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  • Meet the Author: Joshua A. Tucker

    Meet the Author: Joshua A. Tucker

    Joshua A. Tucker is Professor of Politics and Professor of Data Science at New York University. He is the Director of NYU’s Jordan Center for Advanced Study of Russia and a Co-Director of NYU’s Center for Social Media and Politics. He spoke with SSRN about the relationship between social media and politics, and how different types of data help us understand the connection between online and offline behavior.

    Q: In the past decade plus, you focused on studying the relationship between social media and politics, as well as ways to use social media data to study politics. How did your career lead into this area of focus?

    A: For the decade and a half before, I was working on mass political behavior in post-communist countries, and I had done a lot with elections, voting and partisanship, and public opinion formation. In the 2000s, there were a series of big protests that took place after serious instances of electoral fraud in Eastern Europe and the former Soviet Union, and I got interested in those. One thing I heard frequently from scholars working in this area was that there was never going to be one of these protests in Russia. Then one day in 2011, we woke up and there were over a hundred thousand people on the streets of Moscow protesting against electoral fraud. I asked friends of mine in Russia what was going on, and I heard repeatedly about Facebook and how these protests were being planned online. That was the first time that I started to get interested in the idea from a substantive standpoint, that maybe social media was something that we were going to need to think about as political scientists.

    Concurrently with that, I had this absolutely brilliant graduate student, Pablo Barberá, who wrote a paper showing that you could use network data to predict people’s ideological orientation or partisanship. He was proposing [that] you could do this with Twitter data, trying to estimate people’s ideology not from what they were saying in their tweets, but rather based on whom they were following. Now, in 2024, from the vantage point of large language models, you’d think, ‘Well, of course, we could just use the content of their tweets to estimate ideology.’ But at that point in time, the field of text-as-data was much less developed, especially in political science. As a result of Barberá’s paper, though, I for the first time started to think seriously about the possibility that we could use social media data to actually study politics.

    The third thing that happened around the same time was that there was a call for proposals from the National Science Foundation (NSF) to support “outside the box” interdisciplinary work. We put together a team of faculty at NYU and put in a grant proposal. When you write NSF proposals, you always think you have a very low chance of getting them because of how competitive the process is, but we actually got this one! We began to embark on this experiment, not just studying new questions – how social media impacted political behavior – and using new data, but also an experiment in trying to bring the lab-based approach to research that is so common in the natural sciences into the study of politics. That’s what we’ve been doing for the last dozen years now.

    Q: As faculty co-director of NYU’s Center for Social Media and Politics (CSMaP), and as a researcher, what data do you focus on collecting and analyzing, specifically during an election year like this one?

    A: We tend to study the relationship between social media and politics in a couple of different ways. The big challenge here is that social media is huge. There’s a ton of social media data, and especially because it is optimized for search, it’s easy to find examples of anything. However, moving beyond anecdotal examples to understand what’s happening at scale is really challenging. Also challenging in this context is trying to rigorously test causal relations about the impact of social media on political outcomes.

    These are complicated tasks. We’ve ended up using two different sources of data to try to address these tasks. One source of data is the social media data itself… and that has all sorts of challenges around it. There are legal challenges around it. There are ethical challenges around it. There is the logistical challenge of collecting this data at scale. The other big bucket of data is survey data: surveying people about their relationships with social media and politics. Then we’ll layer experiments into both of these things.

    For example, my lab has done a bunch of deactivation experiments, where in order to get causal relationships, you take people who are using a social media platform and get them to enroll in a study. You then randomly assign one set of participants, the treatment group, to stop using the social media platform or to reduce usage, while the other set, the control group, continues to use the platform. Then we’ll use survey data to look at differences and changes over the period of time.

    We’ve also been running a survey for many years where we have a panel of people who we’re surveying repeatedly, but also over the years have had the opportunity to link their surveys with their social media data, which they consent to provide to us for research purposes as well. A lot of our most important papers were written because we were able to link up survey data, which allowed us to know things about people, know their opinions, know their preferences, [and] also to know their demographic characteristics, with actual social media data.

    That’s sort of the universe of what we can do. There are the observational studies where you’re trying to figure out what’s happening on the platforms. There are more traditional social scientific studies, where you’re running experiments and using surveys to get at changes in people’s attitudes. Then we’re trying to marry those two and combine them.

    Q: How do you use certain data and information to try to understand the interaction of what happens online and offline?

    A: There are a couple different ways you can do it. The simplest way is starting with surveys, where you ask people about their social media usage. And it’s very similar to traditional social science research that we would do. The other thing you can do is bring digital trace data into these kinds of surveys… saying ‘Okay, well, if we change the type of media that people are seeing online, what does that mean about their attitudes about things that are happening offline’?

    We ran this deactivation study, the idea of another brilliant graduate student in our lab, Nejla Asimovič, where we had people stop using Facebook in Bosnia and Herzegovina. This was at a time of commemoration of genocide that had taken place in the Yugoslav War. We thought, based on the literature, that people who were off of Facebook would have lower levels of ethnic polarization [and] would express lower levels of hostility towards other ethnic groups. We thought this because, around the time of this genocide commemoration, we knew there would be a lot of negative things that people were being exposed to online.

    We actually found the opposite, which was really surprising to us. The people who stayed on Facebook had lower levels of antagonism towards other ethnic groups in Bosnia. In this study, we asked the people who were in the deactivation study, “what did they do with the extra time?” Some people said they went on Instagram — a substitution of other social media. But tied with Instagram for the most popular thing people said was that they spent more time with friends and family. That’s an offline behavior.

    What we thought maybe was happening — because Bosnia has this terrible history of ethnic cleansing — is that the people who were online were still having at least some contact with people from other ethnic groups, whereas maybe the people who were offline at the time of this genocide commemoration were perhaps only talking with other people from their own ethnic group. We thought ‘if this is correct, then this effect – having higher levels of ethnic polarization if you are off of Facebook than if you stayed on it – should probably be driven by the more ethnically homogenous parts of the country.’ We reran our analysis, but this time separately for those in the more and less ethnically homogenous parts of the country, and it turns out that this was exactly right. That’s a great example of how the offline and online environments can have these mutually interactive effects.

    One of the great challenges of working in the information environment is that it’s hard enough to study in one country what’s happening on one platform. Of course, people don’t live on one platform: they’re watching TV, listening to podcasts and talk radio, and they’re also talking to their friends. This online-offline tension is an important one, but it’s also a really fascinating subject for research moving forward.

    Q: So far, we’ve been talking about big picture ideas relating to social media and politics, but I’d like to zoom in a little bit. What are some specific studies or research projects that you’ve been conducting recently that you’re particularly excited about?

    A: There’s a lot of them, because we have a very active research center here. One is that we have been interested in people’s ability to identify the veracity of news, and trying to figure out what sorts of interventions make people more or less likely to be able to correctly ascertain the veracity of news articles.

    We set up this pipeline where we put together five streams of media sources: left leaning mainstream media sources, right leaning mainstream media sources, left leaning low quality news sources, right leaning low quality news sources, and then low-quality news sources that we couldn’t tell if they were right leaning or left leaning. Every morning, we would take the most popular article from each of those five news streams, and we’d send them out to 90 different people, as well as to professional fact checkers. We would take the mode of our professional fact checkers to be the “correct” answer (i.e., that the central claim of an article was either true, false or misleading, or it was impossible to tell), and then we could look at the variation in how different people were able to match the professional fact checkers or not, in recognizing if the central claim of the article was true (or false) or not. Then we were able to look at the impact of a whole host of different interventions in people’s ability to correctly identify the veracity of these articles.

    One of the things you see on all these digital literacy interventions is, “if you’re not sure about it, go online and look up and try to get more information… from a reputable source.” One experiment that we ran was to have a treatment group search online for more information about the article and then assess the veracity of it, as opposed to the control group that just read the article and then assessed its veracity. We ended up running five studies to do this, [and in] study after study after study, when you went and searched online, you were more likely to believe that a false news story was true, not more likely to correctly identify a false news story as false.

    The big takeaway from that is how important it is to rigorously test these digital literacy interventions. I think it is probably a good idea to tell people to search for more information from reputable sources, but it’s that ‘reputable sources’ part of it that’s super important.

    What we’re doing now is trying to extend this research. We’re running a brand new study where we’re going to have people who go to traditional search, but then we’re going to send another group of people to generative AI, and we’re going to see if generative AI is better than the traditional search or if it’s even worse.

    Q: Your most downloaded paper on SSRN is “Social Media, Political Polarization, and Political Disinformation: A Review of the Scientific Literature” which has been cited, shared by news sources, and downloaded consistently since its posting on SSRN in 2018. The core topics you visit in this paper remain extremely relevant today. Looking back two presidential elections and a global pandemic later, are there any new problems that you couldn’t have predicted? Or are we facing similar problems now, just different variations of the same issue?

    A: In the conclusion of that paper, we had a couple of recommendations. We said the literature was too focused on Twitter. [Since then], people have started to diversify and look more at different types of platforms. At CSMaP, for example, we’ve done research on Facebook, and we’ve done research involving Reddit. We have a whole set of papers involving YouTube, and we’ve just written our first paper about NextDoor. Since 2017, [researchers] have gotten better about not just studying Twitter because it’s the easiest thing to study.

    The other big recommendation was that literature was overwhelmingly studying the United States, and beyond the United States, it was overwhelmingly about other advanced industrialized democracies. I think that probably still characterizes a lot of literature, but there’s progress being made in that regard. In our lab at CSMaP, we’ve been trying to do this: for example, the Facebook deactivation that I talked about in Bosnia, we have now replicated that in Cyprus. We did a WhatsApp deactivation now in Brazil, and now are extending that work in South Africa and in India. There is a good recognition that we need to diversify out beyond the United States.

    At the time we were working on that SSRN paper, people were coming off of this original euphoria that ‘social media was going to help spread democracy all over the world,’ from when I originally got interested in it. Then, the pendulum swung way back, and people were terrified about social media’s threats to democracy. Jumping forward seven years now, in terms of the kind of threats that we’re concerned about, they’re still fairly similar. We’re worried about whether or not people find themselves in small, isolated communities online, where it makes it easier to radicalize people towards extremist views, whether people find going online a hostile experience, whether or not the experience of social media makes people dislike people from other political parties more, and whether in authoritarian countries, regimes can use it to control the information environment of their own people.

    The part that people may not have anticipated in 2017 was questions about the effect of the rise of generative AI, artificial intelligence and large language models — how that would shift people’s attention, but also how the large language models would interact with social media. Social media lowered the cost of sharing content dramatically. Prior to social media, to spread content far, you needed to be on a television show or have access to a newspaper or write an op-ed. With social media, suddenly anyone could share content. But you still had to produce the content. Generative AI has lowered the cost of producing the content. These are two parallel processes, but they are also ones that I think can interact with each other. We’re only at the beginning of understanding how that’s going to go.

