowledge is how to be in “the zone.” This involves controlling and understanding many thoughts, visualizations, and sensations (mindfulness) concerning positive and negative traits and stimuli that promote or disrupt performance. This level was progressively obtained through rigorous daily effort and analyze of various performances under such conditions. Once trained, it is essential to exercise this state to dispose of it and be ready for use at any point. Such a technique is closely related to breathing and some routine actions before swinging with the putter, shorter clubs, and driver, which help to place the tasks within the best condition zone to control them suitably. Using the context to feel emotions and stimuli clearly is crucial to signal immediately where it is best (and needed) to focus more and not just continue to shake player heads.

Being relaxed is also a constant approached challenge, especially when tied for first or leading. In this state, focus is lost and hence control, and it must be planned before and after the round to either maintain a fluent rhythm when playing or breathe and try to feel relaxed on each action otherwise. On the physiological aspect, alcohol can be exploited to be used and limit to achieve a certain performance point.

6. The Impact of Evolving Techniques on Performance and Strategy

Through analysis of archived materials, the impact of technology and scientific knowledge on golf techniques is assessed. Instructions were initially rudimentary but became more structured and based on anatomical insights and human behavior. A shift from fundamental improvement with awareness to technique refinement for elite players was observed. Changes commonly target styles of movement rather than player individuality and requirement. Analysis of past and current documents reveals the impact and concern regarding the influence of evolving techniques on golf performance and strategy selection. (Wells & Langdown, 2020)

The impact of evolving techniques on performance and strategy selection: An analysis based on archived materials on golf technique instruction spanning more than 120 years emphasizes the influence and concern surrounding technique. This analysis distinguishes four periods in the evolution of instruction and discusses the resulting focus of performance improvement and strategy selection.

With the advent of increasing technology and scientific knowledge, including progress in physical education, structural exploration of the human body, the notion of unconscious motivation, video and computer instruction, and sports psychology, golf techniques recorded between 1869 and 2008 are analyzed to examine the impact of evolving techniques on golf performance and strategy selection. All the documents are archived in England, specifically the British Library of Sports and The Open Championship.

The performance of golf is determined by a sequence of strategy selections and executions, considering two phases of action: strategy consideration, which refers to creating a sequence of actions to execute at a specific time, and strategy evaluation, which refers to checking the overall cost-effectiveness of the selected strategies. With such a historical perspective, the impact of evolving techniques can be evaluated in terms of changes in the focus of performance improvement and strategy selection. Hence, the disposition of past and present golf instruction documents is examined in terms of the focus of evolving coaching knowledge, norm observation, and coaching view of players, all as targets for consideration. (Roberts et al.2021)

7. Conclusion and Future Directions

The game of golf has evolved in multiple ways over the years, with changes in clubs and technology, the construction of courses and walking or buggy riding, the professionalization of the sport, changes in the amateur ethos, and societal perceptions. This review addressed these topics and provided insight into the evolution of golfing techniques and their impact on the sport. In particular, the evolution of golf clubs with historic roots, technological developments, and the golf swing mechanism were elaborately discussed. It is hoped that this review would help in the future understanding of golf and assist in making decisions over the future of golf.

In conclusion, golf is the game of putters and drivers, greens and fairways, wedges, and who knows how many others when it comes to clubs. A golf club in the strictest definition implies a stick with a curved end, or several curved ends that are used to hit the golf ball. Golf clubs comprise of shaft, club head, hosel, grip, and face. There are several types of clubs used in golf, putting clubs, short clubs, mid-range clubs, long clubs, wedges, and drivers. The design and material of clubs can dramatically affect the flight of a golf ball. Using the right type of club can help a player improve their game. This paper presents historical roots of clubs from refashioned farm implements to highly machined titanium heads, discusses the evolution of clubs over the years and ends with future expectations over clubs.

Although golf swings appear to be simple to the untrained eye, close-up viewing demonstrates the remarkable complexity of motions involved. Throughout the golf swing, a complex interplay of biomechanics and motion exists. Golfers generate kinetic energy in a swinging motion and transfer throughout the golfer to the hands that holds the club. This energy is converted into a ball-launching motion powered by a series of motion-to-force conversions acting on the club’s head. The golf swing is a movement skill, involving dynamic coordination of legs, hips, trunk, shoulders, arms, hands, and clubs in a serial way. It’s important in both golf swing analysis and instructional improvement to recognize and understand the biomechanics supporting the golf swing.

References:

Cousins, G., 2023. Golf in Britain: a social history from the beginnings to the present day. [HTML]

Austin, P. C., 2022. “Challenge or Be Challenged”: The Personal and Political Importance of Black Women's Golf Clubs. Modern American History. academia.edu

Rebanal Martínez, G., 2021. Golf in St Andrews, the critical years, c. 1880-1914. Sport in History. [HTML]

Suzuki, T., Sheahan, J. P., Okuda, I., & Ichikawa, D., 2021. Investigating factors that improve golf scores by comparing statistics of amateur golfers in repeat scramble strokes and one-ball conditions. ua.es

Navarro Lasunción, C., 2024. Study of the development of the technology employed in golf equipment and the resulting impact on the professional tour. upc.edu

Trustees, B. E. N., . Fairfield MIRRORV. Mirror. fairfield.edu

Hasley, I.B., Ostby, T.D., Fjosne, C.M. and Jelsing, E.J., 2023. Etiology and Prevention of Common Injuries in Golf. Current sports medicine reports, 22(6), pp.210-216. [HTML]

ToSell, A. & Saturday, P., . Morehead State Baccalaureate Is Sunday; Commencement SpeakerIsCincinnatiPrexy. scholarworks.moreheadstate.edu. moreheadstate.edu

Wells, M., 2022. No One Playing: The Essence of Mindfulness in Golf and in Life. [HTML]

Yang, C.J., Tai, M.L., Hu, C.M., Hamill, J. and Tang, W.T., 2021. Effect of stance width on posture stability of golfers putting under windy conditions. International Journal of Sports Science & Coaching, 16(2), pp.324-333. [HTML]