    Q: How do you think SSRN fits into the broader research and scholarship landscape?

    A: I’ll let you know what it’s been for us. There are disciplinary versions [of preprint servers] and political science doesn’t quite have one. So SSRN has been one that a lot of political scientists use, and we use often in our lab. We’ve definitely learned that it is much more effective than just putting the paper on your website — to have it in an archive where people can discover it.

    A second thing goes back to the article we were just talking about. This review of the literature was never intended to be an academic article. It was a report commissioned by the Hewlett Foundation, and the Hewlett Foundation put it on its website. I thought people in the policy community were going to see it on the Hewlett website, but I also wanted people to see it in the academic community. I thought that maybe we’d get a few citations out of it, and [decided] to throw it up on SSRN, on a whim. And now it’s been downloaded over 40,000 times and continues to be cited all the time. In that sense, it filled this really nice niche: we had something that we didn’t write to be an academic publication [and] weren’t going to send to journals. It’s a nice home for papers like this that don’t have a natural fit in academic journals but can still be useful to researchers and policy makers.

    The third use: we’ve had a couple of papers that we have had trouble getting published, but we’ve put them up on SSRN and they’ve gotten read and cited. I think that’s been the other real benefit of SSRN for us: papers that for whatever reason have had a tough time landing in journals have been able to have a life on SSRN as we slog through the publication process.


    More About Joshua Tucker

    Joshua A. Tucker is Professor of Politics, affiliated Professor of Russian and Slavic Studies, and affiliated Professor of Data Science at New York University. He is the Director of NYU’s Jordan Center for Advanced Study of Russia, a Co-Director of NYU’s Center for Social Media and Politics, and was a co-author/editor of the award-winning politics and policy blog The Monkey Cage at The Washington Post for over a decade. He serves on the advisory board of the American National Election Study, the Comparative Study of Electoral Systems, and numerous academic journals, and was the co-founder and co-editor of the Journal of Experimental Political Science. His original research was on mass political behavior in post-communist countries, including voting and elections, partisanship, public opinion formation, and protest participation. In the past dozen years his work has increasingly focused on the intersection of the digital information environment, social media and politics.

    You can see more work by Joshua A. Tucker on his SSRN Author page here.

  • About SSRN

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    It’s free to upload your work to SSRN and almost all our research is free to download. The SSRN platform hosts 1,664,114 preprints from 2,316,431 researchers in over 65 disciplines.

  • Meet the Author: Sara Gerke

    Meet the Author: Sara Gerke

    Sara Gerke is an Associate Professor of Law at the University of Illinois College of Law. Her research focuses on the ethical and legal challenges of artificial intelligence and big data for health care and health law in the United States and Europe. She spoke with SSRN about the legal and ethical challenges of integrating artificial intelligence into the medical field and how much farther we still have to go.

    Q: You’ve led and been part of research projects that work on things like artificial intelligence (AI) in healthcare and the legal and ethical implications of integrating new and cutting-edge technology into medical practice. What has driven your interest and motivation within this field of study?

    A: I moved to the U.S. about six years ago. Previously, I was the General Manager of the Institute for German, European and International Medical Law, Public Health Law and Bioethics of the Universities of Heidelberg and Mannheim, and I was also doing a lot of grant writing. I already felt like we were getting to the point where we have to submit applications for technology, because that’s the new world, where it’s heading towards. It takes quite some time until you actually can execute a grant. I somehow got to know about this project [in the U.S.], and I was really excited about it. It would have taken probably another two years until I could carry out something similar in Germany. Long term, I always thought to pursue an international career so that I can write more articles in English and really spread my work around the world. I applied for that position, was very lucky to get it, and was responsible for the day-to-day work of the Project on Precision Medicine, Artificial Intelligence, and the Law (PMAIL) at the Petrie-Flom Center for Health Law Policy, Biotechnology, and Bioethics at Harvard Law School.

    I feel these days everyone is very aware of AI, at the latest when ChatGPT came on the market. But six years ago, we were one of the very small groups who really looked at AI and digital technology at that time in the healthcare field from an ethical but also legal perspective.

    Q: Your most downloaded paper on SSRN, “Ethical and Legal Challenges of Artificial Intelligence-Driven Healthcare,” written in 2020, highlights several main concerns regarding AI in healthcare, both in the legal and ethical sense. In the four years since you wrote this, which legal or ethical problems do you think have made the most progress?

    A: I don’t think we made enough progress in those years since I wrote that paper. This paper has been cited so much because we were essentially the first who wrote a paper on this topic. At that point, it didn’t have much interest yet. But what we are seeing, comparatively – because I do a lot of comparative law between the EU and the U.S. on the regulatory front – is a lot has happened since then. The Food and Drug Administration (FDA) has thought a lot about how to regulate AI and machine learning (ML)-based medical devices. Also, we have seen in the EU just recently the AI Act, the worldwide first regulatory framework for AI.

    In the last probably two years now, people are very aware of questions of liability and liability risk when introducing those tools into the healthcare system and into the hospitals. The FDA has already authorized over 950 AI/ML-based medical devices. And frankly, not all of the AI tools are considered or classified as medical devices. We have a lot of in-house developments and other particular clinical decision tools that fall outside of FDA regulation. Those tools [have] already been implemented in healthcare. In recent years, these questions of ‘who’s going to be held liable if something goes wrong?’ are much more pressing.

    Q: How did working on this research early on inform what you do now?

    A: I feel very fortunate that I have been working in this field for such a long time now to build my expertise. I can now adapt to new challenges relatively easily because I have a long experience of going deep into the legal and ethical issues of AI. I’m doing a lot of interdisciplinary work. I work with physicians, with engineers, and so I can always get new ideas from those collaborations. Every day you read something [new] about AI: it’s hard to keep up at that pace. So, some groundwork of knowledge is really helpful to be able to catch up on all the new developments happening every single day.

    Q: You’ve done a lot of work regarding medical AI applications used for self-diagnosing and the importance of labeling these apps properly. Talk a little bit about why it’s important to educate people about the function and purpose of self-diagnosing AI apps like these.

    A: I’m still doing a lot of work on the questions of labeling, because I think it’s so important. Labeling is just one small piece of this entire puzzle. I am a believer in labeling AI, in particular in the healthcare field. Imagine two different types of tools. You can first imagine a tool which is being used by a physician in a hospital. The label is directed to the healthcare provider and [those] who need information about the tool to assess whether it makes sense to use that tool safely on their patients.

    On the other hand, we have a lot of direct-to-consumer AI tools, including apps. Here, they also need to get some type of information. This information might potentially be a little different in detail. A consumer might care about other things – like privacy, if this is safe to use, or if data is properly protected – while a physician might need to get more granular information about if this dataset [has] been properly tested and breakdowns of race, ethnicity, location, age, gender, etc. That information is really important for physicians to know, and unfortunately, we don’t have proper standards in place at this point which require manufacturers to disclose that.

    The Office of the National Coordinator for Health IT (ONC) has recently put out a rule and requires some type of transparency and some kind of nutrition label. [It’s] really nice to see that regulators are now finally doing something in regard to labeling, but it’s just a tiny amount of tools that are being covered by that rule. I’m still waiting and hoping for the FDA to change that. At some point, hopefully all AI tools have some type of label, so that users are getting proper information. Sometimes one gets the criticism, “well, no one reads labels,” but it’s better to have that information as an option to read it, if you want to. I think there is a necessity to require that disclosure.

    Q: You’ve pointed out in your work that while many of these apps might be labeled as “information only” tools rather than actual diagnoses, people sometimes misperceive them as real diagnoses. Do you see this misperception as an example or indicator of some sort of larger issue with how medical AI tools are understood by consumers?

    A: The issue that we see in some of these apps is that they – for example, the electrocardiogram app from Apple – are actually information tools and not [meant] to make a diagnosis. But if people are using those tools… for [something] like skin cancer screenings, they usually tend to believe whatever the AI tool gives them. [They] might just skip a doctor visit because they are scanning with their app, and [think], “oh, it seems I don’t have any cancer. Everything looks good, so I don’t need to necessarily go to the doctor right now.” We see a lot of empirical data on that, that the consumers are perceiving those tools as diagnostic tools. But if one looks at the language, all of those manufacturers are clearly articulating that a direct-to-consumer tool, often available without any prescription, doesn’t replace going to the doctor.

    I think we need to have measures [and] more education around it. The majority of health AI apps or general health apps are not being reviewed by the FDA: they fall outside of the Federal Food, Drug, and Cosmetic Act. So, it is hard for consumers to assess whether this app is reliable or not, because consumers usually just put into the App Store what they are looking [for], and whatever pops up first, they likely are going to download.

    Q: AI has developed very quickly in the past few years, and it has raised problems that nobody really had to think about before. Because of this, there’s a retroactive response to certain problems. How do you think researchers can begin to anticipate where the field is headed, to ensure that AI is used responsibly in healthcare?

    A: I personally don’t have a crystal ball, and I think that’s the problem. Because honestly, if you would have asked people maybe three [or] four years ago, I don’t think they would have suggested that we’d come [this] far so quickly. We have these generative AI tools that have incredible capacities but also raise a lot of new issues which we have not anticipated. Once you get it out of the box, it’s hard to get it back into the box.

    That’s a problem now, because retroactively making laws around this is really challenging, and we are not seeing right now in the U.S. that that’s going to necessarily change. I think the approach in the U.S. is going to be more like a mosaic style. We have different regulators, and everyone is going to do some stuff in their wheelhouse. Hopefully, there will be enough collaboration and understanding that it’s going to be a mosaic or puzzle to be completed, rather than overlapping and making it much more complicated for stakeholders to understand and oversee.

    Q: Are there any papers, projects, or research you are working on right now that you’re particularly excited about?

    A: I always have a lot of projects going on, because AI keeps me busy. I have several research projects I’m involved in. I’m leading two projects in the ethics and legal field, which are called CLASSICA and OperA, and they are funded by the European Union. I’ve also been one of the PIs (principal investigators) of an National Institute of Biomedical Imaging and Bioengineering (NIBIB) and the National Institutes of Health Office of the Director (NIH OD) grant on technology. There are – in particular in the two projects funded by the European Union – clinical trials being carried out. One is for colon cancer prevention. AI tools are being tested to see if they are going to be helpful in the long run. Similarly, [in] the CLASSICA project, that’s a project on AI-assisted surgery. The surgeons are testing an AI tool that can predict whether tissue is benign or malignant in real-time during a surgery.