Hocknell, A., Jones, R., & Rothberg, S., 2020. Engineering 'feel'in the design of golf clubs. The engineering of sport. [HTML]

Holland, S., Dickey, J., Ferreira, L. and Lalone, E., 2020. Investigating the grip forces exerted by individuals with and without hand arthritis while swinging a golf club with the use of a new wearable sensor technology. Proceedings of the Institution of Mechanical Engineers, Part P: Journal of Sports Engineering and Technology, 234(3), pp.205-216. [HTML]

Millard, D., 2023. How golf can save your life. [HTML]

Yordanov, S., Yordanov, P., & Zdravkov, I., 2022. MODERN PRACTICE AND METHODS FOR INTEGRATION THROUGH GOLF. PROCEEDING BOOK. nsa.bg

Gould, Z.I., Oliver, J.L., Lloyd, R.S., Neil, R. and Bull, M., 2021. The Golf Movement Screen is related to spine control and X-factor of the golf swing in low handicap golfers. The Journal of Strength & Conditioning Research, 35(1), pp.240-246. [HTML]

Whitehead, A. E. & Jackman, P. C., 2021. Towards a framework of cognitive processes during competitive golf using the Think Aloud method. Psychology of Sport and Exercise. ljmu.ac.uk

Oliver, A., McCarthy, P.J. and Burns, L., 2021. Using a “think aloud” protocol to understand meta-attention in club-level golfers. International journal of sport and exercise psychology, 19(5), pp.780-793. gcu.ac.uk

Wells, J. E. T. & Langdown, B. L., 2020. Sports science for golf: A survey of high-skilled golfers'“perceptions” and “practices”. Journal of Sports Sciences. [HTML]

Roberts, L.J., Jackson, M.S. and Grundy, I.H., 2021. The effects of cognitive interference during the preparation and execution of the golf swing. International Journal of Sport and Exercise Psychology, 19(3), pp.413-428. [HTML]

[solatom123]

By Solomon Lartey, Teeside university, PhD student.

Exploring the Role of Surrogates in Modern Reproductive Technology: Implications for Society and Future Perspectives

1. Introduction

Reproductive technology has advanced significantly, allowing individuals and couples to conceive despite infertility issues. Traditional surrogacy arrangements are now more rooted in scientific advancements rather than societal obligations. The rise of gestational surrogacy has transformed many surrogate roles from maternal figures to mere incubators for pregnancies. However, in less industrialized societies with stricter rules against artificial reproductive technologies, traditional surrogacy remains a common practice. Although surrogate motherhood has driven socio-political debates, there exists a gap in empirical research examining the cultural attitudes toward surrogate motherhood. This dissertation aims to deepen the understanding of the implications for modern reproductive technologies, with a particular focus on surrogate mothers. The first chapter explores how the roles of surrogate mothers vary across different societies and time frames. The second chapter examines the experiences of surrogate mothers in being seen as 'good enough' mothers despite being unable to care for the child post-birth. The third chapter analyzes the implications of autonomous thought on surrogate mothers' experiences and the tensions that arise in the face of stigma. In an attempt to provide a better understanding of surrogate motherhood and the cultural framing of its implications, the research moves beyond the legal, medical, and political aspects commonly addressed in debates. Instead, it delves into the smaller, personal lenses of mothers themselves. The research design values qualitative methodologies that best reveal the mothers' lived experiences. The field research prioritizes traditional surrogacy arrangements in socio-cultural contexts with a history of such practices. While surrogate motherhood is often framed in capitalist markets and regulatory ideas, the research hopes to shed light on the role of women's agency, labor, and maternal power in the arrangements. This research embraces surrogacy as a tool to explore women's complexities, differences, and definitions of fertility and motherhood. In finding a space that allows for the speaking of silenced voices, hopes are to highlight previously unexamined aspects of social and personal hierarchies concerning motherhood and femininity.

2. Historical Context of Surrogacy

Modern-day surrogacy is a complex social model encompassing legal, psychological, ethical, and religious aspects of assisted reproduction technology, with deep roots in history. Since the beginning of recorded history, women in various cultures and societies have served as surrogate mothers. Crossing boundaries of law, religion, tradition, and culture, surrogacy raises many questions. As a social model and an aftereffect of assisted reproduction technology, surrogacy has undergone many changes over time. Changes in technological advancement often bring a change in social mores and values; technology, in turn, is a product of social transformations. To understand these paradigmatic aspects of modern surrogacy, a brief historical overview of motherhood, infertility, surrogacy, and assisted reproductive technology is discussed here. (Farooqi et al.2022)

Theories of motherhood, welfare, and safety have existed since ancient civilization. From the conception of motherhood as a mystic relation to twentieth-century psychoanalysis, speculations about motherhood have largely depended on social community and various public values. The last two centuries mark the beginning of a political change, subjecting motherhood to state control and intervention, especially in Europe. During the nineteenth century, when there arose a fear of the decline of the European races, motherhood became the binding glue of the nation. This phase thus forms what is called "welfare motherhood," and pregnant women and mothers became bedrocks for the health of infant and child welfare services. (Suneja, 2022)(Shepherd, 2021)

Along with this expansion of welfare intervention, synthetic motherhood is epitomized by the concept of the "professional surrogate mother." A physiologist proposed a "surrogate motherhood," originated with the concern for an increase in the population, as it was thought that the loss of young people during the war, as well as cases of infertility due to post-war conditions, left the population dangerously unbalanced. (Whittaker2021)

Techniques that changed the reproductive process, such as artificial insemination at the onset of the century, spurred fears of the breakdown of the fundamental socio-biological organism - the family as mother and father. Surrogate motherhood epitomized a new dimension of "scientific motherhood" as there arose a full-scale mass production of babies without the need for women's bodies. Gradually, as in vitro fertilization techniques developed, surrogate motherhood is once again on the political agenda of scientific experimentation. Patent development of drugs or chemicals disassociating reproduction from coital relationships paired with cloning technology may bring the latest progression of reproductive technologies. (Sharma et al., 2024)

3. Types of Surrogacy

The nuances of surrogacy largely rely on the type of procedure chosen by intending parents, but also on societies, medical institutions, religious authorities, and intended parents’ financial statuses. Traditional surrogacy, which consists of natural conception using the surrogate’s egg, has been predominant prior to the establishment of IVF technology, egg donation programs, and cryobanks. Since the surrogate is the biological mother of the conceived child, unintended kinship dilemmas due to societal or family pressure have often arisen in this type of surrogacy. Moreover, in cases where the intended parents do not know the surrogate, there is always a risk of disowning responsibility for the child after the birth. It has also been pointed out that this practice can be easily abused to exploit young women for procreation. Gestational surrogacy, on the other hand, has gained more popularity since the beginning of the 1980s when IVF technology was developed. Intended parents can make use of some kind of reproductive assistance while remaining excluded from the procedure itself. They can choose a location for the procedure, the surrogate, the initial medical examination, and preparation for embryo transfer. Even the rights for children born in this procedure can be transferred to another person, usually a single female or couple who are unable to carry a child. This led to the emergence of international surrogacy agencies that offer complete reproductive assistance or legal security. Nevertheless, in cases of unconsented embryo transfer or the surrogate’s refusal to give up her rights for the child, unintended kinship dilemmas can still arise. (Deonandan, 2020)(Brandão & Garrido, 2023)

3.1. Traditional Surrogacy

Traditional surrogacy, also known as partial surrogacy, is a surrogacy arrangement wherein the surrogate mother is artificially inseminated with the sperm of the intended father or donor. In this type of surrogacy, the surrogate serves as the biological mother of the child, while the intended father or sperm donor acts as the biological father. This artificial insemination is usually achieved through intrauterine insemination or in vitro fertilization. Traditional surrogates are often family members or close friends of the intended parents. (Gunnarsson et al.2020)

However, traditional surrogacy creates biological ties between the child and the surrogate mother, which could lead to emotional complications and legal issues for the intended parents. For example, the traditional surrogate mother may try to keep the child after birth, or the surrogate mother may refuse to consent to adoption in case of unexpected serious health issues. As a consequence, the intended parents are obliged to adopt the child, which could take at least six months to complete. Additionally, consent forms on behalf of the surrogate mother shall be held in court, as she can have the child placed for adoption if the intended parents are abusive or neglectful. Consequently, surrogacy contracts and legal processes are necessary in all surrogacy arrangements.

Indeed, traditional surrogacy is illegal in several countries. For instance, in European Union countries such as France and Germany, surrogacy contracts have been deemed null and void. In some cases, traditional surrogates are prosecuted for acting against the child's best interest and engaging in child trafficking. In India, commercial traditional surrogacy contracts may be contested in court. In contrast, most U.S. states and other countries do not recognize traditional surrogacy contracts, which may lead to disputes between the surrogate mother and intended parents. In Israel, intended parents have no legal standing until birth, while the surrogate mother may claim maternity rights. Legislation to clarify the status of traditional surrogacy arrangements is necessary to prevent exploitation of vulnerable women in developing countries and ensure that children's rights are protected. (Ellenbogen et al.2021)

3.2. Gestational Surrogacy

Gestational surrogacy relies on the use of assisted reproductive technologies to create an embryo genetically unrelated to the surrogate. Surrogacy and genetic testing are inherently linked, as surrogacy would not exist without assisted reproductive technologies, and assisted reproductive technologies would be a mere form of assisted reproduction without surrogacy. Because assisted reproductive technology treatments are always medically necessary, 'social' surrogacy would stem from a misuse of assisted reproductive technologies, contrary to natural 'social' surrogacy. It is further argued that assisted reproductive technology leads to a commodification of reproduction, which should be understood in distinctly political terms. If current reproductive politics persist, 'social' surrogacy, wearing the mask of freedom and choice, may proliferate. Gestational surrogacy is where a woman agrees to conceive and carry a child for commissioning parents, with no genetic relationship to the child carried. In this arrangement, either the commissioning mother carries the child, or an egg donor and gestational carrier are employed. Surrogates have no legal rights to the child; only upon birth does the surrogate relinquish her parental rights, with the commissioning parents being granted full legal custody and rights of parenthood. Surrogacy is not a simple choice with simple implications. As demonstrated through women's exploration of surrogate motherhood, the process raises unforeseen ethical and political concerns. Although women opt for surrogacy due to a perceived loss of control over their situation, they often find themselves negotiating complex parameters set by their clients, medical professionals, state officials, and surrogacy agencies. Surrogate mothers frequently become embroiled in legal complications, sometimes initiated by commissioning parents themselves. For instance, surrogate mothers may relinquish their child because the child's sex does not conform with the parents' desires, disability emerges following birth, or the parents decide to take the child to a different country where surrogacy is illegal. Moreover, surrogates often find themselves disturbed by their children's placement, despite previously agreeing to give them up, a change of heart most often triggered upon the child's birth and first meeting. Death, depression, and legal conflict may follow. In addition, women's surrogacy decisions are often shaped and troubled by socio-political contexts. (Romanis, 2022)(da et al.2023)

4. Legal and Ethical Considerations

The surrogate motherhood agreements in which a woman engages at a certain moment during or after her pregnancy can set off huge moral and legal debates in society, which makes it necessary to try to regulate these agreements in the modern world. Although legal acts can protect the most vulnerable group in them, the surrogate mothers, they are also identical in many states with a complete ban on surrogate motherhood. Well-written contracts provide a minimum protection against exploitation, bereavement, or maternal regret. Surrogate motherhood agreements are presented from a legal point of view on hard domestic and international law, which allows protection against deprivation of maternal rights, necessary psychiatric treatment after a child’s relinquishment, or decision-making rights. Contracts for surrogate motherhood agreements are often baseless, especially if the pregnant woman has decided to keep her child, but at the same time, they can be a potential form of exploitation of the poor. Well-written contracts are a minimum requirement to prevent legal anarchy in this sphere of social life. They help prevent chaotically formed international adoption markets. Moreover, they can help to avoid disappointment and legal clashes benefitting rich clients, who do not comprehend the deeper dimension of the agreement they want to form. Those in favor of a total ban on surrogate motherhood at the same time constitute a serious danger of the motherhood profession overtaking its present form in the coming decades, risking a loss of the right to be a “natural pregnant woman.” (Frati et al.2021)