    I’m not involved in the clinical trials, but for me, it’s really exciting, because my team is looking at some of the legal and ethical issues, such as, “do surgeons have any reluctancy to implement such a tool and use it in the operation room?” [and] “are there any liability risks that they are worried about?”

    My work keeps me busy in the liability space, but also in regulation and the questions of, “how should regulators in the U.S. and Europe regulate more complex tools like generative AI?” That’s going to be a real challenge.

    There are many questions, and in the liability space in particular, the more sophisticated the AI tool becomes, the more interesting and unsettled the question is. “How does tort law deal with an AI tool that practices medicine?” An AI tool is not considered a legal person at this point. So at some point in the future, you might have an AI tool that is so sophisticated [that] it’s a standard of care and is implemented in a hospital. It might be that you can’t find any human fault in the physician using the AI tool: the physician needs to rely on the output of the AI tool because it’s so complex. And then there’s this question of, “if harm occurs, who’s going to be held liable if you can’t find human fault in the physician?” Because it was totally fine of the physician to rely on the AI tool in the first place. These are questions which we need to tackle in the future, once such AI is going to be implemented in the healthcare field.

    Q: How long do some of these clinical trials take?

    A: The ones carried out in the projects I am involved in last for several years. These are long-term projects spanning four to five years, and I think they are [some] of the rare occasions where clinical trials are actually being carried out in the AI field. The majority of AI tools, in fact, especially in the U.S., have not undergone any clinical trial studies. How the Federal Food, Drug, and Cosmetic Act works is that there is a pathway, which is called a 510(k) pathway. What you need to show as a manufacturer is that your device is substantially equivalent to another legally marketed device, which usually does not require any clinical evidence. We have seen that the majority of the AI-based medical devices that were authorized by the FDA went through the 510(k), so in most cases, there is no necessity to show any clinical data. And so that’s what we are seeing.

    Clinical trials are rare in the field. But, of course, clinical trials should not hamper innovation. It’s hard, because if you have a so-called adaptive AI tool that continuously learns, you could have a clinical trial, but how much of the results of the clinical trial data will still help you in the long run, [given that] the tool is constantly changing and adapting? If we are getting fully adaptive systems… it’s going to be even more difficult to make sure that they stay safe and effective. You will probably need to have an ongoing monitoring system in place to be able to tackle that issue.

    Q: There are many people that are still wary of the idea of AI being used in medical practice. It feels new, and people can be nervous about things that they haven’t experienced before. What would you say to people with those concerns?

    A: In general, AI tools can have a lot of potential. I think one also needs to really see what type of AI tool it is. If a physician is using it in practice, I think it’s really important to be very frank with the patient about it. What are the benefits? What are the risks? What may be issues which are unknown, so that the patient could have the choice to decide whether they want it to be used in their care, at least for the transition phase of where we are. Because at this point, the use of AI is not yet the standard of care. But, of course, the standard of care evolves. During this transition phase, it’s going to be essential that physicians communicate properly to patients.

    Q: What do you think SSRN brings to the world of research and scholarship?

    A: I think SSRN is great because, first of all, it’s a known platform. It’s for free. Everyone can use it: it’s open access, so that’s great. Also, we can upload forthcoming paper drafts early on, so that this can be spread across disciplines to other scholars before it’s even been published. I think these are all great advantages for scholars in general and give people access to the work as soon as possible.


    More About Sara Gerke

    Sara Gerke is an Associate Professor of Law and Richard W. & Marie L. Corman Scholar at the University of Illinois College of Law. Her research focuses on the ethical and legal challenges of artificial intelligence and big data for health care and health law in the United States and Europe. She also researches comparative law and ethics of other issues at the cutting edge of medical developments, biological products, reproductive medicine, and digital health more generally. Professor Gerke has over 60 publications in health law and bioethics, and her work has appeared in leading law, medical, scientific, and bioethics journals. She is leading several research projects, including CLASSICA (Validating AI in Classifying Cancer in Real-Time Surgery) and OperA (Optimizing Colorectal Cancer Prevention Through Personalized Treatment With Artificial Intelligence), both funded by the European Union.

    You can see more work by Sara Gerke on her SSRN Author page here.

  • The Emerging Field of Climate Finance with Peter Tufano

    The Emerging Field of Climate Finance with Peter Tufano

    Recently, SSRN announced the new Climate Finance eJournal, sponsored by the MSCI Sustainability Institute. This area includes content on the application of financial economics to climate change mitigation, adaptation, and resiliency. Subscribe to the Climate Finance eJournal for free here. Harvard Professor Peter Tufano, one of the eJournal’s editors, spoke with SSRN about climate finance as an emerging field and how his research fits into this growing body of work.

    Peter Tufano is a Baker Foundation Professor at Harvard Business School (HBS) and Senior Advisor to the Harvard Salata Institute for Climate and Sustainability. His longer body of research includes subjects like financial innovation, financial engineering, and household finance.

    Q: Climate finance is an emerging field that has been growing more prominent in recent years. For those unfamiliar with the subject, could you explain what climate finance is?

    A: Climate finance is a subset of what you might call “whole system finance,” which is directing large flows of funding to address some of the biggest problems that need to be solved in the world. These problems are very large, very global, have very long time horizons, and sit on the boundary between private and public. Finally, they are consequential—and in the case of climate—existential.

    One way to solve these problems is to simply say “that’s the province of government.” But often we need the expertise and capital of the private sector. Redirecting not only huge flows of money but also transforming systems, like energy systems, will require the combination of public and private finances and a host of techniques and tools –and leadership—across sectors.

    The other thing that makes climate finance interesting is its time frame. Most of the time in finance, we don’t evaluate projects that have multi-generational outcomes. With any traditional discount rate, something that takes place 60 or 70 years in the future would have a value today of about zero. The normal approaches to valuation pretend as if the long-horizon future doesn’t matter. Clearly it does, so that requires us to think a little bit differently.

    Succinctly, climate finance studies the tools and techniques that will direct large resources and risk-bearing to solve climate and planetary problems.

    Q: What kind of research is done within this field? What are some of the main goals of research and study within climate finance?

    A: The climate finance research community is still evolving, with different clusters of researchers pursuing different topics, depending on their prior work. Let’s talk about the academic researchers first. If you approach this new field from a traditional academic finance perspective, then you’d likely try to figure out how climate will change the way that we think about asset prices, financial intermediaries, household finance, corporate finance, and public finance.

    If you come from the policy end of finance, you might begin with bigger picture questions. For example, suppose that we were able to make investments to keep us on a 1.5- or 1.8-degree C. trajectory, demanding a meaningful percentage of global GDP. Where would that money come from? What might get crowded out? How would the math work?

    So depending on where you come from, you will be drawn to different questions. Therefore, we expect a range of approaches within the new SSRN eJournal, as there are already in this emerging field.

    Q: You serve on the advisory council for the MSCI Sustainability Institute and as a senior advisor to the Harvard Salata Institute for Climate and Sustainability. What insights do these roles give you into the future of where those research subtopics are headed?

    A: Let me start with the work at Salata. Most universities rely on a set of “cylinders of excellence,” as one of my colleagues called it—more commonly called “silos.” This is because in those distinct domain expertise areas, scholars can know their material exceptionally well. Climate, sadly, doesn’t respect any academic boundaries. The first insight from the work at Salata is that our disciplinary boundaries are going to have to be more permeable so that we can be aware of and fully consider the science of climate change, the economics of climate change, and the organizational reality of affecting climate change. Addressing climate change rigorously will require the best of all of our disciplines.

    MSCI is a remarkable organization, and I can’t do justice to describe all that it does, but surely, it is preeminent in collecting data that can be used to drive decisions. In this climate space, the data that we’re going to need will be highly multi-dimensional. As an example, much of finance and financial analysis is not place-based. But with climate issues, place matters. We’re going to have to think about the implications of physical locations for the risks to which we are exposed.

    Just as MSCI has evolved over time to incorporate more and more decision-relevant data, work in climate will demand that use a wider set of data to do cutting edge and relevant research.

    Q: In a paper you co-authored called “The Evolving Academic Field of Climate Finance,” you say that “the sheer scale of the greenhouse gas induced climate crisis will force us to rethink and refine our financial theories and practices.” What would you say are some of the biggest challenges in terms of rethinking those theories and practices, especially considering that so much of this work is still evolving, uncharted territory?

    A: Let me offer three ideas we need to rethink. First, in any MBA class we value everything on the basis of private benefits to investors. We don’t even try to value the social benefits or harms of projects. The first thing we have to do is to broaden how we evaluate projects, firms and initiatives to make more intelligent decisions. Second, again considering valuation, we use discount rates to bring monies back and forth in time. But these discount rates are inappropriate in considering very long horizon outcomes. At a discount rate of 4%, the value of a dollar at the turn of the next century is $0.05. This implies that the value of a human life is worth one-twentieth of a life today—a very important ethical concept. Finally, while we have been indoctrinated to believe that markets solve all problems, the core principles of economics remind us that this will only be true if there are no externalities, which is clearly not the case when the private cost of emissions remains essentially zero.

    I think students and academics have to be alerted to a broader set of questions. Where this starts, in my mind, is in education. We need to ultimately transform our educational systems and what we teach. But the only way we’re going to do that is to have professors who understand this space, which is why a number of us got together to found Financial Economics of Climate and Sustainability (FECS), a doctoral course that we offered across 130 schools last year and this year is welcoming research staffs at government agencies. FECS trains the next generation of doctoral students and researchers, who can be the next generation of professors and policy makers, who can then go and intelligently think through these issues and not only produce great research, but [also] communicate it in a way that makes it meaningful.

    Q: In the paper I mentioned earlier, you talk about the interdisciplinary nature of climate finance and how the vast impact of climate change really blurs the lines between areas of study that may have been distinctly separate before. How do different fields and perspectives help foster research that contributes to these big goals and big questions about sustainability and climate change?

    A: This evolution will happen in stages. I think the first stage will be the acknowledgement of the importance of this climate topic within disciplines and locating climate issues within existing fields. Before we get to interdisciplinary or multidisciplinary research, let’s first understand how it affects each of our disciplines. I think that if we start by staying in our lanes and understanding the implications of climate in say, asset pricing or household finance, we will begin to be open to other disciplines.

    To foster the kind of true multi-disciplinarity that addresses whole system problems like climate will require confronting inherent tensions in academia. There are, in academia, various norms and practices, like how we evaluate candidates for tenure and which journals publish which papers. For mostly good reasons, both of these tend to use narrow definitions, largely to demonstrate the depth that we demand of excellent work. As a result, tenure decisions and journals are to a large degree defined by our core disciplines, not by the problems we address. There are some problem-based journals, and [the Climate Finance eJournal] is an example.