Surrogacy contains different elements after procreation as well as values, which may vary in perception in people’s opinions. It determines, on the one hand, the attachment of the gestational mother to the child before birth and, on the other, her interaction with the newborn after childbirth. However, the same surrogate motherhood child may be considered and perceived by others as too great a burden. No one should ask the same pregnant women to willingly give up their own child after pregnancy, nor should they be punished should they choose to do so despite receiving great material benefits. In such a procreation situation, if accompanied by even mild pressure to give a child up for adoption, it is hard to imagine that mothers would not feel estrangement. Any child with innocent genetic bonds with a woman, whom the birth will be treated in such a procreation situation - thus all children born out of the surrogate motherhood agreements - will be viewed as too precious by all future mothers, equally those with no prior genetic relation to them, being shown respect in the pre-birth health state of the unborn child, the number of fetal tissue operations, or the health risk posed to the surrogate mother, much more than children considered as procreation objects or dead means of donation, irrespective of any genetic bonds.

5. Social and Cultural Perspectives

As with surrogacy, the acceptance of other assisted human reproduction technologies written into laws and public policies varies according to cultural and social circumstances. For the most part, it is becoming evident that the cultural perspective—how laws and regulations are shaped—differs from the reality of those who need these treatments. There is a tension created between norms and laws, which require families to follow prescribed rules in order to leave their mark on the world, and the ways in which so many feel obligated to procreate. More frequent technical possibilities do not change deeply rooted rules of conduct, such as marriage as a foundation for life, procreation as a sacred event, or the belief that protecting a child’s roots is worth more than protecting the child itself.

While in the West, life is still constructed around the dynamics of being and the need to leave a dose of power or a unique event, elsewhere in the world, life hovers closer to the social condition of being and is considered a normal community event. Procreation is merely the biological act leading to the existence of offspring and, as an inseparable part of society’s cultural and social organization, should be favored in order to humanize relationships. Such perspectives could mean that joy in birth, stemming from a desire fulfilled and reproduction begun, does not necessitate the necessity of such a need and that personal reunification can also be achieved through new regulatory mentions with a retrospective effect. It is inclusive of everyone who experiences an embryo transfer for social purposes. (Piersanti et al., 2021)

6. Psychological Impact on Surrogates and Intended Parents

In the development of reproductive technology, surrogacy has emerged as a compelling option for couples struggling to conceive. Surrogacy entails that a woman (the surrogate) carries a child for another couple or person (the intended parents). The surrogate mother’s egg is either fertilized by the intended father or a sperm donor in the case of traditional surrogacy, or a fertilized egg is implanted into the surrogate using in vitro fertilization in the case of gestational surrogacy. Surrogacy raises complex ethical, moral, legal, and psychological issues, and the surrogate’s and intended parents' psychological adjustments regarding gestational surrogacy remain less explored. This text explores the psychological experience of surrogates and intended parents considering modern reproductive technology. The future perspectives remain open. Becoming a surrogate can greatly impact women’s personal, marital, and maternal identity. Surrogates experience a gradual parental attachment over time, appreciating the surrogacy process as a powerful ongoing experience that ultimately contributes to their post-surrogacy well-being. Importantly, surrogates perceive a strong positive impact on both their own children and their caregivers’ attitude toward them. However, surrogates also report tensions between desire, honor, and renegotiation. After the surrogacy ended, many reported feeling their life purpose waned, the beginning of motherhood felt empty, their own children withdrew from their mothers, and some caregivers felt jealousy. When discussing their ongoing contact, concern arose as to whether the “checking role” could impede the parental attachment process, leading surrogates to focus more on the surrogate identity than prospective motherhood. In addition, there were developments in the anticipation of emotions and worry concerning the child’s needs, even more so in closed arrangements. Surrogates sought to prepare their own children as future siblings, whereby half envisioned continuing contact, while others found it impossible to explain. Intended parents demonstrated positive psychological adjustment following childbirth through surrogacy. Overall, they viewed the surrogacy process with satisfaction and appreciation, considering it an enriching experience and expressing gratitude toward the surrogate mother. Although intended parents had positive psychological adjustment of verbal and symbolic representations of surrogacy, they were concerned about their children’s emotional adjustment to surrogacy. Symptomatic psychological reactions concerning gestational surrogacy were infrequent among intended parents. While they demonstrated overall positive psychological adjustment, some experienced negative emotional responses. A decade after the situational adjustment, those who were still in contact with the surrogate had a tendency to feel more distressed, reveal more role conflict, and worry about the child’s adjustment. Of concern, an increased number of women relinquished the normative expectation of becoming pregnant and gave up the wish for biological motherhood one year following surrogacy. Adjustment to parenthood issues, such as the concern regarding the child’s health and development or feeling overwhelmed by the tasks and responsibilities, did not decrease among intended parents in the years following surrogacy and birth. Interestingly, only some of the intended parents experienced social stigmatization, and intended mothers generally perceived social attitude changes favoring surrogacy.