    A second, perhaps even more important consideration is, “what’s the channel to impact? How is it that this research is going to drive action?” We need to think and act differently in order to have greater impact, which might involve expanding our definitions of “excellent research,” substantially improving research communications, or regularly having a new type of “sabbatical” where scholars can rotate into government and business to increase the impact and relevance of their work.

    Q: You’ve spoken before about the fact that there are a lot of “levers,” a lot of different ways, to kickstart climate finance and progress. If these mechanisms for change exist, what’s holding us back – as researchers, businesses, society – from acting on solutions? Where’s the turning point to go from theoretical ideas to taking the kind of action that you’re talking about?

    A: I’ve used the term kickstart in a number of different contexts, but the physical image of a lever is helpful. Systems change scholars often organize actions in terms of which have the most and the least leverage. What is the long run impact if we can change specific outcomes, [such as] passing a law? What if we routinely measure impact? What if we encourage different levels of collaboration? And at the far end, with the most leverage, how can we change the way that people think about problems?

    I think that there are promising examples where we are affecting system changes. We start with changing measurable things, and we’ve seen this in changes in disclosure policies. The huge pushback in the U.S. against climate disclosure almost surely reflects some groups’ fears that this disclosure would show the harms that they are causing. Blended finance and climate finance is about the merging of public and private funding—new forms of collaboration. We need to change and create new feedback loops. We are doing that through materializing demand through advanced market commitments where buyers signal future demand by orders in advance. We are seeing change happening through tax policies both carrots (like the U.S. IRA) or sticks (like the European Carbon Border Mechanism). We are seeing change happening through collaboration, and in particular, alliances. We are seeing this change in the discussion moving from shareholder to stakeholder capitalism.

    We are starting to see people move from this thinking of the climate issue as ‘a nice thing that tree huggers do’ to ‘something that is going to affect all of us and therefore we all have a responsibility to do something about.’ If you look at the levers for systems change, which are practical, structural, and cultural, I can see examples of all of them where we are making progress. But not enough progress—and not fast enough, according to the most recent science.

    Q: So there is a bright future ahead in all those areas?

    A: I don’t know if I’d say “bright” future. I, and others – this is not my original idea – think there’s a major difference between optimism and hope. Optimism is a statistical belief that the future will be better, and hope is more of a belief that with certain actions, there’s a chance that the future could be better. I don’t know that I’m an optimistic person, but I am a hopeful person, and I think we have to be.

    Q: Are there any research focuses specifically you think will be especially promising in the coming years? What kind of things should we keep an eye out for?

    A: There’s so much new, interesting work going on right now. I was just chairing a session at a big banking conference with new work on how banks are incorporating climate into their lending decisions. My colleagues are doing more exciting work on how the insurance sector can play a bigger role in reducing emissions and in the financing transition. There’s serious and difficult work to hold various groups accountable, by studying those who make promises and then don’t follow up on them; or say one thing and then lobby to do other things. We have to call that out. I’m hard pressed to think about what there isn’t to do.

    As we’re launching this SSRN eJournal, the initial base of papers that we’re going to have will probably be around 1000. In 10 years, I think that number could easily be 10 to 20 times that. Collectively, I hope that these papers will not only add to our understanding of how finance can change the world, but also help turn these ideas into action.

    Q: What are some of your current research interests?

    A: I am very interested in climate alliances. The dominant way of thinking in business is that competition is the natural order and societies will progress by firms competing with one another. Surely, that’s true to some extent. But in the climate space—where there are huge externalities—this model breaks down. I think there’s potentially an important role for collaboration: both collaboration between firms and collaboration between firms and governments. We need to understand how collaboration in the climate space can complement private competitive activity and government action. We need to study this both theoretically and empirically, and I am working actively on this question. I’m also doing some work in the boundary between household finance and climate, linking my old and new research agendas. Finally, I’m very excited about new work by young scholars linking insurance and climate and hope to contribute to this very new field.

    Q: Is there anything else you’d like to add about climate finance or your work?

    A: When I returned to Harvard to teach after a decade of being a Dean at Oxford, I decided that I wanted to teach a doctoral course in climate finance, in part as a service to the school, but also as a way to get current on the latest literature. As a result of doing that, I reached out to people in the profession about what they were teaching in their doctoral classes. I rapidly learned that no major school had a doctoral course on climate finance.

    So ten of us got together and said, “Why don’t we collaboratively put together the syllabus? And why don’t we teach it across our schools?” In 2025, we’re going to run version 3.0 of Financial Economics of Climate and Sustainability. We will reach doctoral students and researchers at over 100 schools, and this year, we’ll also be welcoming the research staffs at major financial regulators. We summarize the newest content in this space, and each local school customizes the course to fit their own circumstances. It’s an example of how collaboration can be catalytic in the climate space, at least in our small way.  

    If you look at the names of the teaching group, they will be familiar because they’re the Advisory Board for this journal and my co-editor, Laura Starks.  What’s fascinating is that they all had hugely successful research careers before they pivoted to study climate. This is instructive because it shows that we can transform our research and teaching, starting one person at a time. Finally, we are all doing this as volunteers, for the benefit of a thousand future finance professors. But if we go beyond that, why not make all of this research available even more widely? When I joined the MSCI Advisory Board, I mentioned this idea to them. I’d already edited two SSRN eJournals in the past, so it wasn’t hard to link MSCI, SSRN, and this amazing group of scholars that I am privileged to work with to create this new Climate Finance eJournal.


    More About Peter Tufano

    Peter Tufano is a Baker Foundation Professor at Harvard Business School (HBS) and Senior Advisor to the Harvard Salata Institute for Climate and Sustainability. From 2011 to 2021, he served as the Peter Moores Dean at Saïd Business School at the University of Oxford, where he championed a “systems change” element to business education. From 1989 to 2011, he was a Professor at HBS, where he oversaw the school’s tenure and promotion processes, campus planning, and university relations and was the founding co-chair of the Harvard i-lab. His current work focuses on climate finance, climate alliances, and the financial impact of climate on households. His longer body of research and course development also spans financial innovation, financial engineering, and household finance. He and his co-Editor, Laura Starks, created the collaborative doctoral reading group, The Financial Economics of Climate and Sustainability.

    To see more work by Peter Tufano, visit his SSRN Author page here.

  • Talking Financial Resilience and Retirement Readiness with the TIAA Institute

    Talking Financial Resilience and Retirement Readiness with the TIAA Institute

    The TIAA Institute builds and shares knowledge about a wide range of issues related to financial well-being and organizational effectiveness. As a think tank within TIAA, they have a keen focus on retirement planning and outcomes… with good reason. 39% of households in America are at risk of being unable to maintain their standard of living during retirement. Contributing to the challenge, more than half of Americans lack a basic understanding of how long people will live in retirement. Workers without longevity knowledge are less likely to plan and save for retirement.

    For several years, the TIAA Institute has partnered with the Pension Research Council (PRC) at The Wharton School of the University of Pennsylvania on a Behavioral Finance initiative designed to sponsor research that provides thought leadership and insights on Americans’ financial security. The TIAA Institute hosted a Symposium April 2024 with the PRC, highlighting recent research from this initiative. During question-and-answer sessions at the Symposium, Dave Richardson, head of research at the TIAA Institute, shared the Institute’s findings on boosting financial resilience and retirement readiness.

    Q: Dave, we know that many Americans are struggling financially. What are factors that can lead to improved financial well-being that were discussed at the Institute’s symposium?

    A: Financial well-being is often assessed using objective measures such as income, discount rates and financial literacy. It is not usually calculated using individual perceptions and behaviors (e.g. financial satisfaction or stress and budgeting). Jennifer Coats and Vickie Bajtelsmit’s paper “New Insights into Improving Financial Well-being” expanded beyond objective measures and identified attitudes and behaviors that lead to better financial well-being (FWB), especially the quality of patience as measured by the discount rate, and risk tolerance. Someone who prefers to receive money now versus later may make poorer financial decisions, have lower quantitative outcomes, and a reduction of a holistic sense of well-being. While those with higher risk-tolerance are associated with more investment actions, higher quantitative outcomes, and improvement in a composite well-being in the face of the unavoidable uncertainty regarding one’s financial future.

    In addition, financial literacy and the Big Five personality types (openness, conscientiousness, extroversion, agreeableness, neuroticism) advance FWB, particularly a positive sense of conscientiousness and a lack of neuroticism. They also found that financial literacy is necessary but not sufficient to enhance FWB. If individuals lack the confidence and/or patience to make sound financial decisions, the influence of financial literacy on FWB is limited. Best FWB outcomes accrue to those with both financial literacy and confidence in their ability to make financial decisions and achieve financial goals.

    Many policy initiatives take a holistic approach to improving FWB. While generally helpful, a more effective strategy would be to focus on specific areas identified in the study. Given the broad negative influence of high individual discount rates on FWB, financial literacy programs should aim to increase understanding of the time value of money. In addition, financial advisors can help individuals focus on developing positive behaviors that best align with their personalities, as opposed to attempting to change deep-seated traits.

    Q: What was discussed about how debt factors into financial well-being?

    A: Two papers regarding debt were shared that focused on student loans. Other Institute research found that Americans hold an average of two loans— 47% with mortgages, and 20% with student loans. Managing student loans and debt in general is critical for financial well-being to and through retirement.

    The study at Georgia State University asks if modest financial incentives might boost the take up of financial aid counseling offered on campus, the effects of such counseling, and the degree to which counseling helps hard-to-reach populations. James Cox, Daniel Kreisman and Stephen Shore’s report “Do Additional Dollars Buy Engagement?” included an experiment that randomized the provision of financial incentives for students who were at risk of dropping out for financial reasons, and found a small uptick in the number of students who attended counseling, but from low base rates. They also found that monetary incentives are particularly effective at inducing students of color to attend counseling, however, students who attended counseling because of the incentives did not reenroll at higher rates the following semester than those who attended without a financial incentive, regardless of how much was paid to induce them to attend.

    Nearly 50 million Americans owe over $1.75 trillion in student loan debt, while simultaneously needing to save for retirement. Another report, “Estimating the effect of employer matching contributions offsetting student loan debt” by Vanya Horneff, Raimond Maurer, and Olivia Mitchell investigated how workers can manage both debt repayment and retirement savings, given employer-sponsored matching retirement contributions for qualifying student loan payments, as intended by the SECURE 2.0 Act of 2022. They developed a model that predicts the SECURE 2.0 employer student loan payment matches will:

    • Cause levels of outstanding student debt after age 30 to fall far more slowly than before, because workers will make significant less use of one-time payoffs (which would mean foregoing the employer match).
    • Reduce workers’ retirement savings contributions by almost 50% –but account balances will differ very little because of the higher employer matching contributions for loan repayments.
    • Lower nonretirement asset balances only slightly.
    • Enhance pre-retirement consumption by up to 3%, as a result of lower retirement contributions.

    To achieve SECURE 2.0’s potential, employers will need to voluntarily provide the loan repayment match, and plan service providers will need to allow that to happen in practice.

    Q: The average American’s lifespan has increased rapidly in recent decades. Dave, what were the implications regarding the future of advice explored during the fireside chat between Joseph Coughlin and Surya Kolluri?

    A: For years, MIT AgeLab’s Joseph Coughlin has been researching the changes in the perceptions of the role of the financial advisor as well as the transforming technology, demographic, and consumer landscapes. Coughlin and Kolluri talked about how longer lives mean that retirement planning cannot focus on a single life stage. Clients are demanding advisors more than “just manage money,” that they integrate non-traditional topics such as quality of life implications. They envision future advisors more like lifelong confidants, and their offices more like a family-oriented space of relationship-building. Advisors can become team builders and leaders, connecting clients with the specialists they need for holistic life planning (geriatric managers, certified home modification specialists, senior housing consultants, etc). In addition, they suggest product developers accommodate for these longer-life needs by creating technology, services, and conversations that address life now, not just retirement tomorrow.

    Q: Decisions about when to retire and how to draw down wealth are complicated—and can have long-lasting ramifications. What was shared during the research forum?

    A: In “Retirement, Social Security deferral, and life annuity demand,” Sita Slavov shows that for lower-income individuals who have high discount rates relative to the real interest rate, claiming Social Security early and not annuitizing other assets can be optimal, since Social Security usually adequately replaces their pre-retirement income. The act of spending down private retirement saving early and relying entirely on Social Security during retirement is effectively purchasing an annuity from Social Security, rather than in the retail market. When interest rates are low, most people should not claim early while also annuitizing other assets.

    Slavov found many are not using this “parallel” strategy any longer, and identifies some reasons, including the shift towards defined contribution pensions. She suggests that a more generous actuarial adjustment for delaying Social Security lowers the price of the annuity one can purchase by delaying benefits. Increasing monetary benefits as individuals increasingly delay Social Security as well as changing language around claiming ages can have an impact on when individuals choose to retire and how they draw down their wealth.

    Q: Does planning for economic shocks reduce the likelihood of financial fragility? What is the role of financial literacy?

    A: The timing of retirement is a major determinant of lifetime income and, likewise, a crucial factor affecting financial security. Yet people face uncertainty about the timing of their retirement. In their report “How do life events affect retirement timing?” Aspen Gorry and Jonathan Leganza work to understand how people navigate this uncertainty and how life events influence when they choose to retire. They found that “nearly 1/3 of workers retire five years earlier or five years later than expected.”

    Gorry and Leganza study how retirement expectations evolve as workers age. Older workers tend to expect to work longer than younger workers. They discovered that demographic, economic and health characteristics influence these expectations. Particularly, health shocks, such as cancer, lung disease and arthritis lead to earlier retirements more than economic or family shocks, which has implications for retirement planning. For example, individuals with good health, high income, and high wealth tend to expect to work longer as they age, whereas those with health shocks such as a cancer diagnosis tend to work less as they age. They also found that on average, the birth of a grandchild or a divorce do not affect retirement expectations.

    The findings clearly highlight the prevalence of retirement timing uncertainty. Yet retirement timing is a key input in the design of retirement target-date funds. Plan administrators can help by offering more flexibility for workers to adjust how their savings are invested after life events that change their retirement expectations.

    To assist households to better withstand economic shocks and address income needs in times of crisis, Robert Clark and Olivia Mitchell investigated the relationship between financial resilience and financial literacy in the report “Financial fragility, financial resilience, and pension distributions.” They found that individuals who are older and have elevated levels of education, financial literacy, and income are more likely to be financially resilient and prefer income annuities rather than lump sum distributions. They developed a financial resilience index and found that the index is relatively stable over time, even in the face of the COVID-19 pandemic, and a good predictor of future economic behavior and outcomes. This may be due to the expansion of unemployment benefits and government stimulus checks distributed during the pandemic.

    They found that policies and programs that enhance financial resilience are likely to help older households withstand unexpected shocks, while boosting financial literacy can help people of all ages withstand shocks. Programs and policies that boost financial resilience and literacy could significantly increase retirement well-being.

    To view more papers from the TIAA Institute on SSRN, visit the TIAA Institute Research Paper Series. To subscribe to the TIAA Institute Research Paper Series eJournal, click here

  • Meet the Author: Cass Sunstein

    Meet the Author: Cass Sunstein

    Cass R. Sunstein is a Professor at Harvard University and the founder and director of the Program on Behavioral Economics and Public Policy at Harvard Law School. He spoke with SSRN about free speech on college campuses, Barbies, and how behavioral science informs law.

    Q: You’ve accomplished so much in your career: writing dozens of books and hundreds of articles, working for the White House and the World Health Organization, your work in academia, and I know I’m only skimming the surface there. Through all of this, you’re consistently producing work that’s timely and relevant. How would you say your career and research interests have evolved along with the changing times?

    A: I started out as a very law-focused law professor. My principal fields are administrative law – which is about the legal rules governing administrative agencies – and constitutional law. I shifted toward a corresponding interest in behavioral economics and psychology and economics generally. That was partly because some legal issues depend on an understanding of human behavior that may or may not be accurate. Working in the government under President Obama from 2009 to 2012 got me even more intensely focused on regulatory policy – cost benefit analysis, environmental law, climate change issues, public safety, occupational safety, pandemics. Those issues have been at the center of my research interests since I left government in 2012.

    I’ve also been interested in Bob Dylan and Star Wars and Taylor Swift, and some of my books have dealt a bit with those topics. Culture, broadly, is something I’ve always been interested in – aren’t we all? – but I’ve been more academically interested in the last 10 years.

    Q: You mentioned your focus in behavioral economics, for which you’ve written and co-authored books on the subject, including “Decisions About Decisions” and the New York Times bestseller “Nudge.” How would you say your knowledge about behavioral economics informs your legal understanding and gives you a different perspective than people without that background?

    A: Suppose you have a problem, which is road safety, and you want to create legal requirements that reduce the risk that people will get in crashes. What do you do? You might say, “well, we should punish unsafe drivers,” or “we should require people to buckle their seat belts.” And those might be good ideas, but if you know behavioral science, you’ll know something about nudges that might help, such as informing people of certain things, or maybe putting a camera in their car so they can see in back. That’s information coming in. Maybe you have certain forms of signage that can help people be safer. Or maybe you have bumper strips so if people are in a place where going too fast is more likely to cause an accident, the architecture will slow them down. People will be responsive to that.

    Behavioral science gives another set of tools and a set of understandings, in addition to those available in law. I’ll give you an example: the government has done a bunch of things to reduce time taxes that it imposes on people. There’s a customer service innovation in Washington to make it simpler for people to sign up for things. You make some things automatic for them. If they’re eligible, they’re just in, and they don’t have to fill out long forms. That reduction of time taxes is heavily informed by behavioral science.

    Q: In your paper “Barbies, Ties, and High Heels: Goods That People Buy But Wish Didn’t Exist,” you explore how people consume products or engage in activities, not necessarily because they want to, but because not doing so can offer unwanted signals. What are some of the main takeaways you want people to gain from your research on this concept?

    A: This paper is near and dear to my heart, and it’s very much part of my current research focus, which is on the problem of manipulation. Some mundane examples: suppose there’s a party Saturday night, and you really don’t want to go to the party. You want to stay home with your partner, or you want to have an evening off. But if you [don’t] go to the party, you’ll send the signal to the host or friends that are going to be there that you don’t like parties or that you don’t like them. You don’t want to send that signal. So given the existence of the party, you’re going to go.

    As another example, say a bunch of people are on a social media site tonight after 10pm, and you think, “Oh my gosh, I wish I could go to sleep or do something work related, or watch a show I want to watch, but all my friends are on. I’ve got to stay on.” Those things are goods or activities that people “purchase” – either with money or with time – that they wish didn’t exist.

    For men, ties are “Barbies.” Not talking about Barbies, literal Barbies, but things that are causing losses to be self-conscious about the risk that people are buying with money or time: something that they wish did not exist. I assert that many men wear ties, but if ties were abolished from the face of the earth, a lot of men would be really happy. So, a tie is a “Barbie.” For many women, high heels, I understand, are “Barbies,” where the abolition of high heels would be a great thing.

    For social media users, we actually have data on this. Instagram and Tiktok are, to some extent, “Barbies.” Young people are going to use TikTok and Instagram, but if they’re asked whether they wish TikTok or Instagram away, a lot of them would say, “absolutely, yes. I wish they didn’t exist.” But they’re going to stay there. I’m thinking there are a lot of things like this, a lot of products. Maybe the latest iPhone is a “Barbie.” We have data suggesting that people want fewer product launches of iPhones, but they’re going to get the newest iPhone. The reason is they don’t want to be with technology that’s behind the times, but if they could have the iPhone 11, they might be plenty happy with it.

    Q: In this paper, you suggest that the way to change how these goods are consumed is through collective action, but with how pervasive this is in our culture, what do you think would need to change in society for that kind of progress to be feasible?

    A: Sometimes small groups can recognize – either as a group or with leadership – that they’re dealing with a “Barbie.” When I was in the government, there were a lot of meetings that were, by tradition, either hour or half-hour meetings, and I created a rule that all the half-hour meetings would be 15-minute meetings, and all the hour meetings would be half-hour meetings. My observation is that this was reflective of what most people wanted all along. Once you change a half-hour meeting to a 15-minute meeting, people really get focused early, and they get a gift of 15 minutes extra.

    In my family, my sister said a number of years ago that Christmas presents would be exchanged just for children, and adults would not exchange Christmas presents. For my sister and me and various family members, that was so great because we spent a long time finding presents that the adults really didn’t like, and it was basically a net negative. So, small groups can do something.

    Now for larger things, it’s harder. I applaud Instagram for developing a nudge where it tells teenagers, after 10pm, “Are you sure you want to stay on Instagram? Maybe you want to get off?” And whether this is the ideal solution or a first step, we don’t know yet, but Instagram, I think, has an implicit understanding that late night Instagram use on the part of teenagers is a “Barbie.” If you can encourage people to get off, you might be able to solve the problem. I’m thinking we’re a real tip of the iceberg here for private institutions and for governments to [ask], “when are we dealing with a “Barbie” that is actually causing serious harm for people?” That’s going to be increasingly important, with the power of technology to grab us as it grows over time.