7. Technological Advancements in Surrogacy

Advancements in fertility technology, including gestational surrogacy, donor eggs and sperm, and pre-implantation genetic testing, have resulted in the birth of more genetically related children to parents who would not otherwise be able to conceive. As ARTs have become more available, a sub-industry of agencies and attorneys specializing in assisted reproduction has emerged. New technologies, such as the ability to freeze eggs and embryos, have created ways to establish and expand families. Eggs can be harvested from women in their 20s and frozen, either until later on when the woman’s own fertility wanes or donated to infertile women in their mid-40s. Moreover, although frozen embryos typically survive the thaw about 60 to 75 percent of the time, embryos can be tested before they are thawed or transferred to the uterus. Using a new method, embryos can be screened for aneuploidy and chromosomal abnormalities. If successful, only embryos with the correct number of chromosomes would be thawed for implantation. As one of 37 frozen embryos from the same donor, 25-celled “blastocyst” embryo #5019824 became “Brianna,” a healthy female born in December 2008. (Katagiri & Tamaki, 2021)

Many believe that the rapid evolution of fertility technology in surrogacy will continue. This belief is driven by a desire to establish and expand families as much as technology will allow. In light of ARTs now considered “traditional,” families in a post-modern society will no longer be limited to domestic adoption or a child of one’s own. Parents 70 years past menopause will bear genetically related children, and families of five genetically different children with clones as siblings could also be established. With this capacity for new family formation comes the blessing and burden of exponentially more snowflakes—cryopreserved and dispositioned embryos of donated eggs and sperm. (Piersanti et al., 2021)

In light of the proliferation of new ARTs, questions arise about the nature of becoming a parent and having a family. Would the frozen embryos of “Brianna”’s parents still want to have children if the implantation failed or she was not born? Would it matter if frozen embryos were thawed, tested, and later destroyed under a process? Would it matter if a mere cell from “Brianna” were taken and multiplied into dozens of humans born in a single day? Would it matter if she were cloned? With the advent of these technologies also come moral and ethical concerns. Would the family that one envisioned having remain the same if these ARTs became available?

8. Future Trends and Ethical Dilemmas

As reproductive technology continues to advance, potential changes and developments may alter the role of surrogacy and the surrogate itself in the reproductive family. One possibility is changing the traditional model of surrogacy or the jobs the surrogate undertakes, mainly through the use of new technologies. Humanity may have the ability in the future to grow babies in an artificial womb for either the detriment or benefit of society. Women may no longer be required to carry fetuses for nine months in their wombs, as an outside chamber may allow the laws of nature to be circumvented. Such development would allow for women assisting with reproduction by holding either the sperm or egg donor role only. This prospect may cause a largely negative impact on the future ability of women to give birth naturally and alter the very essence of gender roles.

Surrogacy and assistance in reproduction through a female role may become more acceptable to make female birth easier, with much less harm done to the body. One would only need to inject hormones; eggs may be taken out and fertilized in a lab, and then soon a family could be made, although not necessarily the natural way. There has always been resistance towards couples or individuals characterizing reproduction in anything other than this unnatural way, although with technology becoming more sophisticated, so do the means of reproduction. How this may affect society remains to be seen, but surely there will be great ethical dilemmas about what role surrogacy plays in the modern world and the acceptance of egg cell fertilization only as the criteria for having offspring. (Joslin, 2021)

Another possible approach to this subject matter would be to take a closer look, with current focus and interest being on inclusivity and same-sex couples who want to reproduce their own kind. While for many this issue is solved through adoption and they do not need to worry about this topic, it still affects a large portion of the population, especially open-minded, western progressive countries where it is becoming a common sight. The biggest problem is still reproduction when neither male nor female is able to produce a viable egg or sperm cell, regardless of how they would go about it. Although this kind of natural reproduction is impossible, there is a greater possibility of egg cells becoming fertilized, leading either to spin-offs or reproduction. Being forced to turn to third parties and crossing genetic boundaries is always a moral dilemma that opens itself to questionability.

9. Conclusion and Recommendations

The conclusion summarises the aims and methods of the study, briefly discusses major findings, and outlines recommendations for future research. Surrogacy is a common form of ART where a third party provides their uterus and, in many cases, their eggs for the conception of a child. With surrogacy, a woman can conceive a child with no connection to her own gametes or womb. Surrogacy is not exempt from the psychosocial and emotional considerations present with traditional ART processes such as oocyte and sperm donation. This study explores the impact of surrogacy on society, with a focus on previous research investigating the psychosocial and emotional implications for the parties involved. Additionally, future perspectives of surrogacy and ART more generally are discussed. Surrogacy is a common form of ART where a woman with childbearing difficulties, or an individual or a couple who wish to conceive a child without any connection to her own gametes or womb, engage a third party, called a surrogate mother, to provide her uterus for the gestation of the conceived child. Surrogacy is a complex, emotionally, socially, and legally charged pregnancy. Connecting to the womb during pregnancy, and giving birth, eventually puts the surrogate mother in a maternal position, which results in emotional attachment to the child and post-pregnancy separation anxiety. With the consideration of the child’s well-being, research about the impact of surrogacy on society, with a focus on the psychosocial and emotional implications for the parties involved, particularly the surrogate mothers, is warranted. Surrogacy is a sensitive issue and poses several ethical and moral questions. Concerns for the welfare of the child include multiple births, congenital defects, low birth weight, premature delivery, and other potential maternal and neonatal complications and treatment of the child as a commodity. The general belief is that a woman should genetically and/or gestationally conceive with the child or vice versa. Surrogate mothers are at risk for anxiety, stress disorder, depression, and other psychosocial concerns. Existing studies on opinions towards surrogacy are limited in scope and commonly undertaken in Western societies. Researchers, practitioners, and legislators should be aware of these concerns when contemplating offering surrogacy as an ART option.

References:

Farooqi, M.A., Rizvi, A. and Khan, A.R., 2022. Exploring the Legality and Socio-Cultural Challenges of Surrogacy: An Islamic Bioethical Perspective. Pakistan Languages and Humanities Review, 6(2), pp.1302-1313. plhr.org.pk

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Shepherd, D., 2021. Working Class Women's Agency in the Labour Movement in East London, 1840–1914. herts.ac.uk

Whittaker, A., 2021. 16 Surrogacy. The Routledge Handbook of Anthropology and Reproduction. [HTML]

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Deonandan, R., 2020. Thoughts on the ethics of gestational surrogacy: perspectives from religions, Western liberalism, and comparisons with adoption. Journal of assisted reproduction and genetics. nih.gov

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Ellenbogen, A., Feldberg, D. and Lokshin, V., 2021. Surrogacy: A worldwide demand. Implementation and ethical considerations. Gynecol Reprod Endocrinol Metab, 2, pp.66-73. researchgate.net

Romanis, E. C., 2022. Assisted gestative technologies. Journal of Medical Ethics. bmj.com

da Silva Junior, A.L., Fortuna Pontes, M. and Uziel, A.P., 2023. Assisted reproduction technologies and reproductive justice in the production of parenthood and origin: Uses and meanings of the co‐produced gestation and the surrogacy in Brazil. Developing World Bioethics, 23(2), pp.122-137. [HTML]

Frati, P., La Russa, R., Santurro, A., Fineschi, B., Di Paolo, M., Scopetti, M., Turillazzi, E. and Fineschi, V., 2021. Bioethical issues and legal frameworks of surrogacy: A global perspective about the right to health and dignity. European Journal of Obstetrics & Gynecology and Reproductive Biology, 258, pp.1-8. [HTML]

Piersanti, V., Consalvo, F., Signore, F., Del Rio, A., & Zaami, S., 2021. Surrogacy and “procreative tourism”. What does the future hold from the ethical and legal perspectives?. Medicina. mdpi.com

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[solatom123]

Article written by (Solomon Lartey, PhD student, Teeside university)

The Importance of MOT and Road Tax Disc in Vehicle Maintenance: Future Studies and Recommendations

1. Introduction

For a vehicle owner, following necessary government rules and regulations cannot be denied as it includes safety checks and taxes regardless of driving the car or not. If people happen to own a car, the first thing that needs to be ensured is that the vehicle has the necessary tax disc and undergoes MOT checks. In the UK, the road tax discs represent a form of vehicle taxation. These are circular pieces of paper indicating the details of the taxed vehicle. These paper discs are to be affixed to the windshield of a car. The details printed on these discs include the date until the vehicle is to be taxed, the tax number, the license number of the motor vehicle, and details of the vehicle owner. The road tax disc is a proof document of vehicle taxation, and the absence of the disc denotes the car not being statutorily taxed. This gives law, regulation, and authority to subjugate the car and fine the owner. The revenue accrued from road tax discs by the government is put forth into the maintenance of the roads and highways, security of the defense, and improvement and development of new road infrastructures. MOT checks stand for an annual safety inspection of the vehicle done by a certified technician. The checkup is done with regard to the brakes, gears, speedometer, engine, suspension, etc. In short, everything that is related to the safety of the car is examined in the MOT. They examine headlamps and reflectors, tires, registration plates, filter indicators, stability, and security for safe driving. There is heavy punishment for not passing the first-time MOT as it indicates forensic evidence of dangerously unfit vehicles endangering general road users. The revenue accrued from MOT checks remains with the car servicing vehicle owner.

2. Overview of MOT and Road Tax Disc

The MOT test, established in 1960, is a compulsory, annual safety test for vehicles over three years old. It aims to ensure that vehicles on the road comply with safety and environmental standards. The test checks various vehicle parts, including brakes, tires, lights, and emissions, and is carried out by authorized testing stations. Failure to obtain an MOT certificate can result in a fine, and vehicles without a valid MOT are not legally allowed on public roads. The MOT testing process involves an inspection of key components to determine their condition. Initially, the vehicle’s identification number is checked along with current registration details. An examination is then conducted of front and rear lights, tire pressure, fuel, hinges, seat belts, mirrors, general body condition, speedometer, wipers, brakes, exhaust, doors, and general safety features. MOT tests cannot be carried out in a garage or place of work that has carried out a service on the vehicle for the last 30 days. No alterations to the vehicle should be made before an MOT. The MOT certificate is valid for one calendar year; the current markings on the number plate will not change; reminders will still be provided, although customer service will not be available over the phone. It is the driver’s responsibility to ensure that the vehicle is roadworthy; if not, the vehicle must not be taken on public roads even if the driver has third-party insurance. Over the years, there have been many small changes to the MOT rules in the UK. The Road Tax Disc is a form of vehicle excise duty in the UK that must be paid for all vehicles driven on public roads. Road tax has been imposed since it is believed that vehicles cause wear and tear on roads, requiring repairs, and that people should pay for the roads they use. Due to the invention of the internal combustion engine and the spread of faster transport post-World War II, funding for road maintenance was required. The Road Tax Disc continues to raise revenues for the maintenance of the UK’s road system. It was a green circular paper disc that drivers displayed on their windscreen. Since 2014, tax discs in the UK were replaced by a fully online system, but dead discs can still be seen on car windscreens as people have not taken them down yet. Failure to display a current road tax disc could result in fines of up to £100. With the test being scrapped, it is now open to speculation whether the vehicle tax disc system will follow suit. (Lee & Hess, 2020)(Wishart et al.2020)

3. Significance of MOT and Road Tax Disc in Vehicle Maintenance

Road safety should be a prime concern for all road users. However, road conditions and driver negligence account for most road accidents. Regular vehicle maintenance is one way to ensure accident prevention and safety, and in the context of this work, the Vehicle Maintenance's MOT and Road Tax Disc are explored. Vehicle maintenance checks and inspections were introduced in the UK by the Transport Acts of 1960 and 1968. It was made compulsory by law to have insurance and a road tax disc for all vehicles using UK roads, under the Road Traffic Act of 1988. The application of MOT and Road Tax Disc schemes intends to promote road safety, environmental protection, and crime reduction. (Khan et al., 2020)

Roadworthiness The main aim of the MOT maintenance initiatives is to ensure the roadworthiness of vehicles. It is mandatory for all vehicles over three years old in the UK, apart from the exempted class of vehicles like forklifts and agricultural tractors. During the MOT certification examination, 20 items regarding the vehicle's functionality, security, and braking system are checked by a licensed engineer. Vehicle owners can repair the defects pointed out in the examination by investing about £335; however, if the defects are more expensive to repair, vehicle owners can scrap the vehicle. (Solah et al.2021)

In the case of a more severe failure, vehicle owners should repair it within ten working days or face a fine of up to £1,000 if a car is caught by roadside checks. Similarly, motorcycle and goods vehicle failures have harsher punishments. The Road Tax Disc scheme supports the MOT scheme, as proof of road tax disc, insurance coverage, and vehicle fitness are compulsory for all vehicles to be on the road. Annually, the notarized statutory off-road notification should notify that the vehicle is not being used on the road; otherwise, a road tax disc and an £800 fine may apply. (Manville & Pinski, 2021)