    Q: You’ve written a lot about free speech on college campuses, recently releasing “Campus Free Speech: A Pocket Guide,” as well as an op ed for the New York Times called “Only the First Amendment Can Protect Students, Campuses and Speech.” In these, you dive into what the First Amendment protects and what it doesn’t. How does educating people about the functions of the First Amendment and free speech help inform difficult conversations and decisions being made amidst controversies, especially on college campuses?

    A: This morning, I had a mild car problem. I didn’t know how to solve it, so I went to the car place. The car people knew how to solve my car problem, and I am grateful to them. To think in the abstract about how to deal with, let’s say, racist speech, unpatriotic speech, antisemitic speech, or threatening speech on campus is extremely difficult. We saw in the spring, that if you’re asked, “What do I do? I have students or faculty who are doing this,” that is a recipe for disagreement, and maybe – like me trying to fix a car – it’s not something that I do.

    Our culture has built up over the course of hundreds of years, a set of principles for handling free speech controversies. It’s not perfect but it’s extremely impressive and careful. We know that if a person on campus or on the street comes up to another person and says, “If I see you again, you’re toast,” that’s not protected by the First Amendment. That’s a true threat, as it’s called. We know that if three people get together and say, “Let’s conspire to fix prices,” or “let’s conspire to engage in some act of violence,” we’re well on our way to having conspiracy, and that’s not protected by the First Amendment. If I say, “if you buy my book, you’ll never get cancer,” that’s not a very effective form of fraud because I don’t think anyone would believe it, but it is a form of fraud, and it’s not protected by the First Amendment. That’s just the start of categories of agreed upon permission slips for regulators, but there aren’t a lot of permission slips.

    So, if someone says, “I think America is a horrible country, racist from the start,” or “I think that Hitler was great,” or “I think that communism is beautiful, and we should go there as fast as we can,” those are all protected. That won’t answer every question that educational institutions have to grapple with, but it will answer the vast majority of them, and it’ll answer them pretty well. That’s my exercise in “automobile repair” and the subject of my little book on the First Amendment on campus.

    Q: What are some things that you think people overlook or maybe don’t understand about the First Amendment and free speech in particular?

    A: I think one view is that incitement isn’t protected by the First Amendment. I’ve heard that a lot. There was a great judge named Learned Hand who made that argument, but it didn’t prevail. If I say, “Hey people, let’s all litter, it’s going to be great,” that’s incitement, and it’s protected by the First Amendment. If I engage in speech that’s intended and likely to incite imminent lawless action, that is not protected. Notice that requires an intention and likelihood to produce imminent lawless action, and there’s plenty of incitement where the likelihood of producing lawless action is really low. If I go down the street saying, “steal my book, please. It’s going to be really fun,” I think, as a first approximation, no one would steal my book, so I haven’t incited anything. I think the difference between incitement and violation of the clear and present danger test, as it’s called, is not well understood.

    Q: What papers, projects or research are you working on now or in the near future that you’re particularly excited about?

    A: There’s a lot. [I’m] doing a paper right now on the relationship between embarrassment and judgments about prevalence. The claim is: if you are really embarrassed about something, you probably won’t talk about that very much. And if everyone else is like you and not talking about it, you will underestimate the prevalence of the thing. [This] will include embarrassment and shame, and there will be a kind of cycle of silence.

    I testified before Congress a number of years ago about “Don’t Ask, Don’t Tell,” the military policy which said you can stay in the military if you’re gay, but only if you don’t say so. I said this is not a good policy, that any form of discrimination should be stopped. One member of Congress came up to me afterwards and he said, “You know, when I grew up, there weren’t any homosexuals. There just weren’t any.” And then he paused, and he said, “Oh, there was one guy, he might have been – he lived on a hill.” I just thought that was so interesting, because it wasn’t the case that when he grew up in the 1940’s there were no gay people. He wasn’t lying: he just didn’t know any.

    People who have mental health challenges, physical health challenges, who have issues that are extremely widespread, they often don’t know that they’re widespread. That’s because the very thing that makes them ashamed or embarrassed becomes the source of that silence. We now have data [that] just came in that’s supportive of the hypothesis that embarrassment and underestimating prevalence are not just correlated, but causal.

    Q: You are one of the most downloaded and highly cited authors on SSRN. How do you think SSRN fits into the broader research and scholarship landscape?

    A: I would say to anyone on the planet who’s willing to listen that I love SSRN. If you have a paper that is potentially a source of discussion among people and you’re not ready to publish it in a peer reviewed journal, SSRN is a green light that says, “give it a try.” That is so liberating for writers.

    It’s also the case that sometimes there will be a paper that you’ll never put in an academic journal or a peer reviewed journal, but that either for the author or for the world, it’s a good thing that exists. I read so many [on] SSRN, and some percentage of them, they’re never published in academic journals. But they add something important. For both readers and writers, it’s a massive gift. I think the number of people who believe that is very, very high, and the number of people who say it out loud is not very high; let’s not be embarrassed.


    More About Cass Sunstein

    Cass Sunstein is currently the Robert Walmsley University Professor at Harvard and is the founder and director of the Program on Behavioral Economics and Public Policy at Harvard Law School. In 2018, he received the Holberg Prize from the government of Norway, sometimes described as the equivalent of the Nobel Prize for law and the humanities. In 2020, the World Health Organization appointed him as Chair of its technical advisory group on Behavioural Insights and Sciences for Health. From 2009 to 2012, he was Administrator of the White House Office of Information and Regulatory Affairs, and after that, he served on the President’s Review Board on Intelligence and Communications Technologies and on the Pentagon’s Defense Innovation Board. Mr. Sunstein has testified before congressional committees on many subjects, and he has advised officials at the United Nations, the European Commission, the World Bank, and many nations on issues of law and public policy. He serves as an adviser to the Behavioural Insights Team in the United Kingdom. He is author of hundreds of articles and dozens of books, including “Nudge: Improving Decisions about Health,” “Wealth, and Happiness (with Richard H. Thaler, 2008),” “Too Much Information (2020),” “Decisions About Decisions (2022),” “How to Become Famous (2023),” and “Free Speech on Campus (2024).”

    You can see more work by Cass R. Sunstein on his SSRN Author page here.

  • A Message from SSRN MD Shirley Decker-Lucke

    A Message from SSRN MD Shirley Decker-Lucke

    I am humbled and excited to take on the role of Managing Director at SSRN, and I would like to recognize our founders, including Michael C. Jensen, Natalie Jensen and Gregg Gordon, as well as the many other hardworking team members for all they have done to build SSRN into the amazing platform it is now. It’s a privilege to work with the SSRN team to move SSRN on to its next chapter. 

    SSRN is now the largest and most active cross disciplinary preprint server in the world. We have 1.3 million papers on our site, entrusted to us by 1.8 million authors, and we have helped readers find and download that research 41 million times in the last 12 months. We help scholarship move broadly, so that it can help other researchers and the general population. We want to enable people to address some of the most important problems facing humanity by continuing to provide tomorrow’s research today. 

    Since SSRN joined with Elsevier, we have grown the volume of the research we host from 7,000 papers a month to 16,000 papers a month, and we have grown the breadth of the disciplines we serve from the social sciences and humanities to also include medicine, physics, the life sciences and pretty much everything under the sun. SSRN is also the only preprint server that has figured out a successful commercial model, and our Research Papers Series  and other commercial products deliver a unique value proposition for organizations who want to showcase their research and ideas to our global audience. 

    We are a strong business with a strong partner, working with Elsevier to develop benefits for the broader research community, to support the researcher at all stages of their workflow, and to explore the best way to serve the needs of the scholarly communication world.  Our partnership with Elsevier journals now results in over 12,000 new preprints a month, and we link preprints on SSRN to their published versions of record on Science Direct, ensuring researchers can get the version of the paper they need.  We’ve also worked with Scopus to ensure that preprints are included on Scopus author pages and are afforded the recognition they deserve. 

    We at SSRN will continue to execute on our current strategy and goals, while looking for new ways to do things even better. Our top priority remains to expand our service to the scholarly community and to be the best early-stage research and preprint platform on the planet.

    If you’d like to share your thoughts on SSRN, or just reach out to connect with me, I’d love to hear from you at ideas@ssrn.com.

  • The release of a new submission experience

    The release of a new submission experience

    Last December we were thrilled to announce the release of a new submission form prototype for SSRN, and we can’t wait for you to try it out. We’ve been hard at work designing and building a new submission experience to make it easier for our users to submit their research. Your insights and feedback are invaluable to us as we work towards refining and enhancing the submission experience for all users.

    Check it out!

    You can try out the submission form prototype by clicking here. We’re excited for our users to try it and give us feedback. Take a look at the rest of this blog post to see what’s new, what isn’t and other important information regarding this prototype.

    What’s New?

    The fresh submission form comes with a sleek design and improved user interface aimed at making your experience smoother and more efficient. We’ve been hard at work to bring you a form that aligns with your needs and expectations. Some changes we’ve made:

    • We’ve split the submission experience into different stages to make it more clear which information we’re asking for.
    • We’ve built in an automatic extraction service, which will extract the paper title and abstract from your PDF, to save the need for copy and paste.

    A Work in Progress

    While we’re excited to share the new form with you, it’s important to note that it’s still a work in progress. As with any improvement, there may be a few bugs and glitches that we are actively working to address. Your patience and understanding are greatly appreciated as we fine-tune the system to deliver a seamless experience.

    Functionality Update

    We want to be transparent about the fact that some features from the old form are not yet integrated into the new submission system. Rest assured, we are diligently working to incorporate these functionalities to ensure a comprehensive and feature-rich experience for our users. In particular, users who are part of an RPS are not yet able to associate their paper with their series.

    Our Old Form is still Live

    The link on the SSRN homepage is still connected to our current submission form. In addition, if you go in to revise your paper, you’ll be using the current form as part of the revision process.

    Your Feedback Matters!

    Your input is crucial in helping us identify and rectify any issues that may arise during this testing phase. We encourage you to explore the new form and share your thoughts, concerns, and suggestions with us. Your feedback will play a vital role in shaping the final version of the submission form.

    How to Share Your Feedback

    We’ve set up a dedicated email address where you can send us your thoughts: ideas@ssrn.com. Whether you encounter a bug, have a suggestion for improvement, or simply want to share your experience, we want to hear from you. Your feedback will contribute to making SSRN an even better platform for researchers and academics.

    You can access the new submission form prototype here.