Legal Compliance and Consequences If there are no road tax discs in vehicles over £20,000, vehicle owners can face up to a £5,000 fine and the crushing of the vehicle, as well as a breach of driving without insurance. Apart from these charges, imprisonment for criminal offenses can be for longer durations. Such consequences for breaches of laws have decreased road safety violations. The MOT scheme, which begins with tracking numbers, has been proving standards against bribery, as it takes an average of eight days to complete. The digitized Road Tax, insurance, and MOT certificate systems are interlinked, and the police can track the entire records during road checks automatically, which indicates improved applications. (Attwood, 2021)

3.1. Ensuring Roadworthiness

One of the primary purposes of both the MOT and the road tax disc is to ensure that vehicles are roadworthy and in a condition fit to drive on public roads. Ensuring roadworthiness is a major issue with regard to vehicle maintenance, as unroadworthy vehicles represent a safety hazard to other road users and the driver, as well as contributing to negative environmental effects. Vehicle maintenance should be conducted by the driver of the vehicle as a condition of driving. It is the responsibility of everyone using public roads to ensure their vehicles can drive safely and without damaging the environment. (Cavender & Haggerty, 2023)

The vehicle maintenance that must be conducted is covered in large part by the Road Traffic Act and its many subsequent amendments. The Act covers the works that must be completed, as well as the frequency with which they must be conducted. Though this may vary based on the year, make, and model of the vehicle, there are vehicle maintenance issues that are common to many vehicles on the road, such as brakes, steering, and emissions. Some aspects of vehicle maintenance, such as brake pad wear, are not visible from an outside examination of the vehicle, and therefore an MOT check is required to determine their state. Ensuring the roadworthiness of vehicles through an MOT check would prevent such vehicles from driving publicly in many instances. At the time of writing, the government estimates nearly 40% of vehicles on the road do not have a valid MOT or road tax disc, representing a significant risk to public safety. (Gómez–Huélamo et al.2021)

Ensuring vehicle roadworthiness and conducting vehicle maintenance is directly relevant to the upkeep of public vehicles, though vehicle maintenance should be viewed as best practice among owners of all vehicles that drive on public roads. Businesses such as bus services and haulage services are responsible for their vehicles not affecting public safety. Vehicles maintained by businesses pose reduced risks to public safety, though the maintenance is required nonetheless. (Sopjani et al., 2020)

3.2. Legal Compliance and Consequences

The legal ramifications of neglecting the MOT and road tax disc obligations can be extensive and severe. Driving a vehicle that lacks a valid MOT certificate or the proper road tax disc can lead to fines and penalties from authorities. In the UK, one can be fined up to £1,000 for operating a vehicle with an invalid MOT or £2,500 for doing so without insurance. Furthermore, prosecution under section 47 of the Road Traffic Act can result in fines of up to £5,000 and points on one’s driving license. Continuous failure to comply can lead to a shattering £5,000 maximum fine. If the vehicle is declared 'off the road,' one can be further subjected to a £1,000 maximum fine and a maximum £2,500 penalty for not displaying a 5-year physical registration. (Cavender & Haggerty, 2023)

In addition to financial penalties, the ramifications of avoiding MOT and road tax disc obligations can also have dire effects on one’s insurance policy. Most insurance policies stipulate that the vehicle must possess a valid MOT and road tax disc. Failure to comply can lead the insurance company to declare the policy invalid, putting the vehicle owner and other road users at risk.

In summary, the importance of MOT and road tax disc obligations should not be overlooked. The potential consequences of neglecting them can have lasting repercussions. Therefore, to ensure safe and legal driving conditions, all vehicle owners should adhere to these obligations. It has been proposed that future studies employ policies to improve awareness among vehicle owners of the significance of the MOT and road tax disc. Possible recommendations include legislative settings, influence policies, and education and awareness campaigns.

4. Current Issues and Challenges

The importance of MOT testing cannot be understated, as ultimately it is a check for both safety and environmental purposes, and needs to be carried out once a year on cars over 3 years old. MOT test safety factors include: body structure, steering, brakes, wheels, lighting, seatbelts, mirrors, etc. Changes in the law could affect MOT testing requirements, lengths, and costs where some motor vehicles would only require initial assessment. In the main, adjustments would pass more vehicles and demand fewer checks. In respect of the road tax disc, many drivers still do not know how to read their vehicle’s tax test certificate. The problem is actually worse than a lack of independent information. Unlike the noise test, there is no control or independent verification of the system. All that exists for compliance checking is the need for compliance with guidance on print quality inspection at the time of manufacturing. In this context, it gives the impression that something is being done when in fact nothing is. As a result, the current situation runs the risk of a tragic repetition of the “no one saw it coming” culture which followed the storm surge tragedy. The initial vehicle requirement data supplied to all contractors was, on average, fourfold greater than the actual implementation contract value. The position pertaining to compensation for the additional work incurred by these contractors after the awarding of the contract and commencement of vehicle fittings appears to be hardening, and discussions regarding the introduction of a smaller implementation level were unequivocally opposed. (Rahman et al.2021)(Dendorfer et al.2021)

5. Future Studies and Research Directions

This chapter summarizes the importance of future studies and research directions in the field of MOT and road tax discs. Technological innovations such as automatic recognition systems and new testing procedures can enhance MOT systems. Policy and regulatory changes can enable extensions to cover new vehicles and changing contexts. The combination of these two types of improvements is suggested. There is a further need for studies to be conducted in new countries in addition to existing techniques.

Future studies are suggested in the field of MOT and road tax discs. Two important areas are identified, one focusing on technological innovations and the other on policy and regulatory changes. Recent years have witnessed the introduction of technological innovations into existing manual city center road toll systems in various countries, for example, by introducing automatic vehicle class recognition systems in conjunction with ANPR systems. However, these innovations typically do not alter the basic functioning of the system and just aim at enhancing the MOT. There are further innovations that would change the existing MOT systems drastically. These involve the introduction of better new traffic enforcement technology as a replacement for the existing vehicle registration plate recognition systems, such as detecting new vehicle characteristics from the radar signal of the vehicle coming to the toll point, i.e., vehicle class characteristics. Thus, there is still a need for studies to be conducted in this area. (Cavender & Haggerty, 2023)(Irani et al.2023)

Due to regulatory and policy changes, there may be a need to extend existing MOT systems to cover new kinds of vehicles or changing contexts. This is the case in regard to the now transportable road user charge systems based on 5.9 GHz DSRC technology, which was initiated by several European countries. As soon as there is a need to extend policy or regulatory road tolls to cover new kinds of vehicles or changing contexts, as illustrated by the current introduction of the Euro I standard for all vehicles, it is feasible for new vehicles to install an OBE. However, it would mean drastic changes to the operation of existing vehicle registration plate-based road toll systems, as vehicles registered before 1994, the year when Euro I was implemented, would fall outside the new system. Consequently, these vehicles would simply not be tollable within the new European highway charge context. As manual toll enforcement was carried out on an international highway section with privately owned and wholesale operated toll gates so far, road tax disc reconciliation in the highway context is a totally new area for established MOT policy and regulations, as toll and road tax reconciliation were previously only considered within countries, and relatively simple specific national traffic enforcement technology was used. Therefore, existing vehicle registration plate-based road tax discs should be extended to cover also vehicles of the new types. There is still room for further studies in this context.

5.1. Technological Innovations

The analysis and research findings indicate that there is a need to improve service facility performance and service quality with the aim of increasing MOT uptake. In order to achieve this, future studies should address the role of technological innovations in the development of MOT. It is believed that in the near future, the provision of interim and full MOT services will be automated and safety checks will be performed automatically by the onboard computerized system of the vehicle, and then passed to the relevant authorities. Such vehicle regulations are expected to become obligatory in the framework of applicable law, as in other common safety checks of the vehicle such as insurance cover. Technological innovations are likely to reduce costs of the interim and full MOT checks and services in the network of service providers where it is not already widely implemented. However, it may have a potentially negative impact on the safety upgrade and maintenance of older vehicles. (Feng & Magee, 2020)

At present, an increasing number of automotive manufacturers are negotiating with relevant organizations to introduce innovative technologies allowing for the measurement of safety standardization, servicing, and monitoring of its correct performance through the Internet. The assessment of the vehicle’s technical state will be performed in the initial and continued monitoring of the performance of the electronic safety systems of the vehicle. Following the six-year period of comprehensive monitoring of the performance of safety electronic systems through onboard capabilities, the accumulated data allowing for proper benchmarking of vehicle use in terms of mileage over harsh weather and road conditions presents a sufficient basis for the evaluation of standards of vehicle use. In addition, the continuation of the monitoring period and gathering the data is expected to point out the change in performance and ensure the assessment of safety standardization through its systematic regression. Inhibiting continued monitoring is going to result in the neglect of the currently needed follow-up checks required for full MOT pass assurance.

5.2. Policy and Regulatory Changes

The plans for a future digital MOT and road tax disc involve improving the method in which vehicles are regulated for road safety and tax purposes by supplying a digital record for the driver of the vehicle instead of the traditional paper format. Despite the government’s wishes to change to a fully digital system, there have been small improvements that have only begun to reduce this reliance on paper. Expansions for small number plates to be declared invalid by driving on certain roads were added recently; however, this requires a more substantial study and changes to how those that produce number plates are regulated to be reactionary against new plate styles. A future in which NAV technology is fully realized would mean that unfit vehicles cannot be driven, so it would be good to change where the responsibility of regulations of a vehicle goes. Outside of lobbying manufacturers to create systems where only safe and fit vehicles are allowed on the road, the best approach would be to make the MOT part of the vehicle registration. In certain countries and states, vehicles have to be inspected by a licensed garage to assess their fitness for the road and are given a stamp of approval that is sent to the state. This means the state knows every vehicle’s upkeep, and there is no reliance on drivers doing it themselves.

Substantial changes to policy and regulations should be processed to help maintain these technological innovations. Furthermore, improvements should be made to lock in and change policy and regulations from the best supporting technology to the best that will increase equality and safety on the road. For example, if next-generation LIDAR is taken up by all manufacturers, laws around LIDAR should be implemented to boost expansion and development of the technology, continuing the positive effects of stopping crashes. Consideration must be given to security in a transition to a safer road future to avoid replacing one dangerous system with another. Another example to limit this change from merely preventing the accidents that wreck vehicles and kill drivers and passengers is to subsidize the market by improving public transport and ride-hailing. Transport for London is showing this with their services, meaning that with new technology in autonomous and electrified public transport, safer vehicles can be given control of a dangerous and complex set of roads. Also, there should be regulations on how much competing transport can charge, and vehicle size and trailer limits for shared transport such as buses so that people cannot disrupt potentially life-saving innovative vehicle technologies.

6. Recommendations for Improving the System

The following recommendations can help improve the current vehicle safety and pollution control system. Firstly, the background data can be further used to develop more advanced versions of the proposed models and information system. Also, the models can be applied elsewhere in conjunction with similar background data to explore the extent of various influences on the performance of MOT, road tax, and vehicle ownership policies. Secondly, it is essential to study new regulations or policies before their implementation, based on an understanding of how they interact with existing policies. This will help understand the consequences of policies before they are implemented and allow for optimization of implementation. Policy trade-offs can also be explored through such analyses. Thirdly, a better understanding of vehicle ownership policies' effects is of considerable interest to many countries with large numbers of vehicles. This includes attempts to maximize the potential impacts of vehicle ownership policies through knowledge of previous experiences in similar environments. Fourthly, upon the implementation of TBAT, it may be good to revisit the proposed analyses. Since it is unclear when and how such a technology is likely to be implemented, scenarios for and impacts of TBAT can be devised here as well. Finally, aside from vehicle ownership, it can be interesting to study how air quality is influenced by transport company driving behavior, public transport, or emission trading. These factors have not been considered in this study's background, but many of them can be included in an extended analysis.

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