  • Meet the Author: Charis Kubrin

    Meet the Author: Charis Kubrin

    Charis E. Kubrin is Professor of Criminology, Law & Society, and Sociology at the University of California, Irvine (UCI). She is an expert for the Crime and Justice Research Alliance and a 2024 Newkirk Center for Science & Society Fellow. She spoke with SSRN about the use of rap lyrics as evidence in criminal trials, what data shows about the relationship between immigration and crime, and how keeping an open mind allows science to do its job.

    Q: Your research within the field of criminology spans all the way from immigration and crime to rap music and media to criminal justice reform. How has your career developed in a way that you’ve built expertise in so many different areas?

    A: Usually people [say] “these areas have nothing to do with each other. They’re totally different. They don’t connect. How are you interested in all of them?” But I actually do think they connect in one important way, which is that in each of these different areas, public perception about the topic – whether it’s immigration and crime or criminal justice reform and its impact or rap lyrics in the courtroom – there are a lot of stereotypes, assumptions and incorrect knowledge. Everyone assumes that immigrants cause more crime than the native-born, but the data show the opposite. Everyone assumes that criminal justice reform is responsible for rising crime rates, but again, the data show the opposite. People make assumptions about rappers being more likely to engage in crime. Again, stereotypes and assumptions that do not pan out in the data.

    So, what brings all of my research areas together? What unites them is a gap between perception – what people think – and reality – what we know from the data. My goal is always to narrow that gap as much as possible.

    Q: Was there any motivator for you picking these specific topics in terms of debunking some of those public perceptions?

    A: Part of it is a frustration with the gap: knowing about the research in this area and what it has to say about a given topic, and then seeing the way it’s written about or discussed, either in the media, among politicians, or in the public sphere. Then recognizing that what people think they know versus what we know from the data is opposite ends of a spectrum. I think my desire then is to jump in and get involved, and not only do research in the area, but work really hard to make the public aware of what we know, try to correct the assumptions that are based on faulty perceptions, and then also get people to question why they have the stereotypes to begin with.

    With immigration and crime, for example, it turns out that study after study – not just my work – showed immigrants commit less crime than the native born, and immigration to an area causes crime to go down – if anything – not up. Yet, we continually see this narrative out there in the media, “immigration and crime, they go hand in hand.” Especially in an election year, we hear that. For me, it’s really wanting not just to do the research to contribute to that conversation, but then make the research do something in the public sphere to have a greater impact, so that peoples’ misconceptions can be corrected.

    Q: I want to talk a little bit about your recent book from last year, “Immigration and Crime: Taking Stock,” where you and your co-author, Graham Ousey, examine various dimensions of the immigration and crime relationship in the U.S. With this being more of a divisive topic, what compelled you to get involved and jump into the middle of that issue?

    A: The funny thing is, Graham and I have been doing research on immigration and crime since the early 2000s. Immigration and crime has never not been an issue, and a controversial one at that, but it’s become even more so over the last 20-25 years that I’ve been working in this area. What got me started in the first place was an op ed I read in the New York Times in the early 2000s written by criminologist Robert Sampson, titled “Open Doors Don’t Invite Criminals.” His argument in this op ed was that people assume immigration brings crime to cities, but in fact, it’s just the opposite. In response to the op ed, he was getting hate mail, some of which he shared with me. I thought, “wow, the data are speaking for themselves, but everyone feels so strongly against this.” I looked back at the research on immigration and crime, and it turns out his findings were pretty consistent [with] what we had been seeing for decades.

    I got really fired up, and I decided I wanted to get involved in this research. I’ve been working in this area, doing studies on immigration and crime, giving talks about this topic, and with the same author of the book, did a meta analysis in 2017 of the immigration-crime literature over a 20-year period. Then, last year, we decided to cap it all off, all these decades of work that we and others have been doing, with the book. It’s short. It summarizes the state of the field. It’s accessible. It’s written in jargon-free language, and our goal is for policy makers, politicians, the general public, and academics to read and get a feel for what we’ve known for a long time about immigration and crime.

    Q: In a complex issue like this, where there are a lot of different factors, how do you work to acknowledge little nuances within the data and policies that you analyze?

    A: Well, you know us academics, we love our nuances, we love our caveats, and we love to talk about our findings in the context of limitations. I think that’s very important. It’s also important, though, to be able to – in a jargon-free way and in a general way that is relevant to policy makers and others – speak about your findings. If everything is caveated, it becomes difficult to know how to make sense of these findings. That’s been a learning curve for me, because as a social scientist, I’m a someone who works with statistics and is very careful about how I report on things. I want to report every little finding and every nuance. I do that in the papers – the academic papers have all of that.

    But then, when I share the findings beyond academia, whether it’s in an op ed or in talks… a lot of people just want to know the underlying findings. That often means being able to translate the findings of your regression models, for example, in a way that is accessible and friendly, if you will. It’s not to say that people aren’t intelligent and can’t understand [the data]. But often, the level at which something needs to be communicated is different depending on the audience and the forum. With policy, individuals want to know the highlights and the key points, not how every variable was measured or how every ancillary test was done, etc.

    Q: In regard to those little nuances that go beyond one issue, you’ve demonstrated this a lot through your work studying the use of rap lyrics as evidence in criminal trials. How have you used your scholarly work and experience as an expert witness to communicate the complexities of using rap on trial?

    A: That’s an area where I’ve worked really hard to move beyond academia, because the implications of the findings in the real world are so strong. I have done everything from writing op eds, giving a TEDx talk, writing amicus briefs in actual court cases – including ones that have been read by Supreme Court justices – to training public defenders involved in rap on trial cases. I’ve also spoken to judges, educating them on the dangers associated with bringing rap lyrics into the courtroom. I’ve done experimental studies that have findings for implications in rap on trial cases, like whether the defendant is able to get a fair trial or not because of negative stereotypes associated with the genre and those who make the music. Those experimental studies have been the basis of legislation here in California that was signed by Governor Newsom called AB 2799, the Decriminalization of Artistic Expression Act.

    This research – along with studies by others – helped inform this Act, which puts guardrails on the use of rap lyrics as evidence in criminal cases. With a collaborator in the law school here at UCI, Prof. Jack Lerner, we wrote a legal guide that’s free and downloadable for defense attorneys involved in rap on trial cases, so that they can look at the relevant case law and also understand what the social science research has to say about the issue. All of this effort has been with the intention of making research have real world implications.

    Q: Speaking of “Rap on Trial: A Legal Guide,” you released the second edition earlier this year. There was a lot of new information to add since the first edition in 2021: the new legislation you talked about, but also the analysis of media treatment towards rap music and legal influences on the music itself. What do you think have been some of the most important developments in the concept of rap on trial in the past few years?

    A: First, I want to give a shout out to my collaborator who spearheaded this effort, UCI law professor Jack Lerner, and his students in the IPAT (Intellectual Property, Arts, and Technology) Clinic. Years ago, Jack approached me and said, “Hey, I heard about rap on trial. I know you’ve been doing work in this area. I run a clinic here at UCI, and I’ve got students interested in this. What can we do to help you?” We decided on a legal guide that would help attorneys in cases where rap evidence is being introduced and answer key questions for them.

    What do you include in a pretrial motion to exclude the lyrics? What are the normative conventions of rap music? Why do rappers write the kinds of lyrics that they do? What stereotypes may be associated with rap music and rap artists that are being brought into the courtroom? What is the case law in this area? We wanted to address all of these questions in the Guide. Three years later, we produced a 150-page legal guide, which we put on our web page and made accessible. We are thrilled with platforms like SSRN that allow this work to be seen, accessed and downloaded by people all over the world.

    We could not believe the response we got. We heard from attorneys all over the country who said “this legal guide was incredibly useful. This legal guide helped my client. This legal guide helped me draft my pretrial motion. This legal guide made me able to better understand the case I was involved in. This legal guide helped me win my case.” It was so gratifying. And because this is an evolving area in terms of the courts and the law, we decided we needed to stay on top of things. That’s what prompted the second edition, with the new policy and other additions.

    It’s very gratifying. It’s in many ways more gratifying than getting an email saying your paper has been published. That’s important too. Good research, as I always say to my students, is the foundation. You can’t go and change the world if you’re standing on nothing or on weak research. That’s what we’re trained to do, is the good research. But also, we can’t just expect someone else to do something with it. We have to take it one extra step further.

    Q: One thing from your TEDx talk that really stood out to me was when you said, “you cannot pass judgment until all the evidence has been reviewed.” Sometimes people think that they have all the facts, but new evidence and new research develop over time. How important is it for people to keep an open mind towards evidence in the future that may call into question old ways of thinking?

    A: 100% and I hear this more and more, “Well, they said this about COVID and now it’s the opposite,” or “they said this, ‘it’s okay to eat eggs,’ and now you can’t eat eggs.” And I say to myself, that’s science doing exactly what it should be doing. There’s a difference between science/scientific beliefs and ideology. Ideology is rigid. If you have an ideological belief, it is impervious to new data and new facts.

    The difference between that and science, in my opinion, is that science is always changing. That doesn’t mean that it’s wrong, it means that we’re getting a better handle on what is right. When I see findings change, that’s not a problem. We’re learning with each new piece of evidence that we’re adding to the evidence base; we’re refining our understanding. What concerns me is ideology, when people have beliefs about things… and whatever evidence comes out that supports their ideology or not, they’re sticking to that set of beliefs. That is dangerous, worrisome, and why we need science. Refining, creating nuance, deeper understanding. That’s exactly what it’s about. So, I see it as exactly what science is designed to do.

    Q: Over the years, you’ve consistently posted your work on SSRN. How do you view SSRN in the context of research and scholarship?

    A: It’s vitally important to me. I go right to SSRN because I know it’s where people go to get knowledge and facts on whatever topic they’re interested in. I used to get a lot of emails asking, “can you send me this paper?” Or “can you send me that paper?” It’s wonderful to have SSRN to put the research there and make it available.

    SSRN reaches people that may not be reading the journals in which this research is published. I know SSRN is a place where reporters, policy makers and others are going, looking for information. Why do I do research, if not to help inform in cases? In the end, I hope that my research is helping somebody, somewhere.


    More About Charis Kubrin

    Charis E. Kubrin is Professor of Criminology, Law & Society and (by courtesy) Sociology. She is also a member of the Council on Criminal Justice, the Racial Democracy, Crime and Justice- Network, the Diversity Scholars Network, the Scholars Strategy Network, The UC Consortium on Social Science and Law, and UCI’s Center for Population, Inequality, and Policy. She is an expert for the Crime and Justice Research Alliance. Kubrin’s research examines the immigration-crime nexus and considers the impact of immigration-related policy on immigrants, immigrant families and immigrant communities. Another line of research assesses the impact of criminal justice reform on crime rates. She is a 2024 Newkirk Center for Science & Society Fellow. In 2019, she was named a Fellow of the American Society of Criminology. Most recently, she is co-recipient of the Stockholm Prize in Criminology to be awarded June of 2026 in Sweden.

    You can see more work by Charis E. Kubrin on her SSRN Author page here.

  • Meet the Author: Oona A. Hathaway

    Meet the Author: Oona A. Hathaway

    Oona A. Hathaway is a Professor of International Law and of Political Science at Yale University. She has been a member of the Advisory Committee on International Law for the Legal Adviser at the United States Department of State since 2005. She spoke with SSRN about asking the hard questions in law, scholarship’s relevance in current events, and how international law is at play in our daily lives.

    Q: You’ve done such a wide range of things throughout your career – from teaching as a professor to writing books and articles for big publications, and so much more. What has been the most fulfilling aspect of your career in international law so far?

    A: One of the most fulfilling things is teaching and working with young people who are going to go out into the world and use the ideas that they learn in the classroom to make a difference. The other aspect of my work that I really love is being able to work on issues that are interesting for a scholarly audience but also important in terms of shaping law and policy as they’re practiced in the world.

    Q: You’ve been consulted as an expert in international law and are one of the highly cited scholars in the field within recent years. How would you say some of these principles of international law are at play in our day-to-day lives: not just for lawyers and scholars, but for everyone?

    A: International law matters in ways that people don’t generally appreciate in their lives. It matters in small ways: the fact that you can pick up your cell phone and make a phone call anywhere in the world is thanks, in part, to international law. The fact that you can mail a letter and put a postage stamp that you buy at the local post office and send it anywhere in the world, is a result of international law. And the fact that you can go down the corner and buy clothes for less than they used to cost 30 years ago is thanks to international law and international trade. It affects our lives in ways that we don’t necessarily always appreciate or notice but that make a real difference in ordinary people’s lives.

    But international law also really matters for big questions like, “is war legal or not?” And “how should war be conducted?” These are important questions that affect our lives in a bigger way and have geopolitical consequences, not just consequences for day-to-day life.

    Q: It’s such a broad field, and there are so many parts to it. How have you chosen the direction for your work and your research within this field?

    A: The great thing about being an academic is you get to chase the ideas that are interesting to you. And so my scholarship has really changed over time. Early on, my work focused primarily on human rights law, and I was interested in thinking about how we make international human rights law more effective. After the 9/11 attacks that took place early on in my scholarly career, I got interested in this question of “how does law shape the way in which force is used?” My work really began to focus on these questions of national security in part because those are the questions that really mattered in the world.

    Q: Your most downloaded paper on SSRN is “Do Human Rights Treaties Make a Difference?” In this analysis, written over 20 years ago, you tackle some big questions underlying how human rights treaties don’t directly correlate to better human rights practices. One of the solutions you suggest in this paper is to better enforce these treaties as a way of holding the involved states accountable. Looking at this concept two decades later, how do you believe human rights practices could be best enforced now, and has that changed in the time since you wrote the paper?

    A: Hundreds of states have signed most of the major international human rights treaties. And yet when you look around the world, you still see lots of violations. That was true then [and] unfortunately, remains true today. What I was interested in asking was, “do those agreements make a difference?” The work that I did showed that merely ratifying agreements wasn’t enough, that we needed to follow up on the ratification of treaties to make those international legal agreements actually effective. I think we’ve seen progress in that direction since then. Among other things, there are international courts, where these international treaties are increasingly enforced.

    But what matters more than the international courts is what domestic courts are doing. A lot of the work that I did following on that first article, was thinking not just “how do we enforce these international agreements through international courts?” but “how do [we] create mechanisms and tools inside states to provide for domestic accountability for these human rights obligations?” How can we provide greater transparency about state practices and have tools for enforcing these international obligations, not just in international courts, but in domestic courts. I think increasingly people have realized that this is the necessary path forward for international human rights law.

    I see that piece as a bit of a rallying cry for doing better and doing more. I will say that when I first published it, many human rights activists weren’t so happy about it. There was some criticism of the work, in part because it sort of felt like it was calling into question the value of international law, but my intention wasn’t to call into question the value of international law: it was to say it’s not enough simply to ratify the treaties. We have to do more.

    I think that has borne out over time [and] people have come to share that view. And I think a lot of the progress that we’ve made on human rights law has been made in trying to use treaties as the starting point, not the ending point, of an effort to try to improve human rights.

    Q: Why do you think it’s important to ask those kinds of challenging questions when it comes to creating actionable plans for change, both domestic and international?

    A: As academics, we have to be prepared to ask the hard questions and the unpopular questions. That’s a role that as academics we shouldn’t just take for granted. Part of our role is to try to say, not just “it’s not enough,” but “what else can we do? What else can we do to build on that first step, to improve practices?” There’s been a huge burgeoning of great research about what does work, what doesn’t work, which states are better at enforcing human rights obligations, how to bring international law into domestic law. That work has really been important to improving the lives of human beings affected by these practices and whose lives are better as a result.

    Q: In another of your more recent papers, “A New Tool for Enforcing Human Rights: Erga Omnes Partes Standing,” you talk about the International Court of Justice’s ruling on the case of the Myanmar military’s action in Gambia and how that offers the promise of a revolution in the enforcement of international law, especially with respect to human rights. How would you explain the importance of a ruling like this to people unfamiliar with the specific cases or standings?

    A: This is a recent piece that I wrote with two of my students. We were interested in this question because we saw that there was this shift in [the] International Court of Justice’s jurisprudence. Basically, what the International Court of Justice had done is allow states that were not directly affected by human rights violations to bring lawsuits against states that have violated human rights treaties both states have joined. In Gambia v. Myanmar, what that meant was that Gambia brought suit against Myanmar for its alleged genocide against the Rohingya minority, and it was allowed to do that even though Gambia was not affected at all by the actions that were the subject of the suit. All that mattered was that both states were parties to the Genocide Convention. That struck us as a really important innovation.

    Part of the reason this article got so much attention is that after we had written it and posted it on SSRN, South Africa filed suit against Israel using the same legal basis. I posted the link to the article and said, “This is exactly the same legal basis that Gambia used to bring suit against Myanmar… and here’s the history of this form of standing in the International Court of Justice.” Of course, everybody was eager to try to understand why it was that South Africa had the legal right to bring a lawsuit against Israel when South Africa didn’t claim to be directly affected by anything that Israel was doing. And so this long legal article that explains the history of this form of standing suddenly was very useful to people who were trying to understand what was going on in this recent case.

    I think this is something that scholarship can do; it can provide context for understanding what’s happening right now in the world. We didn’t know that this lawsuit was going to be filed by South Africa. But what we anticipated was that this [ruling] was, as we put it, “a human rights revolution,” and that people hadn’t really noticed. What people needed to understand was that this was not coming out of nowhere, that there was a long history to it, that there had been this development over time of these cases, and that there was a likelihood that that was going to cause a really significant shift in human rights enforcement. And lo and behold, it turned out we were right. People were interested to be able to understand that context. So that’s a great example of where scholarship can see where things are going, anticipate it, and then provide that history, background, and context so that people can really understand what’s happening.

    Q: Are there any papers, projects or research that you’re working on now that you’re particularly excited about?

    A: One piece that I recently posted on SSRN is a piece called “‘Mistakes’ in War,” that I wrote with Azmat Khan, who’s a New York Times reporter. She and I, in this piece, examine this phenomenon where when states use military force that kills significant numbers of civilians – they’ll say, “well, it was a mistake,” or “it was an error.” And what we tried to do here was to say, “When can states and individuals be held responsible for these mistakes?” Because often, when a state says that it was a mistake, it seems to be suggesting that it shouldn’t be held accountable. But we question that, and we dig really deep into civilian casualty reports, U.S. government and other government practices, and the history of “mistakes” in war. I think we do something pretty innovative in bringing the work that Azmat has done as a New York Times reporter – the evidence-gathering and reporting on the ground that she has done – and analyze that using legal tools to try and see where the law is, and then to make some arguments about how the law and state practices should develop in order to better protect civilians.

    That work is important to me because I feel like it makes a difference in the world and hopefully leads into greater protections for civilians in conflict. I think it’s important too because we’re doing something innovative and trying to bring empirical evidence that has been collected by a journalist through rigorous on-the-ground reporting to give greater clarity to these legal concepts that might seem abstract and hard to understand. When you see these incidents and you see the actual people whose lives have been taken [or] sometimes really harmed through these actions, it makes it all the clearer to people why this should matter. It gives this greater impact to the scholarship, because you can see that this is not just abstract legal ideas that we’re talking about, but real, on-the-ground, meaningful change in the law that could better protect civilians in conflict at a time when, unfortunately, conflicts around the world are having more and more of an effect on civilians. I think that work is important, and it’s part of an ongoing series of projects that Azmat and I are doing, [which] I’m really excited about.

    Q: Law stands out as one of our most prominent disciplines on SSRN, with many authors contributing their work in real time. How do you view SSRN in the broader context of legal scholarship?

    A: One advantage of posting this work on SSRN is that it gets not just the U.S. audience, but an international audience. Being able to post it and have it available for free download for people anywhere in the world is really a great asset. These are things that matter not just to Americans, but obviously have a global audience, and so having the work in a place where it can be accessed from anywhere in the world and be downloaded for free is really important for accessibility of the work and having ideas [brought to] a global audience. Also, because the process of publication takes so long, it’s great to be able to have a place to publicize the work when it’s largely finished but still in the process of editing. One advantage is that the ideas can get out there while they’re really relevant. For instance, the piece that you mentioned, the erga omnes partes standing piece, was great to be able to have that be available to audiences when the South Africa v. Israel case came down, even though the paper wasn’t yet published. Having a place where the preprints can be available and people can read it and get an authoritative version of the article is valuable.


    More About Oona Hathaway

    Oona A. Hathaway is a Professor of International Law at Yale Law School and the Yale University MacMillan Center, as well as Professor of the Yale University Department of Political Science and Director of the Yale Law School Center for Global Legal Challenges. She has been a member of the Advisory Committee on International Law for the Legal Adviser at the United States Department of State since 2005. In 2014-15, she served as Special Counsel to the General Counsel at the U.S. Department of Defense, where she was awarded the Office of the Secretary of Defense Award for Excellence. She is also Executive Editor of and regular author at Just Security, and she often writes for The Washington Post, The New York Times, The Atlantic, and Foreign Affairs.

    You can see more work by Oona A. Hathaway on her SSRN Author page here.